This document is an excerpt from the EUR-Lex website
Document 52011PC0753
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 police cooperation, preventing and combating crime, and crisis management
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 police cooperation, preventing and combating crime, and crisis management
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 police cooperation, preventing and combating crime, and crisis management
/* COM/2011/0753 final - 2011/0368 (COD) */
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 police cooperation, preventing and combating crime, and crisis management /* COM/2011/0753 final - 2011/0368 (COD) */
EXPLANATORY MEMORANDUM 1. CONTEXT OF THE PROPOSAL The policies relating to the area of
Freedom, Security and Justice have been steadily growing in importance over the
last years. These policies are at the heart of the European project to create
an area without internal borders where EU citizens and third-country nationals
may enter, circulate, live and work, bringing new ideas, capital, knowledge and
innovation or filling gaps in the national labour markets, confident that their
rights are fully respected and their security assured. The growing importance
of home affairs policies has been confirmed by the 2009 Stockholm Programme[1], and it is also one of the
areas which have seen important changes under the Lisbon Treaty. In the field of Internal Security, key
documents such as the Commission's Communication on the Internal Security
Strategy[2]
have provided clear guidance on the direction of activities in the years to
come. Internal security is an area where the Union will be facing important
challenges. Terrorism and organised crime, drug trafficking, corruption, cyber
crime, trafficking in human beings and arms will continue to pose serious threats.
Aggregate levels of crime are anticipated to remain stable but the nature of
crime is expected to change with criminals using new technologies to commit
crimes. Cross-border and organised crime can be expected to increase and become
more sophisticated and international in nature. Some types of crime such as
fraud, money laundering and cybercrime, are expected to grow. Further actions
will also have to be taken to protect Union critical infrastructure more
effectively notably against terrorist attacks and develop an integrated Union
approach to risk and crisis management. To tackle all these future challenges,
enhanced actions at Union level are essential to succeed in protecting the
citizens from increasingly trans-national threats and support the operational work
carried out by Member States' competent authorities, including through adequate
Union funding. In this context the Stockholm Programme explicitly called for
the creation of a Fund to support the implementation of the Internal Security
Strategy and a coherent and comprehensive approach to law enforcement
cooperation, including the management of the Union's external borders. Against this background, in its proposal of
29 June 2011 on the next multi-annual financial framework for the period
2014-2020[3],
the Commission suggested to set up an Internal Security Fund, as part of a
simplified two-Fund structure for future expenditure in the home affairs area
which also includes an Asylum and Migration Fund. The Internal Security Fund
will have a global budget of EUR 4,648 million (in current prices) to support
the implementation of the five strategic objectives set by the Internal
Security Strategy: disrupting international crime networks; preventing
terrorism and addressing radicalisation and recruitment; raising the levels of
security for citizens and businesses in cyberspace; strengthening security
through border management; and increasing Europe's resilience to crises and
disasters. Due to the different
Treaty bases for the broad range of strategic objectives to be covered, it is not legally possible
to establish the Internal
Security Fund as a single financial instrument. It is therefore proposed to
establish the Fund as a comprehensive financing framework, comprising two sector-specific
proposals – of which this is one –, complemented by a horizontal instrument
laying down common provisions. . The legal architecture is explained in more
detail under section 3. 2. RESULTS OF CONSULTATIONS WITH THE
INTERESTED PARTIES AND IMPACT ASSESSMENT In accordance with the greater emphasis
placed on evaluation as a tool to inform policy making, this proposal is
informed by evaluation results, stakeholder consultation and impact assessment. Work on the preparation of the future
financial instruments for home affairs started in 2010 and continued into 2011.
As part of this preparatory work, an evaluation/impact assessment study was
launched in December 2010 with the aid of an external contractor. This study
was completed in July 2011 and brought together available evaluation results
for the existing financial instruments and informed the problems, objectives
and policy options, including their likely impact, examined in the impact
assessment. Building upon this study, the Commission prepared an impact
assessment report on which the Impact Assessment Board delivered its opinion on
9 September 2011. In accordance
with the greater emphasis placed on evaluation as a tool to inform policy
making, this legislative proposal took also full account of the formal mid-term
evaluation of the General Programme Security and Safeguarding Liberties[4], covering the implementation of
the ISEC (Prevention of and Fight against Crime) and CIPS (Prevention,
Preparedness and Consequence Management of Terrorism and other Security-related
risks) programmes between 2007 and 2009. In its report of 16 June 2011, the
Commission assessed the quantitative and qualitative
aspects of the implementation of the Programmes and the results obtained,
including an accurate mapping of the programme activities, analysis of the
performance of the projects financed, and a review of the instruments and
implementation mechanisms in order to identify possible corrective measures. The results of a dedicated on-line public
consultation on the future of home affairs funding[5], which ran from 5 January to 20
March 2011 and was open to stakeholders from within the Union and from third countries,
have all been taken into consideration in the preparation of this proposal. A
total of 115 responses were received from individuals and on behalf of
organisations, including 8 position papers. Respondents from all Member States
contributed to the consultation as well as respondents in some third countries.
In April 2011 the conference "The
future of EU funding for Home Affairs: A fresh look" brought together key
stakeholders (Member States, international organisations, civil society
organisations etc) and gave them the opportunity to share their views on the
future of Union funding for home affairs. The conference was also an occasion
to validate the outcome of the stock taking and the public consultation. The future of EU funding for home affairs
was raised and discussed with institutional stakeholders on numerous occasions,
including at an informal lunch discussion during the JHA Council on 21 January
2011, an informal breakfast with the political coordinators of the European
Parliament on 26 January 2011, at the hearing of Commissioner Malmström before
the Parliament's SURE Committee on 10 March 2011 and during an exchange of
views between the Director-General of DG Home Affairs and the Parliament's LIBE
Committee on 17 March 2011. Specific expert advice on the future
financial instruments in the area of Internal Security was provided through
discussions that took place at the COSI meeting on 5 October 2010 where a
preliminary exchange of views was made with representatives of the Member
States and representatives of agencies (Eurojust, Europol, CEPOL and Frontex)
and during the EOS Conference on Industry and Security on 9 February 2011.
Moreover, technical aspects linked to the implementation of the future
financial instrument in the area of Internal Security were also discussed with
Member States' experts at the meetings on 15 February and 18 July 2011 of the
two committees for the General Programme on Security and Safeguarding Liberties
(ISEC and CIPS). These consultations, conferences and expert
discussions confirmed that there is an overall consensus among key stakeholders
on the need to broaden the scope of action for Union funding in the field of
internal security, including as regards its external dimension, and a need to
work towards more simplification in the delivery mechanisms and greater
flexibility, notably to respond to emergencies. In order to add value, Union spending
should reflect better Union level priorities and strategic commitments and
should support the implementation of the Union's home affairs acquis. In the
area of internal security, stakeholders considered that the broad thematic
priorities have already been fixed by the 2009 Stockholm Programme and the 2010
Internal Security Strategy. A future funding mechanism should therefore be
defined comprehensively, comprising law enforcement, border guards and customs
communities. The need to make greater use of relevant Union agencies, such as
Europol and Frontex was also considered important. There was broad support to
reduce the number of financial instruments to a two-Fund structure on the
condition that this leads to simplification. Stakeholders also agreed on the
need for a flexible emergency response mechanism. Shared management with a move
to multi-annual programming was generally seen as the appropriate management
mode for home affairs spending. Non-governmental organisations, however, were
of the view that direct management should also be continued. 3. LEGAL ELEMENTS OF THE PROPOSAL The right to act derives from Article 3(2)
of the Treaty on European Union which states that "the Union shall offer
its citizens an area of freedom, security and justice without internal
frontiers, in which the free movement of persons is ensured in conjunction with
appropriate measures with respect to external border controls, asylum,
immigration and the prevention and combating of crime". Union action is justified on the grounds of
the objectives laid out in Article 67 of the Treaty on the Functioning of the
Union (TFEU), hereafter "the Treaty", setting out the means to
constitute an area of freedom, security and justice. The Regulation is based on multiple legal
bases in Title V of the Treaty in the area of freedom, security and justice
(Articles 82(1), 84 and 87(2) TFEU). These articles constitute compatible legal
bases in the light of the legal particularities that apply to decision-making
under this Title. Due to different voting rules in the
Council stemming from variable geometry pursuant to Protocols 19 (on the
Schengen acquis), 21 (the position of the UK and Ireland in respect of the area
of Freedom, Security and Justice) and 22 (the position of Denmark, including in
relation to Title V, part three of the Treaty) it is not legally possible to
draw up one single comprehensive legislative proposal for an Internal Security
Fund, despite the coherence of the policy objectives to be addressed. The Internal Security Fund is therefore
created as a comprehensive financing framework which is composed of two separate
acts, setting up the different components of the Fund and laying down the
objectives, the eligible actions and the envelopes of each component: ·
A Regulation setting up, as part of the Fund,
the component for police co-operation, preventing and combating crime, and
crisis management; ·
A Regulation setting up, as part of the Fund,
the border management and common visa policy component. Within the comprehensive framework of the
Internal Security Fund, this Regulation shall provide financial support to police cooperation, exchange and access to
information, crime prevention and the fight against
cross-border as well as serious and organised crime,
including terrorism, the protection of people and critical infrastructure
against security-related incidents and the effective management of security-related
risks and crisis, taking into account common Union policies (strategies,
programmes and action plans), legislation, practical co-operation and threat
and risk assessments. Consequently, the two programmes which currently provide
financial support for this policy area (ISEC, CIPS) should be repealed with
effect from 1 January 2014, subject to transitional rules. As far as the CIPS
programme is concerned (Council Decision 2007/124/EC, EURATOM), this is not
possible within the framework of this Regulation but requires a separate legal
act, due to the different voting rules under its double legal base
(EC/Euratom). Overall, this is an area where there is a
clear added value in Union interventions compared to Member States acting
alone. The European Union is in a better position than Member States to address
cross-border situations and to provide a platform for common approaches,
financial support provided under this Regulation contributes in particular to
strengthening national and European capabilities as well as cross-border
cooperation and coordination, facilitated and secure communication, networking,
mutual trust and the exchange of information and best practices. However, it is
fully acknowledged that interventions should take place at an appropriate level
and the role of the Union should not go beyond what is necessary. As the Budget
Review has highlighted, the "EU budget should be used to finance EU public
goods, actions that Member States and regions cannot finance themselves, or
where it can secure better results".[6] 4. BUDGETARY IMPLICATION The Commission's proposal for the next
multi-annual framework includes a proposal of EUR 4.648 million (in current
prices) for the Internal Security Fund for the period 2014-2020. Within this
global envelope, the resources indicatively available for the implementation of
this Specific Regulation amount to EUR 1,128 million. Indicatively, 50% of this
amount (EUR 564 million) should be used for national programmes of Member
States while the other 50% (EUR 564 million) should be centrally managed to
fund Union actions, emergency actions and technical assistance. EUR
million Internal Security Fund including new IT systems || || 4,648 - Police cooperation instrument || || 1,128 - Border instrument || || 3,520 5. MAIN ELEMENTS OF THE PROPOSAL ·
Clear focus on strategic priorities In order to ensure that a sufficient and
demonstrable impact can be achieved, this regulation proposes for the period
2014-2020 to concentrate Union financial support on five key strategic
priorities (as identified by the Union's Internal security strategy): –
preventing and fighting against cross-border,
serious and organised crime; –
raising the levels of security for citizens and
business in cyberspace; –
preventing terrorism and addressing
radicalisation and recruitment; –
raising capabilities to
protect critical infrastructure in all economic sectors; and –
increasing Europe's resilience to crisis and
disaster. These strategic priorities, which are laid
down in more detail in the annex to this Regulation, have to be taken into
account by Member States when drafting their multi-annual national programmes.
They can be amended at any time in a simplified procedure through delegated act
in the event of newly emerging risks or threats. Moreover, to provide additional
incentives, the EU co-financing rate for national measures implementing any of
these Union strategic priorities can be increased up to 90%, in accordance with
the Horizontal Regulation, instead of 75%. The concrete measures supported by this Regulation
cover primarily actions strengthening Member States operational capacities,
such as joint cross-border operations, exchange of best practices, testing and
validating of new methodologies and technologies (to close the gap to Union
funded security research), the acquisition of technical equipment and infrastructures,
training and exchange of staff, analytical activities such as risk and threat
assessments as well as networking. To use more effectively the competence and
expertise of relevant Union agencies in the home affairs field, the Commission also
envisages to make use of the possibility offered by the Financial Regulation[7] to entrust, within the
resources available under this regulation, the implementation of specific tasks
to such agencies in the framework of their missions and in complementary with their
work programmes. For the tasks covered by this Instrument this concerns in
particular the European Police Office (Europol), e.g. for the organisation of
joint investigation teams or a Prüm helpdesk function, and the European
Training College (Cepol), e.g. for the development and implementation of
European Training schemes, common thematic curricula and modules including for
staff from law enforcement authorities from appropriate third-countries. ·
Distribution of available resources The total amount for this Instrument for
the period 2014-2020 consists of two parts: the Union budget (EUR 1,128 million
in current prices) and the – not yet known – contributions by the countries
associated with the implementation, application and development of the Schengen
acquis (Norway, Iceland, Switzerland, Liechtenstein), which shall participate
in this Instrument. From the Member States, Denmark will not participate in
this Regulation and Ireland and the UK may opt-in to it, in accordance with
their respective Protocols. The total amount of EUR 1,128 million is evenly
divided (50/50 ratio): Member States will obtain an indicative amount of EUR
564 million (in current prices) for their national programmes (shared management)
and for Union actions, emergency assistance and technical assistance, the
Commission will implement the same indicative amount under direct and indirect management.
The criteria chosen for the allocation of
available funds to Member States relate to the main goods that Member States
have to protect: their population, their territory, persons and cargo processed
through their air and seaports and European critical infrastructure designated
in accordance with Union law. As, in this context, account has also been taken
of Member States' different financial capacities, their Gross Domestic Product
(in inverse proportion) has been added as a fifth allocation criteria. ·
Emergency assistance and actions in or in
relation to third-countries Specific provisions are introduced in this
regulation and in the Horizontal Regulation to enable the Union to take rapid
and effective actions in the event of any security-related incident or newly
emerging threat which has or may have a significant adverse impact on the
security of people in one or more Member States (emergency situation). Such
emergency assistance is always decided upon by the Commission but can also be
proposed by Member States, Union Agencies, International Organisations or the
Article 71 committee (COSI) represented by the Member State holding the
Presidency of the Council. Emergency assistance is not limited to the Union and
may also include measures in or in relation to third-countries. Generally the list of actions in or in
relation to third-countries eligible under this Regulation focuses on
short-term operational actions having a direct impact on the Union's internal
security, such as joint cross-border operations, the acquisition of technical
equipment, exchange and training measures, threat and risk assessments as well
as funding support to awareness-raising and communication activities. Actions
in third-countries are primarily implemented by the Commission through direct
or indirect management in accordance with the Financial Regulation. Such actions
shall not be directly development oriented and shall complement, as
appropriate, the financial assistance provided through the Union's external aid
instruments, which remain the main source of funding to help third-countries
build their relevant capacities. In implementing such actions, full coherence
will be sought with the principles and general objectives of the Union's external
action and foreign policy related to the country or region in question.
Complementarity will be ensured through enhanced coordination with the European
External Action Service and relevant Commission services. 2011/0368 (COD) 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 police cooperation,
preventing and combating crime, and crisis management THE EUROPEAN PARLIAMENT AND THE
COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty on the
Functioning of the European Union, and in particular Articles 82(1), 84 and
87(2) thereof, Having regard to the proposal from the European
Commission[8], After transmission of the draft legislative
act to the national Parliaments, Having regard to the opinion of the
European Economic and Social Committee[9], Having regard to the opinion of the
Committee of the Regions[10], Acting in accordance with the ordinary
legislative procedure, Whereas: (1) The Union's objective of
ensuring a high level of security within an area of Freedom, Security and
Justice (Article 67(3) of the Treaty on the Functioning of the Union) should be
achieved, inter alia, through measures to prevent and combat crime as well as
through measures for coordination and cooperation between law enforcement
authorities of Member States and with relevant third-countries. (2) To achieve this objective,
enhanced actions at Union level should
be taken to protect people and goods from increasingly transnational threats
and to support the work carried out by Member States' competent authorities.
Terrorism and organised crime, drug trafficking, corruption, cyber crime,
trafficking in human beings and arms, inter alia, continue to challenge the
internal security of the Union. (3) The Internal Security
Strategy for the European Union, adopted by the Council in February 2010[11], constitutes a shared agenda for
tackling these common security challenges. The Commission's Communication of
November 2010 "The EU Internal Security Strategy in Action"[12] translates the strategy's
principles and guidelines into concrete actions by identifying five strategic
objectives: to disrupt international crime networks, to prevent terrorism and
address radicalisation and recruitment, to raise levels of security for
citizens and businesses in cyberspace, to strengthen security through border
management and to increase Europe's resilience to crises and disasters. (4) Solidarity among Member
States, clarity about the division of tasks, respect for fundamental rights and
the rule of law as well as a strong focus on the global perspective and the
inextricable link with external security should be key principles guiding the
implementation of the Internal Security Strategy. (5) To promote the
implementation of the Internal Security Strategy and to ensure that it becomes
an operational reality, Member States should be provided with adequate Union
financial support by setting up an Internal Security Fund. (6) Due to the legal
particularities applicable to Title V of the Treaty, it is not possible to
establish the Internal Security Fund as a single financial instrument. (7) The Fund should therefore be
established as a comprehensive framework for EU financial support in the field
of internal security comprising the instrument established by this Regulation
as well as the Instrument set up by Regulation (EU) No XXX/2012 establishing,
as part of the Internal Security Fund, the instrument for financial support for
external borders and visa[13].
The comprehensive framework should be complemented by Regulation (EU) No XXX/2012[14] laying down general provisions
on the Asylum and Migration Fund and on the instrument for financial support
for police cooperation, preventing and combating crime, and crisis management. (8) The
global resources for this Regulation and for Regulation (EU) No XXX/2012 establishing, as part of the Internal Security Fund, the instrument
for financial support for external borders and visa should
jointly establish the financial envelope for the entire duration of the Fund,
which should constitute the prime
reference for the budgetary authority during the annual budgetary procedure in
accordance with Point 17 of the Inter-institutional Agreement. (9) Within the comprehensive
framework of the Internal Security Fund, the financial assistance provided
under this Instrument should support police
cooperation, exchange of and access to information, crime prevention, the fight against cross-border, serious and
organised crime including terrorism, the protection of people and critical
infrastructure against security related incidents and the effective management
of security related risks and crisis, taking into
account common policies (strategies, programmes and action plans), legislation
and practical co-operation. (10) Financial assistance in
these areas should in particular support actions promoting cross-border joint operations, access to and
exchange of information, exchange of best practices, facilitated and secure
communication and coordination, training and exchange of staff, analytical,
monitoring and evaluation activities, comprehensive threat and risk assessments,
awareness raising activities, testing and validation of new technology,
forensic science research and the acquisition of technical interoperable
equipment. (11) Measures
in and in relation to third countries supported through this Instrument should be
taken in synergy and coherence with other actions outside the Union supported
through Union external assistance instruments, both geographic and thematic. In
particular, in implementing such actions full coherence should be sought with
the principles and general objectives of the Union external action and foreign
policy related to the country or region in question. They should not be
intended to support actions directly development-oriented and they should
complement, when appropriate, the financial assistance provided through
external aid instruments. Coherence will also be sought with the Union
humanitarian policy, in particular as regards the implementation of emergency
measures. (12) This Instrument should be
implemented in full respect with the rights and principles enshrined in the
Charter of Fundamental Rights of the European Union. (13) To ensure a uniform
implementation of the Internal Security Fund, the Union budget allocated to
this financial instrument should be implemented by shared management, with the
exception of actions of particular interest to the Union (Union actions),
emergency assistance and technical assistance, which are implemented in direct
and indirect management. (14) The resources allocated to
Member States for implementation through their national programmes should be
distributed on the basis of clear and objective criteria relating to the public
goods to be protected by Member States and the degree of their financial capacity
to ensure a high level of internal security, such as the size of their
population, their territorial size, the number of passengers and cargo
processed through international air and seaports, the number of European
critical infrastructure and their gross domestic product. (15) To reinforce solidarity and
responsibility sharing for common Union policies, strategies and programmes,
Member States should be encouraged to use the part of the global resources
available for the national programmes to address the strategic Union priorities
set out in the annex to this Regulation. For projects addressing these
priorities, the Union contribution to their total eligible cost should be
increased to 90%, in accordance with Regulation (EU) No XXX/2012 [Horizontal
Regulation]. (16) The ceiling for resources
which remain at the disposal of the Union should be equal to the resources
allocated to Member States for the implementation of their national programmes.
This will ensure that the Union is able, in a given budget year, to support
actions which are of particular interest to the Union, such as studies, testing
and validation of new technologies, transnational projects, networking and
exchange of best practices, monitoring of the implementation of relevant Union
law and Union policies and actions in relation to and in third-countries. The
actions supported should be in line with the priorities identified in relevant Union
strategies, programmes, action plans and risk and threat assessments. (17) To strengthen the EU's
capacity to react immediately to security-related incidents or newly emerging
threats for the Union, it should be possible to provide emergency assistance,
in accordance with the rapid response mechanism set out in Regulation (EU) No XXX/2012
[Horizontal Regulation]. (18) Funding from the Union
budget should concentrate on activities where the Union intervention can bring
additional value compared to action of Member States alone. As the Union is in
a better position than Member States to address cross-border situations and to
provide a platform for common approaches, activities eligible for support under
this Regulation should contribute in particular to strengthening national and Union
capabilities as well as cross-border cooperation and coordination, networking,
mutual trust and the exchange of information and best practices. (19) In order to supplement or
amend provisions in this Instrument regarding the definition of strategic Union
priorities, 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 which should 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 Council. (20) In order to ensure a
uniform, efficient and timely application of the provisions of this Regulation,
implementing powers should be conferred on 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 exercise of implementing powers. (21) Council Decision
2007/125/JHA of 12 February 2007 establishing for the period 2007 to 2013, as
part of the General Programme on Security and Safeguarding Liberties, the
Specific Programme 'Prevention of and Fight against Crime'[15] should be repealed, subject to
the transitional provisions set out in this Regulation. (22) Since the objectives of
this Regulation, namely strengthening coordination and cooperation between law
enforcement authorities, preventing and combating crime, protecting people and
critical infrastructure against security related incidents and enhancing the
capacity of Member States and the Union to manage effectively security related
risks and crisis, cannot be sufficiently achieved by the Member States and can
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, this Regulation does not go beyond what is necessary in order
to achieve that objective. (23) As regards Iceland and
Norway, this Regulation constitutes a development of the Schengen acquis which
falls within the areas referred to in Article 1, Point H of Council Decision
1999/437/EC of 17 May 1999 on certain arrangements for the application of the
Agreement concluded by the Council of the European Union and the Republic of
Iceland and the Kingdom of Norway concerning the association of those two
States with the implementation, application and development of the Schengen
acquis[16]. (25) As regards Switzerland,
this Regulation constitutes a development of provisions of the Schengen acquis
within the meaning of 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 which fall
within the area referred to in Article 1, Point H of Council Decision
1999/437/EC read in conjunction with Article 3 of Council Decision 2008/146/EC
on the conclusion, on behalf of the European Community, of the Agreement[17]. (26) As regards Liechtenstein,
this Regulation constitutes a development of the provisions of the Schengen
acquis within the meaning of 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 which fall within the area referred to
in Article 1, Point H of Council Decision 1999/437/EC read in conjunction with
Article 3 of Council Decision 2011/349/EU on the conclusion, on behalf of the
Union, of the Protocol[18]. (27) In accordance with Articles
1 and 2 of the Protocol on the position of Denmark annexed to the Treaty
on European Union and to 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. (28) In accordance with Article
3 of the Protocol on the position of the United Kingdom and Ireland in respect
of the area of freedom, security and justice, annexed to the Treaty on European
Union and to the Treaty on the Functioning of the European Union, and without
prejudice to Article 4 of that Protocol, Ireland [is not taking part in the
adoption of this Regulation and is not bound by it or subject to its
application / has notified its wish to take part in the adoption and
application of this Regulation]. (29) In accordance with Article
3 of the Protocol on the position of the United Kingdom and Ireland in respect of
the area of freedom, security and justice, annexed to the Treaty on European
Union and to the Treaty on the Functioning of the European Union, and without
prejudice to Article 4 of that Protocol, the United Kingdom [is not taking
part in the adoption of this Regulation and is not bound by it or subject to
its application / has notified its wish to take part in the adoption and
application of this Regulation], HAVE ADOPTED THIS REGULATION: Article 1 Purpose and scope 1. This
Regulation establishes the instrument for financial support for police
cooperation, preventing and combating crime, and crisis management (hereinafter
referred to as 'the Instrument'), as part of the Internal Security Fund
(hereinafter referred to as 'the Fund'). Jointly with
Regulation (EU) No XXX/2012 establishing, as part of
the Internal Security Fund, the instrument for financial support for external
borders and visa, this Regulation establishes for the
period from 1 January 2014 to 31 December 2020 the Internal Security Fund. 2. This
Regulation lays down (a) the objectives, eligible actions and strategic
priorities for financial support to be provided under the Instrument; (b) the general framework for the
implementation of eligible actions; (c) the resources made available under the
Instrument from 1 January 2014 to 31 December 2020 and their distribution. 3. This
Regulation provides for the application of the rules set out in Regulation (EU)
No XXX/2012 [Horizontal Regulation]. 4. The
Instrument shall not apply to matters that are covered by the Justice
programme, as set out in Regulation (EU) No XXX/2012[19]. However this Instrument may
cover actions which aim at encouraging cooperation between judicial authorities
and law enforcement authorities. Article 2 Definitions For the purpose of this Regulation, the
following definitions shall apply: (a) 'police cooperation' means the
specific measures and types of cooperation as defined in Article 87 of the
Treaty on the Functioning of the European Union. (b) 'exchange of and access to information'
means the collection, storage, processing, analysis and exchange of information
relevant to law enforcement authorities in relation to the prevention,
detection, investigation, and prosecution of criminal offences, in particular
cross-border, serious and organised crimes. (c) 'crime prevention' means all measures
that are intended to reduce or otherwise contribute to reducing crime and
citizens' feeling of insecurity, as defined in Council Decision 2009/902/JHA of
30 November 2009 setting-up a European Crime Prevention Network (EUPCN)[20]. (d) 'organised crime' means a punishable
conduct committed by a structured group of three or more persons, existing for
a period of time and acting in concert in order to obtain, directly or
indirectly, a financial or other material benefit. (e) 'terrorism' means any of the
intentional acts and offences as defined in Framework Decision 2002/475/JHA of
13 June 2002 on combating terrorism[21],
as amended by Framework Decision 2008/919/JHA of 28 November 2008[22]. (f) 'risk and crisis management' means
any measure relating to the assessment, prevention, preparedness and
consequence management of terrorism and other security-related risks. (g) 'prevention and preparedness' means
any measure aimed at preventing and/or reducing risks linked to possible terrorist
attacks or other security related incidents. (h) 'consequence management' means the
effective coordination of measures taken in order to react to and to reduce the
impact of the effects of a terrorist attack or any other security related
incident in order to ensure an effective coordination of actions at national
and/or EU level. (i) 'critical infrastructure' means any
physical resources, services, information technology facilities, networks and
infrastructure assets which, if disrupted or destroyed, would have a serious
impact on critical societal functions, including the supply chain, health,
safety, security, economic or social well-being of people or of the functioning
of the Union or its Member States. (j) 'emergency situation' means any security-related
incident or newly emerging threat which has or may have a significant adverse
impact on the security of people in one or more Member States. Article 3 Objectives 1. The general objective of the
Instrument shall be to contribute to ensuring a high level of security in the
European Union. 2. Within the general objective set
out in paragraph 1, the Instrument – in line with the priorities identified in
relevant Union strategies, programmes, threat and risk assessments –shall
contribute to the following specific objectives: (a) preventing and combating
cross-border, serious and organised crime including terrorism, and reinforcing
coordination and cooperation between law enforcement authorities of Member
States and with relevant third-countries. The achievement of this objective shall be
measured against indicators such as, inter alia, the number of
cross-border-joint operations and the number of best practice documents and
events organised. (b) enhancing the capacity of Member
States and the Union for managing effectively security-related risks and crisis,
and preparing for and protecting people and critical infrastructure against
terrorist attacks and other security related incidents. The achievement of this objective shall be
measured against indicators such as, inter alia, the number of tools put
in place and/or further upgraded to facilitate the protection of critical
infrastructure by Member States in all sectors of the economy and the number of
threat and risk assessments produced at the level of the Union. 3. To achieve these objectives, the
Instrument shall contribute to the following operational objectives by
promoting and developing: (a) measures (methodologies, tools,
structures) strengthening Member States' capability to prevent and combat cross-border,
serious and organised crime including terrorism, in particular through
public-private partnerships, the exchange of information and best practices,
access to data, interoperable technologies, comparable statistics, applied
criminology, public communication and awareness raising. (b) administrative and operational
coordination, cooperation, mutual understanding and the exchange of information
among Member States' law enforcement authorities, other national authorities, relevant
Union bodies and, where appropriate, with third-countries. (c) training schemes in implementation of
European training policies, including through specific Union law enforcement
exchange programmes, in order to foster a genuine European judicial and law
enforcement culture. (d) measures and best practices for the
protection and support of witnesses and victims of crime. (e) measures strengthening Member States'
administrative and operational capability to protect critical infrastructure in
all sectors of economic activity, including through public-private partnerships
and improved coordination, cooperation, exchange and dissemination of know how
and experience within the Union and with relevant third-countries. (f) secure links and effective coordination
between existing sector-specific early warning and crisis cooperation actors at
Union and national level, including situation centres in order to enable the
quick production of comprehensive and accurate overviews in crisis situations,
coordinate response measures and share open, privileged and classified
information. (g) measures (methodologies, tools and
structures) strengthening the administrative and operational capacity of the
Member States and the Union to develop comprehensive threat and risk
assessments in order to enable the Union to develop integrated approaches based
on common and shared appreciations in crisis situations and to enhance mutual
understanding of Member States' and partner countries' various definitions of
threat levels. 4. The Instrument shall also
contribute to the financing of technical assistance at the initiative of the
Member States and the Commission. Article 4 Eligible actions 1. Within the objectives defined in
Article 3, and in the light of the agreed conclusions of
the policy dialogue as provided for in Article 13 of Regulation (EU) No
XXX/2012 [Horizontal Regulation], this
Instrument shall support actions in Member States, and in particular the
following: (a) actions improving police cooperation
and coordination between law enforcement authorities, including joint
investigation teams and any other form of cross-border joint operation, the
access to and exchange of information and interoperable technologies; (b) networking, mutual confidence,
understanding and learning, the identification, exchange and dissemination of
know-how, experience and good practices, information sharing, shared situation
awareness and foresight, contingency planning and interoperability; (c) analytical, monitoring and evaluation
activities, including studies and threat, risk and impact assessments; (d) awareness raising, dissemination and
communication activities; (e) acquisition and/or further upgrading of
technical equipment, secure facilities, infrastructures, related buildings and
systems, especially ICT systems and their components, including for the purpose
of European cooperation on cyber crime, notably with the European Cybercrime
Centre; (f) exchange, training and education of
staff and experts of relevant authorities, including language training and joint
exercises or programmes; (g) measures deploying, transferring, testing
and validating new methodology or technology, including pilot projects and follow-up
measures to Union funded security research projects. 2. Within the objectives referred
to in Article 3, the Instrument shall also support actions in relation to and
in third-countries, and in particular the following: (a) actions improving police cooperation
and coordination between law enforcement authorities, including joint investigation
teams and any other form of cross-border joint operation, the access to and
exchange of information and interoperable technologies; (b) networking, mutual confidence,
understanding and learning, the identification, exchange and dissemination of
know-how, experience and good practices, information sharing, shared situation
awareness and foresight, contingency planning and interoperability; (c) acquisition and/or further upgrading of
technical equipment, including ICT systems and their components; (d) exchange, training and education of
staff and experts of relevant authorities, including language training; (e) awareness raising, dissemination and
communication activities (f) threat, risk and impact assessments; (g) studies and pilot projects. Article 5 Global resources and implementation
1. The global resources for the
implementation of this Regulation shall be EUR 1,128 million. 2. The annual appropriations shall
be authorised by the budgetary authority within the limits of the Financial
Framework. 3. The global resources shall be
implemented through the following means: (a) national programmes, in accordance
with Article 6; (b) Union actions, in accordance with
Article 7; (c) technical assistance, in accordance
with Article 8; (d) emergency assistance, in accordance
with Article 9; 4. The budget allocated under the
Instrument shall be implemented under shared management in accordance with Article
55(1)(b) of Regulation (EU) No XXXX/2012 [New Financial Regulation][23], with the exception of the
Union actions referred to in Article 7, the technical assistance referred to in
Article 8(1) and the emergency assistance referred to in Article 9. 5. The global resources shall be
used indicatively as follows: (a) EUR 564 million for the national
programmes of Member States; (b) EUR 564 million for Union actions,
emergency assistance and technical assistance at the initiative of the Commission. 6. Jointly with the global
resources established for Regulation (EU) No XXX/2012 establishing,
as part of the Internal Security Fund, the instrument
for financial support for external borders and visa, the global resources
available for this Regulation as established in paragraph 1 constitute the
financial envelope for the Internal Security Fund and serve as the prime reference
for the budgetary authority during the annual budgetary procedure within the
meaning of Point 17 of the Inter-institutional Agreement between the European
Parliament, the Council and the Commission on cooperation in budgetary matters
and on sound financial management.[24]
7. The countries associated with
the implementation, application and development of the Schengen acquis shall
participate in the Instrument, in accordance with this Regulation. 8. Arrangements shall be concluded
on the financial contributions by these countries to the Instrument and the
supplementary rules necessary for such participation, including provisions
ensuring the protection of the Union's financial interests and the power of
audit of the Court of Auditors. The financial contributions from these
countries shall be added to the global resources available from the Union
budget referred to in paragraph 1. Article 6 National Programmes 1. The national programme to be
prepared under the Instrument and the one to be prepared under Regulation (EU) No
XXX/2012 establishing, as part of the Internal Security
Fund, the instrument for financial support for external
borders and visa shall be drawn up jointly by Member States and proposed to the
Commission as one single national programme for the Fund, in accordance with
Article 14 of Regulation (EU) No XXX/2012 [Horizontal Regulation]. 2. Under the national programmes to
be examined and approved by the Commission pursuant to Article 14 of Regulation
(EU) No XXX/2012 [Horizontal Regulation], Member States shall focus on projects
addressing the strategic Union priorities listed in the annex to this
Regulation. 3. The Commission shall be
empowered to adopt delegated acts in accordance with Article 11 to amend the
annex referred to in paragraph 2 by amending, adding or deleting strategic Union
priorities. Article 7 Union actions 1. At the Commission’s initiative,
this Instrument may be used to finance transnational actions or actions of particular
interest to the Union (‘Union actions’) concerning the general, specific and
operational objectives set out in Article 3. 2. To be eligible for funding,
Union actions shall be in line with the priorities identified in relevant Union
strategies, programmes, threat and risk assessments, and support in particular: (a) preparatory, monitoring,
administrative and technical support, development of an evaluation mechanism
required to implement the policies on police cooperation, preventing and
combating crime, and crisis management; (b) transnational projects involving two
or more Member States or at least one Member State and one third-country; (c) analytical, monitoring and evaluation
activities, including threat, risk and impact assessments and projects
monitoring the implementation of Union law and Union policy objectives in the
Member States; (d) projects promoting networking, mutual confidence,
understanding and learning, identification and dissemination of good practices
and innovative approaches at Union level, training and exchange programmes; (e) projects supporting the development of
methodological, notably statistical, tools and methods and common indicators; (f) the acquisition and/or further
upgrading of technical equipment, secure facilities, infrastructures, related
buildings and systems, especially ICT systems and their components at the Union
level, including for the purpose of European cooperation on cyber crime,
notably a European Cybercrime Centre; (g) projects enhancing awareness of Union
policies and objectives among stakeholders and the general public, including
corporate communication on the political priorities of the Union; (h) particularly innovative projects
developing new methods and/or deploying new technologies with a potential for
transferability to other Member States, especially projects aiming at
testing and validating the outcome of Union funded security research projects; (i) studies and pilot projects; (j) actions in relation to and in
third-countries, as referred to in Article 4(2). 3. Union actions shall be
implemented in accordance with Article 7 of Regulation (EU) No XXX/2012 [Horizontal
Regulation]. Article 8 Technical assistance 1. At the initiative of and/or on
behalf of the Commission, the Instrument may contribute up to EUR 800,000 annually
for technical assistance to the Internal Security Fund, in accordance with Article
10 of Regulation (EU) No XXX/2012 [Horizontal Regulation]. 2. At the initiative of a Member
State, the Instrument may contribute up to 5% of the total amount allocated to
the Member State to technical assistance under the national programme, in
accordance with Article 20 of Regulation (EU) No XXX/2012 [Horizontal Regulation].
Article 9 Emergency assistance 1. This Instrument shall provide
financial assistance to address urgent and specific needs in the event of an
emergency situation, as defined in point (j) of Article 2. 2. Emergency assistance shall be
implemented in accordance with the mechanism laid down in Article 8 of Regulation
(EU) No XXX/2012 [Horizontal Regulation]. Article 10 Resources for eligible actions in
the Member States 1. EUR 564 million shall be
allocated to the Member States indicatively as follows: (a) 30% in proportion of the size of their
total population; (b) 10% in proportion to the size of their
territory; (c) 10% in proportion to the number of
passengers and the tons of cargo processed through their international air and
sea ports; (d) 10% in proportion to the number of
European Critical Infrastructure designated in accordance with Directive
2008/114/EC; (e) 40% in inverse proportion to their
Gross Domestic Product (purchasing power standard per inhabitant). 2. The reference figures for the
data referred to in paragraph 1 shall be the latest statistics produced by the
Commission (Eurostat), on the basis of data provided by Member States in
accordance with Union law, as well as data provided to the Commission by the
Member States in accordance with Directive 2008/114/EC. The reference date is
30 June 2013. Article 11 Exercise
of the 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 powers
referred to in this Regulation shall be conferred on the Commission for a
period of 7 years from [date of entry into force of this Regulation].
The delegation of power shall be tacitly extended for periods of an identical
duration, unless the European Parliament or the Council opposes such extension
not later than three months before the end of each
period. 3. The delegation of powers referred
to in this Regulation may be revoked at any time by the European Parliament or
by the Council. A decision of revocation 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 this Regulation shall enter into force only
if no objection has been expressed either by the European Parliament or the
Council within a period of 2 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 2 months at the initiative of the European
Parliament or the Council. Article 12 Committee
procedure 1. The Commission shall be assisted
by the common committee 'Asylum, Migration and Security' established by Article
55(1) of Regulation (EU) No XXX/2012 [Horizontal Regulation]. 2. Where reference is made to this
paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply. Article 13 Applicability
of Regulation (EU) No XXX/2012 The
provisions of Regulation (EU) No XXX/2012 [Horizontal Regulation]shall apply to
the Instrument. Article 14 Repeal Council Decision 2007/125/JHA is repealed
with effect from 1 January 2014. Article 15 Transitional
provisions 1. This Regulation shall not affect the continuation or modification,
including the total or partial cancellation of the projects until their closure
or the financial assistance approved by the Commission on the basis of Council Decision
2007/125/JHA, or any other legislation applying to that assistance on 31
December 2013. 2. When adopting decisions on co-financing under the Instrument, the
Commission shall take account of measures adopted on the basis of Council Decision
2007/125/JHA before [date of publication in the Official Journal] which
have financial repercussions during the period covered by that co-financing. 3. Sums
committed for co-financing approved by the Commission between 1 January 2011
and 31 December 2013 for which the documents required for closure of the operations
have not been sent to the Commission by the deadline for submitting the final
report shall be automatically decommitted by the Commission by 31 December 2017,
giving rise to the repayment of amounts unduly paid. Amounts
relating to operations which have been suspended due to legal proceedings or
administrative appeals having suspensory effect shall be disregarded in
calculating the amount to be automatically decommitted. 4. Member States shall submit to the Commission by 30 June 2015 an
evaluation report on the results and impacts of actions co-financed by Council
Decision 2007/125/JHA for the period 2011 to 2013. 5. The Commission shall submit to the European Parliament and the
Council, by 31 December 2015, a report on the results achieved and on
qualitative and quantitative aspects of implementation of Council Decision
2007/125/JHA for the period 2011 to 2013. Article 16 Review On the basis of a proposal from
the Commission, the European Parliament and the Council shall review this
Regulation by 30 June 2020 at the latest. Article 17 Entry
into force and application This
Regulation shall enter into force on the […] day following its publication in
the Official Journal of the European Union. 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 List of Strategic Union Priorities (Article 6 (2)) ·
Measures preventing and fighting cross-border,
serious and organised crime, in particular drug trafficking, trafficking in
human beings, sexual exploitation of children and projects identifying and
dismantling criminal networks, protecting the economy against criminal
infiltration and reducing financial incentives by seizing, freezing and
confiscating criminal assets. ·
Measures raising the levels of security for
citizens and business in cyberspace, in particular projects building
capacities in law enforcement and the judiciary, projects ensuring work with
industry to empower and protect citizens, and projects improving capabilities
for dealing with cyber attacks. ·
Measures preventing terrorism and addressing
radicalisation and recruitment, in particular projects empowering
communities to develop local approaches and prevention policies, projects
enabling competent authorities to cut off terrorists from access to funding and
materials and follow their transactions, projects protecting the transport of
passengers and cargo, and projects enhancing the security of explosives and
CBRN materials. ·
Measures designed to
raise Member States' administrative and operational capability to protect critical
infrastructure in all economic sectors including those covered by Directive
2008/114, in particular projects promoting public-private partnerships
in order to build trust and facilitate cooperation, coordination, contingency
planning and the exchange and dissemination of information and good practices
among public and private actors. ·
Measures increasing Europe's resilience to
crisis and disaster, in particular projects promoting the development of a
coherent Union policy on risk management linking threat and risk assessments to
decision making, as well as projects supporting an effective and coordinated
response to crisis linking up existing (sector-specific) capabilities,
expertise and situation awareness centres, including those for health, civil
protection and terrorism. LEGISLATIVE FINANCIAL
STATEMENT 1. FRAMEWORK OF THE PROPOSAL/INITIATIVE 1.1. Title of the proposal/initiative 1.2. Policy
area(s) concerned in the ABM/ABB structure 1.3. Nature
of the proposal/initiative 1.4. Objective(s)
1.5. Grounds
for the proposal/initiative 1.6. Duration
and financial impact 1.7. Management
method(s) envisaged 2. MANAGEMENT MEASURES 2.1. Monitoring
and reporting rules 2.2. Management
and control system 2.3. Measures
to prevent fraud and irregularities 3. ESTIMATED FINANCIAL IMPACT OF THE
PROPOSAL/INITIATIVE 3.1. Heading(s)
of the multiannual financial framework and expenditure budget line(s) affected 3.2. Estimated
impact on expenditure 3.2.1. Summary of estimated impact on expenditure 3.2.2. Estimated
impact on operational appropriations 3.2.3. Estimated
impact on appropriations of an administrative nature 3.2.4. Compatibility
with the current multiannual financial framework 3.2.5. Third-party
participation in financing 3.3. Estimated impact on revenue LEGISLATIVE FINANCIAL STATEMENT
1.
FRAMEWORK OF THE PROPOSAL/INITIATIVE
1.1.
Title of the proposal/initiative
Communication
"Building an open and secure Europe: the home affairs budget for 2014-2020"; Proposal
for a Regulation laying down general provisions on the Asylum and Migration
Fund and on the instrument for financial support for police cooperation,
preventing and combating crime, and crisis management; Proposal
for a Regulation establishing the instrument for financial support for police
cooperation, preventing and combating crime, and crisis management; Proposal
for a Regulation establishing, as part of the Internal Security Fund, the
instrument for financial support for external borders and visa.
1.2.
Policy area(s) concerned in the ABM/ABB
structure[25]
Currently
Heading 3, Title 18 – Home Affairs Future
Multiannual Financial Perspectives: Heading 3 (Security and citizenship) –
"Internal security" Nature of the proposal/initiative þ The proposal/initiative
relates to a new action (home affairs funding for the period 2014-2020) ¨ The
proposal/initiative relates to a new action following a pilot
project/preparatory action[26]
¨ The
proposal/initiative relates to the extension of an existing action ¨ The
proposal/initiative relates to an action redirected towards a new action
1.3.
Objectives
1.3.1.
The Commission's multiannual strategic
objective(s) targeted by the proposal/initiative
The final
aim of home affairs policies is to create an area without internal borders
where EU citizens and third-country nationals may enter, circulate, live and
work, bringing new ideas, capital, knowledge and innovation or filling gaps in
the national labour markets, confident that their rights are fully respected
and their security assured. Cooperation with non-EU countries and international
organisations is crucial to achieving this goal. The growing
importance of home affairs policies has been confirmed by the Stockholm
Programme and its Action Plan, the implementation of which is a strategic
priority for the Union and covers areas such as migration (legal migration and
integration; asylum; irregular migration and return), security (prevention of
and fight against terrorism and organised crime; police cooperation) and management
of the external borders (including visa policy), as well as the external
dimension of these policies. The Lisbon Treaty also enables the Union to
demonstrate greater ambition in responding to the day-to-day concerns of
citizens in the area of freedom, security and justice. Home affairs policy
priorities, in particular the integration of third-country nationals, should
also be seen in the context of the seven flagship initiatives presented in the
Europe 2020 Strategy which aim to help the EU overcome the current financial
and economic crisis and achieve smart, sustainable and inclusive growth. The
Internal Security Fund will provide the financial assistance needed to turn the
Union's home affairs objectives into tangible results.
1.3.2.
Specific objective(s) and ABM/ABB activity(ies)
concerned
INTERNAL
SECURITY FUND Instrument
for financial support for police cooperation, preventing and combating crime,
and crisis management In line
with the priorities identified in relevant Union strategies, programmes, threat
and risk assessments, the Instrument will contribute to the following specific
objectives (a) preventing
and combating cross-border, serious and organised crime including terrorism,
and reinforcing coordination and cooperation between law enforcement authorities
of Member States and with relevant third-countries; (c) enhancing
the capacity of Member States and the Union for managing effectively
security-related risks and crisis, and preparing for and protecting people and
critical infrastructure against terrorist attacks and other security related
incidents. Current
ABB activities concerned: 18.05 Instrument
for financial support for external borders and visa In line
with the priorities identified in relevant EU strategies, programmes, threat
and risk assessments, the Instrument will contribute to the following specific
objectives (a) supporting
a common visa policy to facilitate legitimate travel, ensure equal treatment of
third country nationals and tackle irregular migration; (b) supporting
borders management, to ensure, on one hand, a high level of protection of
external borders and, on the other hand, the smooth crossing of the external
borders in conformity with the Schengen acquis. Current
ABB activity concerned: 18.02 (as far as External
Borders Fund is concerned).
1.3.3.
Expected result(s) and impact
Specify the effects
which the proposal/initiative should have on the beneficiaries/groups targeted. The effects
of the proposal on beneficiaries/target groups are described in more detail in
Section 4.1.2 of the Impact Assessment. In general,
simplification introduced at all levels of the funding process and in each
management mode will have a clear beneficial effect on the processes under
which financial support will be managed. Police
cooperation, preventing and combating crime, and crisis management The main
beneficiaries of the financial support will be the Member States and their law
enforcement authorities as well as any other authority specialised in the
protection of critical infrastructure and the management of crisis, but also
relevant International and Non-Governmental Organisations, where appropriate
(e.g. in the field of crime prevention, anti-radicalisation and
anti-trafficking policies). The target group benefitting from the changes
will be the whole population. The main
achievements will be 1) an enhanced administrative and operational capability
of Member States to detect and successfully prosecute cross-border, serious and
organised crime, including terrorism in order to reduce the security-related
threats emanating from such crime, and 2) stronger European resilience to
crisis and disaster owing to a more coherent EU policy on risk management
linking threat and risk assessments to policy making on the one hand and a more
effective and co-ordinated EU response to crisis linking up existing
capabilities and expertise on the other hand. An important achievement will
also be improved capabilities of Member States to prevent, prepare and protect
people and critical infrastructure against terrorist attacks and other serious
security-related threats. External
borders and visa The main
beneficiaries of the financial support for borders and visa will be the
services implementing the EU acquis, the Schengen Borders Code and the Visa
Code in the Member States: border guards, police and consular services. The
target group benefitting from the changes will be travellers - all persons
crossing external borders into the EU. The outcomes will include the enhanced
capabilities of these services (1) to carry out border surveillance and liaise
with other law enforcement services, within the framework of the European
surveillance system (EUROSUR); (2) to manage migration flows at consular posts
(visa applications) and (3) to improve the handling of passenger flows at border
crossing points, ensuring on the one hand, a high and uniform level of
protection, in co-operation with other law enforcement services, and, on the
other, the smooth crossing in conformity with the acquis and the principles of
respectful treatment and dignity. An important specific outcome will be the
setting up of two new EU IT systems on the movement of third-country nationals
across borders (an EU entry exit system and an EU registered travellers
programme).
1.3.4.
Indicators of results and impact
Specify the
indicators for monitoring implementation of the proposal/initiative. Due to the
necessity to conduct a policy dialogue before defining the national programmes,
it is not possible to establish at this stage the definitive set of indicators
that will be used to measure achievement of the above-mentioned specific
objectives. However - with
regard to police cooperation and the prevention and combating of crime,
indicators would include the number of cross-border-joint operations and the
number of best practice documents and events organised. Indicators for crisis
management and the protection of critical infrastructure would include the
number of tools put in place and/or further upgraded to facilitate the
protection of critical infrastructure by Member States in all sectors of the
economy and the number of threat and risk assessments produced at the level of
the Union. - in the
area of borders and visa indicators would include the number of consular
posts equipped, secured and/or enhanced to ensure the efficient processing of
visa applications and provide quality of service to visa applicants, and the
development of equipment for border control and the apprehensions of irregular
third-country nationals at the external border in correspondence with the risk
of the relevant section of the external border. Impact indicators will measure
the increase in border security, visa issuing capacity and the capacity to
handle safely and smoothly the traffic of travellers across borders.
1.4.
Grounds for the proposal/initiative
1.4.1.
Requirement(s) to be met in the short or long
term
The EU will
continue to face important challenges in the home affairs area in the period
2014-2020. Ensuring a
safe and secure environment is necessary and beneficial to the economic,
cultural and social growth of the EU. The EU has a decisive role to play,
whether it is by addressing the threats of serious and organized crime,
cybercrime and terrorism, and by ensuring the management of EU's external
borders or by responding swiftly to emerging crises caused by man-made or
natural disasters. In the era of globalisation, where threats are growing and
increasingly have a transnational dimension, no Member State can respond
effectively on its own. A coherent and comprehensive European answer is needed
to ensure that law enforcement authorities can work effectively across borders
and jurisdictions. Cooperation
with non-EU countries and international organisations is crucial to achieving
these goals. Recent events in Northern Africa have demonstrated how important
it is for the EU to have a comprehensive and coordinated approach to migration,
borders and security. The increasingly important external dimension of the EU's
home affairs policies must therefore be reinforced, in full coherence with the
Union's foreign policy.
1.4.2.
Added value of EU involvement
The
management of migration flows and security threats present challenges which
cannot be dealt with by the Member States acting alone. These are areas where
there is obvious added value in mobilising the EU budget. Some Member
States bear a heavy burden due to their specific geographic situation and the
length of the external borders of the Union that they have to manage. The
abolition of internal border controls must be accompanied by common measures
for the effective control and surveillance of the Union's external borders. The
principle of solidarity and the fair sharing of responsibilities between Member
States is therefore at the heart of the common policies on asylum, immigration
and external borders. The EU budget provides the means to address the financial
implications of this principle. In the area of security, serious and organised
crime, terrorism and other security-related threats are increasingly
cross-border in nature. Transnational co-operation and coordination between law
enforcement authorities is essential to successfully prevent and fight these
crimes, for example through the exchange of information, joint investigations,
interoperable technologies and common threat and risk assessments. Dealing
with migration flows, the management of the EU's external borders and the
security of the EU requires substantial resources and capabilities from the
Member States. Improved operational co-operation and coordination involving the
pooling of resources in areas like training and equipment creates economies of
scale and synergies thereby ensuring a more efficient use of public funds and
reinforcing solidarity, mutual trust and responsibility sharing for common EU
policies among Member States. This is particularly relevant in the area of
security, where financial support for all forms of cross-border joint operation
is essential to enhance cooperation between police, customs, border guards and
judicial authorities. In relation
to the external dimension of home affairs, it is clear that the adoption of
measures and the pooling of resources at EU level will increase significantly
the EU leverage necessary to convince third countries to engage with the EU on
those migration and security related issues which are primarily in the interest
of the EU and the Member States. The EU's
right to act in the home affairs area derives from Title V "Area of
Freedom, Security and Justice" of the Treaty on the Functioning of the
European Union (TFEU), in particular Articles 77(2), 78(2), 79(2) and (4), 82(1),
84 and 87(2) TFEU. Cooperation with third countries and international
organisations is covered by Article 212(3) TFEU. The proposals respect the
principle of subsidiarity because the majority of funding will be implemented
in accordance with the principle of shared management and respecting the
institutional competencies of the Member States.
1.4.3.
Lessons learned from similar experiences in the
past
Although
the current home affairs financial instruments are generally considered to
achieve their objectives and function effectively, the lessons learned from the
mid-term review and the stakeholder consultation are that there is a need to: – Simplify and streamline the future home affairs instruments by reducing the number of financial programmes to two through the
creation of an Asylum and Migration Fund and an Internal Security Fund. This
will allow the EU to make a more strategic use of its instruments so that they
are more responsive to the EU's political priorities and needs; – Strengthen the role of the EU as a global player, by including an external dimension component in the future Funds
to reinforce the EU's leverage in respect of the external policy dimension of
home affairs policies; – Give preference to shared management
rather than centralised management where possible to remove unnecessary
bureaucratic burdens; – Establish a more results-oriented approach to shared management by moving to multiannual programming with a senior-level policy
dialogue will ensure that the Member States' national programmes are fully
aligned with EU policy objectives and priorities and focus on achieving
results; – Improve centralised management to provide a range of tools for
policy-driven activities, including support for
transnational actions, particularly innovative actions and actions in and
related to third countries (external dimension), as well as emergency actions,
studies and events; – Establish a common regulatory framework
with a shared set of rules on programming, reporting, financial management and
controls which is as similar as possible to that of the other EU Funds managed
in the shared management mode in order to generate a better understanding of
the rules by all stakeholders and to ensure a high degree of coherence and
consistency; – Provide for a quick and effective response in case of emergencies, designing the Funds so that the EU can react appropriately in fast
evolving situations; – Enhance the role of the home affairs agencies to foster practical cooperation between Member States and by
entrusting them with the implementation of specific actions, whilst ensuring
appropriate political control over the agencies' activities. More
details can be found in the impact assessment and the explanatory memoranda of
each Regulation.
1.4.4.
Coherence and possible synergy with other
relevant instruments
A number of
other EU instruments will provide support to activities which are complementary
to the activities that will be financed under the Internal Security Fund: The
dividing line between the Internal Security Fund and the Civil Protection
Financial Instrument will remain as described in Article 3 of the current
CIPS programme: natural disasters as well as unintentional man-made disasters
are for civil protection (accidents), whereas intentional, man-made disasters
are security-relevant and will therefore for covered by the Internal Security
Fund. Terrorist
attacks or other security-related incidents will remain outside the scope of
the EU Solidarity Fund. The precise scope and extent to which Article 222
TFEU (solidarity clause) might support Member States that are the object of a
terrorist attack or the victim of natural and man-made disaster, is also not
clear as this requires the formal adoption of implementing arrangements which
have not even been proposed yet. Emergency funding possibilities in case of a
major terrorist attack or other security-relevant incidents will therefore be
supported by the Internal Security Fund. The gap
between security research under the Horizon 2020 Programme and the practical
application of the results of such research will be closed because the Internal
Security Fund will foresee specific objectives and eligible actions to allow
for the funding of testing and validating of scientific research results
('prototypes') with a view to their serial application in practice
('pre-commercial procurement'). The future Justice
Programme will be closely linked and complementary to the Internal Security
Fund, especially its criminal justice component but is more focussed on
judicial cooperation, procedural harmonisation and mutual recognition which in
practice prevent substantial overlaps. The
external dimension components of the Internal Security Fund will support
actions in and in relation to third countries which cater primarily for EU
interests and objectives, have a direct impact in the EU and its Member States
and ensure continuity with activities implemented in the territory of the EU.
This funding will be designed and implemented in coherence with EU external
action and foreign policy. It is not intended to support actions which are
development oriented and will complement, when appropriate, the financial
assistance provided through external aid instruments. In this context, the
successor to the Thematic Programme Migration & Asylum and the
Instrument for Stability will be of particular interest for the home
affairs area. While external aid instruments either support beneficiary
countries’ development needs or support general EU political interests with
strategic partners, home affairs funds will support specific actions in third
countries in the interest of EU internal security objectives. They will
therefore fill a specific gap and will contribute to completing the toolbox at
the disposal of the EU.
1.5.
Duration and financial impact
þ Proposal/initiative of limited
duration –
þ Proposal/initiative in effect from 01/01/2014 to 31/12/2020 –
þ Financial impact from 2014 to 2023 ¨ Proposal/initiative of unlimited
duration –
Implementation with a start-up period from YYYY
to YYYY, –
followed by full-scale operation.
1.6.
Management mode(s) envisaged[27]
þCentralised direct management by the Commission þ Centralised indirect management with
the delegation of implementation tasks to: –
þ executive agencies –
þ bodies set up by the Communities[28] –
þ 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
þ Shared management with the Member
States þDecentralised management with third countries þ 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
proposals will be mainly implemented through shared management, with
multi-annual national programmes. The
objectives to be achieved under the national programmes will be complemented by
"Union actions" and a rapid response mechanism to deal with emergency
situations. These will mainly take the form of grants and procurement under
centralised direct management and will include actions in and in relation to
third countries. All
possible means will be used to avoid fragmentation by concentrating resources
on achieving a limited number of EU objectives and using the expertise of key
stakeholders, where appropriate, on the basis of partnership agreements and
framework agreements. Technical
assistance at the initiative of the Commission will be implemented by
centralised direct management. The
countries associated with the application, implementation and the development
of the Schengen acquis will also participate in the two instruments of the
Internal Security Fund which constitute a development of the Schengen acquis
(the instruments on borders and visa and police co-operation) as if they are
Member States, in light of the Schengen Association Agreements. They will
participate in the instruments in accordance with the provisions of the
Regulation, implementing their own multi-annual national programmes and have
the possibility to apply for funding under the Union actions etc. As under the
External Borders Fund, specific arrangements will be concluded to specify the
supplementary rules necessary for their participation (rules deriving from the
Financial Regulation, its Implementing Rules and the Treaties, including the
power of audit of the Court of Auditors). Since these States will contribute to
the EU budget for the two instruments in proportion to their GDP, the
arrangements will also determine the contributions to be received from these
States as part of the responsibility-sharing on the Schengen governance, and
this regardless of the size of their allocations under the instruments. To
date, the associated States are Norway, Iceland, Switzerland and Liechtenstein.
2.
MANAGEMENT MEASURES
2.1.
Monitoring and reporting rules
Specify frequency
and conditions. For
shared management, a coherent and efficient
reporting, monitoring and evaluation framework is proposed. For each national
programme, Member States will be requested to set up a Monitoring Committee to
which the Commission may participate. On an
annual basis Member States will report on the implementation of the multiannual
programme. These reports are a precondition for annual payments. To feed into
the mid term review process, they will be requested in 2017 to provide
additional information on the progress made in achieving the objectives. A
similar exercise will be undertaken in 2019, to allow, where appropriate,
adjustments during the last financial year (2020). Supporting
the development of an evaluation-based culture in the area of home affairs, the
Funds will have a common evaluation and monitoring framework with broad policy
related indicators which underline the result-oriented approach of the Funds
and the essential role they could play in the policy mix to achieve the
objective of creating an area of freedom, security and justice. These
indicators relate to the impact the Funds could make: the development of a
common culture of border security, police cooperation and crisis management;
effective management of migration flows into the EU; fair and equal treatment
of third-country nationals; solidarity and co-operation between Member States
in addressing migration and internal security issues and a common EU approach
on both migration and security towards third countries. To ensure
adequate application of the principles on evaluation, and bearing in mind the
practical experience with evaluation in Member States under the current EU
funding on home affairs, the Commission and the Member States will work
together to develop the common evaluation and monitoring framework, inter alia
by defining templates and common output and result indicators. All
measures will be established at the beginning of the programming period, thus
enabling Member States to set up their reporting and evaluation systems on the
basis of the agreed principles and requirements. To reduce
administrative burden and ensure synergies between reporting and evaluation,
the information required for evaluation reports will build on and complete the
information provided by Member States in the annual implementation reports of
the national programmes. In 2018,
the Commission will also submit a report on the mid term review carried out of
the national programmes. More
globally, the Commission will submit an
intermediate report on the implementation of the Funds by 30.06.2018 and an
ex-post evaluation report by 30.06.2024, covering the whole implementation
(i.e. not only national programmes under shared management).
2.2.
Management and control system
2.2.1.
Risk(s) identified
DG HOME has
not been facing important risks of errors in its spending programmes. This is
confirmed by the recurrent absence of significant findings in the annual
reports of the Court of Auditors as well as by the absence of residual error
rate above 2% in the past years in DG HOME (and former DG JLS) annual activity
reports. In
shared management, the general risks in relation to
the implementation of the current programmes fall mainly into three categories: – Risk of inefficient or insufficiently targeted use of funds; – Errors derived from the complexity of rules and weaknesses in
management and control systems; – Inefficient use of administrative resources (limited proportionality
of requirements); Specific
elements concerning the system of the 4 Funds under the General Programme
"Solidarity and Management of Migration Flows" are also worth
mentioning. – The system of annual programmes ensures that final payments are made
regularly based on certified and audited expenditure. However, the eligibility
period of the annual programmes is disconnected from the EU financial year and
the chain of assurance is therefore not totally satisfactory, despite a very
heavy system. – Detailed eligibility rules are set by the Commission. This ensures
in principle the homogeneity of the expenditure financed. However it also
creates unnecessary workload for national authorities and the Commission and
increases the risk of errors from beneficiaries and/or Member States due to the
misinterpretations of EU rules. – The current management and control systems are very close to those
under the Structural Funds. However, they present slight differences, notably
in the chain of responsibilities between certifying authorities and Audit
Authorities. This creates confusion in the Member States, in particular when
authorities are acting in the 2 types of Funds. It also increases the risk of
errors and requires more intense monitoring. These
elements will be changed significantly in this proposal: – The management and control systems will follow the general
requirements set in the CSF Funds and will fully comply with the new
requirements of the new Financial Regulation: the 3 authorities will be
replaced by 2 authorities (Responsible Authority and Audit Authority) whose
roles are clarified in view of providing better assurance. – Multi-annual programming coupled with annual clearance based on the
payments made by the Responsible Authority will align the eligibility periods
with the annual accounts of the Commission, without increasing the
administrative burden compared to the current system. – On the spot checks will be carried out as part of the 1st
level controls, i.e. by the Responsible Authority and will support its annual
management declaration of assurance. – Clarification and simplification of the eligibility rules as well as
their harmonisation with other EU financial support instruments will reduce
mistakes made by beneficiaries who use assistance from different sources. These
eligibility rules will be set at national level, except for some basic
principles, similar to those used for the CSF Funds. – The use of simplified costs options is encouraged, especially for
small grants. In centralised
management, the main risks are the following: – Risk of weak correspondence between the projects received and the
political priorities of DG HOME; – Risk of poor quality of selected projects and poor technical
implementation of the project, reducing the programmes' impact; due to
inadequate selection procedures, lack of expertise or insufficient monitoring; – Risk of inefficient or non-economic use of funds awarded, both for
grants (complexity of reimbursing actual eligible costs coupled with limited
possibilities to check eligible costs at the desk) and for procurement
(sometimes limited number of economic providers with the required specialist
knowledge entailing insufficient possibilities to compare price offers); – Risk relating to the capacity of (especially) smaller organisations
to effectively control expenditure as well as to ensure the transparency of operations carried out. – Reputational risk for the Commission, if fraud or criminal
activities are discovered; only partial assurance can be drawn from the third
parties' internal control systems due to the rather large number of
heterogeneous contractors and beneficiaries, each operating their own control
system, often rather small in size. Most of
these risks are expected to be reduced thanks to a better targeting of
proposals and the use of simplified elements included in the new Financial
Regulation.
2.2.2.
Control method(s) envisaged
Shared
management: At
Member State level, the proposed architecture of
the management and control systems represents an evolution of the set-up in
place in 2007-2013 and preserves most of the functions carried out in the
current period including administrative and on-the spot verifications, audits
of management and control systems and project audits. The sequence of these functions
is nevertheless changed to render on-the spot checks a clear responsibility of
the Responsible Authority as part and parcel of the preparation for the annual
clearance of account exercise. In order to
reinforce accountability, Responsible Authorities would be accredited by a
national accrediting body in charge of their ongoing supervision. The reduction
of the number of authorities – no more Certifying Authority and reduction of
the number of Funds – is expected to reduce the administrative burden and
enhance the possibility for building stronger administrative capacity, but also
permit a clearer division of responsibilities. To date no
reliable estimation is available regarding the cost of controls of the shared
management Funds in the Home Affairs area. The only estimation available is
related to the ERDF and the Cohesion Fund where the costs of tasks related to
controls (at national level excluding the costs of the Commission) are
estimated around 2% of the total funding administered in the period 2007-2013.
These costs are related to the following areas of control: 1% is derived from
national coordination and programme preparation, 82% relate to programme
management, 4% to certification and 13% to audit. The
following proposals will increase the costs of control: – the creation and functioning of an accrediting body and in general
the change of system; – the submission of a management declaration accompanying the annual
accounts; – the on-the-spot checks to be made by the Responsible Authority; – the need for additional audit activity by the Audit Authorities to
audit the management declaration. There are
however also proposals which will reduce the costs of control: – Certifying Authority will cease to exist.
Although their functions will be partially transferred to the Responsible
Authority, this will allow the Member State to save a substantial part of the
costs relating to certification due to better administrative efficiency,
reduced need for coordination and reduction of the scope of audits; – The controls to be performed by the Audit
Authority will be more oriented towards re-performing (a
sample of) the 1st level administrative and on-the spot controls
carried out by the Responsible Authority. This will speed up the adversarial procedure
and ensure that all necessary controls are carried out before the submission of
the annual accounts; – The use of simplified costs will reduce administrative costs and
burdens at all levels, for both administrations and beneficiaries; – Annual closure, and the limitation of the period for conformity
clearance to 36 months will reduce of the period of retention of documents for
control purposes for public administrations and beneficiaries; – The setting-up of electronic communication flows between the Commission
and the Member States will be mandatory. To these
must be added the elements of simplification listed under §2.2.1 above that
will also contribute to the reduction of administrative burden for
beneficiaries and thus represent a simultaneous reduction of risks of error and
of administrative burden. Therefore,
overall it is expected that these proposals will lead to a redistribution of
control costs rather than an increase or a reduction. It is however anticipated
that this redistribution of costs (across functions and due to the
proportionate control arrangements, also across Member States and programmes)
will enable a more effective mitigation of risks and a better and quicker chain
of assurance. At
Commission level, the cost of management and controls
for shared management is not expected to decrease in the first half of the
programming period. This is firstly the case because the amount and policy
areas concerned by shared management will expand compared to the current
period. Therefore maintaining the same resources will already require gains in
efficiency. In addition, the first years will be characterised by the
conjunction of many important tasks to carry out: closure of programmes
2007-2013 (last closure reports due by 31 March 2016), policy dialogiues
and approval of the multi-annual national programmes 2014-2020, the setting-up
of the new clearance of accounts system. In the second half of the period the
potential resources available will be used to improve the evaluation and
monitoring. Centralised
management As regards
centralised management, the Commission will continue to apply its current control
system that is composed of the following building blocks: supervision of
operations by the operational directorates, the ex-ante control by the Budget
and Control Unit, the Internal Procurement Committee (JPS/HPC), the ex-post
controls for grants or the audits from the Internal Audit Capacity and/or the
Internal Audit Service. The ex-post control sector applies a "detection
strategy" aimed at detecting a maximum of anomalies in view of recovering
undue payments. Based on this strategy, the audits are carried out on a sample
of projects selected almost entirely on the basis of a risk analysis. Thanks to
this combination of ex-ante and ex-post controls as well as desk checks and
on-site audits, in the past years the quantifiable average residual error rate
was lower than 2%. Therefore, the internal control system as well as its cost
is deemed adequate in DG HOME to achieve the objective of a low error rate. However,
within this framework, DG HOME will continue to explore possibilities to
enhance the management and to increase simplification. In particular, all
simplified options made available in the new Financial Regulation will be used
as much as possible as it is expected that they will contribute to the
reduction of administrative burden for beneficiaries and thus represent a
simultaneous reduction of risks of error and of administrative burden for the
Commission. New
strands The
proposals foresee new strands for EU funding in the home affairs area, e.g. a
better use of the expertise existing in the EU agencies, the development of the
external dimension and the strengthening of the emergency mechanisms.
These will require new management and control methods for DG Home.
The amounts that will be devoted to these new strands are not fixed yet, but
they are unlikely to be significant compared to the overall home affairs
budget. However, it will be very important to set up the internal means and
working arrangements to implement these new tasks as early as possible within
the period, in full respect of the principles of sound financial management. The
analysis above shows clearly that, despite all simplifications introduced, the
level of human resources required to implement the increased budget of DG HOME
will have to be reinforced.
The human resources required will be met by staff from the DG that 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 and in the light of budgetary
constraints
2.3.
Measures to prevent fraud and irregularities
Specify existing or
envisaged prevention and protection measures. In addition
to the application of all regulatory control mechanisms, DG HOME will devise an
anti-fraud strategy in line with the Commission's new anti-fraud strategy (CAFS)
adopted on 24 June 2011 in order to ensure inter alia that its internal anti-fraud
related controls are fully aligned with the CAFS and that its fraud risk
management approach is geared to identify fraud risk areas and adequate
responses. Where necessary, networking groups and adequate IT tools dedicated
to analysing fraud cases related to the Funds will be set up. As regards
shared management, the CAFS identifies clearly the need for the Commission
proposals for 2014-2020 regulations to request Member States to put in place
fraud prevention measures which are effective and proportionate to the
identified fraud risks. The current proposal includes in Article 5 a clear
requirement for the Member States to prevent, detect and correct irregularities
and to report to the Commission. Further details as regards these obligations
will be part of the detailed rules on the functions of the Responsible
Authority as foreseen in Article 24(5)(c). In
addition, the re-use of funds coming from financial correction based on
commission or Court of Auditors findings has been clearly indicated in Article
41.
3.
ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE
3.1.
Heading(s) of the multiannual financial
framework and expenditure budget line(s) affected
· 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 || Diff. ([29]) || from EFTA[30] countries || from candidate countries[31] || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation 3 || || Diff || NO || NO || NO || 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 3 || Diff./non-diff. || from EFTA countries || from candidate countries || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation 3 || 18 01 04 bb - Internal Security Fund – Police & Crime - Technical assistance || Non Diff || NO || NO || YES || NO 3 || 18 02 bb - Internal Security Fund - Police & Crime || Diff || NO || NO || YES || NO 3 || 18 01 04 cc - Internal Security Fund – Borders & Visas - Technical assistance || Non Diff || NO || NO || YES || NO 3 || 18 02 cc - Internal Security Fund - Borders & Visas || Diff || NO || NO || YES || NO Contributions from third Countries concern
both components of the Internal Security Fund. The criteria and the method to calculate
these contributions are to be negotiated between the EU and the Associated
States on the basis of a separate procedure. Assuming percentages similar to
those currently used under the EBF, the Associated States would be called upon
to contribute with about EUR 210 million to the Borders and Visa
component and with about EUR 50 million to the Police cooperation
component.
3.2.
Estimated impact on expenditure
3.2.1.
Summary of estimated impact on expenditure
EUR million (to 3 decimal places) Heading of multiannual financial framework: || Number 3 || Security and Citizenship DG HOME || || || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 || After 2020 || TOTAL Operational appropriations (current prices) || || || || || || || || || 18 02 bb Internal Security Fund – Police and Crime || Commitments || (1a) || 135.076 || 143.047 || 151.283 || 159.791 || 168.578 || 177.653 || 187.022 || || 1,122.450 Payments || (2a) || 15.714 || 43.881 || 71.419 || 111.709 || 147.854 || 156.248 || 164.918 || 410.707 || 1,122.450 18 02 cc Internal Security Fund - Borders & Visas || Commitments || (1a) || 422.310 || 447.186 || 472.886 || 499.435 || 526.856 || 555.173 || 584.412 || - || 3,508.258 Payments || (2a) || 59.999 || 120.794 || 223.204 || 350.813 || 461.098 || 487.256 || 514.275 || 1,290.818 || 3,508.258 Appropriations of an administrative nature financed from the envelope for specific programmes[32] || || || || || || || || || 18 01 04 bb Internal Security Fund– Police and Crime || || || 0.800 || 0.800 || 0.800 || 0.800 || 0.800 || 0.800 || 0.800 || || 5.600 18 01 04 cc Internal Security Fund - Borders & Visas || || || 1.700 || 1.700 || 1.700 || 1.700 || 1.700 || 1.700 || 1.700 || || 11.900 TOTAL appropriations for DG HOME || Commitments || =1+1a +3 || 559,886 || 592,733 || 626,669 || 661,726 || 697,934 || 735,326 || 773,934 || || 4.648,208 Payments || =2+2a +3 || 78,213 || 167,174 || 297,123 || 465,023 || 611,452 || 646,004 || 681,693 || 1.701,525 || 4.648,208 Heading of multiannual financial framework: || 5 || " Administrative expenditure " As there are
common elements in the implementation of the Asylum and Migration Fund and the
Internal Security Fund such as a policy dialogue with each Member States and
given that the internal organisation of DG HOME in order to ensure the
management of the new Funds (as well as the closure of the programmes currently
managed) may evolve, it is not possible to split the Administrative expenditure
between the Asylum and Migration Fund and the Internal Security Fund. Therefore the
figures related to Heading 5 below correspond to the total administrative
expenditure deemed necessary to ensure management of both Funds by DG and there
is no total of appropriations. EUR million (to 3 decimal places) || || || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 || After 2020 || TOTAL DG: HOME || Human resources || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || || 145.887 Other administrative expenditure || 0,156 || 0,159 || 0,162 || 0,165 || 0,168 || 0,172 || 0,175 || || 1,157 TOTAL DG HOME || Appropriations || 20.997 || 21.000 || 21.003 || 21.006 || 21.009 || 21.013 || 21.016 || || 147.044 TOTAL appropriations under HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) || 20.997 || 21.000 || 21.003 || 21.006 || 21.009 || 21.013 || 21.016 || || 147.044 EUR million (to 3 decimal places) || || || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 || || TOTAL TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || N/A || N/A || N/A || N/A || N/A || N/A || N/A || N/A || Payments || || || || || || || || ||
3.2.2.
Estimated impact on operational appropriations
–
¨ The proposal/initiative does not require the use of operational
appropriations –
þ The proposal requires the use of operational appropriations, as
explained below:
Home Affairs policy is implemented mainly by shared management. While spending
priorities are set at the EU level, actual day-to-day management is vested in
Responsible Authorities at national level. Common output indicators and targets
will be decided together by the Commission and the Responsible Authorities as
part of their national programmes, and approved by the Commission. It is
therefore difficult to indicate targets for outputs until the programmes are
drafted, negotiated and approved in 2013/14.
As regards centralised management, it is also not possible for DG HOME to
provide an exhaustive list of all outputs to be delivered by means of the
financial intervention under the Funds, their average costs and numbers, as
requested by this section. There are no statistical tools at the moment
allowing the calculation of meaningful average costs on the basis of the
current programmes, and such a precise definition would be contrary to the
principle that the future programme should provide enough flexibility to cater
for adapting to political priorities between 2014-2020. This is particularly true
for emergency assistance and actions in and in relation to third countries. Commitment appropriations in EUR million (to 3 decimal
places) Indicate objectives and outputs ò || || || 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 OUTPUTS Type of output[33] || Average cost of the output || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Total number of outputs || Total cost SPECIFIC OBJECTIVE No 1[34]… || || || || || || || || || || || || || || || || - Output || || || || || || || || || || || || || || || || || || - Output || || || || || || || || || || || || || || || || || || - Output || || || || || || || || || || || || || || || || || || Sub-total for specific objective N°1 || || || || || || || || || || || || || || || || SPECIFIC OBJECTIVE No 2… || || || || || || || || || || || || || || || || - Output || || || || || || || || || || || || || || || || || || Sub-total for specific objective N°2 || || || || || || || || || || || || || || || || TOTAL COST || || || || || || || || || || || || || || || ||
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 –
þ The proposal requires the use of administrative appropriations, as
explained below: As there are
common elements in the implementation of the Asylum and Migration Fund and the
Internal Security Fund such as a policy dialogue with each Member States and
given that the internal organisation of DG HOME in order to ensure the
management of the new Funds (as well as the closure of the programmes currently
managed) may evolve, it is not possible to split the Administrative expenditure
between the Asylum and Migration Fund and the Internal Security Fund. Therefore the
figures related to Heading 5 below correspond to the total administrative
expenditure deemed necessary to ensure management of both Funds by DG and there
is no total of appropriations. EUR million (to 3
decimal places) HOME HEADING 5 of the multiannual financial framework[35] || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 || TOTAL Human resources HOME || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 20.841 || 145,887 Other administrative expenditure || 0,156 || 0,159 || 0,162 || 0,165 || 0,168 || 0,172 || 0,175 || 1,157 Subtotal HEADING 5 of the multiannual financial framework || 20.997 || 21.000 || 21.003 || 21.006 || 21.009 || 21.013 || 21.016 || 147.044 Outside HEADING 5[36] of the multiannual financial framework [37] || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 || TOTAL Human resources HOME || 0.640 || 0.640 || 0.640 || 0.640 || 0.640 || 0.640 || 0.640 || 4.480 Other expenditure of an administrative nature || 1.860 || 1.860 || 1.860 || 1.860 || 1.860 || 1.860 || 1.860 || 13.020 Subtotal outside HEADING 5 of the multiannual financial framework || 2.500 || 2.500 || 2.500 || 2.500 || 2.500 || 2.500 || 2.500 || 17.500 TOTAL || N/A || N/A || N/A || N/A || N/A || N/A || N/A || N/A
3.2.3.2.
Estimated requirements of human resources
–
¨ The proposal/initiative does not require the use of human
resources –
þ The proposal/initiative requires the use of human resources, as
explained below: Figures used for the year n are the ones for 2011. As there are
common elements in the implementation of the Asylum and Migration Fund and the
Internal Security Fund such as a policy dialogue with each Member States and
given that the internal organisation of DG HOME in order to ensure the
management of the new Funds (as well as the closure of the programmes currently
managed) may evolve, it is not possible to split the Administrative expenditure
between the Asylum and Migration Fund and the Internal Security Fund. Therefore the
figures related to Heading 5 below correspond to the total administrative
expenditure deemed necessary to ensure management of both Funds by DG and there
is no total of appropriations. Estimate to be expressed in full amounts
(or at most to one decimal place) || || Year N || Year N+1 || Year N+2 || Year N+3 || Year N+4 || Year N+5 || Year N+6 Establishment plan posts (officials and temporary agents) HOME || || 18 01 01 01 (Headquarters and Commission’s Representation Offices) || 136 || 136 || 136 || 136 || 136 || 136 || 136 || XX 01 01 02 (Delegations) || 15 || 15 || 15 || 15 || 15 || 15 || 15 || 18 01 05 01 (Indirect research) || || || || || || || || 10 01 05 01 (Direct research) || || || || || || || || External personnel (in Full Time Equivalent unit: FTE)[38] || || 18 02 01 (CA, INT, SNE from the "global envelope") || 16 || 16 || 16 || 16 || 16 || 16 || 16 || XX 02 02 (CA, INT, JED, LA and SNE in the delegations) || 10 || 10 || 10 || 10 || 10 || 10 || 10 || 18 01 04 bb [39] || - at Headquarters[40] || 4 || 4 || 4 || 4 || 4 || 4 || 4 || - in delegations || * || * || * || * || * || * || * || 18 01 04 cc [41] || - at Headquarters[42] || 6 || 6 || 6 || 6 || 6 || 6 || 6 || - in delegations || * || * || * || * || * || * || * || XX 01 05 02 (CA, INT, SNE - Indirect research) || || || || || || || || 10 01 05 02 (CA, INT, SNE - Direct research) || || || || || || || || Other 13 01 04 02) || || || || || || || || TOTAL || N/A || N/A || N/A || N/A || N/A || N/A || N/A XX is the
policy area or budget title concerned. The human resources required will be met
by staff from the DG that 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 and in the light of budgetary constraints. Amounts and imputations
would be adjusted in the event of any externalisation process to an Executive
Agency. Description of
tasks to be carried out: Officials and temporary agents at headquarters || The tasks to be carried out comprise all tasks necessary to the management of a financial programme, such as: - providing input to the budgetary procedure; - conducting the policy dialogue with Member States; - preparing annual work programmes/financing decisions, establishing annual priorities, approving national programmes; - managing national programmes, calls for proposals and calls for tenders and the subsequent selection procedures; - communicating with stakeholders (potential/actual beneficiaries, Member States, etc); - drafting guidelines to Member States - managing projects, operationally and financially; - performing controls, as described above (ex ante verification, procurement committee, ex post audits, internal audit, clearance of accounts); - accounting; - developing and managing grant and national programme management IT tools; - monitoring and reporting on achievement of objectives, including in Annual Activity Reports and Authorising Officer Sub-Delegation reports External personnel || The tasks are similar to those of officials and temporary agents, except for tasks that cannot be fulfilled by external personnel Personnel in delegations || To accompany the development of the policy implementation in home affairs area, and in particular its external dimension, EU delegations will need to be equipped with sufficient home affairs expertise. This could be staff from the European Commission and/or the European External Action Service.
3.2.4.
Compatibility with the current multiannual
financial framework
–
þ Proposal/initiative is compatible 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[43]. Explain what is required, specifying the
headings and budget lines concerned and the corresponding amounts.
3.2.5.
Third-party contributions
–
The proposal/initiative does not provide for
co-financing by third parties –
þ The proposal provides that European funding needs to be
co-financed. The exact amount cannot be quantified. The regulation establishes
maximum co-financing rates differentiated in line with the types of actions: Appropriations in EUR million (to 3 decimal places) || 2014 || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 || Total Specify the co-financing body || MS || MS || MS || MS || MS || MS || MS || TOTAL appropriations cofinanced || tbd || tbd || tbd || tbd || tbd || tbd || tbd ||
3.3.
Estimated impact on revenue
–
þ Proposal/initiative has no financial impact on revenue. –
¨ Proposal/initiative has the following financial impact: –
¨ on own resources –
¨ on miscellaneous revenue EUR million (to 3 decimal places) Budget revenue line: || Appropriations available for the ongoing budget year || Impact of the proposal/initiative[44] Year N || Year N+1 || Year N+2 || Year N+3 || … insert as many columns as necessary in order to reflect the duration of the impact (see point 1.6) Article …………. || || || || || || || || For miscellaneous
assigned revenue, specify the budget expenditure line(s) affected. Specify the method for
calculating the impact on revenue. [1] OJ C 115 of 4.5.2010, p. 1. [2] COM (2010) 673 final. [3] COM (2011) 500 final. [4] COM(2011)318 final of 16 June 2011: Communication on
the mid-term evaluation of the Framework Programme "Security and
Safeguarding Liberties" (2007-2013). [5] The consultation documents and report on the results
of the consultation are available on the DG Home Affairs website: http://ec.europa.eu/home-affairs/news/consulting_public/consulting_0020_en.htm
[6] "The EU Budget Review", COM (2010) 700,
19.10.2010. [7] Commission
proposal – Regulation on the financial rules applicable to the annual budget of
the Union (COM (2010) 815 final of 22.12.2010). This proposal constitutes a
formal withdrawal by the Commission of the previous legislative proposals COM
(2010) 71 final and COM (2010) 260 final. [8] OJ C … [9] OJ C … [10] OJ C … [11] Council doc. 7120/10. [12] COM (2010) 673 final. [13] OJ L …. [14] OJ L …. [15] OJ L 58 of 24.2.2007, p. 7. [16] OJ L 176 of 10.7.1999, p. 31. [17] OJ L 53 of 27.2.2008, p. 1. [18] OJ L 160 of 18.6.2011, p. 1. [19] OJ L … [20] OJ L 321 of 8.12.2009, p. 44. [21] OJ L 64 of 22.6.2002, p. 3. [22] OJ L 330 of 9.12.2008, p. 21. [23] OJ L …. [24] COM(2011)403 final. [25] ABM: Activity-Based Management – ABB: Activity-Based
Budgeting. [26] As referred to in Article 49(6)(a) or (b) of the
Financial Regulation. [27] 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 [28] As referred to in Article 185 of the Financial
Regulation. [29] Diff. = Differentiated appropriations / Non-Diff. =
Non-differentiated appropriations [30] EFTA: European Free Trade Association. [31] Candidate countries and, where applicable, potential
candidate countries from the Western Balkans. [32] 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. [33] Outputs are products and services to be supplied (e.g.:
number of student exchanges financed, number of km of roads built, etc.). [34] As described in Section 1.4.2. "Specific
objective(s)…" [35] Global envelope, based on the 2011 Final Allocation for
Human Resources, including officials and external staff [36] 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. [37] External staff financed from former BA lines, based on
the 2011 Final Allocation for Human Resources, including external staff at
Headquarters and in Delegations [38] CA= Contract Agent; INT= agency staff ("Intérimaire");
JED= "Jeune Expert en Délégation" (Young Experts in
Delegations); LA= Local Agent; SNE= Seconded National Expert; [39] Under the ceiling for external personnel from
operational appropriations (former "BA" lines). [40] Essentially for Structural Funds, European Agricultural
Fund for Rural Development (EAFRD) and European Fisheries Fund (EFF). [41] Under the ceiling for external personnel from
operational appropriations (former "BA" lines). [42] Essentially for Structural Funds, European Agricultural
Fund for Rural Development (EAFRD) and European Fisheries Fund (EFF). [43] See points 19 and 24 of the Interinstitutional
Agreement. [44] 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.