# EUR-Lex - 52011PC0758 - EN

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# 52011PC0758

**Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing for the period 2014 to 2020 the Rights and Citizenship Programme /* COM/2011/0758 final - 2011/0344 (COD) */**

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EXPLANATORY MEMORANDUM

1.           CONTEXT OF THE PROPOSAL

As confirmed by
the Stockholm Programme, the development of an area of freedom, security and
justice remains a priority for the European Union. Although significant
progress has already been achieved in this field with the entry into force of
the Lisbon Treaty and the resulting binding character of the Charter of
Fundamental Rights of the European Union, the Union is still faced with many
challenges such as the insufficient or inconsistent implementation of certain
rights across the Union or a lack of awareness about certain Union legislation
both by citizens and public authorities. Legislative and policy measures as
well as their coherent implementation are key tools. Funding can contribute to
the development of this area through supporting legislation and policy-making
and promoting their implementation.

In accordance with the Communication on the
EU Budget Review[1],
a fresh look was taken at the existing funding instruments and delivery
mechanisms to ensure clear focus on European added value and to cater for
rationalisation and simplification of the funding mechanisms. In ‘A Budget for
Europe 2020’[2],
the Commission identified the need for a simpler and more transparent budget to
overcome the problems that arise from the complexity of programme structures
and the existence of multiple programmes. The area of Rights was mentioned as
an example of the existing fragmentation, where action should be taken.

Within this framework and aiming at
simplification and rationalisation, the Rights and Citizenship Programme is the
successor of three current programmes:

-           Fundamental Rights and Citizenship,

-           Daphne III,

-           The Sections "Antidiscrimination and
Diversity" and "Gender Equality" of the Programme for Employment
and Social Solidarity (PROGRESS).

The merge of these programmes, all based on
provisions outside Title V of Part III of the TFEU, will allow for a
comprehensive funding approach in this area.

The general objective of this proposal is
to contribute to the creation of an area, where the rights of persons, as enshrined in the Treaty on the Functioning
of the European Union and in the Charter of Fundamental
Rights of the European Union, are promoted and protected. In particular, this
Programme should promote the rights deriving from European citizenship, the
principles of non-discrimination and equality between women and men, the right
to the protection of personal data, the rights of the child, the rights deriving
from the Union consumer legislation and from the freedom to conduct a business
in the internal market.

To be truly
effective and bring about clear results for citizens and businesses, the rights
need to be known by those who apply them, by those who advise people on their
rights and by those who benefit from these rights, and be applied consistently and
effectively across the Union. This can be achieved by supporting training and
awareness-raising, strengthening networks and facilitating transnational
cooperation. Moreover, the European Union needs to equip itself with a sound
analytical basis to support policy-making and legislation in the rights and
citizenship area.

2.           RESULTS OF CONSULTATIONS
WITH THE INTERESTED PARTIES AND IMPACT ASSESSMENTS

2.1.        Consultation with the
interested parties

A public stakeholder consultation on future
funding activities in the area of Justice, Fundamental Rights and Equality for
the period after 2013[3]
was launched on 20 April 2011. It was available online for two months and was
open to all interested stakeholders and individuals. 187 respondents – with an
important part of NGOs - from most Member States submitted their contribution.

The respondents evaluated positively the
policy objectives of the programmes and confirmed the need for funding in the
areas covered. The European added value was acknowledged and no area was
identified where funding should be discontinued. The need for simplification
and improvement was acknowledged and most of the proposed measures received a
positive response, including the reduction of the number of programmes and the
simplification of procedures.

The stakeholders were in favour of funding
activities such as exchange of good practices, training of professionals,
information and awareness raising activities, support to networks, studies etc.
All types of activities which met with approval by the respondents are foreseen
explicitly in Article 5 of the proposal. The respondents were in agreement with
the Commission's proposals concerning the actors appropriate to receive funding
and the types of funding mechanisms that could be used.

2.2.        Impact Assessment

One impact assessment was carried out
concerning the future funding activities for the whole area of justice, rights
and equality, which currently comprises six programmes[4]. This impact assessment is
relevant for both the proposal on the Justice Programme, as well as the
proposal on the Rights and Citizenship Programme. The impact assessment builds
on the interim evaluations of the current programmes[5], which confirmed the overall
effectiveness and efficiency of the programmes, but they also identified some
shortcomings and room for improvement. The impact assessment has considered
three options:

Option A: to maintain six programmes and to address some of the identified
problems through changes in the internal management of the programmes.
Improving management and fostering strong synergies between the programmes
would address some of the issues. However, the main cause of the problems, i.e.
the multitude of programmes would not be directly addressed and consequently
the improvements to be achieved by this option would be limited.

Option B: to
maintain all measures of option A and additionally to merge the current six programmes into two programmes. This option would
allow for flexibility in the use of funds and in addressing annual policy
priorities. It would achieve increased simplification (both for the
beneficiaries and the administration) and efficiency of the programmes, since
significantly fewer procedures would be needed. The effectiveness of the
programmes would also be improved as the fragmentation and dilution of funds
would be addressed better within two programmes. Human resources could be
freed, since fewer procedures would reduce the administrative burden and they
would be allocated to activities improving the effectiveness of the programmes
(dissemination of results, monitoring, providing information, etc).

Option C: to implement only one programme. This option addresses all problems
caused by the multiple legal instruments and by the increased administrative
burden of managing multiple programmes. However, due to legal constraints the
scope of this programme would not be able to cover the funding needs of all
policy areas. A choice would have to be made between the area of justice and
the area of rights and citizenship. Although this solution can deliver maximum
impact in terms of management, however it would not be possible to address
sufficiently the policy priorities and needs of the whole policy area.

Resulting from the analysis and comparison
of the options, the preferred option is the implementation of two
programmes which would cover the funding needs of all policy areas (option
B). In comparison to the status quo option B presents clear advantages and
no disadvantage. Option A is not as beneficial as option B and option C only
offers partial coverage of the policy areas, which renders this option
unsuitable.

3.           LEGAL ELEMENTS OF THE
PROPOSAL

The proposal is based on Articles 19(2),
21(2), 114, 168, 169 and 197 of the Treaty on the Functioning of the European
Union. The combination of these articles is necessary to continue supporting
policies which are developed and implemented in the three current programmes,
and is not meant to extend activities to new policy areas. The combination of
more than one article is necessary in order to achieve the general objectives
of the Programme in a comprehensive way and to adopt a simplified and more
efficient approach to funding. The use of this set of articles provides the
necessary legal basis for the proposed activities and therefore there is no
necessity to make use of Article 352 TFEU.

Article 19(2) foresees the adoption of
incentive measures to support Member State action in the area of combating
discrimination based on sex, racial or ethnic origin, religion or belief,
disability, age or sexual orientation, including activities promoting equality
between women and men and supporting the rights of the child.

Article 21(2) provides for Union measures
to facilitate the exercise of citizens' rights to move and reside freely within
the territory of the Member States. Actions aiming at informing citizens and
authorities about the rights to diplomatic and consular protection and about
their voting rights can also be covered by this Article as they are
facilitating in practise the exercise of citizen’s right to move.

Article 114 foresees the approximation of
laws aimed at the establishment and functioning of the internal market. Article
169 foresees, in addition to the approximation of laws under Article 114, the
adoption of measures to support, supplement and monitor policy of the Member
States to protect the health safety and economic interest of consumers as well
as promoting the right to information, education and to organise themselves in
order to safeguard their interests. Both provisions can serve as a basis to
fund activities related to consumer and contract law issues. A high level of
consumer protection and the development of contract law to facilitate
cross-border transactions create the necessary conditions to empower the Union
citizens to exercise their rights across the border.

Article 168 foresees a high level of human
health protection and Union action complementing national policies in
preventing physical and mental illness and obviating sources of danger to
physical and mental health. Violence against children constitutes a danger to
the physical and mental health of the children, including often cross-border
threats. Children are vulnerable citizens and need an increased level of
protection against these dangers to their physical and mental health. Violence
against women constitutes also a serious threat to the physical and mental
health of victims, who are in need of a high level of protection.

Article 197 allows supporting Member States
in implementing Union law by facilitating the exchange of information or
supporting training schemes. This provision will be particularly important in
areas such as fundamental rights, citizenship and data protection, where
national authorities have an important role to play.

The funding activities proposed respect the
principles of European added value and of subsidiarity. Funding from the Union
budget concentrates on activities whose objectives cannot be sufficiently
achieved by the Member States alone, where the Union intervention can bring
additional value compared to action of Member States alone. Activities covered
by this Regulation contribute to the effective application of the acquis by
developing mutual trust between Member States, increasing cross-border
cooperation and networking and achieving correct, coherent and consistent
application of Union law across the Union. The European Union is in a better
position than Member States to address cross-border situations and to provide a
European platform for mutual learning. A sound analytical basis for the support
and the development of policies will be supported. European Union intervention
allows for these activities to be pursued consistently across the Union and
brings economies of scale.

The proposal complies with the proportionality principle in that it
does not go beyond the minimum required in order to achieve the stated
objective at European level and what is necessary for that purpose.

4.           BUDGETARY IMPLICATION

The financial envelope for the
implementation of the Rights and Citizenship Programme for the period 1 January
2014 to 31 December 2020 shall amount to EUR 439 million (current prices).

5.           MAIN ELEMENTS OF THE
PROPOSAL

The aim of the
proposed approach is to combine the simplification of funding procedures, as requested by all involved parties, with a more result-oriented
approach. The main elements of this approach are the following:

- The proposal
defines the general and specific objectives pursued by the Programme (Articles 3
and 4) and the areas of action where the Programme will focus on (Article 5).
The general and specific objectives define the scope of the programme (policy
areas), whereas the types of action are funding-oriented, they are applicable
to all policy areas concerned and define in a horizontal way the outputs that
can be achieved by funding. At the same time, they define where funding can really
be of added value for the achievement of the policy objectives. In implementing
this Regulation the Commission will establish annually the funding priorities
in the respective policy areas. The Programme can make use of all financial
instruments foreseen in the Financial Regulation. The participation is open to
all legal entities legally established in the Member States or in a third
country participating in the Programme, with no further limitations to the
access to the programme. This structure allows for
simplification, as well as for better orientation of the programme to the
policy needs and developments. Moreover, it provides a stable context for
evaluation, as the specific objectives are directly linked to indicators for
evaluation, which will remain consistent for the whole duration of the
programme and will be monitored and evaluated regularly. It is proposed not to reserve specific amounts per policy area
within the programme in order to achieve flexibility and to improve the
implementation of the programme.

- The
participation of third countries is limited to EEA, accession and candidate
countries and potential candidates. Other third
countries, notably countries where the European Neighbourhood Policy applies,
may be associated to actions of the Programme, if this serves the purpose of
these actions.

- The annual
priorities of the programme will be defined in an annual work programme.
Because this implies policy-driven choices, the adoption of the annual work
programme is subject to the opinion of a Committee of Member States under the
Advisory procedure.

- The Commission may use, on the basis of a cost-benefit
analysis, an existing executive agency for the implementation of the programme,
as provided for in Council Regulation (EC) No 58/2003 of 19 December 2002
laying down the statute for executive agencies to be entrusted with certain
tasks in the management of Community programmes.

2011/0344 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT
AND OF THE COUNCIL

establishing for the period 2014 to 2020
the Rights and Citizenship Programme

(Text with EEA relevance)

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 19(2),
21(2), 114, 168, 169 and 197 thereof,

Having regard to the proposal from the
European Commission,

After transmission of the draft legislative
act to the national Parliaments,

Having regard to the opinion of the
European Economic and Social Committee,

Having regard to the opinion of the
Committee of the Regions,

Acting in accordance with the ordinary
legislative procedure,

Whereas:

(1)
The European Union is founded on the principles
of liberty, democracy, respect for human rights and fundamental freedoms and
the rule of law, principles which are common to the Member States. Every
citizen of the Union has the rights provided for in the Treaty. The Charter of
Fundamental Rights of the European Union, which with the entry into force of
the Lisbon Treaty became legally binding across the Union, reflects the fundamental
rights and freedoms to which persons are entitled in the Union. Those rights
should be promoted and respected if they are to become a reality. The full
enjoyment of those rights should be guaranteed and any obstacles should be
dismantled.

(2)
The Stockholm Programme[6] reaffirms the priority of
developing an area of freedom, security and justice and specifies within its
political priorities the achievement of a Europe of rights. Financing is
identified as one of the important tools for the successful implementation of
the Stockholm Programme's political priorities.

(3)
Citizens should be able to exercise fully the
rights deriving from the citizenship of the Union. They should be able to
exercise their right to move and reside freely in the Union, their right to vote for and stand as a candidate in European Parliament and
municipal elections, their right to consular protection
and their right to petition the European Parliament. They should feel at ease
about living, travelling and working in another Member State, trusting that
their rights are protected, no matter where in the Union they happen to be.

(4)
Citizens and businesses should also benefit
fully from the internal market. Consumers should be able to enjoy the rights
deriving from the consumer legislation and businesses should be supported to
exercise the freedom to conduct business in the internal market. The
development of contract and consumer legislative instruments provides practical
solutions for businesses and consumers to address cross-border problems, aiming
to offer them more choices and to make it less costly for them to conclude
contracts with partners in another Member State, while providing a high level
of consumer protection.

(5)
Non-discrimination based
on sex, racial or ethnic origin religion or belief, disability, age or sexual
orientation and equality between women and men are values common to the Member
States. Combating all forms of discrimination is an ongoing goal which requires
coordinated action, including by the allocation of funding.

(6)
Pursuant to Articles 8 and 10 of the Treaty on
the Functioning of the European Union, the Programme should support the mainstreaming
of equality between women and men and anti-discrimination objectives in all its
activities. Regular monitoring and evaluation should be carried out to assess
the way in which gender equality and anti-discrimination issues are addressed
in the Programme's activities.

(7)
Violence against women in all its forms
constitutes a violation of fundamental rights and a serious health scourge.
Such violence is present throughout the Union and coordinated action is necessary
in order to address it. Taking action to combat violence against women
contributes to the promotion of equality between women and men.

(8)
The Treaty requires the Union to promote the
protection of the rights of the child pursuant to Article 3(3) of the Treaty on
European Union, while combating discrimination. Children are vulnerable, in
particular in a situation of poverty, social exclusion, disability
or specific situations putting them at risk. Action should be taken to
promote the rights of the child and contribute to the protection of children
from harm and violence, which pose a danger to their physical or
mental health.

(9)
Personal data should continue to be protected
effectively in a context of constant technological development and
globalisation. The Union’s legal framework for data protection should be
applied effectively and consistently within the European Union. To achieve
this, the Union should be able to support the efforts of Member States to
implement that legal framework.

(10)
The Communication from the Commission on Europe
2020[7] sets out a strategy for smart,
sustainable and inclusive growth. Supporting and promoting the rights of
persons within the Union, tackling discrimination and inequalities and
promoting citizenship contribute to the promotion of the specific objectives
and flagship initiatives of the Europe 2020 Strategy.

(11)
Experience of action at Union level has shown
that achieving these objectives in practice calls for a combination of
instruments, including legislation, policy initiatives and funding. Funding is an important tool complementing legislative measures. A funding programme should therefore be established. The
Commission Communication on ‘A budget for Europe 2020’[8] stresses the need for
rationalisation and simplification of Union funding. Meaningful simplification
and efficient management of funding can be achieved through the reduction in
the number of programmes and rationalisation, simplification and harmonisation
of funding rules and procedures.

(12)
In responding to the need for simplification and
efficient management of funding, this Regulation establishes the Rights and
Citizenship Programme to provide for the continuation and development of
activities previously carried out on the basis of three programmes, established
by Council Decision 2007/252/EC of 19 April 2007
establishing for the period 2007-2013 the specific programme ‘Fundamental
rights and citizenship' as part of the General Programme 'Fundamental Rights
and Justice'[9]; Decision No 779/2007/EC of the European
Parliament and of the Council of 20 June 2007 establishing for the period
2007-2013 a specific programme to prevent and combat violence against children,
young people and women and to protect victims and groups at risk (Daphne III
programme) as part of the General Programme ‘Fundamental Rights and Justice’[10]; and the ‘gender equality’ and
‘antidiscrimination and diversity’ sections of Decision No 1672/2006/EC of the
European Parliament and of the Council of 24 October
2006 establishing a Community Programme for Employment
and Social Solidarity - Progress[11].

(13)
The Commission Communications ‘The EU Budget
Review’[12]
and ‘A budget for Europe 2020’ underline the importance of focusing funding on
actions with clear European added value, i.e. where the Union intervention can bring
additional value compared to action of Member States alone. Actions covered by
this Regulation should contribute to the development of mutual trust between
Member States, increasing cross-border cooperation and networking and achieving
correct, coherent and consistent application of Union law. Funding activities should
also contribute to achieving effective and better knowledge of Union law and
policies by all those concerned and provide a sound analytical basis for the
support and the development of Union legislation and policies. Union
intervention allows for those actions to be pursued consistently across the Union
and brings economies of scale. Moreover, the European Union is in a better
position than Member States to address cross-border situations and to provide a
European platform for mutual learning.

(14)
In order to implement the principle of sound
financial management, this Regulation should provide for appropriate tools to
assess its performance. To that end, it should define general and specific
objectives. To measure the achievement of those specific objectives, a set of
indicators should be established which should remain valid for the whole
duration of the programme.

(15)
This Regulation lays down for the multiannual
programme a financial envelope which is to constitute the prime reference,
within the meaning of point 17 of the Interinstitutional Agreement of XX
between the European Parliament, the Council and the Commission on cooperation
in budgetary matters and on sound financial management, for the budgetary
authority during the annual budgetary procedure.

(16)
This Regulation should be implemented in full
compliance with Regulation (EU, Euratom) No XX/XX of XX on the financial rules
applicable to the annual budget of the European Union. In particular, it should
make use of simplification tools introduced by the latter. Moreover, the
criteria for identifying actions to be supported should aim at allocating the
financial resources available on actions generating the highest impact in
relation to the policy objective pursued.

(17)
Implementing powers should be conferred on the
Commission in respect of the adoption of annual work programmes. Those powers should
be exercised in accordance with Regulation (EU) No 182/2011 of the
European Parliament and of the Council of 16 February 2011, laying down the
rules and general principles concerning mechanisms for control by Member States
of the Commission’s exercise of implementing powers[13]. Given the annual amounts
concerned, the budgetary implications can be considered as non-substantial.
Therefore, the advisory procedure should apply.

(18)
In order to ensure efficient allocation of funds
from the Union budget, consistency, complementarity and synergies should be sought
between funding programmes supporting policy areas with
close links to each other, in particular between the Programme and the Justice
programme established by Regulation (EU) No XX/XX of XX[14], the Europe for Citizens
programme established by Regulation (EU) No XX/XX of XX[15] and the programmes in the areas of home affairs; employment and social
affairs; health and consumer protection; education, training, youth and sport;
information society; enlargement, in particular the Instrument for
Pre-accession Assistance[16]
and the funds operating under the Common Strategic Framework (CSF funds).

(19)
The financial interests of the Union should be
protected through proportionate measures throughout the expenditure cycle,
including the prevention, detection and investigation of irregularities, the
recovery of funds lost, wrongly paid or incorrectly used and, where
appropriate, penalties. The European Anti-fraud Office
(OLAF) should be authorised to carry out on-the-spot checks and inspections on
economic operators, in accordance with the procedures laid down in Regulation
(Euratom, EC) No 2185/96[17]
with a view to establishing whether there has been fraud, corruption or any
other illegal activity affecting the financial interests of the Union in
connection with Union funding under the Programme.

(20)
Since the objective of this Regulation, namely to
contribute to the creation of an area, where the rights of persons, as enshrined in the Treaty on the
Functioning of the European Union and the Charter of Fundamental Rights of the
European Union, are promoted and protected, cannot be
sufficiently achieved by Member States but can be better achieved at Union
level, the Union may adopt measures in accordance with the principle of
subsidiarity as referred to 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.

HAVE ADOPTED THIS REGULATION:

Article 1
Establishment and duration of the Programme

1.           This Regulation
establishes the European Union Programme on Rights and Citizenship, hereinafter
referred to as ‘the Programme’.

2.           The Programme shall cover
the period from 1 January 2014 to 31 December 2020.

Article 2
European added value

The Programme shall finance actions with
European added value. To that effect, the Commission shall ensure that the
actions selected for funding are intended to produce results with European
added value and shall monitor whether European added value was actually
achieved through the final results of the actions financed by the Programme.

Article 3
General objectives

The general objective of the Programme shall
be to contribute to the creation of an area, where the rights of persons, as enshrined in the Treaty on the Functioning of the European Union
and the Charter of Fundamental Rights of the European Union, are promoted and
protected.

Article 4
Specific objectives

1.           To achieve the general
objective set out in Article 3, the Programme shall have the following specific
objectives:

(a)     to contribute to enhancing the
exercise of rights deriving from the citizenship of the Union;

(b)     to promote the effective
implementation of the principles of non discrimination on
the grounds of sex, racial or ethnic origin, religion or belief, disability,
age or sexual orientation, including equality between
women and men and the rights of persons with disabilities and of the elderly;

(c)     to contribute to ensuring a high level
of protection of personal data;

(d)     to enhance the respect of the rights
of the child;

(e)     to empower consumers and businesses to
trade and purchase in trust within the internal market by enforcing the rights
deriving from the Union consumer legislation and by supporting the freedom to
conduct business in the internal market through cross-border transactions.

2.           The indicators to measure
the achievement of the objectives set out in paragraph 1 shall be, inter
alia, the European perception of the respect, exercise and implementation
of these rights and the number of complaints.

Article 5
Actions

1.           With a view to pursuing
the objectives set out in Article 3 and Article 4, the actions of the Programme
shall focus on the following areas of action:

(a)     enhancing public awareness and
knowledge of Union law and policies;

(b)     supporting the implementation of Union
law and policies in the Member States;

(c)     promoting transnational cooperation
and building up of mutual knowledge and mutual trust among all involved
stakeholders;

(d)     improving the knowledge and
understanding of potential issues affecting the exercise of rights and
principles guaranteed by the Treaty, the Charter of Fundamental Rights and
secondary Union legislation with a view to ensuring evidence-based policy
making and legislation.

2.           The Programme shall
finance inter alia the following types of actions:

(a)     Analytical activities, such as
collection of data and statistics; development of common methodologies and,
where appropriate, indicators or benchmarks; studies, researches, analyses and
surveys; evaluations and impact assessments; elaboration and publication of
guides, reports and educational material; monitoring and assessment of the
transposition and application of Union legislation and of the implementation of
Union policies; workshops, seminars, experts meetings, conferences;

(b)     Training activities, such as staff
exchanges, workshops, seminars, train-the-trainers events, development of
online/other training modules;

(c)     Mutual
learning, cooperation, awareness raising and dissemination activities, such as identification
of, and exchanges on, good practices, innovative approaches and experiences,
organisation of peer review and mutual learning; organisation of conferences
and seminars; organisation of awareness-raising and information campaigns,
media campaigns and events, including corporate communication of the political
priorities of the European Union; compilation and publication of materials to
disseminate information as well as results of the Programme; development,
operation and maintenance of systems and tools using information and communication
technologies;

(d)     Support for main actors, such as support
for Member States when implementing Union law and policies; support for key
European level networks whose activities are linked to the implementation of
the objectives of the Programme; networking among specialised bodies and
organisations, national, regional and local authorities at European level; funding
of experts' networks; funding of European level observatories.

Article 6
Participation

1.           Access to the Programme
shall be open to all public and/or private bodies and
entities legally established in:

(a)     Member States;

(b)     EFTA countries which are party to the
EEA Agreement, in accordance with the conditions laid down in the EEA
Agreement;

(c)     accession
countries, candidate countries and potential candidates, in accordance with the
general principles and the general terms and conditions laid down in the
framework agreements concluded with them on their participation in Union
programmes.

2.           Public and/or
private bodies and entities legally established in other third countries,
notably countries where the European Neighbourhood Policy applies, may be
associated to actions of the Programme, if this serves the purpose of these
actions.

3.           Under the Programme, the
Commission may cooperate with the international organisations active in the
areas covered by the Programme, such as the Council of Europe, the Organisation
for Economic Cooperation and Development (OECD) and the United Nations. Access
to the Programme shall be open to those international organisations.

Article 7
Budget

1.           The financial envelope for
the implementation of the Programme shall be EUR 439 million.

2.           The financial allocation
of the Programme may also cover expenses pertaining to preparatory, monitoring,
control, audit and evaluation activities which are required for the management
of the Programme and the achievement of its objectives; in particular, studies,
meetings of experts, information and communication actions, including corporate
communication of the political priorities of the European Union, as far as they
are related to the general objectives of this Regulation, expenses linked to IT
networks focusing on information processing and exchange, together with all
other technical and administrative assistance expenses incurred by the
Commission for the management of the Programme.

3.           The budgetary authority
shall authorise the available annual appropriations within the limits established
by Council Regulation (EU, Euratom) No XX/XX of XX laying down the multiannual
financial framework for the years 2014-2020.

Article 8
Implementing measures

1.           The Commission shall
implement the Union financial support in accordance with the Regulation (EU, Euratom) No XX/XX of XX on the financial rules
applicable to the annual budget of the European Union.

2.           In order to implement the
Programme, the Commission shall adopt annual work programmes in the form of
implementing acts. Those implementing acts shall be adopted in accordance with
the advisory procedure referred to in Article 9(2).

3.           The annual work programmes
shall set out the measures needed for their implementation, the priorities of
calls for proposals and all other elements required by Regulation (EU, Euratom)
No XX/XX of XX on the financial rules applicable to the annual budget of the
European Union.

Article 9
Committee procedure

1.           The Commission shall be
assisted by a committee. That committee shall be a committee within the meaning
of Regulation (EU) No 182/2011.

2.           Where reference is made to
this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply.

Article 10
Complementarity

1.           The Commission, in
cooperation with the Member States, shall ensure overall consistency and complementarity
and synergies with other Union instruments, inter alia, with the Justice
programme, the Europe for Citizens programme and with programmes in the areas of home affairs; employment and
social affairs; health and consumer protection; education, training, youth and
sport; information society; enlargement, in particular the Instrument for Pre-accession
Assistance and the funds operating under the Common Strategic Framework (CSF
funds).

2.           The programme may share
resources with other Union instruments, in particular the Justice programme, in
order to implement actions meeting the objectives of both programmes. An action
for which funding has been awarded from the Programme may also give rise to the
award of funding from the Justice Programme, provided that the funding does not
cover the same cost items.

Article 11
Protection of the financial interests of the Union

1.           The Commission shall take
appropriate measures ensuring that, when actions financed under this Regulation
are implemented, the financial interests of the Union are protected by the
application of preventive measures against fraud, corruption and any other
illegal activities, by effective checks and, if irregularities are detected, by
the recovery of the amounts wrongly paid and, where appropriate, by effective,
proportionate and deterrent penalties.

2.           The Commission or its
representatives and the Court of Auditors shall have the power of audit, on the
basis of documents and on-the-spot, over all grant beneficiaries, contractors
and subcontractors who have received Union funds under the Programme.

The European Anti-fraud
Office (OLAF) may carry out on-the-spot checks and inspections on economic
operators concerned directly or indirectly by such funding in accordance with
the procedures laid down in Regulation (Euratom, EC) No 2185/96 with a
view to establishing whether there has been fraud, corruption or any other
illegal activity affecting the financial interests of the Union in connection
with a grant agreement or grant decision or a contract concerning Union
funding.

Without prejudice to the first
and second sub-paragraphs, cooperation agreements with third countries and
international organisations and grant agreements and grant decisions and
contracts resulting from the implementation of this Regulation shall expressly empower
the Commission, the Court of Auditors and OLAF to conduct such audits,
on-the-spot checks and inspections.

Article 12
Monitoring and evaluation

1.           The Commission shall
monitor the Programme regularly in order to follow the implementation of actions
carried out under it in the areas of actions referred to in Article 5(1) and
the achievement of the specific objectives referred to
in Article 4. The monitoring shall also provide a means
of assessing the way in which gender equality and anti-discrimination issues
have been addressed across the programme’s actions. Where relevant, indicators
should be disaggregated by sex, age and disability.

2.           The Commission shall
provide the European Parliament and the Council with:

(a)     an interim evaluation report by
mid-2018 at the latest;

(b)     an ex-post evaluation report.

3.           The interim evaluation
shall report on the achievement of the Programme's objectives, the efficiency
of the use of resources and the Programme's European added value with a view to
determining whether funding in areas covered by the Programme shall be renewed,
modified or suspended after 2020. It shall also address the scope for any
simplification of the Programme, its internal and external coherence, as well
as the continued relevance of all objectives and actions. It shall take into
account the results of the ex-post evaluations of the programmes mentioned in
Article 13.

4.           The ex-post evaluation
shall report on the longer-term impacts of the Programme and on the
sustainability of effects of the Programme, with a view to feed into a decision
on a subsequent programme.

Article 13
Transitional measures

Actions which are initiated before 1
January 2014 on the basis of Decision 2007/252/EC, Decision 779/2007/EC or
Section 4: Antidiscrimination and diversity, and Section 5: Gender equality of
Decision 1672/2006/EC, shall continue to be governed by the provisions of those
Decisions, until their completion. In respect of those actions, reference to the
Committees provided for in Article 10 of Decision 2007/252/EC, in Article 10 of
Decision 779/2007/EC and in Article 13 of Decision 1672/2006/EC shall be interpreted
as references to the Committee provided for in Article 9 of the present Regulation.

Article 14
Entry into force

This Regulation
shall enter into force on the 20th day following that of its
publication in the Official Journal of the European Union.

Done at Brussels,

For the European Parliament                       For
the Council

The President                                                 The
President

ANNEX

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

Proposal for a Regulation of the European Parliament and of the
Council establishing for the period 2014 to 2020 the Rights and Citizenship
Programme

1.2.
Policy area(s) concerned in the ABM/ABB
structure[18]

Title 33 - Justice

1.3.
Nature of the proposal/initiative

þ The proposal/initiative
relates to a new action

 ̈ The
proposal/initiative relates to a new action following a pilot
project/preparatory action[19]

 ̈ The
proposal/initiative relates to the extension of an existing action

 ̈ The
proposal/initiative relates to an action redirected towards a new action

1.4.
Objectives
1.4.1.
The Commission's multiannual strategic
objective(s) targeted by the proposal/initiative

The Programme aims to contribute to the development of an area of
freedom, security and justice, by promoting and supporting
the effective implementation of a Europe of rights, as enshrined in the Treaty
on the Functioning of the European Union and the Charter of Fundamental Rights
of the European Union. This includes in particular the
rights deriving from European citizenship, the principles of non discrimination
on the grounds of sex, racial or ethnic origin,
religion or belief, disability, age or sexual orientation and equality between women and men, the rights of persons with
disabilities and of the elderly, the right to the protection of personal data,
the rights of the child, consumers’ rights and the freedom to conduct a
business in the internal market, by facilitating cross-border transactions.

1.4.2.
Specific objective(s) and ABM/ABB activity(ies)
concerned

Specific objectives

To achieve the above-mentioned general objective, the Programme has
the following specific objectives:

(a) to contribute to enhancing the exercise of rights deriving from
the citizenship of the Union;

(b) to promote the effective implementation of the principles of non
discrimination on the grounds of sex, racial or ethnic
origin, religion or belief, disability, age or sexual orientation, including equality between women and men and the rights of persons with
disabilities and of the elderly;

(c) to contribute to ensuring a high level of protection of personal
data;

(d) to enhance the respect of the rights of the child;

(e) to empower consumers and businesses to trade and purchase in
trust within the internal market by enforcing the rights deriving from the
Union consumer legislation and by supporting the freedom to conduct business in
the internal market through cross-border transactions.

ABM/ABB activity concerned

ABB 33 02 and 33 06.

1.4.3.
Expected result(s) and impact

Specify the effects
which the proposal/initiative should have on the beneficiaries/groups targeted.

The proposal will contribute to the enforcement of the acquis,
allowing citizens and businesses in the Union to fully benefit from the
existing legislation. They will be better aware of their rights, and Member
States and stakeholders will have better tools to exchange information on best
practices and to cooperate with each other. The effects of the proposal on
beneficiairies/target groups is described in more detail in Section 4.1.2 of
the Impact Assessment.

In addition, the changes to the funding programmes proposed will
have a clear beneficial effect on the processes under which financial support
will be managed. This would start from an integrated approach across the
programmes in the applications processes, the documentation required and the
IT-systems to be used. This in itself will constitute a concrete time-saving as
many stakeholders which are active in fields covered by several of the current
generations of programmes, would no longer have to address diverging
requirements and could concentrate more on developing strong proposals from a
content and quality point of view.

Furthermore, with a harmonised and streamlined single project
selection process, the delays between submitting applications and receiving the
results would be substantially reduced and this would leave applicant
organisation with a shorter interval of uncertainty. This would bring the
further added advantage of projects starting much shorter after their
conception and therefore would respond much more effectively to the concrete
needs they seek to address in line with EU policy priorities

1.4.4.
Indicators of results and impact

Specify the
indicators for monitoring implementation of the proposal/initiative.

The indicators to measure the achievement of the above-mentioned
specific objectives, shall be, inter alia, the European perception of
the respect, exercise and implementation of these rights and the number of
complaints..

DG Justice does not have enough information about the current
situation to establish meaningful long- or medium-term targets, but before
implementation of the programme starts, DG Justice will try to collect more
information on the current situation so that milestones and targets can be set.

1.5.
Grounds for the proposal/initiative
1.5.1.
Requirement(s) to be met in the short or long
term

Whereas legislation is a key tool to implement the Union’s
objectives in the area of rights and citizenship, it needs to be complemented
by other means. In this context, funding has an important role to play. In
particular, funding should enhance the effectiveness of legislation and rights
enshrined directly in the Treaty by increasing knowledge, awareness and
capacity of citizens, professionals and stakeholders, through supporting:

-            Information and public awareness
raising, including support for national and European
campaigns to inform people of their rights, as guaranteed under EU law, and how
to enforce them in practice;

-        Training and
capacity building for legal professionals (such as judges and prosecutors) and
other practitioners, to equip them with the tools to effectively put EU rights
and policies into practice.

Funding also has a
central role in promoting cooperation at transnational level and developing
mutual trust, through:

-        Strengthening
networks, i.e. EU-wide organisations to assist with the
preparation of future initiatives in this area, as well as to promote their
consistent implementation across Europe;

-        Cross-border
cooperation on enforcement, for example establishing
missing child alert systems, coordination of operational and cross-border
anti-drug co-operation.

Additionally, funding
should support:

-        Research,
analysis and other support activities, to provide to the legislator
clear and detailed information on the problems and the situation on the ground.
The results of these activities feed into the development and the
implementation of EU policies and ensure that they are evidence-based, well
targeted and well structured.

1.5.2.
Added value of EU involvement

Funding covered by the Rights and Citizenship Programme concentrates
on activities where the EU intervention can bring additional value compared to
action of Member States alone. Activities covered by this Regulation contribute
to the effective application of the acquis by developing mutual trust between
Member States, increasing cross-border cooperation and networking and achieving
correct, coherent and consistent application of Union law across the Union.
Only action at Union level can provide coordinated activities that can reach
all Member States. The European Union is in a better position than Member
States to address cross-border situations and to provide a European platform
for mutual learning. Without Union support, stakeholders would tend to address
similar problems in a fragmented and disconnected way. Collaboration and
networking between them will lead to the dissemination of best practices, in
particular innovative and integrated approaches in different Member States. The
participants in these activities will then act as multipliers in their
respective professional activities and disseminate wider the best practices
within their Member State.

A sound analytical basis for the support and the development of
policies will be supported. European Union intervention allows for these
activities to be pursued consistently across the Union and brings economies of
scale. Funding at national level would not provide the same results, but only a
fragmented and limited approach not covering the needs of the European Union as
a whole.

1.5.3.
Lessons learned from similar experiences in the
past

The mid-term evaluations carried out for the current programmes in
the area of rights and citizenship have confirmed the overall effectiveness of
the programmes, but they have also identified a number of problems such as a
dilution of funds ('saupoudrage') amongst many small-scale projects with
limited impact. Despite the fact that funding is allocated to a multitude of
projects, there is no balanced geographical spread among the organisations which
receive funding. The mid-term evaluations agree that more should be done to
improve the dissemination and exploitation of results and outputs of the funded
activities. Improvement in dissemination goes hand in hand with improvement in
the evaluation and monitoring. The mid-term evaluations and the public
consultation highlighted in terms of efficiency the complex and bureaucratic
procedures that the applicants are facing. From an administrative point of view
the multiplication of procedures for the different programmes imposes a high
administrative burden on the Commission. The multiplication of procedures and
the high administrative burden contribute to increasing the length of
procedures. Merging the programmes would address this issue and create synergies
between the programmes.

1.5.4.
Coherence and possible synergy with other
relevant instruments

The Programme will seek synergies, consistency and complementarities
with other Union instruments, inter alia with the Justice programme and
with programmes in the areas of home affairs; employment; health and consumer
protection; education, training, youth and sport; communication; information
society; enlargement, in particular the Instrument for Pre-accession Assistance
and the funds operating under the Common Strategic Framework (CSF funds).
Duplication with activities under these other programmes will be avoided, and
resources may be shared between the Justice programme
and the Rights and Citizenship Programme to achieve
common objectives.

1.6.
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 2020 and further

 ̈ Proposal/initiative of unlimited
duration

· Implementation with a start-up period from YYYY to YYYY,

· followed by full-scale operation.

1.7.
Management mode(s) envisaged[20]

þ Centralised 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[21]

·  ̈  national
public-sector bodies/bodies with public-service mission

·  ̈persons
entrusted with the implementation of specific actions pursuant to Title V of
the Treaty on European Union and identified in the relevant basic act within
the meaning of Article 49 of the Financial Regulation

 ̈ Shared management with the Member States

 ̈ Decentralised management with third countries

þ Joint management with international organisations (as specified below)

If more than one
management mode is indicated, please provide details in the
"Comments" section.

Comments

The
possibility to use an existing executive agency for the full or partial
implementation of the Programme is provided for in the Explanatory Memorandum.
At this stage, no decision has been taken in this regard, and no cost/benefit
analysis has been carried out, but the option should be kept open.

Joint
management is another option that could be envisaged in the future. This
concerns in particular the international organisations named in Article 6 para.
2: Council of Europe, United Nations and OECD.

2.
MANAGEMENT MEASURES
2.1.
Monitoring and reporting rules

Specify frequency
and conditions.

The proposal includes monitoring and evaluation obligations.
Achievement of the specific objectives will be monitored regularly on the basis
of the indicators contained in the proposal.

Furthermore, an interim evaluation report on the achievement of the
Programme’s objectives, the efficiency of the use of resources and its European
added value will be provided by the Commission by mid-2018 at the latest. An ex
post evaluation on the longer-term impacts and the sustainability of the
effects of the Programme will be provided after the end of the Programme.

2.2.
Management and control system
2.2.1.
Risk(s) identified

DG Justice 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 Justice’s (and
former DG JLS) annual activity reports (with one single exception for the
Daphne programme in 2009).

The main risks identified are the following:

- 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
Triennal revision of the Financial Regulation.

2.2.2.
Control method(s) envisaged

Description of internal control system

The control system envisaged for the future programme is a
continuation of the current control system. It is composed of different
building blocks: supervision of operations by the Programme Management Unit,
the ex-ante control (financial verification) by the central Budget and Control
Unit, the internal procurement committee (JPC), the ex-post controls for grants
and the audits from the Internal Audit Capacity and/or the Internal Audit
Service.

All transactions are subject to an ex ante verification by the
Programme Management Unit and a financial verification by the Budget and
Control Unit (except for low-risk prefinancings). For grants, cost claims are
verified thoroughly, and supporting documents are requested when deemed
necessary, based on a risk assessment. All open and restricted procurement
procedures and all negotiated procedures above € 60.000 are submitted to the
internal procurement committee for checks before the award decision is adopted.

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.

Costs and benefits of controls

We estimate that between 50 and 70% of all staff involved in the
management of the current financial programmes performs control functions in a
broad sense (from the selection of beneficiaries/contractors to the
implementation of audit results). This corresponds to a range between EUR 2,1
million (50% of 2014 Human resource costs set out in Section 3.2.3) and EUR 3,2
million (70% of 2020 Human resource costs set out in Section 3.2.3) In
addition, externalisation of ex post audits produce costs in the range of
between € 75.000 and 100.000 per year, which are financed from administrative
support appropriations. These costs represent between 6 and 4% of the total
budget of the Programme, decreasing over the seven year period, due to the fact
that the annual appropriations increase substantially between 2014 and 2020,
whereas the costs of control remain quite stable.

Thanks to the 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%, with one exception for the Daphne
programme in 2009, where the error rate rose slightly above 2%. This was
addressed the year after via an increase of ex post controls on the spot. These
controls have detected and corrected the remaining errors in this population. Therefore,
the internal control system as well as its cost is deemed adequate in DG
Justice to achieve the objective of a low error rate.

However, within this framework, DG Justice will continue to explore
possibilities to enhance the management and to increase simplification. With
the reduction of the number of programmes, harmonised rules and procedures will
apply, reducing the risk of error. In addition, the simplification tools made
available in the Triennal revision of the 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.

Summary of nature and intensity of (current)
controls.

Summary of controls || Amount MEUR || Number of beneficiaries/ transactions (% of total) || Depth *(assessment 1-4) || Coverage (% of Value)

Ex ante controls on all financial transactions || N/A || 100% || 1-4, based on risk and type of transaction || 100%

Justice Procurement Committee controls on procurement award decisions || N/A || 100% of procurement procedures above 125.000 € and of negotiated procedures above 60.000 € || 4 || 100% of procurement procedures above 125.000 € and of negotiated procedures above 60.000 €

Ex post controls on grants final payments || N/A || At least 10% || 4 || Between 5 and 10%

*Depth of controls:

1. Minimal administrative/ arithmetic
control with no reference to supporting documents

2. Control with reference to corroborative
information incorporating an element of independent oversight (e.g. audit
certificate or other verification), but no reference to underlying documents.

3. Control with reference to fully
independent corroborative information (e.g., database which justifies certain
elements of the claim, 3rd party or Commission assessment of
milestones achieved, etc.)

4. Control with reference to and including
access to the underlying documentation that is available at the stage of the
process in question, for all inputs and outputs (e.g. timesheets, invoices,
physical verification, etc.); i.e. control of the same intensity of transaction
testing as those carried out by the ECA as part of the DAS.

2.3.
Measures to prevent fraud and irregularities

Specify existing or
envisaged prevention and protection measures.

Different measures are or will be put in place for the future Rights
and Citizenship Programme to prevent fraud and irregularities. The proposal
contains in its Article 11 a provision on the protection of the financial
interests of the European Union. In line with the Commission Anti-fraud
strategy (CAFS), adopted in June 2011, DG Justice is devising an anti-fraud
strategy covering the whole expenditure cycle, having regard to the
proportionality and cost-benefit of the measures to be implemented. This
strategy is based on two pillars: prevention, based on effective checks, and
appropriate response, if fraud or irregularities are detected, consisting in
the recovery of amounts wrongly paid and where appropriate, by effective,
proportionate and deterrent penalties. The anti-fraud strategy describes the
system of ex ante and ex post checks, based on a system of red flags, and
specifies the procedures to be followed by staff when fraud or irregularities
are detected. It also provides information on the working arrangements with
OLAF.

3.
ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE
3.1.
Heading(s) of the multiannual financial
framework and expenditure budget line(s) affected

· New budget lines requested

In order of multiannual financial framework
headings and budget lines.

Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution

Number [Heading............................................] || Diff./non-diff. || from EFTA countries || from candidate countries || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation

[3...] || [33 01 04.YY] [Rights and Citizenship Programme] || [Non diff...] || YES || YES || NO || NO

[3...] || [33 YY YY YY] [Rights and Citizenship Programme] || [Diff...] || YES || YES || NO || NO

|| || || || || ||

3.2.
Estimated impact on expenditure
3.2.1.
Summary of estimated impact on expenditure

EUR million (to 3 decimal places)

Heading of multiannual financial framework: || Number || [Heading 3 – Security and citizenship]

DG: Justice || || || Year 2014[22] || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Post 2020 || TOTAL

Ÿ Operational appropriations || || || || || || || || ||

Number of budget line- 33 xx xx || Commitments || (1) || 42,400 || 47,900 || 53,900 || 60,900 || 67,900 || 74,900 || 83,400 || || 431,300

Payments || (2) || 17,100 || 27,700 || 39,800 || 49,000 || 59,100 || 65,900 || 73,300 || 99,400 || 431,300

Number of budget line || Commitments || (1a) || || || || || || || || ||

Payments || (2a) || || || || || || || || ||

Appropriations of an administrative nature financed from the envelope for specific programmes[23]* || || || || || || || || ||

Number of budget line 33 01 04 yy || || (3) || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || || 7,700

TOTAL appropriations for DG JUSTICE || Commitments || =1+1a +3 || 43,500 || 49,000 || 55,000 || 62,000 || 69,000 || 76,000 || 84,500 || || 439,000

Payments || =2+2a +3 || 18,200 || 28,800 || 40,900 || 50,100 || 60,200 || 67,000 || 74,400 || 99,400 || 439,000

- The Commission may envisage (partially)
externalising the implementation of the Programme to existing executive
agencies. Amounts and imputations will be adjusted if necessary according to
the results of the externalisation process.

Ÿ TOTAL operational appropriations || Commitments || (4) || 42,400 || 47,900 || 53,900 || 60,900 || 67,900 || 74,900 || 83,400 || || 431,300

Payments || (5) || 17,100 || 27,700 || 39,800 || 49,000 || 59,100 || 65,900 || 73,300 || 99,400 || 431,300

Ÿ TOTAL appropriations of an administrative nature financed from the envelope for specific programmes || (6) || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || || 7,700

TOTAL appropriations under HEADING 3 of the multiannual financial framework || Commitments || =4+ 6 || 43,500 || 49,000 || 55,000 || 62,000 || 69,000 || 76,000 || 84,500 || || 439,000

Payments || =5+ 6 || 18,200 || 28,800 || 40,900 || 50,100 || 60,200 || 67,000 || 74,400 || 99,400 || 439,000

Heading of multiannual financial framework: || 5 || " Administrative expenditure "

EUR million (to 3 decimal places)

|| || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Post 2020 || TOTAL

DG JUSTICE || ||

Ÿ Human resources || 4,185 || 4,247 || 4,165 || 4,254 || 4,344 || 4,433 || 4,522 || || 30,150

Ÿ Other administrative expenditure || 0,054 || 0,055 || 0,056 || 0,057 || 0,059 || 0,060 || 0,061 || || 0,402

TOTAL DG JUSTICE || Appropriations || 4,239 || 4,302 || 4,221 || 4,311 || 4,403 || 4,493 || 4,583 || || 30,552

TOTAL appropriations under HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) || 4,239 || 4,302 || 4,221 || 4,311 || 4,403 || 4,493 || 4,583 || || 30,552

EUR million (to 3 decimal places)

|| || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || || TOTAL

TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || 47,739 || 53,302 || 59,221 || 66,311 || 73,403 || 80,493 || 89,083 || || 469,552

Payments || 22,439 || 33,102 || 45,121 || 54,411 || 64,603 || 71,493 || 78,983 || 99,400 || 469,552

3.2.2.
Estimated impact on operational appropriations

·  ̈  The
proposal/initiative does not require the use of operational appropriations

· þ  The proposal/initiative
requires the use of operational appropriations, as explained below. It is not
possible for DG Justice to provide an exhaustive list of all outputs to be
delivered by means of the financial intervention under the programme, their
average costs and numbers, as requested by this section. There are no
statistical tools at the moment allowing to produce 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 political priorities between 2014-2020. However, this is a
(non-exhaustive) list of outputs that are expected:

- Number of persons in target group reached by awareness-raising
activities;

- Number of
persons in target group reached by training activities.

- Number of
stakeholders participating inter alia in networking, exchanges, study
visits.

- Number of
cases of trans-border cooperation, including via the use of IT tools and
European procedures.

- Policy initiatives designed on the basis of
evaluations, impact assessments and drawing on comprehensive stakeholders’ and
experts’ consultations;

- Number of evaluations and impact assessments
carried out as a result of the implementation of the programme.

Commitment appropriations in EUR million (to 3 decimal
places)

Indicate objectives and outputs ò || || || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || TOTAL

OUTPUTS

Type of output[24] || 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[25]... || || || || || || || || || || || || || || || ||

- 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/initiative requires the use of administrative appropriations, as
explained below:

EUR million (to 3
decimal places)

|| Year 2014[26] || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || TOTAL

HEADING 5 of the multiannual financial framework || || || || || || || ||

Human resources || 4,185 || 4,247 || 4,165 || 4,254 || 4,344 || 4,433 || 4,522 || 30,150

Other administrative expenditure || 0,054 || 0,055 || 0,056 || 0,057 || 0,059 || 0,060 || 0,061 || 0,402

Subtotal HEADING 5 of the multiannual financial framework || 4,239 || 4,302 || 4,221 || 4,311 || 4,403 || 4,493 || 4,583 || 30,552

Outside HEADING 5[27] of the multiannual financial framework || || || || || || || ||

Human resources || || || || || || || ||

Other expenditure of an administrative nature || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 7,700

Subtotal outside HEADING 5 of the multiannual financial framework || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 1,100 || 7,700

TOTAL || 5,339 || 5,402 || 5,321 || 5,411 || 5,503 || 5,593 || 5,683 || 38,252

The Commission may envisage (partially)
externalising the implementation of the Programme to existing executive agencies.
Amounts and imputations will be adjusted if necessary according to the results
of the externalisation process.

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:

Estimate to be expressed in full time
equivalent units

|| || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 ||

Ÿ Establishment plan posts (officials and temporary agents, in Full Time Equivalent unit: FTE) ||

|| 33 01 01 01 (Headquarters and Commission’s Representation Offices) || 30,75 || 30,75 || 29,75 || 29,75 || 29,75 || 29,75 || 29,75 ||

|| XX 01 01 02 (Delegations) || || || || || || || ||

|| XX 01 05 01 (Indirect research) || || || || || || || ||

|| 10 01 05 01 (Direct research) || || || || || || || ||

|| Ÿ External personnel (in Full Time Equivalent unit: FTE)[28] ||

|| 33 01 02 01 (CA, INT, SNE from the "global envelope") || 0,5 || 0,5 || 0 || 0 || 0 || 0 || 0 ||

|| XX 01 02 02 (CA, INT, JED, LA and SNE in the delegations) || || || || || || || ||

|| XX 01 04 yy [29] || - at Headquarters[30] || || || || || || || ||

|| - in delegations || || || || || || ||

|| XX 01 05 02 (CA, INT, SNE - Indirect research) || || || || || || || ||

|| 10 01 05 02 (CA, INT, SNE - Direct research) || || || || || || || ||

|| Other budget lines (specify) || || || || || || || ||

|| TOTAL || 31,25 || 31,25 || 29,75 || 29,75 || 29,75 || 29,75 || 29,75 ||

33 is the
policy area or budget title concerned.

The human resources required
will be met by staff from the DG who are already assigned to management of the action
and/or have been redeployed within the DG, together if necessary with any
additional allocation which may be granted to the managing DG under the annual
allocation procedure and in the light of budgetary constraints. Amounts and
imputations will be adjusted depending on the results of the envisaged
externalisation process.

Description of
tasks to be carried out:

Officials and temporary agents || 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; - preparing annual work programmes/financing decisions, establishing annual priorities; - managing calls for proposals and calls for tenders and the subsequent selection procedures; - communicating with stakeholders (potential/actual beneficiaries, Member States, etc); - managing projects, operationally and financially; - performing controls, as described above (ex ante verification, procurement committee, ex post audits, internal audit) ; - accounting; - developing and managing grant management IT tools; - monitoring and reporting on achievement of objectives , including in AAR and AOS reports

External personnel || The tasks are similar to those of officials and temporary agents, except for tasks that cannot be fulfilled by external personnel

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[31].

Explain what is required, specifying the
headings and budget lines concerned and the corresponding amounts.

3.2.5.
Third-party contributions

· þ  The
proposal/initiative does not provide for co-financing by third parties

·  ̈  The
proposal/initiative provides for the co-financing estimated below:

Appropriations in EUR million (to 3 decimal places)

|| Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Total

Specify the co-financing body || || || || || || || ||

TOTAL appropriations cofinanced || || || || || || || ||

3.3.
Estimated impact on revenue

·  ̈  Proposal/initiative
has no financial impact on revenue.

· þ  Proposal/initiative
has the following financial impact:

 ̈         on own resources

þ         on miscellaneous revenue

EUR million (to 3 decimal places)

Budget revenue line: || Appropriations available for the ongoing budget year || Impact of the proposal/initiative[32]

Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020

Article 6xxxx............. || || || || || || || ||

For miscellaneous
assigned revenue, specify the budget expenditure line(s) affected.

[33 yyyyyy...] Revenue line

Specify the method for
calculating the impact on revenue.

The revenues are not known at this stage and will depend on the
participation of candidate countries to the programme.

[1]               Communication
on the EU Budget Review, COM(2010)700 final of 19.10.2010.

[2]               Commission Staff Working Paper, A Budget for Europe
2020: the current system of funding, the challenges ahead, the results of
stakeholders consultation and different option on the main horizontal and
sectoral issues, SEC(2011) 868 final, Accompanying the Communication on A
Budget for Europe 2020, COM(2011)500 final of 29.6.2011.

[3]               http://ec.europa.eu/justice/news/consulting_public/news_consulting_0010_en.htm

[4]               Civil Justice Programme (JCIV), the Criminal Justice
Programme (JPEN), the Fundamental Rights and Citizenship Programme (FRC), the
Daphne III Programme (DAP), the Drug Prevention and Information Programme
(DPIP) and the sections "Antidiscrimination and Diversity" and
"Gender Equality" of the Programme for Employment and Social
Solidarity (PROGRESS).

[5]               Interim evaluation report on the results obtained
from and the qualitative and quantitative aspects of the implementation of the
Civil Justice financing programme, COM(2011)351 final of 15.06.2011; Interim
evaluation report on the Criminal Justice Programme, COM(2011)255 final of
11.5.2011; Report on the interim evaluation of the Fundamental Rights and
Citizenship Programme 2007 – 2013, COM(2011)249 final of 5.5.2011; Report on
the interim evaluation of the Daphne III Programme 2007 – 2013, COM(2011)254
final of 11.05.2011; Report on the interim evaluation of the specific Programme
Drug prevention and information (DPIP) 2007 – 2013, COM(2011)246 final of
5.5.2011.

[6]               OJ C 115, 4.5.2010, p. 115.

[7]               COM(2010)2020 final of
3.3.2010.

[8]               COM(2011)500 of 29.6.2011.

[9]               OJ L 110, 27.4.2007, p. 33 and Corrigendum, OJ L 141,
2.6.2007.

[10]             OJ L 173, 3.7.2007, p. 19.

[11]             OJ L 315,
15.11.2006, p.1.

[12]             COM(2010)700
of 19.10.2010.

[13]             OJ L 55, 28.2.2011, p. 13.

[14]             OJ L XX, XX.XX.XXXX, p. XX.

[15]             OJ L XX, XX, p. XX.

[16]             OJ L XX, XX, p. XX.

[17]             OJ L 292, 15.11.1996, p. 2.

[18]             ABM: Activity-Based Management – ABB: Activity-Based
Budgeting.

[19]             As referred to in Article 49(6)(a) or (b) of the
Financial Regulation.

[20]             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

[21]             As referred to in Article 185 of the Financial
Regulation.

[22]             Year N is the year in which implementation of the
proposal/initiative starts.

[23]             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.

[24]             Outputs are products and services to be supplied (e.g.:
number of student exchanges financed, number of km of roads built, etc.).

[25]             As described in Section 1.4.2. "Specific
objective(s)..."

[26]             Year N is the year in which implementation of the
proposal/initiative starts.

[27]             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.

[28]             CA= Contract Agent; INT= agency staff ("Intérimaire");
JED= "Jeune Expert en Délégation" (Young Experts in
Delegations); LA= Local Agent; SNE= Seconded National Expert;

[29]             Under the ceiling for external personnel from
operational appropriations (former "BA" lines).

[30]             Essentially for Structural Funds, European Agricultural
Fund for Rural Development (EAFRD) and European Fisheries Fund (EFF).

[31]             See points 19 and 24 of the Interinstitutional
Agreement.

[32]             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.