P8_TC1-COD(2018)0249

Position of the European Parliament adopted at first reading on 13 March 2019 with a view to the adoption of Regulation (EU) …/… of the European Parliament and of the Council establishing, as part of the Integrated Border Management Fund, the instrument for financial support for border management and visa

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 77(2) and 79(2)(d) 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 (1),

Having regard to the opinion of the Committee of the Regions (2),

Acting in accordance with the ordinary legislative procedure (3),

Whereas:

(1) In the context of evolving migratory challenges in the European Union, as well as security concerns, preserving the careful balance between free movement of persons on the one hand, and security on the other is of utmost importance. The Union’s objective of ensuring a high level of security within an area of freedom, security and justice pursuant to Article 67(3) of the Treaty on the Functioning of the European Union (TFEU) should be achieved, among others, through common measures on the crossing of internal borders by persons and on border controls at external borders and the common visa policy , while preserving the careful balance between free movement of persons on the one hand and security on the other . [Am. 1]

(2) Pursuant to Article 80 TFEU, these policies and their implementation should be governed by the principle of solidarity and fair sharing of responsibility, including its financial implications, between the Member States.

(3) In the Rome Declaration signed on 25 September 2017, leaders of 27 Member States affirmed their determination to ensure a safe and secure Europe and to build a Union where all citizens feel safe and can move freely, where the external borders are secured, with an efficient, responsible and sustainable migration policy, respecting international norms, as well as a Europe determined to fight terrorism and organised crime. [Am. 2]

(3a) Actions funded under this Instrument should be implemented in full compliance with the provisions of the Charter of Fundamental Rights of the European Union, Union data protection law, the European Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR), the principle of fair treatment of third-country nationals, the right to asylum and international protection, the principle of non-refoulement and the international obligations of the Union and Member States arising from international instruments to which they are signatory such as the Geneva Convention Relating to the Status of Refugees of 28 July 1951, as supplemented by the New York Protocol of 31 January 1967. Special attention should also be given to the identification, immediate assistance and referral to protection services of vulnerable persons, in particular children and unaccompanied minors. [Am. 3]

(4) The objective of the Union’s policy in the field of external border management is to develop and implement the concept of European integrated border management at national and Union level, in order to facilitate legitimate border crossings, to prevent and detect irregular immigration and cross-border crime and to support the common visa policy, which is a precondition for should reinforce the free movement of persons within the Union and is a fundamental component of an area of freedom, security and justice. [Am. 4]

(5) European integrated border management, as implemented by the European Border and Coast Guard, established by Regulation (EU) 2016/1624 of the European Parliament and of the Council (4), composed of the European Border and Coast Guard Agency and the national authorities responsible for border management, including coast guards to the extent that they carry out border control tasks, is necessary for should help to harmonise border control, thus improving migration management - including facilitating access to international protection for those in need of it — and providing increased and security by contributing to combatting cross-border crime and terrorism . [Am. 5]

(6) Facilitating legitimate travel, while preventing irregular migration and security risks, was identified as one the main objectives of the Union’s response to the challenges in these areas in the Commission’s Communication on A European Agenda on Migration (5). [Am. 6]

(7) The European Council of 15 December 2016 (6) called for continued delivery on the interoperability of EU information systems and databases. The European Council of 23 June 2017 (7) underlined the need to improve interoperability between databases and on 12 December 2017 the Commission adopted a proposal for a Regulation on establishing a framework for interoperability between EU information systems (8). [Am. 7]

(8) In an attempt to preserve the integrity of the Schengen area and to strengthen its functioning reinforce the security of Union’s external borders , Member States have, since 6 April 2017, been obliged to carry out systematic checks against relevant databases on EU citizens who are crossing the EU’s external borders. Furthermore, the Commission issued a Recommendation to Member States to make better use of police checks and cross-border cooperation , in addition to the systematic checks already being carried out on all third-country nationals entering the Schengen area . However, it has proven necessary to use targeted checks in place of systematic checks at a number of external border crossing points, on account of the disproportionate impact of systematic checks on the flow of cross-border traffic (9) . [Am. 8]

(8a) The Commission has also issued Recommendation (EU) 2017/1804 (10) to Member States to make better use of police checks and cross-border cooperation in order to limit the impact on free movement and to remedy the threat to public policy or internal security. Despite different measures put in place, a number of Member States continue to maintain unlawful internal border control, undermining the basic principle of the Schengen Area. [Am. 9]

(9) Financial support from the Union budget is indispensable to for the implementation of European integrated border management to support Member States in managing the crossing of the external borders efficiently and in addressing migratory challenges and potential future threats future challenges at those borders, thereby contributing to addressing serious crime with a cross-border dimension while acting in full respect of fundamental rights. [Am. 10]

(10) To promote the implementation of the European integrated border management defined by its components in accordance with Article 4 of Regulation (EU) 2016/1624: border control, search and rescue during border surveillance, risk analysis, cooperation between Member States (supported and coordinated by the European Border and Coast Guard Agency), inter-agency inter agency cooperation (including the regular exchange of information), cooperation with third countries, technical and operational measures within the Schengen area related to border control and designed to address illegal irregular immigration and to counter cross-border crime better, use of state-of-the-art technology, quality control and solidarity mechanisms, and to ensure that it becomes an operational reality, Member States should be provided with adequate Union financial support. [Am. 11]

(11) As customs authorities of the Member States have been taking up an increasing number of responsibilities which often extend to the field of security and take place at the external border, ensuring uniformity it is important to foster inter agency cooperation, including information sharing through existing information exchange tools, as a component of the European integrated border management approach, as referred to in Article 4(e) of Regulation (EU) 2016/1624. Complementarity in carrying out border control and customs control at the external borders needs to be addressed ensured by providing adequate Union financial support to the Member States. This will not only strengthen customs controls in order both to combat all forms of trafficking, not least goods trafficking at borders, and terrorism, but will also facilitate legitimate trade, contributing and travel, and contribute to a secure and efficient customs union. [Am. 12]

(12) It is therefore necessary to establish the successor fund of the 2014-2020 Internal Security Fund established by Regulation (EU) No 515/2014 of the European Parliament and of the Council (11) , in part, by setting up an Integrated Border Management Fund (‘the Fund’). [Am. 13]

(13) Due to the legal particularities applicable to Title V of the TFEU and the different applicable legal bases regarding the policies on external borders and on customs control, it is not legally possible to establish the Fund as a single instrument.

(14) The Fund should therefore be established as a comprehensive framework for Union financial support in the field of border management and visa comprising the instrument for financial support for border management and visa (‘the instrument’) established by this Regulation as well as the an instrument for financial support for customs control equipment established by Regulation (EU) No …/… (12) of the European Parliament and of the Council. The framework should be complemented by Regulation (EU) No …/… [Common Provisions Regulation] of the European Parliament and of the Council (13) , to which this Regulation should refer as regards an instrument laying down rules on shared management. [Am. 14]

(15) The instrument should be implemented in full compliance with the rights and principles enshrined in the Charter of Fundamental Rights of the European Union and with the Union’s international obligations as regards fundamental rights , including as regards the European Convention for the Protection of Human Rights and Fundamental Freedoms (ECHR) and in particular by ensuring compliance with the principle of non-refoulement, the principle of transparency, the principle of non-discrimination and the right to seek international protection . Special attention should also be given to the identification, immediate assistance and referral to protection services of vulnerable persons, in particular children and unaccompanied minors. [Am. 15]

(15a) Those obligations apply equally to third countries with which the Member States and the Union work under this instrument. [Am. 16]

(16) The instrument should build on the results and investments achieved with the support of its predecessors: the External Borders Fund for the period 2007-2013 established by Decision No 574/2007/EC of the European Parliament and of the Council (14) and the instrument for external borders and visa as part of the Internal Security Fund for the period 2014-2020 established by Regulation (EU) No 515/2014 and should extend it to take into account new developments. [Am. 17]

(17) To ensure a uniform and high-quality external border control and to facilitate legitimate travel across the external borders, the instrument should contribute to the development of European integrated border management that includes all the measures involving policy, law, systematic cooperation, burden-sharing burden sharing , assessment of the situation and changing circumstances regarding crossing points for irregular migrants, personnel, equipment and technology taken at different levels by the competent authorities of the Member States and by the European Border and Coast Guard Agency, acting in cooperation with other actors such as third countries and other EU bodies, in particular the European Agency for the operational management of large-scale IT systems in the area of freedom, security and justice (eu-LISA), Europol and , where appropriate, third countries and international organisations. [Am. 18]

(18) The instrument should contribute to the improvement of the efficiency of visa processing in terms of facilitating visa procedures for bona fide travellers and of detecting and assessing security and irregular migration risks, as well as facilitating visa procedures for bona fide travellers. In particular, the instrument should deliver financial assistance to support digitalisation of visa processing with the objective to provide fast, secure and client-friendly visa procedures for the benefit of both visa applicants and consulates. The instrument should also serve to ensure wide consular coverage across the world. The uniform implementation of the common visa policy and its modernisation should also be covered by the instrument , as should assistance to Member States for the issuance of visas with limited territorial validity issued on humanitarian grounds, for reasons of national interest or because of international obligations as well as for beneficiaries of a Union resettlement or relocation programme, and for compliance, in full, with the Union acquis on visas . [Am. 19]

(19) The instrument should support measures clearly linked to external border control in the territory of the Schengen countries that are linked to border control as part of the development of a common integrated border management system, which strengthens the overall functioning of the Schengen area. [Am. 20]

(20) With a view to improving the management of the external borders, to contribute to preventing facilitating legitimate travel, to contributing to the prevention of and combating irregular migration border crossing and to contribute contributing to a high level of security within the area of freedom, security and justice of the Union, the instrument should support the development of those large-scale IT systems, based on existing or new IT systems that have been agreed upon by the European Parliament and the Council . In that regard, it should also support the setting-up of interoperability between those EU information systems (Entry-exit system (EES) (15), the Visa Information System (VIS) (16), the European Travel Information and Authorisation System (ETIAS) (17), Eurodac (18), the Schengen Information System (SIS) (19) and the European Criminal Records Information System for third-country nationals (ECRIS-TCN)) (20) in the Member States, in order for these EU information systems and their data to supplement each other. The instrument should also contribute to the necessary developments at national level following the implementation of the interoperability components at central level (European search portal (ESP), a shared biometric matching service (shared BMS), a common identity repository (CIR) and a multiple-identity detector (MID)) (21). [Am. 21]

(21) The instrument should complement and reinforce the activities to implement implementing European integrated border management in line with shared responsibility and solidarity between the Member States and the European Border and Coast Guard Agency representing the two pillars of the European Border and Coast Guard. This means, in particular that, when drawing up their national programmes, Member States should take into account the analytical tools and, operational and technical guidelines developed by the European Border and Coast Guard Agency as well as the training curricula developed by it, such as the common core curricula for the training of border guards, including its components with regard to fundamental rights and access to international protection. In order to develop complementarity between its mission tasks and the responsibilities of the Member States for the control of the external borders as well as , and to ensure consistency and to avoid cost inefficiency, the Commission should consult the European Border and Coast Guard Agency on the draft national programmes submitted by the Member States in as far as it falls they fall within the Agency’s competencies, in particular on the activities financed under operating support. The Commission should also ensure that eu-LISA, the European Union Agency for Fundamental Rights and any other relevant Union agency or body, are associated with the process of developing Member States’ national programmes at an early stage, in so far as it falls within the agencies’ competencies. [Am. 22]

(22) In so far as the affected Member States so request, the instrument should support the implementation of the hotspot approach as outlined in the Commission’s Communication on A European Agenda on Migration and endorsed by the European Council of 25 and 26 June 2015 (22). The hotspot approach provides operational support to Member States affected by disproportionate migratory pressure at the Union’s external borders faced with an emergency situation . It offers integrated, comprehensive and targeted assistance in a spirit of solidarity and shared responsibility , allowing the arrival of large numbers of persons at the Union's external borders to be handled humanely and efficiently, as well as with a view to safeguarding the integrity of the Schengen area. [Am. 23]

(23) In the interest of solidarity in the Schengen area as a whole and throughout the Union and in the spirit of shared responsibility for the protection of the Union’s external borders, where weaknesses or risks are identified, in particular following a Schengen evaluation in accordance with Council Regulation (EU) No 1053/2013 (23), the Member State concerned should adequately address the matter by using resources under its programme to implement recommendations adopted pursuant to that Regulation and in line with vulnerability assessments carried out by the European Border and Coast Guard Agency in accordance with Article 13 of Regulation (EU) 2016/1624. [Am. 24]

(24) The instrument should express solidarity and shared responsibility through provide financial assistance for to those Member States that fully apply the Schengen provisions on external borders and visas as well as and to those which are preparing for full participation in Schengen, and should be used by the Member States in the interests of the Union’s common policy for the management of the external borders. [Am. 25]

(25) In accordance with Protocol No 5 to the 2003 Act of Accession (24) on the transit of persons by land between the region of Kaliningrad and other parts of the Russian Federation, the instrument should bear any additional cost incurred in implementing the specific provisions of the Union acquis covering such transit, namely Council Regulation (EC) No 693/2003 (25) and Council Regulation (EC) No 694/2003 (26). The need for continued financial support for foregone fees, however, should be dependent upon the visa regime of the Union in force with the Russian Federation.

(26) To contribute to the achievement of the policy objective of the instrument, Member States should ensure that their programmes address the specific objectives of the instrument, that the priorities chosen are in line with the agreed EU priorities and the implementing measures as set out in Annex II and that the allocation of appropriate resources between objectives and actions is proportionate to the challenges and needs they are faced with. In that regard, it is important to achieve a fair and transparent distribution of resources among the specific objectives of the instrument. Accordingly, it is appropriate to ensure a minimum level of expenditure for the specific objective of supporting the common visa policy whether for measures under direct or indirect management, or for measures under shared management. [Am. 26]

(27) Synergies, consistency and efficiency should be sought with other EU Funds and overlap between the actions should be avoided.

(28) Return of third-country nationals who are the subject of return decisions issued by a Member State is one of the components of European integrated border management as outlined in Regulation (EU) 2016/1624. However, due to its nature and objective, measures in the field of return fall outside the scope of support of the instrument and are covered by Regulation (EU) No …/… [new AMF] (27).

(29) To acknowledge the important role of the Member States’ customs authorities at the external borders and to ensure that they have at their disposal sufficient means to implement their broad scope of tasks at these borders, the instrument for financial support for customs control equipment established by Regulation (EU) No …/… [new Customs Control Equipment Fund] of the European Parliament and of the Council should provide these national authorities with the necessary funding to invest in equipment to carry out customs control as well as equipment that can in addition to customs control serve other purposes such as border control.

(30) Most customs control equipment may be equally or incidentally fit for controls of compliance with other legislation, such as provisions on border management, visa or police cooperation. The Integrated Border Management Fund has therefore been conceived as two complementary instruments with distinct but coherent scopes for the purchase of equipment. On the one hand, the instrument for border management and visa established by this Regulation will exclude equipment that can be used for both border management and customs control. On the other hand, the instrument for customs control equipment will not only support financially equipment with customs controls as the main purpose but will also allow its use as well for additional purposes such as border controls and security. This distribution of roles will foster inter-agency cooperation as a component of the European integrated border management approach, as referred to in Article 4(e) of Regulation (EU) 2016/1624, thereby enabling customs and border authorities to work together and maximising the impact of the Union budget through co-sharing and inter-operability of control equipment.

(31) Border surveillance at sea is considered one of the coastguard functions performed in the Union maritime domain. National authorities carrying out coast guard functions are also responsible for a wide range of tasks, which may include, but would not be limited to, maritime safety, security, search and rescue, border control, fisheries control, customs control, general law enforcement and environmental protection. The broad scope of coastguard functions brings them under the remit of different Union policies which should seek synergies to achieve more effective and efficient results. [Am. 27]

(31a) When implementing actions funded under the instrument which are related to maritime border surveillance, Member States should pay special attention to their obligations under international maritime law to render assistance to persons in distress. In that regard, equipment and systems supported under the instrument should be used to address search and rescue situations which may arise during a border surveillance operation at sea, thereby contributing to ensuring the protection and saving the lives of migrants. [Am. 28]

(32) In addition to the Union cooperation on coastguard functions among the European Border and Coast Guard Agency established by Regulation (EU) 2016/1624, the European Maritime Safety Agency established by Regulation (EC) No 1406/2002 of the European Parliament and of the Council (28) and the European Fisheries Control Agency established by Council Regulation (EC) No 768/2005 (29), improved coherence of the activities in the maritime domain should also be achieved at national level. Synergies between the various actors in the maritime environment should be in line with European integrated border management and maritime security strategies.

(33) To strengthen the complementarity and to reinforce the consistency of maritime activities as well as to avoid duplication of efforts and to alleviate budgetary constraints in an area of costly activities such as the maritime domain, the instrument should support maritime operations of multipurpose character where the main objective is border surveillance but other objectives linked to it could additionally be pursued simultaneously , such as combating trafficking in human beings . [Am. 29]

(34) The primary purpose of this instrument should be to support integrated border management at the Union’s external borders and to support the common visa policy. However, within defined limits and subject to the appropriate safeguards, certain measures in and in relation to third countries could be supported through the instrument . Those measures should be implemented in full synergy and coherence with and should complement other actions outside the Union supported through the Union's external financing instruments. In particular, in implementing such actions, full coherence should 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. In relation to the external dimension, the instrument should target support to enhance cooperation with third countries and to reinforce key aspects of their border surveillance and border management capabilities in areas of interest to the Union’s migration policy and Union’s security objectives. [Am. 30]

(34a) The Commission should pay particular attention to the evaluation of actions and programmes related to third countries. [Am. 31]

(35) Funding from the Union budget should concentrate on activities where Union intervention can bring added value as compared to actions by Member States alone. As the Union is in a better position than Member States to provide a framework for expressing Union solidarity in border control, management and common visa policy and the management of migration flows, and to provide a platform for the development of common IT systems underpinning those policies, financial support provided under this Regulation will contribute in particular to strengthening national and Union capabilities in those areas. [Am. 32]

(36) A Member State may be deemed not to be compliant with the relevant Union acquis, including as regards the use of operating support under this instrument, if it has failed to fulfil its obligations under the Treaties in the areas of border management and visa, if there is a clear risk of a serious breach by the Member State of the Union’s values when implementing the acquis on border management and visa or, if an evaluation report under the Schengen evaluation and monitoring mechanism has identified deficiencies in the relevant area , or if, when cooperating with a third country, the Member State has financed and taken joint actions with that third country which have resulted in breaches of fundamental rights reported by the evaluation and monitoring mechanism . [Am. 33]

(37) The instrument should reflect the need for increased flexibility and simplification while respecting requirements in terms of predictability, and ensuring ensure a fair and transparent distribution of resources to meet the objectives laid down in this Regulation. It should balance the need for predictability in the distribution of funding with the need for its increased flexibility and simplicity. In order to meet the requirements in terms of transparency of funding, the Commission, with the cooperation of the Member States, should publish information on the development of the annual and multiannual programmes under the thematic facility. The implementation of the instrument should be guided by the principles of efficiency, effectiveness and quality of spending. Furthermore, the implementation of the instrument should be as user-friendly as possible. [Am. 34]

(38) This Regulation should establish the initial amounts for Member States’ programmes calculated on the basis of criteria laid down in Annex I, which reflect the length and the threat impact levels based on recent and historical data at land and sea border sections, the workload at the airports and the consulates as well as the number of consulates. [Am. 35]

(39) These initial amounts will form a basis for Member States’ long term investments. To take account of changes in the baseline situation, such as the pressure on the Union external border and the workload at the external borders and at consulates, an additional amount will be allocated to the Member States at mid-term and will be based on the latest available statistical data as set out in the distribution key taking into account the state of programme implementation.

(39a) The mid-term review should be used to assess the effectiveness and Union added value of programmes, resolve problems that appeared during the first phase, and provide a transparent overview of the implementation. [Am. 36]

(40) As challenges in the area of border management and visas are constantly evolving there is a need to adapt the allocation of funding to the changes in migration flows priorities for visa policy and border management , including as a result of increased pressure at the border and security threats, and to steer funding towards the priorities with the highest added value for the Union. To respond to pressing needs, changes in policy and Union priorities and to steer funding towards actions with a high level of added value for the Union, part of the funding will be periodically allocated to specific actions, Union actions and emergency assistance, via a thematic facility. [Am. 37]

(41) Member States should be encouraged to use part of their programme allocation to fund the actions listed in Annex IV by benefiting from a higher Union contribution.

(42) The instrument should , within defined limits, contribute to supporting operating costs related to border management, common visa policy and large-scale IT systems and should thereby enable Member States to maintain capabilities which are crucial for the Union as a whole. Such support consists of full reimbursement of specific costs related to the objectives of the instrument and should form an integral part of the Member States’ programmes. [Am. 38]

(43) Part of the available resources under the instrument could also be allocated to Member States’ programmes for the implementation of specific actions in addition to their initial allocation. These specific actions should be identified at Union level and should concern actions with a Union added value which require cooperative effort among Member States or actions necessary to address developments in the Union which require additional funding to be made available to one or more Member States, such as the purchase through the national programmes of Member States of technical equipment needed by the European Border and Coast Guard Agency to perform its operational activities, the modernisation of the processing of visa applications, the development of new large-scale IT systems and the setting-up setting up of interoperability between those systems. These specific actions will be defined by the Commission in its work programmes which should be adopted by delegated act . [Am. 39]

(44) To complement the implementation of the policy objective of this instrument at national level through Member States’ programmes, the instrument should also provide support for actions at Union level. Such actions should serve overall strategic purposes within the scope of intervention of the instrument relating to policy analysis and innovation, transnational mutual learning and partnerships and the testing of new initiatives and actions across the Union.

(45) In order to strengthen the Union’s capacity to immediately address immediately unforeseen or disproportionate migratory pressure , urgent and specific needs in the event of an emergency situation , in particular at those border sections where the impact level has been identified in line with Regulation (EU) No 1052/2013 of the European Parliament and of the Council (30) as such that it jeopardises the functioning of the Schengen area as a whole, as well as pressure on the visa sections of Member States’ consulates or risks to border security, it should be possible to this instrument should exceptionally provide emergency financial assistance as a measure of last resort in accordance with the framework set out in this Regulation. [Am. 40]

(45a) Migration and the crossing of external borders by a large number of third-country nationals should not, per se, be considered to be a threat to public policy or internal security and should not, per se, trigger emergency assistance under this instrument. [Am. 41]

(46) The policy objective of this instrument will be also addressed through financial instruments and budgetary guarantee under the policy window(s) […] of the InvestEU Fund. Financial support should be used to address market failures or sub-optimal investment situations, in a proportionate manner and actions should not duplicate or crowd out private financing or distort competition in the internal market. Actions should have a clear European added value. [Am. 42]

(47) This Regulation lays down a financial envelope for the entire instrument which is to constitute the prime reference amount, within the meaning of [point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management] (31), for the European Parliament and the Council during the annual budgetary procedure.

(48) Regulation (EU, Euratom) No …/… [new Financial Regulation] (‘Financial Regulation’) (32) applies to this instrument. It lays down rules on the implementation of the Union budget, including the rules on grants, prizes, procurement, indirect implementation, financial assistance, financial instruments and budgetary guarantees. In order to ensure coherence in the implementation of Union funding programmes, the Financial Regulation is to apply to the actions to be implemented in direct or indirect management under the instrument.

(49) For the purpose of implementation of actions under shared management, the instrument should form part of a coherent framework consisting of this Regulation, the Financial Regulation and an instrument laying down common provisions for shared management. In the event of conflicting provisions, this Regulation (EU) No …/… [CPR] should take precedence over the common provisions . [Am. 43]

(50) Regulation (EU) No …/… [CPR] establishes the framework for action by the European Regional Development Fund (ERDF), the European Social Fund Plus (ESF+), the Cohesion Fund, the European Maritime and Fisheries Fund (EMFF), the Asylum and Migration Fund (AMF), the Internal Security Fund (ISF) and the instrument for border management and visa (BMVI), as a part of the Integrated Border Management Fund (IBMF), and it lays down, in particular, the rules concerning programming, monitoring and evaluation, management and control for EU funds implemented under shared management. Additionally it is necessary to specify the objectives of the instrument for border management and visa in this Regulation, and to lay down specific provisions concerning activities that may be financed through this instrument.

(51) The types of financing and the methods of implementation under this Regulation should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and unit costs, as well as financing not linked to costs as referred to in Article 125(1) of the Financial Regulation.

(52) In accordance with Regulation (EU) No …/… [new Financial Regulation] (33), Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (34), Council Regulation (Euratom, EC) No 2988/95 (35), Council Regulation (Euratom, EC) No 2185/96 (36) and Council Regulation (EU) 2017/1939 (37), the financial interests of the Union are to be protected through proportionate measures, including the prevention, detection, correction and investigation of irregularities and fraud, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of administrative sanctions. In particular, in accordance with Regulation (EU, Euratom) No 883/2013 and Regulation (Euratom, EC) No 2185/96 the European Anti-Fraud Office (OLAF) may carry out administrative investigations, including on-the-spot checks and inspections, with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union. In accordance with Regulation (EU) 2017/1939, the European Public Prosecutor’s Office (EPPO) may investigate and prosecute fraud and other criminal offences affecting the financial interests of the Union as provided for in Directive (EU) 2017/1371 of the European Parliament and of the Council (38). In accordance with the Financial Regulation, any person or entity receiving Union funds is to fully cooperate in the protection of the Union’s financial interests to grant the necessary rights and access to the Commission, OLAF, the EPPO and the European Court of Auditors (ECA) and to ensure that any third parties involved in the implementation of Union funds grant equivalent rights. The results of investigations into irregularities or fraud in relation to the instrument should be made available to the European Parliament. [Am. 44]

(53) Horizontal financial rules adopted by the European Parliament and the Council on the basis of Article 322 of the Treaty on the Functioning of the European Union apply to this Regulation. These rules are laid down in the Financial Regulation and determine in particular the procedure for establishing and implementing the budget through grants, procurement, prizes, indirect implementation, and provide for checks on the responsibility of financial actors. Rules adopted on the basis of Article 322 TFEU also concern the protection of the Union's budget in case of generalised deficiencies as regards the rule of law in the Member States, as the respect for the rule of law is an essential precondition for sound financial management and effective EU funding.

(54) Pursuant to Article 94 of Council Decision 2013/755/EU (39), persons and entities established in overseas countries and territories (OCTs) are eligible for funding subject to the rules and objectives of the instrument and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked.

(55) Pursuant to Article 349 of the TFEU and in line with the Commission Communication A stronger and renewed strategic partnership with the EU's outermost regions, endorsed by the Council in its conclusion of 12 April 2018, the relevant Member States should ensure that their national programmes address emerging threats the outermost regions are confronted with , such as border surveillance, disproportionate influx of people or the deployment of EU information systems . The instrument supports these Member States with adequate resources to help the outermost regions as appropriate in light of such specificities . [Am. 45]

(56) Pursuant to paragraph 22 and 23 of the Interinstitutional Agreement for Better Law-Making of 13 April 2016 (40), there is a need to evaluate this instrument on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burden, in particular on Member States. These requirements, where appropriate, can include measurable indicators — including qualitative and quantitative indicators, as a basis for evaluating the effects of the instrument on the ground. In order to measure the achievements of the instrument, indicators and related targets should be established in relation to each specific objective of the instrument. [Am. 46]

(57) Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this instrument will contribute to mainstream climate actions and to the achievement of an overall target of 25 % of the EU budget expenditures supporting climate objectives. Relevant actions will be identified during the preparation and implementation of the instrument, and reassessed in the context of the relevant evaluations and review processes.

(58) Through the indicators and financial reporting The Commission should present a summary of the accepted annual performance reports to the European Parliament and the Council every year. Upon request , the Commission and the Member States should monitor the implementation make the full text of the instrument, in accordance with the relevant provisions of Regulation (EU) No …/… [CPR] and this Regulation annual performance reports available to the European Parliament and the Council . [Am. 47]

(58a) It is important to ensure sound financial management and legal certainty during the transitional period and throughout the implementation of the Instrument. Actions undertaken during the 2014-2020 period should not be interrupted during the transition. [Am. 48]

(59) In order to supplement and amend non-essential elements of this Regulation the power to adopt acts in accordance with Article 290 the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of the list actions eligible for higher co-financing as listed in Annex IV, operating support and in order to further develop the common monitoring and evaluation framework. It is of particular importance that the Commission carries out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law Making of 13 April 2016 (41).

(60) In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. These powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (42). The examination procedure should be used for implementing acts that lay down common obligations on Member States, in particular on the provision of information to the Commission, and the Advisory procedure should be used for the adoption of implementing acts relating to the modalities of providing information to the Commission in the framework of programming and reporting, given their purely technical nature. [Am. 49]

(61) Participation by a Member State in this instrument should not coincide with its participation in a temporary financial instrument of the Union which supports the beneficiary Member States to finance, among others, actions at new external borders of the Union for the implementation of the Schengen acquis on borders and visas and external border control.

(62) As regards Iceland and Norway, this Regulation constitutes a development of the Schengen acquis within the meaning of the Agreement concluded by the Council of the European Union and the Republic of Iceland and the Kingdom of Norway concerning the latters’ association with the implementation, application and development of the Schengen acquis (43) which falls within the areas referred to in Article 1, Points A and B of Council Decision 1999/437/EC (44).

(63) 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 Swiss Confederation’s association with the implementation, application and development of the Schengen acquis (45) which falls within the area referred to in Article 1, Points A and B of Decision 1999/437/EC read in conjunction with Article 3 of Council Decision 2008/146/EC (46).

(64) 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 (47) which falls within the area referred to in Article 1, Points A and B of Decision 1999/437/EC read in conjunction with Article 3 of Council Decision 2011/350/EU (48).

(65) In accordance with Articles 1 and 2 of Protocol No 22 on the position of Denmark, annexed to TEU and TFEU, Denmark is not taking part in the adoption of this Regulation and is not bound by it or subject to its application. Given that this Regulation builds upon the Schengen acquis, Denmark should, in accordance with Article 4 of that Protocol, decide within a period of six months after the Council has decided on this Regulation whether it will implement this Regulation in its national law.

(66) This Regulation constitutes a development of the provisions of the Schengen acquis in which Ireland does not take part, in accordance with Council Decision 2002/192/EC (49). Ireland is therefore not taking part in its adoption and is not bound by it or subject to its application.

(67) It is appropriate to align the period of application of this Regulation with that of Council Regulation (EU, Euratom) …/… [Multiannual Financial Framework Regulation] (50),

HAVE ADOPTED THIS REGULATION:

CHAPTER I

GENERAL PROVISIONS

Article 1 Subject matter 1. This Regulation establishes the instrument for financial support for border management and visa (‘the instrument’) as part of the Integrated Border Management Fund (‘the Fund’) for the period from 1 January 2021 to 31 December 2027 . [Am. 50] 2. Jointly with Regulation (EU) No …/… [Customs Control Equipment Fund], establishing as part of the [Integrated Border Management Fund] (51) the instrument for financial support for customs control equipment, this Regulation establishes the Fund. [Am. 51] 3. It This Regulation lays down the objectives of the instrument , the specific objectives and measures to implement those specific objectives , the budget for the period 2021-2027, the forms of Union funding and the rules for providing such funding. [Am. 52]

Article 2 Definitions For the purposes of this Regulation the following definitions shall apply: (1) ‘blending operation’ means actions supported by the Union budget, including within blending facilities pursuant to Article 2(6) of the Financial Regulation, combining non-repayable forms of support and/or financial instruments from the Union budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors; [Am. 53] (2) ‘border crossing point’ means any crossing point authorised by the competent authorities for the crossing of external borders as notified in accordance with Article 2(8) of Regulation (EU) 2016/399 of the European Parliament and of the Council (52); (3) ‘European integrated border management’ means the components listed in Article 4 of Regulation (EU) 2016/1624; (4) ‘external borders’ means external borders as defined in point (2) of Article 2 of Regulation (EU) 2016/399 the borders of the Member States: land borders, including river and lake borders, sea borders as well as their airports, river ports, sea ports and lake ports to which the provisions of Union law on the crossing of external borders apply, including those internal borders at which the controls have not been lifted yet; [Am. 54] (5) ‘external border section’ means the whole or a part of the external land or sea border of a Member State as defined by Regulation (EU) No 1052/2013; (6) ‘hotspot area’ means the hotspot area defined in Article 2(10) of Regulation (EU) 2016/1624; (7) ‘internal borders at which the controls have not been lifted yet’ means: (a) the common border between a Member State fully implementing the Schengen acquis and a Member State bound to apply the Schengen acquis in full, in conformity with its Act of Accession, but for which the relevant Council Decision authorising it to fully apply that acquis has not yet entered into force; (b) the common border between two Member States bound to apply the Schengen acquis in full, in conformity with their respective Acts of Accession, but for which the relevant Council Decision authorising them to fully apply that acquis has not yet entered into force.

Article 3 Objectives of the instrument 1. As part of the Integrated Border Management Fund, the policy objective of the instrument shall be ensuring strong and effective European integrated border management at the external borders while safeguarding the free movement of persons within it, in full compliance with the Union’s commitments on fundamental rights, thereby contributing to guaranteeing a high level of security in acquis and international obligations of the Union and its Member States arising from international instruments to which they are signatory . [Am. 55] 2. Within the policy objective set out in paragraph 1, the instrument shall contribute to the following specific objectives: (a) supporting effective European integrated border management at the external borders implemented by the European Border and Coast Guard as a shared responsibility of the European Border and Coast Guard Agency and of the national authorities responsible for border management, to facilitate legitimate border crossings, to prevent and detect illegal irregular immigration and cross-border crime and to effectively manage migratory flows; [Am. 56] (b) supporting the common visa policy to ensure a more harmonised approach among the Member States with regard to the issuance of visas and to facilitate legitimate travel and prevent migratory and mitigate security risks. [Am. 57] 3. Within the specific objectives set out in paragraph 2, the instrument shall be implemented through the implementation measures listed in Annex II.

Article 3a Non-discrimination and respect for fundamental rights The instrument shall be implemented in full compliance with the rights and principles enshrined in the Union acquis, the Charter of Fundamental Rights of the European Union, the European Convention for the Protection of Human Rights and Fundamental Freedoms, and with the Union’s international obligations as regards fundamental rights, in particular by ensuring compliance with the principles of non-discrimination and non-refoulement. [Am. 58]

Article 4 Scope of support 1. Within the objectives referred to in Article 3 and In line with the implementation measures listed in Annex II, the instrument shall support actions that contribute to the achievement of the objectives referred to in Article 3 and in particular support the actions listed in Annex III. [Am. 59] 2. To achieve the objectives of this Regulation referred to in Article 3 , the instrument may in exceptional cases, within defined limits, and subject to appropriate safeguards, support actions in line with Union priorities as referred to in Annex III in relation to and in third countries, where appropriate, in accordance with Article 5. [Am. 60] 2a. The total amount of funding for supporting actions in or in relation to third countries under the thematic facility in accordance with Article 8 shall not exceed 4 % of the total amount allocated to the thematic facility under Article 7(2)(b). [Am. 61] 2b. The total amount of funding for supporting actions in or in relation to third countries under the Member States' programmes in accordance with Article 12 shall not exceed, for each Member State, 4 % of the total amount allocated to that Member State in accordance with Article 7(2)(a), with Article 10(1) and with Annex I. [Am. 62] 3. The following actions shall not be eligible: (a) the actions referred to in paragraph 1(a) of Annex III at those internal borders at which controls have not been lifted yet; (b) the actions related to the temporary and exceptional reintroduction of border control at internal borders as referred to in Regulation (EU) 2016/399; (c) as regards the control of goods: (1) actions of which the exclusive aim or effect is control of goods; (2) purchase, maintenance or upgrading of equipment, excluding means of transport, of which one of the aims or effects is control of goods; (3) other actions under this Regulation of which the primary aim or effect is the control of goods. Where an emergency situation , as referred to in Article 23, occurs, non-eligible actions referred to in this paragraph may be considered eligible. [Am. 63]

Article 5 Eligible entities 1. The following entities may be eligible: (a) legal entities established in any of the following countries: (i) a Member State or an overseas country or territory linked to it; (ii) a third country listed in the work programme under the conditions specified therein , subject to the condition that all actions in or in relation to that third country fully respect the rights and principles enshrined in the Charter of Fundamental Rights of the European Union, and the international obligations of the Union and the Member States . [Am. 64] (b) any legal entity created under Union law or any international organisation. 2. Natural persons are not eligible. 3. Legal entities established in a third country are exceptionally eligible to participate where this is necessary for the achievement of the objectives of a given action , and where this is in full compliance with Union acquis and the Charter of Fundamental Rights of the European Union . [Am. 65] 4. Legal entities participating in consortia of at least two independent entities, established in different Member States or in overseas countries or territories linked to those states or in third countries, are eligible. Article 6(3) applies when international organisations participating in a consortium are established in a third country. [Am. 66]

CHAPTER II

FINANCIAL AND IMPLEMENTATION FRAMEWORK

SECTION 1

COMMON PROVISIONS

Article 6 General principles 1. Support provided under this Regulation shall complement national, regional and local interventions, and shall focus on bringing Union added value to the objectives of this Regulation. [Am. 67] 2. The Commission and the Member States shall ensure that the support provided under this Regulation and by the Member States is consistent with the relevant activities, policies and priorities of the Union and is complementary to other Union instruments. 3. The instrument shall be implemented in shared, direct or indirect management in accordance with Articles 62 (1)(a), (b) and (c) of the Financial Regulation. 3b. The Commission and the Member States shall cooperate in the implementation of the instrument. The Commission shall set up a helpdesk and contact point to provide support to Member States and contribute to the effective allocation of funding. [Am. 68]

Article 7 Budget 1. The financial envelope for the implementation of the instrument for the period 2021-2027 shall be EUR 7 087 760 000 in 2018 prices ( EUR 8 018 000 000 in current prices). [Am. 69] 2. The financial envelope shall be used as follows: (a) EUR 4 252 833 000 in 2018 prices ( EUR 4 811 000 000 in current prices) shall be allocated to the programmes implemented under shared management, of which EUR 138 962 000 in 2018 prices ( EUR 157 200 000 in current prices) for the Special Transit Scheme referred to in Article 16, implemented under shared management; [Am. 70] (b) EUR 2 834 927 000 in 2018 prices ( EUR 3 207 000 000 in current prices) shall be allocated to the thematic facility. [Am. 71] 3. Up to 0,52 % of the financial envelope shall be allocated for technical assistance at the initiative of the Commission for the implementation of the instrument. 4. Under the relevant provisions of their association agreements, arrangements shall be made in order to specify the nature and modalities of the participation by countries associated with the implementation, application and development of the Schengen acquis. The financial contributions from those countries shall be added to the overall resources available from the Union budget referred to in paragraph 1.

Article 8 General provisions on the implementation of the thematic facility 1. The financial envelope referred to in Article 7(2)(b) shall be allocated flexibly through the thematic facility using shared, direct and indirect management as set out in work programmes. Funding from the thematic facility shall be used for its components: (a) specific actions; (b) Union actions and (c) and emergency assistance. Technical assistance at the initiative of the Commission shall also be supported from the financial envelope for the thematic facility. 2. Funding from the thematic facility shall address priorities with a high added value to the Union or be used to respond to urgent needs, in line with agreed Union priorities as outlined in Annex II or support measures in accordance with Article 20 . For the preparation of the work programmes, the Commission shall consult the organisations, which represent the partners at Union level, including civil society . [Am. 72] 2a. A minimum of 20 % of the funding from the thematic facility shall be allocated to the specific objective referred to in Article 3(2)(b). [Am. 73] 3. When funding from the thematic facility is granted in direct or indirect management to Member States, it no funding shall be ensured that selected available for projects are not affected by where there is evidence that the legality of those projects, or the legality and regularity of that funding, or the performance of those projects, would be in doubt as a result of a reasoned opinion by the Commission in respect of an infringement under Article 258 TFEU that puts at risk the legality and regularity of expenditure or the performance of projects. [Am. 74] 4. When funding from the thematic facility is implemented in shared management, the Commission shall, for the purposes of Article 18 and Article 19(2) of Regulation (EU) No …/… [CPR], assess whether the foreseen actions are not affected by to ensure that no funding shall be available for projects where there is evidence that the legality of those projects, or the legality and regularity of those projects, or the performance of those projects, would be called in doubt as a result of a reasoned opinion by the Commission in respect of an infringement under Article 258 TFEU that puts at risk the legality and regularity of expenditure or the performance of the projects. [Am. 75] 4a. When funding from the thematic facility is granted under direct or indirect management, the Commission shall assess whether the actions foreseen are not affected by a generalised deficiency as regards the rule of law in a Member State that affects or risks affecting the principles of sound financial management or the protection of the financial interests of the Union in a manner that puts at risk the legality and regularity of expenditure or the performance of the projects. [Am. 76] 5. The Commission shall establish the overall amount made available for the thematic facility under the annual appropriations of the Union budget. 6. The Commission shall is empowered to adopt financing decisions delegated acts in accordance with Article 29 to lay down work programmes as referred to in Article 110 of the Financial Regulation for the thematic facility, identifying the objectives and the actions to be supported and specifying the amounts for each of its components, as referred to in paragraph 1. Financing decisions shall set out, where applicable, the overall amount reserved for blending operations. [Am. 77] 7. Following the adoption of a financing decision work programme as referred to in paragraph 3 6 , the Commission may amend the programmes implemented under shared management accordingly. [Am. 78] 8. The financing decisions work programmes may be annual or multiannual and may cover one or more components of the thematic facility. [Am. 79]

SECTION 2

SUPPORT AND IMPLEMENTATION UNDER SHARED MANAGEMENT

Article 9 Scope 1. This section applies to the part of the financial envelope referred to in Article 7(2)(a), and the additional resources to be implemented under shared management according to the Commission decision work programmes for the thematic facility referred to in Article 8. [Am. 80] 2. Support under this section shall be implemented under shared management in accordance with Article 63 of the Financial Regulation and Regulation (EU) No …/… [CPR].

Article 10 Budgetary resources 1. Resources referred to in Article 7(2)(a) shall be allocated to the national programmes implemented by Member States under shared management (‘the programmes’) indicatively as follows: (a) EUR 3 543 880 000 in 2018 prices ( EUR 4 009 000 000 in current prices) to the Member States in accordance with the criteria in Annex I; [Am. 81] (b) EUR 708 953 000 in 2018 prices ( EUR 802 000 000 in current prices) to the Member States for the adjustment of the allocations for the programmes as referred to in in Article 13(1). [Am. 82] 2. Where the amount referred to in paragraph 1(b) is not allocated, the remaining amount may be added to the amount referred to in Article 7(2)(b).

Article 11 Co-financing rates 1. The contribution from the Union budget shall not exceed 75 % 85 % of the total eligible expenditure of a project from Member States whose per capita gross national income (‘GNI’) is less than 90 % of that of the Union average and 75 % of the total eligible expenditure for other Member States . [Am. 83] 2. The contribution from the Union budget may be increased to 90 % of the total eligible expenditure for projects implemented under specific actions. 3. The contribution from the Union budget may be increased to 90 % of the total eligible expenditure for the actions listed in Annex IV. 4. The contribution from the Union budget may be increased to 100 % of the total eligible expenditure for operating support, including the Special Transit Scheme. 5. The contribution from the Union budget may be increased to 100 % of the total eligible expenditure for emergency assistance. 6. The Commission decision approving a programme shall set the co-financing rate and the maximum amount of support from this instrument for the types of action referred to in paragraphs 1 to 5. 7. For each specific objective, the Commission decision shall set out whether the co-financing rate for the specific objective is to be applied to: (a) the total contribution, including the public and private contribution, or (b) public contribution only.

Article 12 Programmes 1. Each Member State and the Commission shall ensure that the priorities addressed in its the national programme are consistent with and respond to the Union priorities and challenges in the area of border management and visa, and that they are fully in line with the relevant Union acquis and agreed Union priorities , and the international obligations of the Union and Member States arising from international instruments to which they are signatories . In defining the priorities of their programmes, Member States shall ensure that the implementing measures as set out in Annex II are adequately addressed. [Am. 84] 1a. In that regard, Member States shall allocate a minimum of 20 % of their allocated funding to the specific objective referred to in Article 3(2)(b). [Am. 85] 2. The Commission shall ensure , where appropriate, that the European Border and Coast Guard Agency and where appropriate, eu-LISA, the European Union Agency for Fundamental Rights, and any other relevant Union agency are associated with the process of developing the programmes of Member States at an early stage, in so far as it falls within the agencies’ competencies. [Am. 86] 3. It The Commission shall consult the European Border and Coast Guard Agency on the draft programmes with a specific emphasis on the activities included under operating support in line with Article 3(2)(a) to ensure consistency and complementarity of the actions of the Agency and those of the Member States regarding border management as well as to avoid double financing and to achieve cost efficiency. [Am. 87] 3a. The Commission shall consult eu-LISA on the draft programmes with a specific emphasis on the activities included under technical support in line with Article 3(2)(b) to ensure consistency and complementarity of the actions of eu-LISA and those of the Member States. [Am. 88] 4. The Commission may associate , where appropriate, the European Border and Coast Guard Agency, and where appropriate, eu-LISA, the European Union Agency for Fundamental Rights, and any other relevant agency with monitoring and evaluation tasks as referred to in Section 5, in particular in view of ensuring that the actions implemented with the support of the instrument are compliant with the relevant Union acquis and agreed Union priorities. [Am. 89] 5. Following the adoption of recommendations within the scope of this Regulation in accordance with Regulation (EU) No 1053/2013, and the recommendations issued in the framework of carrying out vulnerability assessments in accordance with Regulation (EU) 2016/1624, the Member State concerned shall examine, together with the Commission, the most appropriate approach to address these recommendations with the support of this instrument. 6. The Commission shall, where relevant, associate the European Border and Coast Guard Agency , eu-LISA, the European Union Agency for Fundamental Rights and any other relevant agency or body with the process of examination on the most appropriate approach to address the recommendations with the support of this instrument. [Am. 90] 7. When implementing paragraph 5, the Member State concerned shall make the implementation of measures to address any identified deficiencies, especially measures to address serious deficiencies and non-compliant assessments, a priority for its programme. 8. Where necessary, the programme in question shall be amended to take into account the recommendations referred to in paragraph 5 and the progress in achieving the milestones and targets as assessed in the annual performance reports as referred to in Article 27(2)(a) . Depending on the impact of the adjustment, the revised programme may shall be approved by the Commission. [Am. 91] 9. In cooperation and consultation with the Commission and the European Border and Coast Guard Agency in accordance with the Agency’s competencies, the Member State concerned may reallocate resources under its programme, including those programmed for operating support, with the aim of addressing the recommendations referred to in paragraph 5 which have financial implications. 10. Whenever Before a Member State decides to implement projects with , in or in relation to a third country with the support of the instrument, it shall ensure that all actions proposed by, in or in relation to that third country comply with the international obligations of the Union and that Member State, and that they fully respect the rights and principles enshrined in the Charter of Fundamental Rights of the European Union. The Member State concerned shall consult the Commission prior to the start of the project , including on ensuring that the above conditions are fulfilled . [Am. 92] 11. Whenever a Member State , exceptionally, decides to implement actions with , in or in relation to a third country with the support of the instrument relating to monitoring, detection, identification, tracking, prevention and interception of unauthorised border crossings for the purpose of detecting, preventing and combating illegal irregular immigration and cross-border crime or contributing to the protection and saving the lives of migrants, it shall ensure that it has notified the Commission of any bilateral or multilateral cooperation agreement with that third country in accordance with Article 20 of Regulation (EU) No 1052/2013. Member States shall ensure full respect for the principle of non-refoulement, including in actions occurring on the high seas. [Am. 93] 11a. As soon as a Member State decides to initiate projects with, in or in relation to a third country under this instrument, the Member State shall inform the organisations which represent the partners at national level as well as the members of the Steering Board within 10 days. [Am. 94] 12. As regards operating equipment, including means of transport, and communication systems required for effective and secure border control , and search and rescue operations, purchased with the support of this instrument, the following shall apply: [Am. 95] (a) before launching the purchase procedures to acquire operating equipment, including means of transport, and communication systems with the support of the instrument, the Member States shall ensure that this equipment complies with the standards established by the European Border and Coast Guard Agency, where such standards exist, and shall verify with the European Border and Coast Guard Agency their technical specifications with the aim of ensuring interoperability of the assets used by the European Border and Coast Guard; (b) all large-scale operating equipment for border management, such as aerial and maritime means of transport and surveillance purchased by the Member States shall be registered in the technical equipment pool of the European Border and Coast Guard Agency in view of making these assets available in accordance with Article 39(8) of Regulation (EU) 2016/1624; (c) Member States may decide to purchase items for multi-purpose maritime operations supported by the instrument, provided that these items when operated by the relevant national authorities are involved in border surveillance operations at least 60 % of the total period of use for national purposes within a year. These items shall be registered at the technical equipment pool of the European Border and Coast Guard Agency in view of making these assets available in accordance with Article 39(8) of Regulation (EU) 2016/1624; (d) in order to support the coherent capability development planning for the European Border and Coast Guard and the possible use of joint procurement, Member States shall communicate to the Commission as part of the reporting in line with Article 27 the available multiannual planning for the equipment expected to be purchased under the instrument. The Commission shall transmit this information to the European Border and Coast Guard Agency. Where Member States are implementing actions under this instrument related to maritime border surveillance, they shall pay particular attention to their international obligations regarding search and rescue at sea and shall be entitled, for that purpose, to use the equipment and systems referred to in points (a) to (d) of this paragraph. [Am. 96] 13. Training in the field of border management carried out with the support of this instrument shall be based on the relevant harmonised and quality-assured European education and common training standards for border and coast guarding , and on relevant Union and international law, including with regard to fundamental rights, access to international protection and relevant maritime law . [Am. 97] 14. Member States shall pursue in particular the actions listed in Annex IV. To address unforeseen or new circumstances or to ensure the effective implementation of funding, the Commission shall be empowered to adopt delegated acts in accordance with Article 29 to amend Annex IV. 15. Programming as referred to in Article 17(5) of Regulation (EU) No …/… [CPR] Each programme shall be based on set out for each specific objective the types of intervention set out in accordance with Table 1 of Annex VI and an indicative breakdown of the programmed resources by type of intervention or area of support . [Am. 98]

Article 13 Mid-term review -1. The programmes shall be subject to a mid-term review and evaluation in accordance with Article 26. [Am. 99] 1. In By the end of 2024 , and after informing the European Parliament, the Commission shall allocate to the programmes of Member States concerned the additional amount referred to in Article 10(1)(b) in accordance with the criteria referred to in paragraph 1(c) of and in paragraphs 2 to 11 of Annex I. The allocation shall be based on the latest available statistical data for the criteria referred to in paragraph 1(c) and in paragraphs 2 to 11 of Annex I. Funding shall be effective for the period as of the calendar year 2025. [Am. 100] 2. If at least 10 30 % of the initial allocation of a programme referred to in Article 10(1)(a) has not been covered by interim payment applications submitted in accordance with Article 85 of Regulation (EU) No …/… [CPR], the Member State concerned shall not be eligible to receive the additional allocation for its programme referred to in paragraph 1. [Am. 101] 2a. Paragraph 2 applies only if the relevant regulatory framework and related acts are in force on 1 January 2022. [Am. 102] 3. The allocation of the funds from the thematic facility as from 2025 shall, where appropriate, take into account the progress made in achieving the milestones of the performance framework as referred to in Article 12 of Regulation (EU) No …/… [CPR] and identified implementation shortcomings. [Am. 103]

Article 14 Specific actions 1. Specific actions are transnational or national projects bringing Union added value in line with the objectives of this Regulation for which one, several or all Member States may receive an additional allocation to their programmes. [Am. 104] 2. Member States may, in addition to their allocation calculated in accordance with Article 10(1), receive funding for specific actions, provided that it is consequently earmarked as such in the programme and is used to contribute to the implementation of the objectives of this Regulation. 3. This funding shall not be used for other actions in the programme except in duly justified circumstances and as approved by the Commission through the amendment of the programme.

Article 15 Operating support 1. Operating support is a part of a Member State’s allocation which may be used as support to the public authorities responsible for accomplishing the tasks and services which constitute a public service for the Union. 2. A Member State may use up to 30 % of the amount allocated under the instrument to its programme to finance operating support to the public authorities responsible for accomplishing the tasks and services which constitute a public service for the Union. 3. Member States using operating support shall comply with the Union acquis on borders and visas. [Am. 105] 4. Member States shall justify in the programme and in the annual performance reports as referred to in Article 27 the use of operating support to achieve the objectives of this Regulation. Before the approval of the programme, the Commission shall, following a consultation of the European Border and Coast Guard Agency as regards the Agency’s competencies in accordance with Article 12(3), assess the baseline situation in the Member States which have indicated their intention to use operating support, taking into account the information provided by those Member States and, where relevant, the information available in the light of Schengen evaluations and vulnerability assessments, including the recommendations following Schengen evaluations and vulnerability assessments. 5. Without prejudice to Article 4(3)(c), operating support shall be concentrated on specific tasks and services eligible actions as laid down in Annex VII. [Am. 106] 6. To address unforeseen or new circumstances or to ensure the effective implementation of funding, the Commission shall be empowered to adopt delegated acts in accordance with Article 29 to amend the specific tasks and services eligible actions in Annex VII. [Am. 107]

Article 16 Operating support for the Special Transit Scheme 1. The instrument shall provide support to compensate for foregone fees from visas issued for the purpose of transit and additional costs incurred in implementing the facilitated transit document (FTD) and the facilitated rail transit document (FRTD) scheme in accordance with Regulation (EC) No 693/2003 and Regulation (EC) No 694/2003. 2. The resources allocated to Lithuania for the Special Transit Scheme pursuant to Article 7(2)(a) shall be made available as additional operating support for Lithuania, in line with the eligible actions for operating support within the programme, as referred to in Annex VII. 3. By way of derogation from Article 15(2), Lithuania may use the amount allocated to it in line with Article 7(2)(a) to finance operating support in addition to the amount defined in Article 15(2). 4. The Commission and Lithuania shall review the application of this Article in the event of changes which have an impact on the existence or functioning of the Special Transit Scheme.

SECTION 3

SUPPORT AND IMPLEMENTATION UNDER DIRECT AND INDIRECT MANAGEMENT

Article 17 Scope Support under this section shall be implemented either directly by the Commission in accordance with point (a) of Article 62(1) of the Financial Regulation, or indirectly in accordance with point (c) of that Article.

Article 18 Union actions 1. Union actions are transnational projects or projects of particular interest to the Union, in line with the objectives of this Regulation. 2. At the Commission’s initiative, the instrument may be used to finance Union actions concerning the objectives of this Regulation as referred to in Article 3 and in accordance with Annexes II and III. 3. Union actions may provide funding in any of the forms laid down in the Financial Regulation, in particular grants, prizes and procurement. They may also provide financing in the form of financial instruments within blending operations. 4. Grants implemented under direct management shall be awarded and managed in accordance with [Title VIII] of the Financial Regulation. 5. The evaluation committee assessing the proposals may be composed of external experts. 6. Contributions to a mutual insurance mechanism may cover the risk associated with the recovery of funds due by recipients and shall be considered a sufficient guarantee under the Financial Regulation. The provisions laid down in [Article X] of Regulation (EU) No …/… [Successor of the Regulation on the Guarantee Fund] shall apply.

Article 19 Blending operations Blending operations decided under this instrument shall be implemented in accordance with the [InvestEU Regulation] and [Title X] of the Financial Regulation. [Am. 108]

Article 20 Technical assistance at the level of the Commission The instrument may support technical assistance measures implemented at the initiative of, or on behalf of, the Commission. Those measures , namely, preparatory steps, monitoring, supervision, audit, evaluation and all administrative and technical assistance actions necessary for the implementation of this Regulation and, where appropriate with third countries, may be financed at the rate of 100 %. [Am. 109]

Article 21 Audits Audits on the use of the Union contribution carried out by persons or entities, including by other than those mandated by the Union institutions or bodies, shall form the basis of the overall assurance pursuant to Article 127 of the Financial Regulation.

Article 22 Information, communication and publicity 1. The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding, in particular when promoting promote the actions and their results, by providing coherent, effective and proportionate targeted meaningful information to multiple relevant audiences, including media and the public in the relevant languages. To ensure the visibility of Union funding, recipients of Union funding shall refer to its origin when communicating on the action. To this end, recipients shall ensure that all communications to the media and the public display the Union emblem, and mention explicitly the Union’s financial support . [Am. 110] 2. To reach the widest possible audience, the Commission shall implement information and communication actions relating to the implementation of this instrument, its actions and results . In particular, the Commission shall publish information concerning the development of the annual and multiannual programmes of the thematic facility. The Commission shall also publish the list of operations selected for support under the thematic facility on a publicly available website and shall update that list at least every three months . Financial resources allocated to this instrument shall also contribute to the corporate communication on the implementation of political priorities of the Union, as far as they are related to the objectives of this Regulation. In particular, the Commission may promote best practices and exchange information as regards the implementation of the instrument. [Am. 111] 2a. The Commission shall publish the information referred to in paragraph 2 in open, machine readable formats, as set out in Article 5(1) of Directive 2003/98/EC of the European Parliament and of the Council (53) , which allows data to be sorted, searched, extracted, compared and reused. It shall be possible to sort the data by priority, specific objective, total eligible cost of operations, total cost of projects, total cost of procurement procedures, name of beneficiary and name of contractor. [Am. 112] 2b. It shall be for the Member States to forward to the Commission information on the development of shared-management programmes, so that the information in question can then be published on its website. [Am. 113]

SECTION 4

SUPPORT AND IMPLEMENTATION UNDER SHARED, DIRECT AND INDIRECT MANAGEMENT

Article 23 Emergency assistance 1. The instrument shall Commission may decide to provide , on an exceptional basis, financial assistance to address urgent and specific needs in the event of an a duly justified emergency situation resulting and as a last resort. These situations can result from an urgent and exceptional pressure where a large or disproportionate number of third-country nationals have crossed, are crossing or are expected to cross the external borders of one or more Member States, in particular at border sections where the impact level has been identified as such that it jeopardises the functioning of the whole Schengen area, or any other duly substantiated emergency situation of requiring urgent and exceptional pressure action at the external borders within the scope of this Regulation that requires immediate action. The Commission shall inform the European Parliament and the Council without delay. [Am. 114] 2. Emergency assistance may take the form of grants awarded directly to the decentralised agencies. 3. Emergency assistance may be allocated to Member States’ programmes in addition to their allocation calculated in accordance with Article 10(1), provided that it is consequently earmarked as such in the programme. This funding shall not be used for other actions in the programme except in duly justified circumstances and as approved by the Commission through the amendment of the programme. 4. Grants implemented under direct management shall be awarded and managed in accordance with [Title VIII] of the Financial Regulation. 4a. Where necessary for the implementation of the action, emergency assistance may cover expenditure which was incurred prior to the date of submission of the grant application or the request for assistance, but not prior to 1 January 2021. [Am. 115] 4b. Emergency assistance shall be provided in a manner entirely consistent with the Union acquis and with the Union's and the Member States' obligations under the international instruments to which they are signatories. [Am. 116]

Article 24 Cumulative, complementary and combined funding 1. An action that has received a contribution under the instrument may also receive a contribution from any other Union programme, including Funds under shared management, provided that the contributions do not cover the same costs. The rules of each contributing Union programme shall apply to its respective contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action and the support from the different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support. Contributions from other Union programmes to actions under this instrument shall be acknowledged, where appropriate, in the Commission work programmes or in the national programmes and annual performance reports. [Am. 117] 2. Actions Operations awarded a seal of Excellence certification, or which comply with the following cumulative comparable conditions: [Am. 118] (a) they have been assessed in a call for proposals under the instrument; (b) they comply with the minimum quality requirements of that call for proposals; (c) they may not be financed under that call for proposals due to budgetary constraints, may receive support from the European Regional Development Fund, the Cohesion Fund, the European Social Fund+ or the European Agricultural Fund for Rural Development, in accordance with paragraph 5 of Article 67 of Regulation (EU) No …/… [CPR] and Article 8 of Regulation (EU) No …/… [Financing, management and monitoring of the Common Agricultural Policy], Union’s structural funds provided that such actions are consistent with the objectives of the programme concerned. The rules of the Fund or instrument providing support shall apply. [Am. 119]

SECTION 5

MONITORING, REPORTING AND EVALUATION

Sub-section 1

Common provisions

Article 25 Monitoring and reporting 1. In compliance with its reporting requirements pursuant to Article 43 41 (3)(h)(i)(iii) of the Financial Regulation, the Commission shall present to the European Parliament and the Council information on performance in accordance with Annex V , at least annually . [Am. 120] 2. The Commission shall be empowered to adopt delegated acts in accordance with Article 29 to amend Annex V in order to make the necessary adjustments to the information on performance to be provided to the European Parliament and the Council. 3. The indicators to report on progress of the instrument towards the achievement of the objectives of this Regulation are set out in Annex VIII. For output indicators, baselines shall be set at zero. The milestones set for 2024 and targets set for 2029 shall be cumulative. For resources under shared management, common indicators shall be used. Upon request, the data received by the Commission on the output and result indicators shall be made available to the European Parliament and to the Council. [Am. 121] 4. The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively, and in a timely manner. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds and, where relevant, the Member States. 5. In order to ensure effective assessment of the progress of the instrument towards the achievement of its objectives, the Commission shall be empowered to adopt delegated acts in accordance with Article 29 to amend Annex VIII to review and complement the indicators where necessary and to supplement this Regulation with provisions on the establishment of a monitoring and evaluation framework, including information to be provided by the Member States. 5a. For resources under shared management, monitoring and reporting shall be based on the types of intervention set out in Annex VI. The Commission shall be empowered to adopt delegated acts in accordance with Article 29 to address unforeseen or new circumstances or to ensure the effective implementation of the funding. [Am. 122] 5b. The Commission shall pay particular attention to the monitoring of actions by, in or in relation to third countries, in accordance with Article 5 and Article 12(10) and (11). [Am. 123]

Article 26 Evaluation 1. By 31 December 2024, the Commission shall carry out present a mid-term and a retrospective evaluation of the implementation of this Regulation, including the actions implemented under this instrument. The mid-term evaluation shall examine the effectiveness, efficiency, simplification and flexibility of the Fund. More specifically, it shall include an assessment of: [Am. 124] (a) progress towards the achievement of the objectives of this Regulation, taking into account all relevant information available, in particular the annual performance reports submitted by the Member States under Article 30 and the output and the result indicators set out in Annex VIII; [Am. 125] (b) the Union added value of actions and operations implemented under this instrument; [Am. 126] (c) the contribution of the instrument to addressing existing and emerging challenges at the external borders, to developing the common visa policy, and the use of the instrument to address shortcomings identified by the Schengen Evaluation Mechanism and Vulnerability assessment; [Am. 127] (d) the continued relevance of and the appropriateness of the implementation measures set out in Annex II and the actions set out in Annex III; [Am. 128] (e) the complementarity and coherence between the actions supported under this instrument and supported provided by other Union funds. [Am. 129] The mid-term review shall take into account retrospective evaluation results on the long-term impact of the previous instrument for financial support for external borders and visa, part of the Internal Security Fund for the period 2014-2020. [Am. 130] 1a. By 31 January 2030, the Commission shall carry out a retrospective evaluation. By the same date, the Commission shall submit an evaluation report to the European Parliament and to the Council. The retrospective evaluation shall include an assessment of the elements set out in paragraph 1. In that regard, the longer-term impacts of the instrument shall be evaluated with a view to feeding into a decision on a possible renewal or modification of a subsequent fund. [Am. 131] 2. The mid-term and the retrospective evaluation shall be carried out in a timely manner to feed into the decision-making process in accordance with the timeline set out Article 40 14 of this Regulation (EU) No …/… [CPR]. [Am. 132] 2a. In its mid-term review and retrospective evaluation, the Commission shall pay particular attention to the evaluation of actions by, in or in relation to third countries in accordance with Article 5 and Article 12(10) and (11). [Am. 133]

Sub-section 2

Rules for shared management

Article 27 Annual performance reports 1. By 15 February 2023 and by the same date of each subsequent year up to and including 2031, Member States shall submit to the Commission the annual performance report as referred to in Article 36(6) of Regulation (EU) No …/… [CPR]. The report submitted in 2023 shall cover the implementation of the programme carried out until 30 June 2022. Member States shall publish these reports on a dedicated website and forward them to the European Parliament and to the Council. [Am. 134] 2. The annual performance report shall in particular set out information on: (a) the progress in the implementation of the programme and in achieving the milestones and targets, taking into account the latest data as required by Article 37 of Regulation (EU) No …/… [CPR] cumulative data transmitted to the Commission ; [Am. 135] (aa) a breakdown of the annual accounts of the national programme into recoveries, pre-financing to final beneficiaries and expenditure actually incurred; [Am. 136] (b) any issues affecting the performance of the programme and the actions taken to address them , including reasoned opinions issued by the Commission in respect of an infringement procedure under Article 258 TFEU ; [Am. 137] (c) the complementarity , coordination and coherence between the actions supported by the instrument and support provided by other Union Funds, in particular those the external financing instruments of the Union and others providing funding in or in relation to third countries; [Am. 138] (d) the contribution of the programme to the implementation of the relevant Union acquis and action plans; (da) compliance with fundamental rights requirements; [Am. 139] (e) the implementation of communication and visibility actions; (f) the fulfilment of the enabling conditions and their application throughout the programming period;. (fa) the implementation of projects in, or in relation to a third country. [Am. 140] 3. The Commission may make observations on the annual performance report within two months of the date of its receipt. Where the Commission does not provide observations within that deadline, the reports shall be deemed to have been accepted. Once accepted, the Commission shall make summaries of annual performance reports available to the European Parliament and to the Council and shall publish those summaries of the annual performance reports on a dedicated website. [Am. 141] 4. In order to ensure uniform conditions for the implementation of this Article the Commission shall adopt an implementing act establishing the template for the annual performance report. This implementing act shall be adopted in accordance with the advisory procedure referred to in Article 30(2).

Article 28 Monitoring and reporting 1. Monitoring and reporting in accordance with Title IV of Regulation (EU) No …/… [CPR] shall be based on the types of intervention set out in Tables 1, 2 and 3 in Annex VI. To address unforeseen or new circumstances or to ensure the effective implementation of the funding, the Commission shall be empowered to adopt delegated acts to amend Annex VI in accordance with Article 29. 2. The common indicators shall be used in accordance with Articles 12(1), 17 and 37 of Regulation (EU) No …/… [CPR]. [Am. 142]

CHAPTER III

TRANSITIONAL AND FINAL PROVISIONS

Article 29 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 power to adopt delegated acts referred to in Articles 8, 12, 15, 25 and 28 shall be conferred on the Commission until 31 December 2028. [Am. 143] 3. The European Parliament or the Council may revoke the delegation of powers referred to in Articles 8, 12, 15, 25 and 28 at any time. 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. [Am. 144] 4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. 5. As soon as it adopts a delegated act, the Commission shall simultaneously notify the European Parliament and the Council thereof. 6. A delegated act adopted pursuant to Articles 8, 12, 15, 25 and 28 shall enter into force only if neither the European Parliament nor the Council has expressed an objection within two months of being notified of it if, before the expiry of that period, they have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or the Council. [Am. 145]

Article 30 Committee procedure 1. The Commission shall be assisted by a Coordination Committee for the Asylum and Migration Fund, the Internal Security Fund and the instrument for border management and visa. 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. 3. Where the Committee delivers no opinion, the Commission shall not adopt the draft implementing act. This shall not apply to the implementing act referred to in Article 27(4). [Am. 146]

Article 31 Transitional provisions 1. This Regulation shall not affect the continuation or modification of the actions concerned under the instrument for external borders and visa as part of the Internal Security Fund for the period 2014-2020, established by Regulation (EU) No 515/2014, which shall continue to apply to those actions until their closure. 2. The financial envelope for the instrument may also cover technical and administrative assistance expenses necessary to ensure the transition between the instrument and the measures adopted under its predecessor, the instrument for external borders and visa as part of the Internal Security Fund for the period 2014-2020, as established by Regulation (EU) No 515/2014.

Article 32 Entry into force and application This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union. It shall apply from 1 January 2021.

This Regulation shall be binding in its entirety and directly applicable in the Member States in accordance with the Treaties. Done at …, For the European Parliament The President For the Council The President

(1) OJ C […], […], p. […].

(2) OJ C […], […], p. […].

(3) Position of the European Parliament of 13 March 2019.

(4) Regulation (EU) 2016/1624 of the European Parliament and of the Council of 14 September 2016 on the European Border and Coast Guard and amending Regulation (EU) 2016/399 of the European Parliament and of the Council and repealing Regulation (EC) No 863/2007 of the European Parliament and of the Council, Council Regulation (EC) No 2007/2004 and Council Decision 2005/267/EC (OJ L 251, 16.9.2016, p. 1).

(5) COM(2015)0240 of 13 May 2015.

(6) http://www.consilium.europa.eu/en/press/press-releases/2016/12/15/euco-conclusions-final/

(7) European Council conclusions , 22-23 June 2017.

(8) COM(2017)0794.

(9) Commission statement on the management of flows of persons at the borders between Slovenia and Croatia of 29 April 2017.

(10) Commission Recommendation (EU) 2017/1804 of 3 October 2017 on the implementation of the provisions of the Schengen Borders Code on temporary reintroduction of border control at internal borders in the Schengen area (OJ L 259, 7.10.2017, p. 25).

(11) Regulation (EU) No 515/2014 of the European Parliament and of the Council of 16 April 2014 establishing, as part of the Internal Security Fund, the instrument for financial support for external borders and visa and repealing Decision No 574/2007/EC (OJ L 150, 20.5.2014, p. 143).

(12) OJ L […], […], p.

(13) OJ L […], […], p.

(14) OJ L 144, 6.6.2007, p. 22.

(15) Regulation (EU) 2017/2226 of 30 November 2017 establishing an Entry/Exit System (EES) to register entry and exit data and refusal of entry data of third-country nationals crossing the external borders of the Member States and determining the conditions for access to the EES for law enforcement purposes, and amending the Convention implementing the Schengen Agreement and Regulations (EC) No 767/2008 and (