[pic] | COMISSÃO DAS COMUNIDADES EUROPEIAS |

Bruxelas, 28.6.2006

COM(2006) 332 final

COMUNICAÇÃO DA COMISSÃO AO CONSELHO E AO PARLAMENTO EUROPEU

Avaliação das políticas da UE no domínio da liberdade, da segurança e da justiça

{SEC(2006) 815}

COMUNICAÇÃO DA COMISSÃO AO CONSELHO E AO PARLAMENTO EUROPEU

Avaliação das políticas da UE no domínio da liberdade, da segurança e da justiça

1. INTRODUÇÃO

1. O Programa da Haia (2004)[1], refere que, “no entender do Conselho Europeu, a avaliação da implementação, assim como dos efeitos de todas as medidas, é essencial para a eficácia das acções da União”. O Plano de Acção de aplicação do Programa da Haia (2005)[2], que estabelece um quadro político para a actividade da União Europeia no domínio da liberdade, da segurança e da justiça para o período de cinco anos, prevê a adopção, em 2006, de uma comunicação geral da Comissão relativa à criação de um mecanismo de avaliação a nível da UE neste domínio[3].

2. Os Chefes de Estado e de Governo consideraram que a avaliação da execução é um instrumento essencial para assegurar que os importantes resultados alcançados pela União e pelos seus Estados-Membros na criação de um espaço de liberdade, de segurança e de justiça sejam correctamente aplicados e, sempre que necessário, regularmente reexaminados, a fim de responder às expectativas reais dos cidadãos europeus .

3. Destacando a importância da avaliação, o Programa da Haia pretende (1) melhorar o processo de elaboração das políticas, dos programas e dos instrumentos , graças à identificação dos problemas e obstáculos encontrados na sua execução, (2) estabelecer regras mais rigorosas em matéria de responsabilidade financeira e de controlo das políticas , (3) favorecer a obtenção de conhecimentos e o intercâmbio de boas práticas e (4) contribuir para o desenvolvimento de uma cultura de avaliação em toda a União.

Tendo em conta (1) o mandato conferido à Comissão pelo Programa da Haia e pelo seu Plano de Acção, (2) a fragmentação dos actuais mecanismos de acompanhamento e de avaliação e (3) a necessidade de transmitir a todas as partes interessadas informações exaustivas sobre a execução das políticas, a Comissão considera que chegou o momento de elaborar um mecanismo coerente e global de avaliação das políticas da UE no domínio da liberdade, da segurança e da justiça, num espírito de parceria com os Estados-Membros e as instituições da UE.

Esse mecanismo compreenderá o acompanhamento da execução (como descrito na Comunicação “Reforço da liberdade, da segurança e da justiça na União Europeia: relatório sobre a execução do Programa da Haia para 2005, a seguir designado “Painel de Avaliação + ”)[4] e a avaliação dos resultados das políticas.

2. O CONCEITO DE AVALIAÇÃO

4. É necessário distinguir entre o princípio de acompanhamento da execução e o princípio de avaliação:

- O acompanhamento da execução consiste em examinar os progressos a nível da execução das políticas.

- A avaliação , segundo a definição constante da Comunicação sobre esta matéria apresentada pela Comissão em 2000[5], consiste na “apreciação das intervenções (acções públicas) em função dos seus resultados, impactos e necessidades que têm por objectivo satisfazer” . A principal função da avaliação consiste em fornecer aos responsáveis políticos indicações sobre o impacto e a eficácia das acções programadas e realizadas.

5. A Comissão interpreta o mecanismo referido no Plano de Acção como um instrumento para acompanhar a execução e a avaliação dos resultados concretos das políticas no domínio da liberdade, da segurança e da justiça. No presente contexto, a avaliação baseia-se no acompanhamento, mas vai mais além examinando os efeitos da execução das políticas, como referido mais adiante. Esta abordagem é conforme com o Programa da Haia, pois o conceito de “avaliação da implementação, assim como dos efeitos de todas as medidas” abarca tanto o acompanhamento da própria execução como a avaliação dos resultados das medidas tomadas.

6. Esta é a razão pela qual a Comissão propõe um pacote coerente e global articulado em torno de duas vertentes: o “Painel de Avaliação+” para o acompanhamento da execução e o mecanismo de avaliação proposto na presente comunicação.

7. O mecanismo descrito na presente comunicação tem por base esta definição global que, na opinião da Comissão, deveria permitir ter um conhecimento exaustivo dos resultados quantitativos e qualitativos alcançados no domínio da liberdade, da segurança e da justiça. Tal mecanismo funcionaria no âmbito dos princípios estabelecidos no Programa da Haia. Em última análise, permitiria melhorar a formulação das políticas graças a uma acrescida tomada em conta dos resultados das avaliações no processo de tomada de decisão.

Quadro 1: Avaliação em todas as fases do processo de tomada de decisão[pic]

3. AVALIAÇÃO DAS POLÍTICAS DA UE NO DOMÍNIO DA LIBERDADE, DA SEGURANÇA E DA JUSTIÇA – DIFICULDADES A CONSIDERAR

3.1. Complexidade e ambição dos objectivos políticos e dos instrumentos jurídicos

8. O domínio da liberdade, da segurança e da justiça é um dos mais diversificados da UE . Os objectivos preconizados dizem respeito a algumas das mais importantes questões da actualidade: a livre circulação de pessoas, o terrorismo e a criminalidade organizada, a cooperação policial e judiciária, a política em matéria de asilo e de migração, matérias estas que devem simultaneamente respeitar os direitos fundamentais e promover os direitos dos cidadãos da União. Considerações atinentes à soberania nacional exigem frequentemente compromissos a nível da UE ou tornam difícil a execução. Por conseguinte, qualquer novo mecanismo de avaliação deverá ter em conta este contexto político.

9. A natureza complexa e ambiciosa dos objectivos é acompanhada de um quadro jurídico muitas vezes confuso que conjuga diferentes processos de tomada de decisão e de aplicação.

Por forma a ultrapassar estas dificuldades, é necessário que o mecanismo de avaliação proposto seja gradual e que inclua possibilidades de evolução e de consolidação .

3.2. Calendário

10. Em resultado do papel específico da Comissão e do processo de tomada de decisão no domínio da justiça, da segurança e da liberdade, as várias políticas não são aplicáveis nem produzem os seus efeitos nos mesmos prazos . Por conseguinte, é necessária uma abordagem caso a caso para identificar o nível de análise adequado para cada política . Com efeito, enquanto os resultados imediatos e intercalares serão tomados em consideração para todas as políticas, em alguns casos a análise do impacto prático será sem dúvida mais difícil (por exemplo, a política em matéria de droga ou de migração).

O mecanismo de avaliação proposto deve ter a flexibilidade necessária para permitir uma avaliação aprofundada e diferenciada das políticas específicas, tendo em devida consideração o respectivo nível de desenvolvimento e de consolidação.

Parece adequado, portanto, centrar a atenção nos resultados imediatos e intercalares, pelo menos numa primeira fase. A longo prazo, o objectivo último do mecanismo de avaliação será determinar o impacto global das políticas.

3.3. Associar as instituições e as partes interessadas

11. Outro aspecto específico do domínio da liberdade, da segurança e da justiça é o do seu impacto sobre as partes interessadas. Qualquer mecanismo de avaliação neste domínio deve ter em conta as expectativas e prioridades das partes interessadas , e, em especial, a necessidade de confidencialidade em algumas matérias, tal como o terrorismo e a criminalidade organizada.

12. Num espírito de parceria , a Comissão realizará consultas e debates com os Estados-Membros e as instituições da UE durante e após a elaboração do relatório de avaliação. Para este efeito, os Estados-Membros e as instituições da UE serão convidados a designar pontos de contacto para facilitar o diálogo com a Comissão. O relatório de avaliação[6] será público e terá como destinatários os Estados-Membros e as instituições da UE.

13. O Conselho e os Estados-Membros, em conjunto com a Comissão, serão os principais intervenientes no mecanismo de avaliação proposto. Neste contexto, o Parlamento Europeu será estritamente associado, em conformidade com as prerrogativas e obrigações institucionais. Na avaliação dos relatórios periódicos participarão igualmente os parlamentos nacionais.

14. Nos domínios abrangidos pelo Tratado CE, o Comité das Regiões e o Comité Económico e Social Europeu contribuirão para a elaboração e execução do mecanismo de avaliação. Os relatórios de avaliação ser-lhes-ão periodicamente transmitidos após aprovação.

15. As agências, tais como a Agência dos Direitos Fundamentais da UE, o Observatório Europeu da Droga e da Toxicodependência (OEDT), a Europol, a Eurojust ou a Agência Europeia para a Gestão da Cooperação Operacional nas Fronteiras Externas, terão igualmente um papel importante a desempenhar. Por um lado, “alimentarão” o exercício de avaliação com as informações e análises de que dispõem e, por outro, serão consultadas pela Comissão em relação aos relatórios de avaliação.

16. O contributo da sociedade civil também será muito importante neste contexto. A Comissão assegurará que as opiniões da sociedade civil sejam tomadas em conta e estabelecerá os mecanismos adequados para garantir a sua participação na avaliação de todas as políticas no domínio da liberdade, da segurança e da justiça.

O mecanismo de avaliação proposto deve incluir mecanismos de consulta transparentes , que também se poderão utilizar para recolher e efectuar controlos cruzados das informações pertinentes .

3.4. Disponibilidade de estatísticas

17. A disponibilidade de estatísticas[7] e dos meios para as analisar é uma componente fundamental da criação de um sistema de avaliação. Embora existam estatísticas adequadas para algumas actividades (por exemplo, a política em matéria de droga), é necessário continuar a desenvolver esforços noutras matérias, nomeadamente a criminalidade e a justiça penal[8]. Serão necessárias estatísticas sobre a evolução das necessidades a nível das políticas no domínio da liberdade, da segurança e da justiça como dados de base para avaliar se, com a passagem do tempo, determinada política atenua ou agrava as necessidades existentes e, em último lugar, para permitir tirar conclusões sobre o impacto das políticas. Deveriam ser feitos progressos em três sectores: qualidade, disponibilidade e análise. Os trabalhos desenvolvidos pelas agências, incluindo o Observatório Europeu da Droga e da Toxicodependência (OEDT), a Eurojust, a Europol e a futura Agência dos Direitos Fundamentais, terão especial relevância neste contexto. Os projectos e as redes de investigação contribuirão também para este objectivo.

Por conseguinte, paralelamente à criação do sistema de avaliação proposto, devem ser realizados progressos a nível da qualidade, da disponibilidade e da análise de estatísticas no domínio da liberdade, da segurança e da justiça.

4. AVALIAÇÃO DAS POLÍTICAS DA UE NO DOMÍNIO DA LIBERDADE, DA SEGURANÇA E DA JUSTIÇA – PROPOSTA DE UM MECANISMO DE AVALIAÇÃO ESTRATÉGICA

4.1. Descrição do mecanismo de avaliação

18. O mecanismo de avaliação estratégica proposto no domínio da liberdade, da segurança e da justiça tem por base os resultados consolidados noutros domínios da UE. Esse mecanismo completaria as práticas actuais, descritas no Anexo 2 e, no caso específico dos programas de financiamento, utilizaria os dados decorrentes das obrigações de avaliação existentes. Noutros domínios em que já estão disponíveis informações, seria conferida especial atenção à utilização dos dados existentes para evitar a duplicação do trabalho.

19. É proposto um mecanismo gradual em três fases :

(1) Na primeira fase, prevê a criação de um sistema de recolha e de partilha de informações.

(2) Na segunda fase, inclui um mecanismo de comunicação de informações que consolide, utilize e analise essas informações.

(3) Na terceira fase, é completado por avaliações estratégicas aprofundadas .

Quadro 2: As três fases do mecanismo

[pic]

20. O mecanismo será exaustivo e cobrirá todas as políticas no domínio da liberdade, da segurança e da justiça[9].

21. Os relatórios de avaliação[10] serão transmitidos ao Conselho e ao Parlamento Europeu e igualmente ao Comité Económico e Social Europeu e ao Comité das Regiões e serão oportunamente divulgados ao público em geral, por exemplo graças à realização de eventos específicos.

22. Ao melhorar a informação e a divulgação dos resultados da avaliação, o mecanismo visa em última análise promover uma utilização efectiva dos resultados a nível da tomada de decisão.

23. Este mecanismo é coerente com a orientação actual da Comissão em matéria de avaliação e funcionará em conformidade com os seus princípios gerais.

4.1.1. Sistema de recolha e intercâmbio de informações

24. O sistema de recolha e intercâmbio de informações será baseado em “fichas de dados” (uma para cada domínio) que serão preenchidas pelas autoridades competentes dos Estados-Membros. Nos domínios em que já se dispõe de informações num formato similar, a Comissão preencherá previamente, e na medida do possível, as fichas de dados. Paralelamente, as fichas de dados serão objecto de uma consulta junto das partes interessadas[11] e da sociedade civil. As consultas serão específicas para cada domínio e basear-se-ão nas redes e mecanismos de consulta existentes, tendo devidamente em conta a confidencialidade necessária em certas matérias.

25. As fichas de dados indicarão um objectivo global para cada domínio e incluirão uma lista dos principais instrumentos (legislativos, não legislativos e financeiros) que contribuem para alcançar esse objectivo. O mecanismo deveria permitir obter uma descrição clara dos resultados obtidos .

26. As fichas de dados também estabelecerão um grupo de indicadores para cada política. Esses indicadores estarão claramente vinculados ao objectivo global do domínio em causa. As fichas de dados formarão parte integrante do processo de consulta que se seguirá à publicação do presente documento e serão finalizadas em conjunto com os Estados-Membros. No Anexo 1 da presente comunicação figuram exemplos de fichas de dados.

27. A Comissão tenciona convidar cada Estado-Membro a designar pontos de contacto a nível nacional. Os pontos de contacto terão um papel importante na coordenação da resposta a nível nacional e trabalharão em concertação com os serviços da Comissão.

28. No que diz respeito à legislação da UE , os indicadores e o sistema de qualificação das fichas de dados centrar-se-ão nos resultados concretos da aplicação da legislação e não no nível de transposição para o direito nacional nem no impacto da legislação da UE sobre os ordenamentos jurídicos nacionais. Estes últimos aspectos constituem os principais objectivos do “Painel de Avaliação + ”, que avalia a transposição e a aplicação, em vez de avaliar o grau de realização dos objectivos.

29. No que diz respeito aos programas de financiamento da UE, as fichas de dados basear-se-ão nos relatórios de execução e avaliação existentes redigidos em aplicação do Regulamento Financeiro e das disposições legislativas correspondentes. Prevê-se que a informação exigida pelas fichas de dados sobre o financiamento de programas esteja facilmente disponível e, portanto, qualquer contributo adicional solicitado aos Estados-Membros deveria ser mínimo.

4.1.2. Mecanismo de comunicação de informações

30. Uma vez recebidas as fichas de dados e realizada a consulta com as partes interessadas, a Comissão validará as informações recebidas e elaborará um “relatório de avaliação” que consolidará e analisará as informações fornecidas. Este relatório de avaliação incluirá também recomendações políticas relativas aos diferentes domínios analisados.

31. O objectivo do exercício consiste em avaliar as políticas desenvolvidas a nível da UE no domínio da liberdade, da segurança e da justiça e identificar os domínios em que seria conveniente realizar uma avaliação estratégica aprofundada.

4.1.3. Avaliações estratégica das políticas

32. Na sequência do relatório de avaliação e de novas consultas, podem ser realizadas avaliações estratégicas aprofundadas em determinados domínios. Estas avaliações terão por objectivo produzir informações úteis e oportunas que sirvam de contributo para as decisões em cada domínio.

33. As avaliações estratégicas deveriam representar uma mais-valia em relação às práticas actuais descritas no Anexo 2, nomeadamente:

(a) centrando-se nas políticas (ou subconjuntos coerentes), em vez de incidirem sobre instrumentos individuais (por exemplo, avaliação da política comum em matéria de imigração);

(b) analisando a coerência dos diferentes instrumentos no âmbito de uma determinada política (por exemplo, a forma como os programas financeiros apoiam e facilitam a aplicação da legislação da UE num determinado domínio);

(c) investigando a forma como uma determinada política contribui para o objectivo global de estabelecer um espaço de liberdade, de segurança e de justiça;

(d) determinando o índice de realização global desse objectivo geral; e

(e) avaliando a realização de um objectivo de maior alcance no domínio da liberdade, da segurança e da justiça (por exemplo, a protecção dos direitos fundamentais).

4.2. Frequência e acompanhamento

34. A frequência do exercício de avaliação permite acompanhar a evolução a intervalos regulares e efectuar comparações. Em termos de calendário, pretende-se levar a cabo este exercício de avaliação (“fichas de dados” e “relatório de avaliação” ) duas vezes em cada cinco anos. A Comissão recorrerá às informações disponíveis na medida do possível.

35. A proposta tem em conta o facto de que este mecanismo:

(a) deve funcionar de forma regular ,

(b) não deve ser demasiado complexo,

(c) não necessita de ser aplicado todos os anos, uma vez que se orienta para as realizações e resultados que evoluem lentamente, bem como para dados a médio prazo,

(d) deve ser coordenado com os planos estratégicos e plurianuais existentes .

36. Em especial, o calendário proposto permitiria igualmente ao Conselho e à Comissão utilizar os resultados dos relatórios de avaliação como contributo para avaliar a necessidade de elaborar outro programa estratégico em 2009 quando o Programa da Haia terminar o seu período de vigência.

37. O facto de publicar o relatório de avaliação de dois em dois ou três em três anos permitirá sincronizar o mecanismo com o ciclo quinquenal. Assim se favorecerá uma utilização mais exaustiva e estratégica dos resultados da avaliação no processo de tomada de decisão. O período de 2006-2007 será de transição (ver quadro seguinte).

38. A fim de coordenar o mecanismo com o “Painel de Avaliação + ”, prevê-se enviar as fichas de dados aos Estados-Membros no final de 2006 e publicar o relatório de avaliação, juntamente com o segundo “Painel de Avaliação + ” em meados de 2007.

Calendário | “Painel de Avaliação+” | Mecanismo de reexame | Plano de Acção |

2005 | Adopção do Programa de Acção da Haia |

2006 | PA + 1 | Avaliação intercalar da execução (final de 2006) |

2007 | PA + 2 | Relatório de avaliação 1 | Primeiro reexame das políticas |

2008 | PA + 3 |

2009 | PA + 4 | Relatório de avaliação 2 |

2010 | PA + 5 | Termo do Programa da Haia |

2011 | PA + 6 |

2012 | PA + 7 | Relatório de avaliação 3 |

2013 | PA + 8 |

2014 | PA + 9 | Relatório de avaliação 4 |

(Período de transição a cinzento)

39. A avaliação de impacto junta compreende uma avaliação dos custos administrativos suplementares para os Estados-Membros . Os Estados-Membros são encorajados a obter, com o apoio da Comissão, a comparabilidade dos dados e a sua exactidão . A experiência recente na avaliação dos vários instrumentos legislativos demonstrou que, por vezes, os dados de base relativos às políticas não estão harmonizados nem são exactos. As avaliações específicas das políticas no domínio da liberdade, da segurança e da justiça pelo Conselho ou pela Comissão constituirão uma fonte de informação suplementar.

40. A presente comunicação visa lançar um processo a médio prazo . O mecanismo proposto e as fichas de dados são apresentados para que possam ser objecto de observações e de aperfeiçoamentos no seguimento da presente comunicação. Para este efeito, será lançado um amplo processo de consulta, incluindo a realização de uma audição no Outono.

41. O mecanismo dará lugar a uma avaliação após cinco anos, a fim de decidir sobre eventuais ajustamentos e aperfeiçoamentos a introduzir no sistema. Para este efeito, serão tomados em consideração os resultados indicados no quadro 2. A avaliação incidirá sobre os objectivos indicados no ponto 3.

5. CONCLUSÕES

42. A Comissão considera necessário elaborar um mecanismo coerente e global de avaliação das políticas da UE no domínio da liberdade, da segurança e da justiça, tendo presente a situação actual e o mandato conferido pelo Programa da Haia. Tal mecanismo deverá ser gradual e ter em conta a evolução do quadro institucional e jurídico , a fim de garantir o reforço e a eficácia das políticas no domínio da liberdade, da segurança e da justiça.

43. Este mecanismo proporcionará um instrumento para agrupar os resultados das avaliações individuais num quadro coerente e permitirá, assim, a transmissão de informações às instâncias de tomada de decisão ao nível adequado. Neste contexto, o mecanismo proposto também fornecerá aos responsáveis políticos as informações pertinentes atempadamente , a fim de considerarem se é conveniente prorrogar o Programa da Haia quando este terminar a sua vigência em 2009.

44. O mecanismo proposto será executado pela Comissão e pelo Conselho no pleno respeito das suas prerrogativas institucionais e em estreita associação com o Parlamento Europeu. A acção concertada e o compromisso total das instituições da UE e dos Estados-Membros são necessários para estabelecer e aplicar eficazmente o mecanismo de avaliação, enquanto as autoridades e as administrações nacionais desempenharão um papel fundamental a este respeito.

45. Por último, o mecanismo de avaliação terá por objectivo tornar a acção da União mais eficaz e contribuirá para os objectivos estratégicos de legislar melhor e de transparência das actividades da UE .

ANNEX 1 Factsheet of JLS policies

POLICY AREA: EXTERNAL BORDERS, VISA POLICY AND FREE MOVEMENT OF PERSONS |

Factors influencing evaluation mechanism: well established policy area, 1st pillar activities, there is a strong consensus amongst stakeholders for EU level action; there is a mix of instruments (legislative activities, co-operation activities, programme funding, functioning Community Agency, IT systems); possible to construct evaluation indicators, but might be hard to measure outcomes and results and causal links in practice. Methods to evaluate controls at borders are improving, including available administrative information and statistics. Some constraints on fully independent evaluation. There are strong interlinkages between the instruments within the ABB activity and strong potential for ‘thematic’ evaluation examining instruments in parallel. |

Policy sub-area 1: External borders |

Objectives: Develop an integrated external border management system Ensure uniform high standards of border checks and border surveillance at EU external borders Reduce number of illegal cross border movements of people Further ‘burden sharing’ in management of external borders |

Policy sub-area level indicators: The numbers of illegal migrants apprehended that are known to have crossed the EU external border illegally as a proportion of all third country national border crossings into EU (Source: Commission - Eurostat statistics on asylum and migration) The difference between the numbers of illegal migrants apprehended that are known to have crossed the EU external border illegally as a proportion of all third country national border crossings into EU through the most permeable and least permeable border. Note that this indicator would require to define the most and least permeable EU border. The numbers of illegal migrants apprehended that are known to have crossed the EU external border illegally (Source: Commission - Eurostat statistics on asylum and migration) The proportion of all resource commitments to external border management originating in countries without EU external borders (Source: MS) |

Main instruments | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Objectives: Prevent illegal immigration and threats to public order Reduce time taken and costs of acquiring visas for legitimate travellers. Reciprocation with third countries on visa waivers. Reduce number of visas given to travellers who become overstayers and illegal migrants Abolish controls at internal EU borders |

Policy sub-area level indicators: The average time taken from application to receipt of (a particular class of) visa (Source: MS, VIS) The average costs (fees) for (a particular class of) visa (Source: MS, VIS) The number of third countries where the visa requirements of nationals to enter the EU match those EU citizens visiting the country in question (Source: Commission) The total population of third countries where the visa requirements of nationals to enter the EU match those EU citizens visiting the country in question (Source: Commission) The number of EU internal border crossings that are subject to controls (Source: MS) |

Main instruments | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Factors influencing evaluation mechanism: Relatively new policy area in JLS (although the citizenship policy as such is an established area in the EC/Commission activities), 1st pillar activities, a combination of instruments (legislation, funding programmes, new Community Agency). The nature of the instruments and their objectives leads to reliance on qualitative evaluation methods. However, there is scope for further improvements to the information base through surveys and the development of statistics. The objectives within the policy area are wide ranging and the sub policy areas as defined below are not distinct. There is some scope for evaluating sub sets of instruments in parallel. |

Policy sub-area 1: Citizenship of the Union |

Global objectives: Increase awareness of Union citizens of their rights and of the ways these can be enforced Decrease any obstacles for the enjoyment of their rights by Union citizens, in particular of the right to free movement and residence Increase participation of EU citizens in democratic life in the Union Facilitate the diplomatic and consular protection offered to the Union citizens in third countries |

Policy sub-area level indicators: Levels of citizens’ awareness of their rights and mechanisms of redress (Source: Surveys and Eurobarometer reports) Instances of right to free movement and residence hindered (Source: complaints made to Commission) Rates of voting registration and participation – percentage of increase/decrease (Source: Member States) Number of citizens standing for election to public office – percentage of increase/decrease (Source: Member States) Instances of use and complaints from EU citizens over levels of consular protection (Source: Member States) |

Main instruments | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Global objectives: Increase the awareness of fundamental rights amongst citizens. (This concerns the rights as protected on European Union and national level including the relevant regional and international instruments.) Decrease instances of breaches of fundamental rights (including breaches of privacy, personal data protection and protection from violence against children, women and youth) Reduce the instances of racism, anti-semitism and xenophobia Establish a Fundamental Rights Agency (from EUMC) Increase number of participants in and their commitments to civil society |

Policy sub-area level indicators: Levels of citizens’ awareness of fundamental rights (Source: Surveys and Eurobarometer reports) Instances of breaches of fundamental rights, especially as a result of EU interventions (including breaches of privacy, personal data protection and protection from violence against children, women and youth) (Source: Commission and FR Agency) Instances of racism, anti-semitism and xenophobia (Source: FR Agency) Time commitments of population to participation in civil society (Source: MS) Number of civil society organisations in NMS since accession (Source: MS) |

Main instruments | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Factors influencing evaluation mechanism: Activities in this policy area are cross pillar and cover a variety of areas, including health, police cooperation, information, evaluation and coordination. The EU Drug Action Plan and EU Drug Strategy are very important documents endorsed by the Council as the basic policy framework for all drugs issues within the EU and within the context of the EU's external relations. They cover all activities in this policy area and provide the guidelines for all Member States to implement the objectives and actions they contain into national policy. The Action Plan takes its lead from the objectives of the EU Drug Strategy and translates these objectives into 80 concrete actions. It concentrates on the two major aspects of drug policy, demand reduction and supply reduction, and also covers a number of cross-cutting themes: international cooperation, research, information and evaluation. It includes actions within EU competence (public health, precursor control, money laundering and development aid) as well as close cooperation between Member States and partnerships with international organisations. The Action Plan furthermore covers monitoring and evaluation and includes assessment tools and indicators for each action. The actions covered by the Action Plan are subject to an annual progress review by the Commission's services. Evaluation in this area is already well-established through the methods and indicators developed during the evaluation of the previous EU Drugs Strategy and Action Plan. Reliable data is available from the European Monitoring Centre on Drugs and Drug Addiction, Europol and the Commission. As with other policies relating to complex, global socio-political issues, the evaluation of the impacts of EU drug policy is a problematical and sensitive matter due to the multiple factors that have to be taken into account and for which there may not be reliable data by their very nature (e.g. figures for trafficking in illicit drugs are always rough estimates; corruption caused by trade in drugs is hidden, etc.). |

Objectives: To significantly reduce the prevalence of drug use among the population and to reduce the social harm and health damage caused by the use of and trade in illicit drugs, and to strengthen international cooperation (EU Action Plan on Drugs 2005-2008) |

Policy-level indicators: The EU Action Plan contains the major legal instruments such as the Council Decision on the information exchange, risk assessment and control of new psychoactive substances, or the Framework Decision on penalties for drug trafficking. It also contains the assessment tools and indicators required for the evaluation process of these instruments and all other actions. These have been drawn up in cooperation with the EMCDDA and Europol, who will help the Commission to keep track of implementation. On this basis the Commission will publish an Annual Progress Review and if necessary propose adjustments. Responsibility for implementation of actions and deadlines are clearly indicated in the Plan. To keep implementation on track, targets whose deadlines have passed or are unlikely to be met will be subject to recommendations for their implementation or identification of failure to implement. The Commission will carry out an impact assessment in 2008 in view of proposing a second Action Plan for 2009-2012. A final evaluation of the Strategy and the Action Plans will be carried out by the Commission in 2012. These evaluations will go beyond the strict confines of the Action Plan and will include, on the basis of the work of the EMCDDA and Europol, a general view of the evolution of the drugs situation in Europe. |

POLICY AREA: COMMON IMMIGRATION AND ASYLUM POLICIES |

Factors influencing evaluation mechanism: New policy area. 1st pillar activities. Interventions include legislation, programmes and cooperation activities. Good, comparable data is required and is planned. MS consensus about broad aims but not at individual instrument level. Impacts of these instruments on third-countries, and in particular development countries, to be considered. |

Policy sub-area 1: Common European Asylum System |

Objectives: To establish a common asylum procedure and uniform status, To facilitate practical and collaborative cooperation, To address pressures on asylum systems and reception capacities. |

Policy sub-area level indicators: Number of asylum seekers applying for asylum in Member States other than the country of first entry (Source: Eurodac) Instances of MS breaching minimum defined standards (Source: Commission) Differences in standards of reception between Member States (Source: Commission) Differences between Member States with regard to the average time taken to determine the outcome of an application for asylum (Source: MS and Commission) Comparison of asylum acceptance rates among Member States[12] (Source: Commission - Eurostat) Differences in the level of capacity per Member State (asylum systems and reception facilities) relative to needs (Source: Member States) |

Main instrument (and type of instrument) | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Objectives: To establish admission procedures capable of responding to fluctuating demands for migrant labour |

Policy sub-area level indicators: Skill shortages in vocations and professions (Source: Commission - Eurostat, MS Labour Force Surveys, EEO) Employment rates amongst migrant groups (Source: Commission - Eurostat, MS Labour Force Surveys) Estimation of the numbers of migrants overstaying the duration of their work permits (Source: MS) |

Main instrument (and type of instrument) | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Objectives: To prevent the isolation of certain groups and achieve successful integration of Third Country Nationals and their descendents To fight discrimination against legally residing Third Country Nationals To promote the exchange of experience and information |

Policy sub-area level indicators: Instances of discrimination (Source: FR Agency, MS) Employment rates of third country nationals (Source: Commission - Eurostat, MS) Employment rates of second generation migrants (Source: SOPEMI Report, MS) Relative income levels of third country nationals (Source: Commission - Eurostat, MS) Proportion of third country nationals living in poverty (Source: Commission - Eurostat, MS) |

Main instrument (and type of instrument) | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Objectives: Assist third countries in migration management, intensify MS cooperation to manage migration flows and prevent humanitarian crises, integrate migration into third country relations, develop policies that link migration, development cooperation and humanitarian assistance, intensify cooperation with third countries on southern and eastern border of EU |

Policy sub-area level indicators: Increase/decrease over a 5-year period of: Numbers of legal migrants by third country (Source: Commission - Eurostat) Numbers of illegal migrants by third country intercepted crossing an external border (Source: Commission – Eurostat) Numbers of visa overstayers by third country intercepted (Source: MS) Numbers of asylum applications by third country (Source: Commission - Eurostat) Numbers of failed asylum applications by third country (Source: Commission - Eurostat) Numbers of failed asylum seekers returning to country of origin /other third country (Source: MS) Number of victims of trafficking from third countries (Source: MS) |

Main instrument (and type of instrument) | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Objectives: To establish an effective removal and repatriation policy based on common standards for persons to be returned in a humane manner and with full respect for their human rights and dignity. |

Policy sub-area level indicators: Increase/decrease over a 5-year period of: Proportion of failed asylum seekers (and illegal migrants) who are repatriated (Source: MS) Numbers returned to countries subsequently deemed unsafe within a period of two years (Source: MS) Numbers (of labour market age) in employment in country of origin 12 months after being subject to return |

Main instrument (and type of instrument) | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Main instrument (and type of instrument) | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Factors influencing evaluation mechanism: The policy area includes both first pillar (civil justice) and third pillar (criminal justice) matters. The main instruments are legislation including the introduction of new legal instruments and activities to stimulate judicial cooperation. Evaluation should cover the implementation of mutual recognition instruments and the various flanking (confidence building) measures that make mutual recognition possible. The potential to identify the causal links between the interventions and the achievement of objectives is greater within civil matters than criminal matters. Information on the scale and nature of the relevant (cross border) civil and criminal matters is however poor. The instruments in both sub policy areas are potentially reinforcing. The classification of the instruments within the civil matters sub policy area relate to both process (cooperation and procedures) and to substantive problems addressed by the instruments (cross border disputes and breakdown of international marriages). There is also a miscellaneous sub category. The achievement of a European area of justice in criminal matters may be constrained by continued variations in definitions of crimes and penalties. Several of the instruments mentioned under civil matters are ‘forthcoming’. They are included however because they illustrate aspects of the evaluation challenges in this policy area. The Judicial training instrument is relevant to both sub policy areas. There are close links between the instruments and objectives of the policy sub area 2 Criminal matters, and the objectives and activities in the policy area: law enforcement cooperation, prevention and fight against organised crime. Also, it should be noted that adjustments to the indicators put forward in criminal matters may take place in light of the implementation of the forthcoming Action Plan on statistics in the field of crime and criminal justice (see more expanded reference on page 49). |

Policy sub-area 1: Civil matters |

Objectives: To increase mutual recognition and enforcement of judicial decisions To establish clear rules on jurisdiction and applicable law To reduce the costs of resolving cross border disputes To increase the likelihood that cross border disputes are resolved To reduce the likelihood of cross border disputes arising To reduce the negative consequences of breakdowns in ‘international’ marriages and prevent child abduction |

Policy sub-area level indicators: Number of mutually recognised judicial decisions Average costs (of different types) of cross-border disputes Number of cross-border cases not resolved Spouses’ (perceptions of) costs of international divorces The number and amount of cross-border maintenance claims not paid Source: MS |

Main instrument | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Horizontal cooperation activities |

Objectives: To promote mutual recognition To increase confidence and other conditions leading to mutual recognition To reduce differences in the definition of crimes. In particular, to explore common definitions and procedures for human trafficking and cross border crimes To reduce differences in detention and trial procedures To improve taking of evidence To reduce differences in penalties To speed up cross border arrest and surrender procedures To facilitate cross border management, freezing and confiscation of criminal assets To protect victims of crime |

Policy sub-area level indicators: Number of mutually recognised judicial decisions Extent of mutual confidence: proportion of officials in national administrations who have high confidence in other MS systems (measured by surveys of national authorities) Level of awareness of judicial actors of other MS systems Number of definitions of crimes approximated Number of reduced differences in detention and trial procedures and definition of penalties Length of cross-border arrest and surrender procedures Size of criminal assets frozen and confiscated in cross-border cases Source: MS |

Main instrument (and type of instrument) | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Factors influencing evaluation mechanism: Policy based on the TEU Title VI (third pillar). Activities include legislation, including the approximation of crimes and penalties and cooperation measure. Establishing causal links between the EU interventions and the ultimate objective of reducing crime is always likely to be problematic. The current factsheet intends to facilitate the assessment of the implementation of EU instruments in this area. Full fledged evaluation will require substantial improvements in the quality and availability of statistical information in the field of crime and criminal justice. The forthcoming Action Plan in this field (to be adopted by the Commission in July 2006) will address these issues and put forward concrete proposals, including carrying out an inventory and setting-up an expert group. In this context, this factsheet and the indicators included therein will necessarily be adjusted and improved in the light of the implementation of the Action Plan, and could be used as a starting point for discussions in this field. |

Policy sub-area 1: Crimes and Sanctions (i.e. legislation to fight organised (cross border) crime and terrorism) |

Objectives: To combat: Terrorism Smuggling and trafficking of human beings, Sexual exploitation, racism and xenophobia, Financial and economic crime, Environmental crime, Illicit trafficking in goods, Organised crime and cyber crime. To reduce the financial resources available to those involved in organised crime To criminalise active and passive corruption |

Policy sub-area level indicators: Numbers and trends of successful prosecutions for (Source: UN crime and criminal justice trends surveys, European sourcebook of criminal justice statistics, Commission crime and criminal justice statistics): Smuggling and trafficking of human beings, Sexual exploitation, Financial and economic crime, Environmental crime, Illicit trafficking in goods (including firearms), Numbers of successful prosecutions for organised crime (Source: UN crime justice and crime trends surveys, European sourcebook of criminal justice statistics, Commission crime and criminal justice statistics) Numbers of prosecutions for active and passive corruption (Source: UN crime justice and crime trends surveys, European sourcebook of criminal justice statistics, Commission crime and criminal justice statistics) Perception of levels of active and passive corruption (Source: Transparency International survey) Numbers of crimes subject to EU interventions and instruments (Source: UN crime justice and crime trends surveys, European sourcebook of criminal justice statistics, Commission crime and criminal justice statistics) |

Main instrument | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Terrorism |

(The architecture of the instruments in this sub policy area is such that the instruments should be reinforcing. Capturing these synergies in evaluation work would be of value) |

Objectives: To increase cooperation between police and customs authorities of MS To increase cooperation of MS police and customs authorities with Europol To develop and improve use of ‘intelligence led law enforcement’ and Joint Investigation Teams To encourage exchange of experiences on best practice on investigative techniques To improve the quality of Member States law enforcement data with the assistance of Europol |

Policy sub-area level indicators: Number of formal joint investigations Number of informal joint investigations Number of successful prosecutions resulting from joint investigations (formal and informal) Number of successful prosecutions resulting from the adoption of best practice investigative techniques Extent of mutual confidence: proportion of officials in national administrations/law enforcement authorities who have confidence in other MS systems (measured by surveys of national authorities) Periods of time (person days) on (trans-national) exchanges of staff Source: MS |

Main instrument | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Objectives: To reduce instances of (cross border organised) crime To establish European instruments for collecting, analysing and comparing information on crime and victimisation. To provide better information on trends in crime in Member States |

Policy sub-area level indicators: Numbers of successful prosecutions of cross border organised crime The frequency with which EU level statistics are collected (benchmark: annually) The level of reliability of data (for example, number of definition changes), also indicated by the levels of confidence in data by key actors (source: regular surveys) Consistency of data between Members States (for example, numbers of definition variations), indicated the levels of confidence in data by key actors (source: regular surveys) Source: Commission, MS |

Main instrument | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Objectives: Reduce detrimental cross border impacts of crises |

Policy sub-area level indicators: Number of cross border crises reported in press/media Number of cross border crises involving EU crisis management |

Main instrument | Objectives | Implementation at national level | Indicators/evaluation questions | Specific issues /comments |

Immediate results | Outcomes | Impacts |

Setting up of integrated and co-ordinated EU crisis-management arrangements in the Commission and the Council |Increase the level of preparedness to tackle cross-border crises within the EU |Active participation from MS in the structures to be established |Establishment of integrated and co-ordinated structures at the EU level

Measured by:

Assessments of MS capacities

Training and joint exercises conducted

Operational plans established

(Source: MS administrative records) | Increased level of preparedness for cross border crises

Measured by:

Actual responses to crises

Results of ‘Exercises’ undertaken.

(Source: MS Potential stakeholder surveys) | Reduced impacts of such crises |There are likely to be particular difficulties in establishing the counter factual with respect to this instrument. Impacts may only be assessed sometime following emergencies. Some scope for peer review | |

ANNEX 2Current practice for monitoring and evaluating EU policieson freedom, security and justice

1. MONITORING

1.1. The Tampere scoreboard

The Tampere European Council in 1999 invited the Commission to compile a scoreboard to keep implementation of policies on freedom, security and justice under continuous review. The scoreboard would specifically keep track of progress made with implementation of the measures and compliance with the deadlines set in the Amsterdam Treaty, the Vienna Action Plan and the Tampere programme. In response, the Commission produced its first scoreboard in March 2000, followed by regular updates every six months taking into account the objectives set by the European Councils in Laeken (2001), Seville (2002) and Thessaloniki (June 2003). The last Tampere scoreboard was presented in June 2004, marking the end of the first five-year period (1999-2004).

The scoreboards indicated the objectives and deadlines set at Tampere and in each case the responsibilities assigned to launch, advance and complete the process. To provide a clear view of the progress made in each area, the scoreboard showed the outstanding proposals and initiatives presented, progress in Council and European Parliament proceedings and the work planned. A specific section of the scoreboard focused on transposition of the instruments adopted.

1.2. Reviewing implementation of EU legislation

1.2.1. Instruments adopted under the EC Treaty

Implementation by the Member States of Community legislation concerning free movement of persons, visas, asylum, immigration, judicial cooperation in civil matters and citizens’ rights adopted under the European Community Treaty is monitored by the Commission. If a Member State fails to comply with its legislative obligations, the Commission can then initiate infringement proceedings under Article 226 of the EC Treaty and may bring the matter before the Court of Justice.

Apart from normal application of the monitoring mechanism under Articles 226 of the EC Treaty, monitoring implementation of the instruments adopted under Title IV of the EC Treaty is not systematic, although it is usual practice. For example, none of the four directives adopted on illegal migration provides for a monitoring report by the Commission.

Some reports, such as the evaluation of the derogation for issuing visas to members of the Olympic family[14], go beyond mere analysis of implementation and contain information on results. There are other examples concerning instruments adopted under Title II of the Treaty, such as reports[15] relating to free movement of Union citizens or reports[16] on their electoral rights in municipal and European Parliament elections.

1.2.2. Instruments adopted under Title VI of the Treaty on European Union

In the case of instruments adopted under Title VI of the EU Treaty concerning police and judicial cooperation in criminal matters, there is no equivalent compliance mechanism allowing the Commission to exercise its institutional powers as guardian of the Treaties.

For all Framework Decisions adopted by the Council, it is compulsory for Member States to transmit a detailed set of national implementing measures to the Commission and to the Council. Based on this information, the Commission then issues a report (e.g. 2002 Framework Decision on combating terrorism[17]). allowing the Council to debate the need for further measures in the field concerned. The Council generally expresses its position in a final report.

For some Framework Decisions, the Commission repeats or updates its monitoring exercise (e.g. “Victims” Framework Decision[18]).

Similarly, the Commission systematically monitors common positions and issues a monitoring report on national implementing measures. The Commission has also taken the initiative to issue specific reports on certain Council Decisions imposing no monitoring obligation such as those relating to Eurojust[19]

This monitoring exercise deals only with the legal transposition aspect and rarely includes details on the practical implementation of instruments . Such assessments of legal transposition answer the following questions: are the implementing measures effective, correct and in line with the Framework Decision? Are they clear and do they provide legal certainty? Do they fully apply the instrument and comply with the time limit for transposition?

In some cases this exercise has been backed up by an initial assessment of practical implementation in the Member States and of the tangible results of the national legislation. For example, in the case of the Framework Decision on the European Arrest Warrant[20], some of the practical results of the implementing measures were included in the monitoring report, such as the question of effectiveness and rapidity of surrender. The Commission’s report also included some preliminary figures, such as the number of warrants issued or the average time taken to execute a warrant, which mainly illustrated the difficulty of obtaining adequate statistics in this field.

1.3. Information-gathering mechanisms on policy implementation

1.3.1. Existing mechanisms

Following the call by the 2001 Laeken European Council to set up an enhanced exchange of information in the field of immigration and asylum, the Commission launched an information and consultation procedure with a “Committee on Immigration and Asylum” (CIA) at its heart. The CIA is made up of experts from the Member States but also frequently provides a forum for representatives of civil society, such as European social partners and the UNHCR, to present their views on pertinent immigration and asylum issues.

In the field of integration, the " National Contact Points on Integration " (NCP) play an important role in monitoring progress across policy fields and in ensuring that integration efforts at national and EU level support each other. They convey key results to the CIA.

A European Migration Network (EMN) was set up in 2002 as a preparatory measure in response to the need to improve exchanges of information on all aspects of migration and asylum. Its primary objective is to provide the Community and the Member States with objective, reliable and comparable information in these fields by systematically collecting and storing existing data and information from Member States and carrying out national and European level analysis. At present, the EMN consists of national contact points designated by the Member States.

1.3.2. Mechanisms in preparation

In the field of asylum, a Communication[21] on strengthened practical cooperation proposed bringing into operation a system for sharing expertise , resources and knowledge between key stakeholders, as a tool for strengthening common approaches to implementation of the first-stage legislative instruments of the European asylum system, building - amongst others - on existing mechanisms, such as the EURASIL group.

In September 2005 the Commission tabled a proposal for a Regulation on Community statistics on migration and international protection . The Regulation will improve statistical knowledge of migration-related phenomena by specifying the data to be collected, the timetables to be applied, the definitions and the quality standards.

In October 2005 the Commission tabled a proposal for a Council Decision on the establishment of a mutual information procedure on national measures taken in the areas of asylum and immigration which could affect other Member States. The proposal is based on the recognition that the absence of border checks in the Schengen area and the gradual development of common EU immigration and asylum policies require timely exchanges of information and discussion of national measures taken on asylum and immigration.

1.4. Monitoring implementation of The Hague Programme

The Hague Multi-Annual Programme (2005-2009) and the Action Plan implementing it invited the Commission to present an annual report on implementation of these two instruments to the Council (the "Scoreboard plus").

The "Scoreboard plus" will aim predominantly at assessing proper and adequate transposition of the legislative acts adopted and effective implementation of the measures agreed. In concrete terms, "Scoreboard plus" will assess the outcome of both (a) the significant political progress achieved at the point of adoption at EU level and (b) implementation at national level of measures related to freedom, security and justice.

This structure will bring visibility to monitoring and provide a comprehensive overview of implementation of the Action Plan, meeting the requirements of the European Council in The Hague Programme. It will increase transparency and visibility and improve and facilitate implementation. The first "Scoreboard plus" is presented in parallel to this Communication, one year after adoption of the Action Plan implementing The Hague Programme .

2. EVALUATION

This section briefly describes the state of play with evaluation in the field of freedom, security and justice, depending on the subject-matter: (1) programmes, (2) legislation or (3) policies[22]. Evaluations on freedom, security and justice mainly focus on individual policy instruments , be they legislative or financial. As in other areas, evaluation of policies (defined as a coherent set of instruments serving the same coherent objective) is still developing . As a consequence, evaluation activities are currently very diverse (internal or external evaluations, annual progress reports, peer reviews, etc.) and very different in scope. This results in a lack of comparable evaluation results across policies and of a true overview of the results achieved in establishing an Area of Freedom, Security and Justice.

The evaluation mechanism put forward in this Communication aims at tackling this issue. It provides a platform for exhaustive presentation and comparability of existing evaluation results, and identification of any information gaps. Whilst taking into account the fact that evaluation is more advanced for some activities than others, it will allow the establishment of a common set of minimum evaluation requirements across the different policies.

2.1. Evaluation of Community programmes

Evaluation of programmes is well developed within the Commission, including in the area of freedom, security and justice, where major programmes such as the European Refugee Fund, AGIS and DAPHNE are regularly evaluated[23]. Available evaluation results demonstrate that whilst the immediate results of funding programmes are easily identified and measured, their longer-term effects are sometimes more difficult to grasp. In this context, the Commission proposals for the 2007-2013 programmes on freedom, security and justice establish a better link between the programmes' specific objectives and the overall political objectives. This will have an impact on the evaluation framework for these programmes, in particular through assessment of their consistency with other instruments (legislative or other) in the same field.

2.2. Evaluation of legislation

Contrary to the evaluation of programmes, evaluation of legislation is a more recent development in the case of freedom, security and justice. Recent examples include the evaluation of the European Arrest Warrant[24] (2005), the economic evaluation of the Data Protection Directive[25] (2005) and the on-going evaluations of the Directive on minimum standards for the reception of asylum-seekers[26] and of the Brussels I Regulation[27]. Also, the introduction of impact assessments of EU legislation has led to systematic ex-ante appraisal, which should greatly facilitate further interim and/or ex-post evaluation. In this context, systematic scrutiny of legislative proposals and other draft instruments to ensure that they are compatible with the Charter of Fundamental Rights should serve the same purpose[28].

2.3. Evaluation of policies

2.3.1. Mechanism for Schengen evaluation

The Schengen evaluation system, first established in the intergovernmental Schengen framework and then integrated into the European Union framework[29], assesses correct implementation of the Schengen acquis by participating Member States through a peer review mechanism, including visits to Member States . It has issued restricted reports, given details of cases of non-compliance with existing rules and practices and made further recommendations. This mechanism applies to both Community and third pillar measures.

When internal border controls with and between new EU Member States are lifted, the Commission will submit a “ proposal to supplement the existing Schengen evaluation mechanism with a supervisory mechanism ”, as requested by The Hague Programme.

2.3.2. Mechanism for the fight against organised crime

Joint Action 97/827/JHA, adopted by the Council on 5 December 1997, established a mechanism for evaluating the application and implementation at national level of international undertakings in the fight against organised crime [30]. Two rounds of evaluation have already been completed and two others are ongoing. The first round focused on mutual legal assistance in criminal matters, on which a report was subsequently released on 1 August 2001[31]. The second assessed instruments dealing with law enforcement and drug trafficking. Finally, the third and fourth rounds, not yet completed, are evaluating exchanges of information and intelligence between the Member States and Europol and the European Arrest Warrant respectively. The 1997 mechanism is operated by teams of experts designated by Member States, assisted by the General-Secretariat of the Council, with the involvement of the Commission. It is based on study visits and allows an in-depth examination of how instruments or policies are working in practice.

The Commission believes that although this mechanism has proved useful and effective , it nevertheless has some shortcomings , in particular the total duration of the process, the scope limited to only matters related to organised crime and the limited dissemination of the evaluation results.

2.3.3. Mechanism for the fight against terrorism[32]

Following the conclusions of the extraordinary meeting of the Justice and Home Affairs Council on 20 September 2001, the Council set up a procedure for peer assessment of national anti-terrorist arrangements in the framework of international cooperation between Member States. The first round of evaluations started in 2003 and focused on exchanges of information. Evaluation teams are made up of national experts and their reports are confidential.

2.3.4. Evaluation of the EU Action Plan on Drugs

In 2004 the Commission carried out the final evaluation of the EU Drugs Strategy and Action Plan on Drugs for 2000-2004[33], in cooperation with the European Monitoring Centre for Drugs and Drug Addiction (EMCDDA) and Europol. The evaluation exercise provided an overview of the drugs situation in the European Union over the reference period. The Strategy and the Action Plan included a wide range of drug-related measures, mainly within the competence of the Member States. Their impact on the drug situation in the European Union could not be considered, mainly because the EU Strategy and Action Plan failed to establish impact indicators.

The EU Action Plan on Drugs for 2005-2008 takes into account the evaluation of the preceding Action Plan and has been designed from the outset to facilitate full evaluation. Accordingly, it clearly allocates responsibilities for each action and includes specific assessment tools, indicators and schedules for implementation. The Action Plan provides for the Commission to present annual reviews of implementation of the Plan plus a final evaluation in 2008, with a view to preparing the next Plan. The first annual progress review will be presented in autumn 2006.

2.3.5. Mechanism for evaluating respect of fundamental rights

The European Monitoring Centre on Racism and Xenophobia studies the extent and development of the phenomena of racism, xenophobia and anti-Semitism and analyses their consequences and effects. Its findings are presented in annual reports. Once established, the Agency on Fundamental Rights, with its wider mandate, is expected to play a key role in evaluating respect of fundamental rights.

The network of fundamental rights experts was created by the European Commission in 2002 in response to a recommendation in the European Parliament's report[34] on the state of fundamental rights in the European Union. The network assesses the fundamental rights situation through an annual report, on the basis of an analysis of the legislation, the case-law and the administrative practice of the national authorities of the Member States and in the institutions of the Union. The reference points for the evaluation are the rights set out in the European Union's Charter of Fundamental Rights. The results are published annually (so far, in 2003, 2004 and 2005).

ANNEX 3 Glossary

Activity : A coherent area of action with objectives and resources. In other words, "Activities" consist of well-defined and delimited measures to which inputs are allocated and converted into outputs.

The policy for the development of an Area of Freedom, Security and Justice has been divided into different Activity-Based Management (ABB) activities such as:

- Activity 1802 “External borders, visa policy and free movement of persons”,

- Activity 1803 “Common immigration and asylum policies”,

- Activity 1804 “Citizenship and fundamental rights”,

- Activity 1805 “Law enforcement cooperation and prevention of and fight against general organised crime”,

- Activity 1806 “Establishing a genuine European area of justice in criminal and civil matters”,

- Activity 1807 “Coordination in the field of drugs”.

Evaluation : “Judgement of interventions according to their results, impacts and the needs they aim to satisfy”[35]. It is a process undertaken by the Commission in order to identify what can be learned for policy and planning.

Ex ante/ex post evaluation

Ex ante evaluation: Evaluation performed before implementation of a measure. For the purposes of the Commission, ex ante evaluation is defined as a process that supports the preparation of proposals for new or renewed Community activities. Its purpose is to gather information and carry out analyses that help to define objectives and to ensure that these objectives can be met, that the instruments used are cost-effective and that reliable subsequent evaluation will be possible.

Intermediate (or mid-term) evaluation: Evaluation performed during implementation of a measure. If the evaluation extends throughout the period of implementation, this is also called "on-going evaluation". This type of evaluation critically appraises the first outputs and results, in order to assess the quality of monitoring and implementation of the measure. The main focus is to help to prepare adjustments and reprogramming and to provide input for the preliminary deliberations on the future of the measures.

Ex post evaluation: Evaluation conducted either on or after completion of a measure. The main interest is overall assessment of the measure, in particular by analysing the impact achieved and examining its efficiency. The objective is to understand the reasons for success or failure and the sustainability of the results and impact. It also tries to draw conclusions that can be applied generally to other measures.

Impact: A general term used to describe the effects of a measure on society. Impact can be either positive or negative and foreseen or unforeseen. Initial effects are called outcomes/results, whilst impact is usually longer-term.

Impact assessment: Impact assessment is about examining the likely economic, social and environmental impact of the Commission's proposals. It identifies and assesses the issue at stake and the objectives pursued. It identifies the main options for achieving the objectives and analyses their likely impact. It outlines the advantages and disadvantages of each option as well as synergies and trade-offs.

Indicators : A characteristic or attribute which can be measured to assess an activity in terms of its outputs or impacts. Output indicators are normally straightforward. Impact indicators may be more difficult to obtain, and it is often appropriate to rely on indirect indicators as proxies. Indicators can be either quantitative or qualitative.

Monitoring: A continuous process of examining delivery in terms of adoption and implementation of different measures, especially legislation. It is not to be confused with programme monitoring, which consists of examining the delivery of programme outputs to the intended beneficiaries. Evaluation, on the other hand, is carried out at a discrete point in time, and consists of an in-depth study. Monitoring generates data which can be used in evaluations.

Outcomes/results: The intermediate effects of a measure.

Policy: A set of activities, which may differ in type (programmes, measures, procedures, laws or rules) and beneficiaries or target groups, directed towards common general objectives or goals. Unlike projects and programmes, a policy is not usually delimited in terms of time or budget.

Policy area : Within the EU the concept policy may designate various scope and levels of complexity, ranging from an overall Commission strategy or objective over a policy area to an ABB-activity. In this context, a policy will normally embrace a range of instruments At Commission level, the ABB-activities (215 altogether) have been grouped into some 30 policy areas, closely identifiable with Directorates-General. This Communication deals with policy area 18: Freedom, security and justice.

Policy instruments : A set of techniques by which public authorities attempt to ensure support and to effect or prevent social change. In this sense, there is a strong emphasis on the dynamic evolving nature of policies, with individual policy instruments being added, withdrawn or redesigned over time. The variety of available policy instruments includes, for example, legislation such as regulations or directives and may involve resource commitments, for example in the form of operational programmes; they also include Communications, action plans, etc. However, policy instruments differ significantly in the way in which they bring about results and impacts and the timescales over which these can be expected.

Programme : A set of organised but often varied actions (a programme may encompass several different projects, measures and processes) directed towards achieving specific objectives, often with a definite time schedule and budget.

[1] Anexo 1 das conclusões da Presidência do Conselho Europeu de Bruxelas de Novembro de 2004.

[2] Plano de Acção do Conselho e da Comissão de aplicação do Programa da Haia sobre o reforço da liberdade, da segurança e da justiça na União Europeia (JO C 198 de 12.8.2005, p.1).

[3] O Plano de Acção prevê igualmente uma comunicação relativa à criação de um sistema para a avaliação objectiva e imparcial da execução das medidas da União Europeia no domínio da justiça, tendo em vista reforçar a confiança mútua respeitando integralmente a independência no sector judicial. Mais tarde durante o corrente ano, a Comissão apresentará uma nova comunicação que abordará esta questão de uma forma mais aprofundada, em conformidade com os princípios gerais estabelecidos na presente comunicação.

[4] COM(2006) 333.

[5] SEC(2000) 1051.

[6] Cf. ponto 0.

[7] A elaboração de estatísticas comunitárias é disciplinada pelas disposições do Regulamento do Conselho relativo a estatísticas comunitárias e as acções relativas à sua elaboração são realizadas em conformidade com o programa estatístico comunitário e seus programas anuais, no respeito dos princípios estabelecidos no código de boas práticas relativo às estatísticas europeias.

[8] Para este efeito, a Comissão tenciona adoptar um plano da UE de desenvolvimento de uma estratégia global e coerente para a avaliação da criminalidade e da justiça penal. O objectivo último será dispor de estatísticas comunitárias com base em definições, mecanismos de recolha e de comunicação de informações harmonizados.

[9] Na terceira fase do mecanismo proposto, o mecanismo de avaliação pelos pares descrito no Anexo 2, ponto 2.3.2, poderia continuar a aplicar-se. Em função da evolução do quadro institucional actual, a Comissão poderia gerir este mecanismo numa fase posterior. Em qualquer caso, a Comissão contribuirá para o mecanismo através das suas próprias avaliações estratégicas aprofundadas nos domínios abrangidos pelo Título VI do Tratado UE.

[10] Cf. ponto 0.

[11] Cf. secção 3.3.

[12] Asylum acceptance rates can at the moment only be roughly estimated with the data currently available, as asylum decisions in one year often relate to applications made in earlier years.

[13] With particular regard to preparedness and response to terrorist attacks.

[14] Report on the functioning of the derogation system introduced by Regulation 1295/2003 regarding measures envisaged to facilitate the procedures for applying for and issuing visas for members of the Olympic family taking part in the 2004 Olympic or Paralympic Games in Athens (SEC(2005) 1051). This report was written by the Commission on the basis of information provided by the Greek authorities.

[15] Reports from the Commission to the Council and the European Parliament on the implementation of Directives 90/364, 90/365 and 93/96 (Right of residence), COM(1999) 127 final and COM(2003) 101 final.

[16] Reports on the application of Directive 93/109/EC: Right of EU citizens residing in a Member State of which they are not nationals to vote in European Parliament elections, COM(97) 731 final and COM(2000) 843, or Report from the Commission to the European Parliament and the Council on the application of Directive 94/80/EC on the right to vote and to stand as a candidate in municipal elections, COM(2002) 260 final.

[17] Report from the Commission based on Article 11 of the Council Framework Decision of 13 June 2002 on combating terrorism, COM(2004) 409 final, 8.6.2004.

[18] Council Framework Decision of 15 March 2001 on the standing of victims in criminal proceedings.

[19] Report from the Commission on the legal transposition of the Council Decision of 28 February 2002 setting up Eurojust with a view to reinforcing the fight against serious crime, COM(2004) 457 final, 6.7.2004.

[20] Report from the Commission based on Article 34 of the Council Framework Decision of 13 June 2002 on the European Arrest Warrant and the surrender procedures between Member States (COM(2005) 63 final), p.2, paragraph 2: “The evaluation criteria adopted by the Commission for this report are, firstly, the general criteria normally used nowadays to evaluate the implementation of framework decisions (practical effectiveness, clarity and legal certainty, full application and compliance with the time limit for transposal), and, secondly, criteria specific to the arrest warrant, principally the fact that it is a judicial instrument, its effectiveness and its rapidity.”

[21] COM(2006) 67 final.

[22] Evaluations of agencies and external bodies have not been included, for example the evaluation of the draft Council Decision transforming the European Police College (CEPOL) into an EU body, the evaluation of the European Monitoring Centre for Drugs and Drug Addiction and the evaluation of the functioning of the European Judicial Network (EJN) in civil and commercial matters.

[23] The results of these evaluations are available online at: http://europa.eu.int/comm/dgs/justice_home/evaluation/dg_coordination_evaluation_annexe_en.htm.

[24] Council Framework Decision 2002/584/JHA of 13 June 2002 on the European Arrest Warrant and the surrender procedures between Member States.

[25] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data.

[26] Council Directive 2003/9/EC of 27 January 2003 laying down minimum standards for the reception of asylum-seekers.

[27] Council Regulation (EC) No 44/2001 of 22 December 2000 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters

[28] SEC(2001) 380/3, COM(2005) 172.

[29] Decision 26 DEF 1998 of the Schengen Executive Committee.

[30] For further information see: http://europa.eu.int/scadplus/leg/en/lvb/l33053.htm.

[31] Final report on the first evaluation exercise - mutual legal assistance in criminal matters (2001/C 216/02).

[32] Council Decision 2002/996/JHA of 28 November 2002 establishing a mechanism for evaluating the legal systems and their implementation at national level in the fight against terrorism.

[33] COM(2004) 707.

[34] 2000/2231(INI).

[35] Communication on Evaluation (SEC(2000) 1051):http://europa.eu.int/comm/budget/evaluation/keydocuments_en.htm.

Relatório de avaliação específico aprofundado

Avaliações estratégicas das políticas

Sistema de recolha e partilha de informações

Mecanismo de comunicação de informações

Conjunto de fichas de dados

Relatório de avaliação

3 fases

Resultados

Mandato político: programação plurianual

Avaliação da execução e dos efeitos de todas as medidas (relatório geral de avaliação)

Avaliação dos resultados das medidas

3

Resultado imediato da medida

Execução nacional da medida, por exemplo, mediante a compilação das listas eleitorais, etc.

Acompanhamento da situação de adopção e execução das medidas (Painel de Avaliação)

4

Resultado/impacto da medida

Resultado: número de cidadãos da UE que residem num Estado-Membro de que não tenham a nacionalidade e que exercem o seu direito de voto e/ou de elegibilidade nas eleições para o PE.

Impacto: maior participação eleitoral; maior legitimidade e representatividade do PE.

2

Execução da medida pelos Estados-Membros

Legislação nacional que transpõe a Directiva em conformidade com as suas disposições

1

Adopção da medida através do processo de tomada de decisão

Exemplo:

Directiva do Conselho que estabelece o sistema de exercício do direito de voto e de elegibilidade nas eleições para o Parlamento Europeu dos cidadãos da União residentes num Estado-Membro de que não tenham a nacionalidade