Proposal for a COUNCIL DECISION on a joint action introducing a programme of training, exchanges and cooperation in the field of identity documents
Date: 1996-06-26
Institutions: European Commission
Subjects: action programme, border control, identity document, in-service training, police checks

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels,  26.06.1996 
COM(96) 297  final 

Proposal  for  a 

COUNCIL  DECISION 

on a joint action 
introducing a programme 
of training, exchanges and cooperation 
in the field of identity documents 

(presented  by  the  Commission) 

I 

Explanatoiy Mémorandum 

CONTENTS 

A. 

B. 

C. 

Background to proposal 

Scope of proposal 

Comments on individual articles 

II 

Draft decision 

A. 

B. 

C. 

Recitals 

Operative provisions 

Financial statement 

. 

3 

3 

4 

4 

8 

8 

9 

13 

A 

1. 

EXPLANATORY MEMORANDUM 

Background to proposal 

Security  in matters of identity documents and measures to combat forgery were 
seen as matters of priority for  improving the effectiveness  of identity checks at 
the external borders even before the Treaty on European Union came into force. 
The cooperation provided for by Title VI of the Union Treaty has œnfirmed that 
priority.  The  effectiveness  of  control  work  depends  not  only  on  information 
channels  such  as the Fraud  Bulletin  and the Authentic  Documents  Manual but 
above all on the training of those officials  whose responsibility  it is to perform 
the  actual  checks.  That  will  result  not  only  in greater  mutual  acquaintance 
between  officials  but  also  in  an  enrichment  of  the  techniques  and  procedures 
applied.  The joint  action proposed here will also be a vital weapon  in the  fight 
against  trafficking  in  human  beings  generally  and  clandestine  immigration  in 
particular. 

Article K. 1(2) of the Treaty on European Union defines "the exercise of controls" 
on  the  crossing by persons  of the  external  borders  of the  Member  States  as a 
matter of common interest. 

2. 

At their meeting in Lisbon in June 1992, the ministers responsible for immigration 
decided  to  organize  training  seminars  to  this  effect,  two  examples  of  which, 
intended for specialists to impart their own experience, have already taken place. 
The second, held in  1995, was charged to the Community budget under Article 
K.8oftheTEU 

Both  the  participants  and  the  relevant  Council  working party  made  a  positive 
assessment of the latter seminar, stressing that these experiments deserved to be 
explored  further  and  made  a  regular  feature  in  the  form  of  carefully  planned 
programmes. 

Pragmatic  cooperation  of this type has therefore  shown  itself to  be  a valuable 
complement  to  the  Council's  legislative  activity.  It  must  not  be  ignored  that 
Article  K.3  explicitly  provides  for  collaboration  between  the  relevant  national 
administrative departments. 

3. 

These initial experiments have highlighted particularly pressing needs in specific 
respects  -  training  for  trainers  and  for  specialists.  The former  has  a  multiplier 
effect,  as  the  results  of  training  conceived  and  dispensed  at  Union  level  are 
disseminated  throughout  the Union. With the  latter,  experts'  know-how  can be 
constantly adapted to the ongoing process of technological development without 
unwarranted delay, and the quality of the training given to those responsible for 
controls can be maintained. Success in these areas will depend on durability of the 
measures undertaken and on a coherent concept and organization. 

B. 

4. 

Scope of the proposal 

The aim of the joint action is: 

as to substance, to devise a programme which is consistent, encompasses 
the various  components  of  a training policy  and comprises  both tuition 
proper and periods of training and exchanges in other States in such a way 
as to consolidate existing links between the departments responsible  for 
identity control; 

as to timing, to establish  multiannual  practical  cooperation  between the 
authorities responsible for checking identity documents, resulting in greater 
familiarity  with  the  methods  used  in  other  Member  States  and  more 
effective  ways of combating the use of forged documents. 

5. 

6. 

The  lessons  learnt  at  the  initial  stages  need  to  be  explored  in  greater  depth. 
Particular  thought  should  be  given  to  the  idea  of  exchanges  between  officials 
while the  study  and  research  aspect  needs  to  be  examined  further  so  that  the 
effects  of activities can filter through more easily to those who have not actually 
taken part in training. 

The  structure  of  this  programme  is  therefore  one  of  annual  training  sessions 
hinging on seminars, accompanied by exchanges between officials  and involving 
study  and  research  activities.  This  structure  reflects  the  needs  revealed  by  the 
evaluation of the seminars already held and confirmed by Council working parties 
of experts from the Member States. This structure does not prevent other measures 
from being  devised  as  and  when  new  technology  for  the  production  of  non-
forgeable documents and the detection of forgeries  is introduced. 

The complementarity  of this approach allows a certain measure of flexibility in 
the management of the multiannual programme whilst respecting its  fundamental 
priorities.  Such flexibility is needed  in order to  adapt  as quickly  as possible to 
technological developments and counteract new ways of using forged documents. 

The programme is designed to meet these objectives by underpinning initiatives 
taken in the field of continuing training by public or private institutions in order 
to  increase  familiarity  with  the  techniques  by  which  identity  documents  are 
produced  and to  heighten  awareness  of the  need  to  combat  the  use  of  forged 
documents. Furthermore, thanks to the potential  economies of scale afforded  by 
this programme,  it  may  eventually  be possible to  incorporate  it  into  a broader 
programme relating to border checks, to be implemented experimentally in 1996. 

C 

Comments on individual articles 

Article 1 

Article  1 sets out the general principle and objectives  of the programme and stipulates 
that  it is to qualify  for  Community  support. The attached financial statement  allows a 
total package of ECU 5 million for the first five years, with the proviso that an initial 
appropriation of ECU 400 000 will be allocated to the programme in 1996. 

The objectives are set with the emphasis on the dual aspects of the programme's perennial 
nature and the need for further  exploration of the measures involved. Particular stress is 
laid  on  the  importance  of  clearly  defined  priorities  as  prerequisites  for  ensuring  the 
overall  consistency  of  the  programme.  In  this  respect,  the  adoption  of  a  long-term 
approach seems to be the most effective  way of exploring both the means of action and 
the possibility of tackling the problem from the angles of both prevention and prosecution 
(technical, legal or even cultural and sociological dimensions). 

Article 2 

Article 2 provides the basic definitions  needed to understand the exact features  of this 
joint  action,  with  particular  reference  to  identity  documents  and  the  main  types  of 
measure making up the programme. 

Article 3 

Article  3  deals with the first component  of the annual programmes,  i.e. the seminars. 
There  are  to  be  two  types  of  seminars:  "general  seminars"  for  the  instructors  whose 
responsibility  it will  subsequently  be to  relay the  information  onward  in the Member 
States, and "specialist seminars" to enable recognized specialists to study specific aspects 
identified  as  meriting  particular  attention.  These  seminars  are  to  be  held  at  regular 
(annual)  intervals  so  as  to  produce  a  knock-on effect,  culminating,  at  the  end  of  the 
exercise,  in  a  genuine  reference  source.  They  will  share  the  characteristics  of  being 
designed  for  the purpose of studying the theoretical  and practical  aspects  of document 
security, providing an opportunity to update existing knowhow and developing teaching 
methods  for  instructors.  Obviously,  this  must  not  involve  any  encroachment  on  the 
powers of the Community,  for  example as regards the standard format  for visas or the 
Union citizen residence card. 

In view of the special  links with the associated countries (Central  and Eastern Europe, 
Cyprus  and Malta)  and given the need to devise ways of combating the use of  forged 
documents  beyond  the  purely  European  Union  context,  provision  has  been  made  for 
holding a number of seminars for representatives from the associated countries. Experts 
from these  countries  will  be  invited  to  attend  specially  organized  broader-purpose 
seminars,  i.e.  seminars  where  those  aspects  of  most  direct  concern  to  them  can  be 
addressed. 

Article 4 

Article  4  deals  with  the  aspect  designed  to  supplement  the  seminars,  i.e.  exchanges 
between  officials.  These  may  take  the  form,  for  instance,  of  unilateral  or  reciprocal 
placements  in the national  departments responsible for control so as to enable  officials 
to gain first-hand experience of the problems encountered in other Member States and of 
the most up-to-date methods of designing and producing identity documents. 

Since these exchanges will also be open to representatives of non-member countries and 
not merely those of associated countries, participants will also be able to learn from the 
experience gained by countries pursuing similar aims. 

Article 5 

The third component of the annual programmes relates to studies, the main purpose of 
which  will  be  to  devise  and  disseminate  teaching  materials  (teaching  kits,  back-up 
software  etc). Research might focus more on the design of equipment for the checking 
of documents and technology for the rapid dissemination of data on forged  documents 
and their use. 

Article 6 

The  overriding  criterion  which  determines  whether  or  not  a  measure  qualifies  for 
Community support is its value to the Union. To be certain as to this fact, the principle 
is laid down that in the case of measures involving only Member States, there must be 
at  least  three  of  them.  In  the  case  of  measures  involving  associated  countries,  these 
should involve at least two Member States and three associated States. This avoids any 
danger of duplication with bilateral initiatives taken by the Member States. 

Article 7 

These provisions relating to the jurisdiction of the Commission and the Court of Justice 
are conventional for an instrument of this type. 

Article 8 

This  article  sets  out  the  general  terms  of  financing  under  the  Community  budget. 
Paragraph  2  lays down an overall  limit  embodying the principle that the  contribution 
made by the national authorities must be less than the contribution from the Community 
budget. However, in order to remain flexible enough to adapt to individual programmes, 
this ceiling may be raised to take account  of the particular circumstances  described  in 
paragraph 3. 

Paragraph  4  lays  down  the principle  that  the  Community  contribution  is  confined  to 
certain  categories  of  expenditure,  thus  emphasising  the  operational  rather  than 
administrative  nature  of the  budget  item.  Here too,  a  certain  measure  of flexibility is 
allowed in order to be able to adapt to particular circumstances. 

Article 9 

The  rules of procedure set out in this article are conventional for an instrument of this 
type. 

Article 10 

This article lays down the principle of the responsibility of the Commission for managing 
and monitoring the programmes and, in particular,  for drawing up annual programmes. 
The  Commission  has  a  central  role to  play  in  the  conduct  of  these  programmes.  In 
devising  the  annual  programmes,  the  Commission  will  have  to  process  the  various 
applications submitted to it. To this end, it will also process the proposals submitted by 
the Member States, thus enabling them to contribute to the design of the programmes. 
Suggestions  will  be  considered  in  the  light  of  three  criteria  set  out  in  the  second 
subparagraph  of  paragraph  2.  In  its  processing  work,  the  Commission  will,  where 

necessary, draw on the advice of experts well versed in the methods of combating forged 
identity documents. 

Article 11 

This  article  deals  with  the  decision-making procedure  for  the  adoption  of  the  annual 
programme.  A committee has been set up to operate on the basis of Procedure Ha of 
Council Decision No 87/373 of 13 July 1987 laying down the procedures for the exercise 
of implementing powers conferred on the Commission (OJ L 197, 18.7.1987, p. 33). The 
draft  annual programme will be submitted to a committee chaired by the Commission, 
which will decide by a majority  of votes as provided for  in the second subparagraph of 
Article K.4(3) of the TEU. Should the Commission reject the opinion of the Committee, 
it  will  be  up  to  the  Council  itself  to  decide.  This  procedure  presents  the  two-fold 
advantage  of  consultations  with  the  Member  States  within  the  Committee  and 
effectiveness  of the decision-making procedure where there is agreement. The advantages 
of this procedure, which has proved  itself in other contexts, will also become apparent 
in relation to this programme. 

Article 12 

This article provides for evaluation and monitoring. This task is incumbent primarily on 
the  Commission,  which  has  to  ensure  that  Parliament  and  the  Council  are  kept 
appropriately informed  so as to maintain concordance with work in progress or planned 
in the field of external borders, asylum and immigration. 

Article 13 

The provisions relating to the entry into force of the common action set out in this article 
are conventional  for an instrument of this type. 

DRAFT DECISION 
OF THE COUNCIL OF THE EUROPEAN UNION 

OF. 

on a common action 
introducing a programme 
of training, exchanges and cooperation 
in the field of identify documents 

THE COUNCIL OF THE EUROPEAN UNION 

Having regard to the Treaty on European Union, and in particular Articles K3(2)(b) and 
K.8(2) thereof, 

Having regard to the Commission proposal of 

, 

Whereas the Member  States  consider  identity  checks on persons  crossing the external 
borders of the Union and the security of identity documents to be a matter of common 
interest; 

Whereas the establishment of a framework for training, information, study and exchange 
activities will  serve to  improve officials'  familiarity  with the techniques  applied  in the 
production and checking of identity documents in other Member States and consequently 
lend greater effectiveness  to the efforts  made to combat  forgery; 

Whereas, thanks to the economies of scale and cumulative effects implicit in the intended 
measures, these objectives  can be achieved more effectively  at Union level than  at the 
level of the individual Member States; 

Whereas this joint action will not prejudice the powers of the Community, especially in 
the  field  of  vocational  training  and  will  therefore  not  detract  from  the  Community 
measures  taken  in  implementation  of this policy,  in particular  the  Leonardo  da  Vinci 
programme, 

HAS DECIDED AS FOUUOWS: 

SECTION!-  GENERAL 

Article 1 
Principle and objectives 

1. 

A  programme  (hereinafter  referred  to  as the  Sherlock  programme)  of training, 
exchange and cooperation in the field of the security of identity documents within 
the meaning of the definitions  in Article 2, which shall qualify  for  Community 
financial  support, is hereby established for the period from 1996 to 2000. 

2.  Without prejudice to the powers of the Community, the general objective of the 
programme  shall  be  to  extend  existing  cooperation  in  the  matter  of  identity 
documents thanks to its multiannual organization. The definition of clear priorities 
will serve to rationalize this cooperation in the long term. 

Article 2 
Definitions 

The following definitions  shall apply for the purposes of the Sherlock programme: 

Identity  documents: documents  issued  by  Member  States  and  non-member 
countries enabling their holders to prove their identity and cross external borders; 

Training:  organization  of  seminars  focusing  on  theoretical  and  practical 
understanding of the security of identity documents; 

Exchange:  period spent by an official  in a Member State other than his own for 
the purpose of improving his knowledge of control techniques through  first-hand 
experience; 

Studies: design and dissemination  of teaching material  for  combating of  forged 
identity documents. 

SECTION H: STRUCTURE 

Article 3 
Training 

1. 

The  main  component  of  the  Sherlock  programme  shall  be  following  annual 
programmes: 

basic training seminar for instructors, 
further  training seminar  for  recognized  specialists  on the production  of 
documents. 

2. 

The seminars are intended for officials  of the Member States. However, seminars 
specifically  open to officials  of non-member countries may also be held . 

Article 4 
Exchanges 

The Sherlock programme shall also comprise exchanges of officials both of the Member 
States and of non-member countries. Exchanges shall take the form in particular of work 
placements of limited duration within the national administrative departments responsible 
for checking identity documents. 

Article 5 
Study and research 

1. 

The Sherlock programme shall œmprise the design, production and dissemination 
of teaching material in the Member States and the associated States. 

2.  Ways of improving the circulation of information  œncerning the fraudulent use 
of forged  identity documents may also be a matter for study and research. 

SECTION Hfc FINANCIAL PROVISIONS 

Article 6 
Financing criteria 

To  qualify  for  Community finance, projects  must  be  of  demonstrable  interest  to  the 
European Union and involve at least three Member States. 

Projects designed to increase cooperation with the associated States must involve at least 
two Member States and three associated States. 

Article 7 
Financial control 

The financing decisions and the contracts arising therefrom  shall provide for monitoring 
and financial control by the Commission and audits by the Court of Auditors. 

Article 8 
Level of Community  finance 

1. 

2. 

3. 

All types of expenditure which are directly chargeable to the implementation of 
the measure and have been incurred over a specific, contractually defined period 
shall be eligible. 

The proportion of financial support from the Community shall not exceed 60% of 
the total cost of the programme save in exceptional  cases where, subject to the 
procedures laid down in Section 4 of this joint action, it shall not exceed 80%. 

Translation and interpreting costs, confuting  costs and expenditure on durables 
or consumables shall not be considered unless they are essential for the realization 
of the project  and shall be financed only up to a  limit of 50% of the grant, or 
80% in cases where the nature of the project  makes them indispensable. 

10 

4. 

Expenditure relating to premises, collective facilities and the salaries of  officials 
of the State and public bodies shall be eligible only if it corresponds to irregular 
postings and tasks, specifically connected with the implementation of the project. 

Article 9 
Rules of procedure 

1. 

Measures  incorporated  in  the  programme  and  financed  by  the  budget  of  the 
Communities  shall  be  managed  by  the  Commission  in  conformity  with  the 
Financial Regulation of 21 December 1977 applicable to the general budget of the 
European  Communities,  as  last  amended  by  Regulation  No  2335/95  of 
18 September 1995. 

2.  When presenting the financing proposals, the Commission shall take account of 
the principles of sound financial management and in particular of economy and 
cost-effectiveness  as required by Article 2 of the Financial Regulation. 

MANAGEMENT AND MONITORING 

Article 10 
Devising of programme 

1. 

2. 

1. 

The  Commission  shall  be  responsible  for  managing  and  monitoring  the 
programme and shall take such measures as are necessary to this  effect. 

The  Commission  shall  draw  up  a  draft  annual  programme  comprising  a 
breakdown  of  the  appropriations  available  and  based  on  thematic  priorities 
corresponding to the structure and objectives of the Sherlock programme. 

To this effect, the Commission shall scrutinize the projects submitted to it in the 
light of the following criteria 
lirrht  rvf thf*  iriWnwnna 
r r i t f r ï îv 

the innovative character of the proposed measure; 
the  urgency  of  the  need  for  the  initiative  as  a  way  of  improving  the 
security of documents; 
the overall consistency of the programme. 

Article 11 
Implementation 

The Commission shall be assisted by a committee consisting of a representative 
of each Member State and chaired by a representative of the Commission.  The 
latter  shall submit to the Committee the draft  annual programme referred  to in 
Article  10 of this joint  action. The Committee shall deliver its opinion within a 
time  limit  set by the Chairman according to the level  of urgency.  The opinion 
shall be delivered by qualified majority as laid down in the second subparagraph 
of Article K.4(3) of the Treaty on European Union. The Chairman shall not vote. 

11 

The Commission  shall adopt measures, which shall be  immediately  applicable. 
However, should these measures not be consistent with the opinion delivered by 
the committee, they shall be communicated by the Commission to the Council 
forthwith.  In  such  an  event, the Commission  may  defer  the  application  of the 
measures it has adopted for a period of not more than one month from the date 
of its communication to the Council. 

The Council, acting by a qualified majority, may then take an alternative decision 
within the period referred to in the foregoing subparagraph. 

SECTION V: FINAL PROVISIONS 

Article 12 
Evaluation 

Each year, the Commission shall undertake an assessment of the measures taken during 
the previous year and shall address a report to Parliament and the Council. 

Article 13 
This  Joint  Action  shall  enter  into  force  on  the  day  of  its  publication  in  the  Official 
Journal. 

Done at Brussels, 

12 

Financial statement 

Item B5-800:  Cooperation  in the fields of justice  and home affairs.  The  commitment 
appropriations have been entered in Chapter BO-40. 

1. 

TITLE OF OPERATION 

Joint action on a programme of training, exchanges and cooperation in the field 
of the security of identity documents (to be known as the "Sherlock programme"). 

2. 

BUDGET HEADING INVOLVED 

B5-800: Cooperation  in the fields  of justice  and home affairs,  more especially 
fields  covered by Article KT(2) and (3) of the TEU. 

3. 

LEGAL BASIS 

Article K3(2) of the Treaty on European Union. 

4. 

DESCRIPTION OF OPERATION 

4.1  General  objective 

Greater security of identity documents can be seen as a priority area for the type 
of  cooperation  provided  for 
in  Title VI  of  the TEU,  and  more especially  for 
enhancing  the  effectiveness  of  checks  at  the  Union's  external  borders.  The 
effectiveness  of control work depends not only on information  channels such as 
the Fraud Bulletin, the Authentic Documents Manual and the Encoded Document 
Reference  System but above all on the training of officials  working in this area, 
especially where it  involves an  increases  in exchanges between Member  States 
and greater familiarity with the techniques, procedures and implements used. Two 
seminars intended for specialists to share their own experience have already taken 
place. The second, held  in  1995, was charged to the Community  budget under 
Article K.8 of the TEU. 

The  general  aim  of  the  action,  based  as  it  is  on  the  implementation  of  a 
multiannual  programme,  is  to  extend  cooperation  in  this  field,  rationalize 
initiatives by coordinating them around clear priorities  and, by making this an 
ongoing process, ensure that the results have an enduring impact. 

4.2 

Period covered 

The action covers a period of five years from 1996. 

5. 

CLASSIFICATION OF EXPENDITURE 

NCE/DA 

13 

6. 

TYPE OF EXPENDITURE 

Grants (of up to 80%) for co-financing with other public or private sector sources. 

7. 

FINANCIAL IMPACT 

7.1  Method of calculating total cost of operation 

The grants will cover the following: 

training; 
exchange and work placement programme; 
studies and research, dissemination of information 

It  is  anticipated  that,  subject  to  the  annual  budgetary  procedure,  an  indicative 
financial  package of ECU 5 million will be set aside for this programme for the 
period  1996-2000, in accordance with the timetable set out at 7.2. 

The annual amounts, calculated on the basis of similar actions already carried out 
(including the Karolus and Mattheus programmes) or actions in progress, are as 
follows: 

-  1996: - training: 

*seminar for the training of instructors: 30 participants (2 
x  15 Member  States), duration  15 days (cost per trainee: 
ECU 6300): 

ECU 190 000 

•basic training seminar for  Central  and Eastern European 
associated  countries  (7  States)  in  conjunction  with  3 
Member  States: 20 participants  (2 per  State), duration  10 
days (cost per trainee: ECU 4200): ECU 84 000 rounded up 
to: 

ECU 90 000 

-  studies  and research, dissemination  of information  (design  of teaching 
material, production of documents): 

ECU 120 000 

-  per year for the period 1997-98: 

- training: 

*seminar  for  the  training  of  instructors:  30 participants  (2  x  15 
Member States), duration  15 days (cost per trainee: ECU 6300): 
ECU 190 000 

•further training seminar (15 days, 1 participant per Member State, 
cost ECU 6300): ECU 94 500 rounded up to: 

ECU 95 000 

•basic  training  seminar  for  Central  and  Eastern  European 
associated  countries  (7  States)  in  conjunction  with  3  Member 

14 

States:  20 participants  (2 per  State),  duration  10 days  (cost per 
trainee: ECU 4200): ECU 84 000 rounded up to: 

ECU 90 000 

•seminar for the training of instructors from Central  and Eastern 
European  associated  countries  (7  States)  in  conjunction  with  3 
Member States: 20 participants (2 per State), duration 10 days (cost 
per trainee: ECU 4200): ECU 84 000 rounded up to: 

ECU 90 000 

- exchanges:  •S-day  exchanges  (cost per  trainee  ECU 2000)  for  150  officials 

from  Member States: 

ECU 300 000 

•5-day  exchanges  (cost  per  trainee  ECU  2000)  for  50  officials 
from  associated non-member countries: 

ECU 100 000 

•other  exchanges  (visits  to  production  workshops,  research 
laboratories etc): 

ECU 60 000 (lump sum) 

-  studies and research, dissemination of  information: 

ECU 75 000 

-  per year for me period 1999/2000: 

- training: 

•seminar  for  the training  of  instructors:  30 participants  ( 2 x 15 
Member States), duration  15 days (cost per trainee: ECU 6300): 
ECU 190 000 
•further training seminar (15 days, 1 participant per Member State, 
cost ECU 6300): ECU 94 500 rounded up to: 

ECU 95 000 

•basic  training  seminar  for  Central  and  Eastern  European 
associated  countries  (7  States)  in  conjunction  with  3  Member 
States:  20  participants  (2  per  State),  duration  10 days  (cost  per 
trainee: ECU 4200): ECU 84 000 rounded up to: 

ECU 90 000 

•seminar for the training of  instructors from Central  and Eastern 
European  associated  countries  (7  States)  in  conjunction  with  3 
Member States: 20 participants (2 per State), duration 10 days (cost 
per trainee: ECU 4200): ECU 84 000 rounded up to: 

ECU 90 000 

-  exchanges:  •S-day  exchanges  (cost per  trainee ECU 2000)  for  150  officials 

from  Member States: 

ECU 300 000 

15 

•5-day  exchanges  (cost per trainee  ECU 2000)  for  100  officials 
from  associated non-member countries: 

ECU 200 000 

•other  exchanges  (visits  to  production  workshops,  research 
laboratories etc): 

ECU 100 000 (lump sum) 

-  studies and research, dissemination of  information: 

ECU 235 000 

7.2 

Itemized breakdown of cost 

AC in ECU millions 
(at current prices) 

Breakdown 

Training  (seminars) 
Training (exchanges) 

1996 

0.28 

1997 

1998 

1999 

2000 

Total 

0.465 
0.4 

0.465 
0.4 

0.465 
0.5 

0.465 
0.5 

2.14 
1.8 

Other exchanges 

Studies, research, 
dissemination of 
information 

TOTAL 

0.12 

0.06 
0.075 

0.06 
0.075 

0.1 
0.235 

0.1 
0.235 

0.32 
0.74 

0.4 

1 

1 

1.3 

1.3 

5 

7.3 

Indicative schedule of appropriations 

AC in ECU millions 

1996 

1997 

1998 

1999 

2000 

2001 

Total 

0.4 

1 

1 

1.3 

1.3 

5 

0.1 

0.3 
0.7 

0.3 
0.7 

0.3 
1 

0.1 

1 

1 

1.3 

0.4 
1 
1 
1.3 
1.3 

5 

0.3 
1 

1.3 

0.3 

0.3 

Appropriations  for 
commitment 

Appropriations  for 
payment 

1996 
1997 
1998 
1999 
2000 

Total 

Indicative financial package for the period  1996-2000: ECU 5 million. The programme 
is scheduled to take place in three phases. 

16 

For 1996, since initial expenditure cannot be committed before the last third of the year, 
the  annual  amount  has  been  calculated  on  the  basis  of  what,  given  the  necessary 
preparatory work, could actually be organized. 

For  1997-98: an  initial phase  designed to have an  appreciable  knock-on  effect  on the 
national training programmes of the Member States, which will have instructors trained 
at Union level and jointly devised teaching material at their disposal. 

For  1999-2000: the expected results of the knock-on effect  on the national programmes 
will generate new requirements at Union level, making it possible to amplify and expand 
the operation on the basis of a mid-way assessment (end 1998) of a more detailed nature 
than the annual report. 

8. FRAUD PREVENTION MEASURES; RESULTS OF MEASURES TAKEN 

Verification  of grants or receipt of payments and preparatory, feasibility  and assessment 
studies  is carried out by the Commission before payment  is made, taking into account 
contractual obligations, economic principles and principles of sound financial or general 
management. Anti-fraud  provisions (checks, delivery of reports, etc.) are included in all 
the agreements or contracts concluded between the Commission and the recipients of the 
payments. 

9. EIJEMENTS OF <X)ST-EFFEOTVENESS ANALYSIS 

9.1  Specific  and quantifiable  objectives; target population 

-  Specific objectives: 

Under  the  general  objective  referred  to  at  4.1, the  Commission  will  devote  special 
attention to the  following: 

* Ongoing training seminars in the field of document security in three areas 

- mstnictor-tmining 
- further  training for recognized specialists 
- basic training for officials from certain Central and Eastern European countries 

The  underlying  aim  here  is  to  harmonize  the  training  of  the  officials  concerned  by 
focusing  on  specific  levels:  Union  level  for  the  training  of  instructors  and  advanced 
training  and  Member-State  level  for  the  relaying  of  training  to  the  greatest  possible 
number of national officials.  Likewise in a spirit of harmonization and in anticipation of 
their possible accession, training will also be organized at Union level for officials from 
Central and Eastern European countries. 

* In conjunction with the foregoing objective, teaching material will be developed which 
can  subsequently  be  used  in  training  programmes  in  the  Member  States,  thereby 
capitalizing on the training provided at Union level, producing economies of scale and 
adding a further  element of harmony to the training provided at Member State level. 

17 

*  Research  to  improve  ways  and  means  of  disseminating  information  relating to  the 
recognition of documents and forgeries 

The latter objective will help to avoid duplication of research efforts  in a field where the 
exchange  of  information  between  Member  States  is  of  primordial  importance  to  the 
establishment of complete freedom of movement. 

-  Target population: 

Officials  responsible for designing, issuing or checking documents. 
Officials responsible for training, especially devising and implementing training schemes 
in the departments concerned and in particular for devising instmctor-tmining. 

9.2 Justification  for action 

Cooperation between the Member States as defined by Title VI of the TEU, with which 
the Commission is fully  associated, covers matters which the Member States regard as 
being  of  common  interest.  Document  security  is  one  such  matter,  being  particularly 
important  as regards immigration  control at the external borders. Cooperation between 
government departments of the Member States at Union level therefore supplements the 
efforts  made by those departments  in their  own field of  competence.  The high-speed 
exchange of information  and the need to work in real time therefore require officials  to 
have  an  increasingly  detailed  knowledge  of  procedures  in  other  Member  States.  The 
Sherlock programme, which, as shown in the above presentation of the specific objectives 
of the programme, complies totally with the principle of subsidiarity as regards the level 
at which the measures are located, is thus a reflection  of this need. 

Two principles will underlie the selection of projects: 

adherence to the structure of the programme as defined  in Section II of the joint 
action, which requires  measures to be repeated regularly  as a way  of ensuring 
long-term effectiveness  and producing a knock-on effect  in the Member States; 

compliance with the criteria set  out  in Article  10 of the joint  action which,  in 
addition  to  the  consistency  of  the  programme,  concern  innovation  (e.g. 
technological developments) or need for urgent action (new types of documents, 
emergence of new sources of forgeries). 

9.3 Monitoring and evaluation 

Two types of indicators will be used to measure the attainment of objectives: 

number  of trainee  days recorded  at Union  level  as  regards  both  seminars  and 
exchanges; 
number of trainee days at Member State level using instructors trained under the 
Sherlock programme and teaching material produced under the programme. 

These  quantitative  indicators  will  be  supplemented  by  more  qualitative  evaluations 
measuring  the  impact  of  the  training  on  trained  officials  (panel  with  evaluation  at 
successive intervals after training). 

18 

The annual reports will be supplemented by a more detailed instruction report after the 
first  three years of the programme's  implementation. 

10.  ADMINISTRATIVE EXPENDITURE 

(Part A of Section HI of me General Budget) 

The effective  mobilization of the necessary human resources will be determined by the 
Commission's  annual  decision  on  allocation  of  resources,  taking  account  of  the  staff 
numbers and additional amounts agreed by the budget authority. 

It should be stressed that this joint action aims to manage commitment appropriations of 
around ECU 5 million per year and that, in order to ensure "sound financial management" 
of the  operating  appropriations,  it  will  be  necessary  to  make  available  administrative 
appropriations corresponding to the additional work flowing from implementation of the 
joint action over the period in question. 

Supplementary  resources  have  been  estimated  on  the  basis  of  human  resource  costs 
observed for Title VI pilot training projects run under the  1995 budget. 

10.1  Effect  on number of posts 

Types of work 

Staff required to manage 
the project 

Of which 

Period 

Permanent 

Temporary 

use of 
resources 
existing within 
DG or Service 
concerned 

to be 
financed 
from 
additional 
funds 

Officials  or 
temporary 
staff 

A 
B 
C 

1 
1/2 
1/2 

Other resources 

Total 

2 

5 years 
from 
September 
1996 

1 
1/2 
1/2 

2 

19 

10.2  Overall financial effect  of additional human resources 

Officials 
Temporary staff 
Other resources 

Amount  Method of calculation 

765 000 

(ECU 92 000 + 33 000 + 28 000) x 5 years 
NB: ace.  scales supplied by DG IX 

1 
The amounts express the total cost of additional posts jor  the total duration oj the action. 

[765 000 

Total 

== 

| 

| 

10.3 

Increase of other expenditure resulting from the project 

Budget item 
(Number and title) 

A 2510 

Amount 

Method of calculation 

12 000 

50 000 

156 375 

80 400 

Missions: 20 days/official:  20 x ECU 
120 x 5 years 
Journeys:  10 annual journeys x ECU 
1000 x 5 years 
Committee provided for in Article 
11:  15 people x ECU 695 x 3 
meetings x 5 years 
Experts: 20 days/experts/year x ECU 
804 x 5 years 

T 0 t al 

"298775 

The amounts correspond to the toted expenditure oj the action 

The purpose of the missions is to evaluate and coordinate measures taken to implement the 
programme and to monitor the project at first hand. The cost of these missions is calculated 
at ECU 62 000. 

20 

ISSN 0254-1475 

COM(96) 297 final 

DOCUMENTS 

EN 

06  11 

Catalogue number  :  CB-CO-96-306-EN-C 

ISBN 92-78-05743-6 

Office  for Official  Publications  of the European  Communities 

L-2985  Luxembourg 

<2i