Proposal for a Council Decision on a joint action adopted by the Council introducing a programme of training, exchanges and cooperation in the field of asylum, immigration and crossing of external borders (Odysseus programme)
Date: 1997-07-09
Institutions: European Commission
Subjects: EU programme, free movement of persons, immigration, joint action, political asylum

COMMISSION  OF THE  EUROPEAN  COMMUNITIES 

Brussels, 09.07.1997 
COM(97) 364  final 

PROPOSAL FOR A COUNCIL DECISION 

ON A JOINT ACTION ADOPTED BY THE COUNCIL 
INTRODUCING A PROGRAMME 
OF TRAINING, EXCHANGES AND COOPERATION 
IN THE FIELD OF ASYLUM, IMMIGRATION 
AND CROSSING OF EXTERNAL BORDERS 
(Odysseus programme) 

(presented by the Commission) 

EXPLANATORY MEMORANDUM 

A. 

Background to proposal 

Article K.l,  points  1,  2  and  3,  of  the  Treaty  on  European  Union  treat  asylum 
1. 
policy,  the  rules  governing  the  crossing  by  persons  of  external  borders  of  the 
Member States  and the exercise  of controls thereon, and  immigration  policy  and policy 
regarding  nationals  of third  countries  as matters  of common  interest.  Before  the  Union 
Treaty  entered  into  force,  the  Member  States  had  already  felt  the  need  for  closer 
cooperation  on  these  matters,  since  this  is  intimately  linked  to  the  attainment  of 
Community  objectives  and  conducive  to  more  effective  national  policies.  Initially, 
cooperation took the form of legislative activity in third-pillar working parties. There was 
also practical cooperation between the Member  States, most commonly on a bilateral or 
multilateral  basis,  notably  in  connection  with  the  expulsion  of  illegal  immigrants. 
However, real cooperation involving all fifteen  Member States at Union level was not yet 
a  reality.  And  Article K.3(l)  calls  expressly  for  cooperation  between  the  relevant 
departments of their administrations. 

Following  the  adoption  of  a joint  action  and  a  decision  in  1995,  it  became 
2. 
possible  to  use  the  appropriations  voted  by  the  budgetary  authority  for  Article K.8  of 
Title VI.  The  Commission  was  consequently  able  to  implement  three  pilot  projects 
relating to asylum, immigration and the crossing of external borders with two technically 
expert  bodies  -  the  European  Institute  of  Public  Administration  (Maastricht)  and  the 
Centre  for  European  Studies  (Strasbourg).  All  the Member  States  were  involved  in the 
projects, which consisted of theoretical and practical seminars and exchanges of  officials. 
Over  100  national  civil  servants  took  part  in  the  programme,  which  received  100% 
Commission funding  since it was a pilot programme (a total cost of some ECU 600 000). 

The evaluations by the bodies in question and the in-depth discussions in the committee 
of  correspondents  set  up  by  the  Commission,  on  which  all  Member  States  were 
represented, revealed the keen interest taken in these measures. 

1 

Joint  Action  of 25  September  1995  on  measures  implementing  Article  K.l  of  the Treaty  and  Council 
Decision  concerning  the  implementation  of the Joint Action (OJ No  L 238, 6.10.1995). 

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The  Commission  was  thus  also  able  to  show  that  practical  cooperation  between 
administrations  not  only  constitutes  a  valuable  adjunct  to  the  Council's  legislative 
activity but can even serve as a starting point for such activity. 

3. 
This  initial  experience  made  it  clear  that  needs  were  particularly  acute  in  two 
areas  -  training  for  instructors  and  training  for  specialists.  The  former  possessed  a 
multiplier  effect,  enabling  training, devised  and  dispensed  at  Union  level  to  be  relayed 
throughout the Member States. The latter allowed instructors' experience to be expanded 
and thus  supply  an original  source of solutions  to problems, as was emphasised  on the 
occasion of the pilot projects. Measures here will be successful  only if they are conceived 
on a long-term basis and a coherent conceptual and organisational  foundation.  Hence the 
Commission  is  now  presenting  the  Odysseus  integrated  programme  flowing  from  the 
accumulated experience of the pilot projects, developing it and deepening it, notably with 
a significant element of cooperation with applicant countries. 

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4. 

- 

, 

- 

Scope of proposal 

This joint action has a twofold purpose: 

to  situate  cooperation  between  authorities  responsible  for  asylum,  immigration 
and  the  crossing  of  external  borders  in  a  multiannual  perspective.  This 
multiannual perspective is the sine qua non for effective  action, since changes to 
forms  of administrative action will be real only if civil servants of all grades are 
given the time to adapt to new legislation, new procedures and new techniques; 

to devise a programme that is coherent in terms of  its substance, integrating  the 
various  components  of  a  broad-based  policy  of  cooperation  extending,  for 
instance, to applicant countries. The instruments of this cooperation - training and 
exchanges of civil servants - will work properly only if three conditions are met: 

- 
a clear definition of what is to be done at each applicable level: the 
Union  for  Odysseus  programme  measures,  and  the  Member  States  for 
other measures, including basic training for civil servants; 

- 
the 
the  possibility  of  cooperation  being  accompanied  by 
development of tools and the dissemination  of information  to enhance its 
effectiveness, by including studies and research; 

fully  integrated  evaluation.  This  presupposes  that  each  measure 
- 
includes  a  full  definition  of  the  objectives  and  the  means  required  to 
ensure that they are achieved. The objectives must also reflect  consistency 
between  needs  (both  of administrations  and  of  trainees)  and  programme 
content. No new operation can be launched if it does not fully  incorporate 
the evaluation from previous operations. 

The  aim  of  the  programme  is  to  attain  these  objectives  by  supporting  initiatives 
5. 
from  public  or  private  bodies  endeavouring  to  establish  cooperation  in  the  fields  of 
asylum,  immigration  and  the  crossing  of external  borders.  It  is accordingly  structured  on 
the  basis  of  an  annual  programme  adopted  by  the  Management  Committee  which  will 
work  both  with the utmost  transparency  as regards  the  selection  of  projects  and  with  the 
utmost  rigour,  thanks  to  the  involvement  of  experts  who  will  assist  the  Commission  as 
necessary  in preparing technical  files  and thus constructing a coherent  programme. 

6. 
When  it presented  the  Sherlock  programme,  the Commission  stressed  the need  to 
achieve  economies  of  scale  in  programme  management,  for  the  sake  of  sound 
management.  Although  that  programme  is  now  under  way,  there  is  no  reason  why  it 
should  not  be  incorporated  into  Odysseus.  No  substantive  change  would  be  involved. 
Incorporating  it would make it possible to coordinate its objectives  (combating  forgery  of 
documents)  more  effectively  with  the  general  aims  of Odysseus  (in particular  controls  at 
external 
the 
administrative  burden  (only  one  committee  instead  of  two,  budget  savings  through 
economies of scale). 

immigration)  and  would 

frontiers  and  combating 

reduce 

illegal 

C. 

Comments  on individual  articles 

Article  1 

This  article  defines  the  general  terms  of  the  programme  and  provides  for  Community 
financing.  The  attached 
statement  calls  for  an  aggregate  budget  of 
ECU  14 million, including the ECU  5 million  for  the Sherlock programme. The  reference 
period  indicated  is for the Odysseus programme, including the false documents  aspect. 

financial 

In  line  with  Article  K3(l)  of the  EU  Treaty,  the  programme's  objectives  are  specified  in 
terms  of  the  dual  prospect  of  setting  the  content  on  a permanent  basis  and  deepening  its 
substance.  The  accent  is  placed  on  the  need  for  clear  prioritisation  as  a  means  of 
achieving  coherence.  To that  end,  the programme  can  be  in  several  stages, depending  on 
the degree of urgency  flowing  from  the priorities  set in paragraph 2. The long term  would 
seem  to  offer  the  right  approach  for  deepening  both  the  means  of  action  and  the 
possibility  of attacking  every problem  from  all angles. 

Article  2 

This article  defines  the  main  terms  used  so as to determine  the outline  of the  programme 
and the various means to be used  for  implementing  it. 

Article  3 

This article deals with the first component  of the annual  programmes: the  organisation  of 
training.  There  will  be  two  types  of  training  -  training  for  instructors  and  training 
in  their 
managers,  who  will  then  be  expected  to  exercise  a  multiplier  function 
Member  States,  and  advanced  and  specialist  training  for  experienced  specialists  wishing 
to  look  in  greater  depth  at  specific  aspects,  identified  in  advance  as  meriting  a  special 
effort.  The plan is that this training should be given at regular intervals so as to generate a 
knock-on  effect  and  build  up  a  body  of  expertise  constituting  a  source  of  reference 
information. 

Article  4 

This  article  deals  with  the  other  dimension  that  complements  the  training  dimension, 
namely  the  exchanges  dimension.  Exchanges  might  take  the  form  of  unilateral  or 
reciprocal  placements  in national  authorities responsible  for  asylum,  immigration  and  the 
crossing  of  external  borders  so  as  to  acquire  an  on-the-spot  view  of  the  problems 
encountered  in other Member  States. The greatest  flexibility  will be allowed  here, so that 
account  can  be  taken  of  experience  with  the  1996  pilot  projects.  If  the 
two 
administrations  agreed,  longer  stays  might  enable  civil  servants  on  placement  to  acquire 
hands-on  experience.  And  the  possibility  of  civil  servants  from  several  Member  States 
visiting one and the same Member  State is envisaged. 

Article  5 

The third component  of the annual  programmes  deals with  studies  and  research,  with  the 
primary  aim  of  developing  and  disseminating  teaching  materials  (documentation  packs, 
support software  and so on). Research might focus  more particularly  on developing  tools, 
preparing  case  studies  on  video  cassettes,  etc.  Projects  relating  to  document  distribution 
and  on-line  consultation  would  help  enhance  cooperation  between  administrations  and 
could therefore  be eligible also. 

Article  6 

This article  and the two that  follow  it  flesh  out  the substance  of the areas composing  the 
programme. 

As regards asylum, the entry  into force  of the Dublin Convention  in the near  future  is an 
obvious  priority,  as  that  instrument's  implementation  will  require  a major  training  effort 
on the part of all the Member  States. 

•y 

Beyond  that,  closer  cooperation  in  all  asylum  matters  would  be  highly  beneficial  in 
general  terms.  As  was  demonstrated  by  the  pilot  projects  mounted  in  1996,  on-the-spot 
comparisons  by  civil  servants  on  exchange  placements  familiarise  them  with  systems 
other than their own and give them the opportunity  to import solutions on their return. 

This  cooperation  is especially  valuable  where  applicant  countries  are concerned,  as  most 
of  them  have  no  experience  of  these  matters  and  have  yet  to  lay  the  foundations  for 
managing  asylum-seekers. 

Article  7 

Regarding  immigration, the two complementary  aspects of an immigration policy  need to 
be  considered,  as  stated  in  the  Commission  communication  of  February  1994  on 
immigration  and asylum policies. The measures to be taken must relate both to admission 
of  non-member  country  nationals  and  to  combating  illegal  immigration.  If  other 
programmes  contain  measures  in  the  latter  field,  the  Commission,  in  its  capacity  as 
programme manager, will have to see that there is no duplication. 

Article  8 

Regarding  the  crossing  of  external  borders,  experience  with  the  1996  pilot  projects  has 
shown  that  the  practical  arrangements  for  controls  represent  the  most  interesting  topic. 
Specific  problems  depending  on  the  type  of  entry-point  (sea,  land,  airports)  will  be 
considered  so  that  endeavours  can  be  appropriately  targeted.  Special  attention  will  need 
to  be  given  to  combating  the  use  of  forged  or  falsified  identity  papers,  in  line  with  the 
comments relating to implementation of the Sherlock  programme. 

Article  9 

The  applicant  countries  need  to  be  able  to  profit  gradually  from  the  benefits  yielded  by 
the  Odysseus  programme  in  terms  of  familiarity  both  with  legal  instruments  and  with 
procedures,  methods  and  techniques.  The  implementation  of  the  programme  each  year 
will include a significant  component of measures targeted on the applicant countries. 

Dublin  Convention  of  15 June  1990 determining  the  State  responsible  for  examining  applications  for 
asylum  lodged  in one of the Member  States of the European  Communities. 

Article 10 

Since the programme must relate to matters of common interest, the actions must always 
be  multilateral.  At  least  three  Member  States  must  be  involved,  or  alternatively  two 
Member States and two applicant countries. 

A  project  may,  however,  be  of  interest  to  the  Union  even  though  it  concerns  other 
non-member  countries  besides those referred  to above. In this  case,  in  accordance  with 
Article  12, it will be scrutinised  with great care to ascertain  whether  it can be treated  as 
eligible. 

Article 11 

This is the traditional audit clause conferring powers on the Commission and the Court of 
Auditors. 

Article 12 

This  article  sets  the  general  framework  for  support  from  the  Community  budget. 
Paragraph 2 sets an overall limit in that the support given by national authorities must be 
less than that from  the Community  budget. For the sake of flexibility  the maximum rate 
of support may, however, be raised to take account of the special circumstances described 
in paragraph 3. 

Paragraph 4  lays  down  the  principle  that  support  is  confined  to  certain  categories  of 
expenditure, so as to underscore the operational  rather than administrative  nature  of the 
budget  item.  Here  again,  there  is  provision  for  flexibility  to  respond  to  special 
circumstances. 

Article 13, 

This  recalls  the  standard  procedural  rules  applying  to  measures  financed  by  the 
Community budget. 

NB: Articles 14 to 17 and 19 are broadly similar to Articles 11 to 15 of the Sherlock 
programme  and  the  corresponding  articles  of  the  Grotius,  Stop  and  Oisin 
programmes proposed by the Commission. The Member States have already agreed 
to  those  programmes.  The  only  changes  are those  required  by  the  specifics  of  the 
Odysseus programme. 

Article  14 

This  article  establishes  the  principle  that  the  Commission  is  responsible  for  managing 
and  monitoring  programmes,  and  specifically  for  drawing  up the  annual  programmes.  In 
devising  the  annual  programmes  the  Commission  will  scrutinise  the  measures  requested 
by  the  Member  States  and  its  own  proposals.  Measures  requested  will  be  considered  in 
the  light  of  the  priorities  set  in  Article  1, of  their  innovatory  nature  and  of  the  need  for 
overall  coherence. The Commission  will  take advice from  experts  in the  field  so as to  be 
sure of the technical  support it needs for the purpose. 

Article 15 

An  original  committee  procedure  has  been  selected  for  these  measures  which  are  based 
on a Title VI instrument.  The Commission  will be in a position to play  its full  role,  since 
these  are  Community-financed  measures,  while 
the  Title VI 
decision-making  procedures, offering  the Member States the assurances they will require. 

respecting 

fully 

Article  16 

To  maximise  flexibility,  two  different  mechanisms  are provided  for  projects  in  different 
cost categories; this will allow the more modest projects to be processed more quickly. 

Article  17 

The  question  of  overall  programme  evaluation 
the 
Commission  treats  it with  the  attention  it deserves.  Discussions  with  the  Member  States 
for  the  evaluation  of  the  1996  pilot  projects  revealed  the  need  for  evaluation  to  look 
beyond mere participant  satisfaction.  The evaluation component must be conceived  at the 
same  time  as  the  programme  itself  and  extend  to  the  measure's  long-term  impact  in  the 
Member  States' administrations. 

important,  and 

is  extremely 

Evaluation  specialists  consider  that  up  to  25% of  a project's  budget  needs  to  be  devoted 
to  evaluation  activities  to  optimise  impact.  In  view  of  the  aggregate  volume  of  the 
appropriations  devoted  to  the  programme  and  of  reasonable  cost  forecasts,  we  believe 
that 5% of the budget would cover a very thorough evaluation  facility. 

Article  18 

As  a  logical  consequence  of  incorporating  the  Sherlock  programme  into  Odysseus,  the 
joint  action  defining  the  Sherlock  programme  needs  to  be  repealed.  This  is done  by  this 
Article. 

Article  19 

This is the traditional  entry-into-force  clause. 
8 

PROPOSAL FOR A COUNCIL DECISION 

ON A JOINT ACTION ADOPTED BY THE COUNCIL 
INTRODUCING A PROGRAMME 
OF TRAINING, EXCHANGES AND COOPERATION 
IN THE FIELD OF ASYLUM, IMMIGRATION 
AND CROSSING OF EXTERNAL  BORDERS 
(Odysseus  programme) 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty on European Union, and in particular Articles K.3(2)(b) and 
K.8(2) thereof, 

Having regard to the proposal from the Commission, 

Whereas the Member States consider as matters of common interest: 

asylum policy; 
the  rules  governing  the  crossing  by  persons  of  external  borders  of  the 
Member States and the exercise of controls thereon, including matters concerning 
the security of identity documents; and 
immigration policy and policy regarding nationals of third countries; 

Whereas the establishment of a framework  for training, information,  study and exchange 
activities  will  serve  to  improve  the  effectiveness  of  cooperation  between  the 
administrations of the Member States in the above areas; 

Whereas  incorporating  the  Sherlock  programme3  into  the  Odysseus  programme  will 
make  it possible  to  coordinate  cooperation  in  the areas  concerned  more  closely  and  to 
achieve economies of scale in the running of the two programmes without impairing the 
Sherlock programme; 

Whereas extension of the cooperation between the Member  States and the  non-member 
countries  which  are  applying  for  accession  as a measure  to prepare  for  their  accession 
will help the applicant countries to attain the Union's standards  in the fields covered by 
the programme; 

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,  and will not 
therefore  detract  from  the  conduct  of  the  Phare  programme  nor  from  the  Community 

Joint Action 96/637/JHA  of 28 October  1996 adopted  by the Council  on the basis of Article  K.3 of the 
Treaty  on  European  Union  introducing  a  programme  of  training,  exchanges  and  cooperation  in  the 
field of identity documents ('Sherlock')  (OJ No L 287, 8.11.1996). 

9' 

Odysseus EN- 1/7/1997 

measures  taken  in  implementation  of  vocational  training  policy,  in  particular  the 
Leonardo da Vinci  programme, 

HAS ADOPTED THIS JOINT  ACTION: 

CHAPTER I-GENERAL 

Article  1 

Principle  and  objectives 

A programme  (the "Odysseus programme") of training, exchange and  cooperation 
1. 
in  the  field  of  asylum,  immigration  and  the  crossing  of  external  borders  within  the 
meaning  of  the  definitions  in  Article  2,  which  shall  qualify  for  Community  financial 
support, is hereby established  for the period  from  1997 to 2001. 

2. 

For  the  purposes  of  setting  priorities  in  the  annual  programme  of  measures, 
account shall be taken  of: 

Article K.3(l) of the Treaty on European  Union; 

the existence of Community or Union legislation already in force; 

the  existence  of  proposals  for  legislation  already  under  discussion,  to  anticipate 
their entry into force by means of cooperation between  administrations; 

priorities  set  by  the  Council  for  cooperation  in  the  fields  of  justice  and  home 
affairs; 

any other cooperation required for the purposes of Article K.3( 1 ). 

3. 
Without  prejudice  to  the  powers  of the  Community,  the  general  objective  of  the 
Odysseus  programme  shall  be  to  extend  existing  cooperation  in  the  matter  of  asylum, 
immigration, the crossing  of external borders and the security  of  identity  documents,  and 
cooperation  with non-member  countries applying  for  accession, by means of  multiannual 
programming. 

Article  2 

Definitions 

For the purposes of the Odysseus programme the following definitions  shall  apply 

1. 
to the measures referred  to in Article  1(2): 

\0 

Training measures: organisation of seminars focusing  on theoretical  and practical 
knowledge; 

Exchange  measures: period  spent by officials  in a Member  State other than their 
own  for  the  purpose  of  comparing  their  practice  with  that  of  their  counterparts 
there; 

Studies  and  research:  work  of  an  educational  nature  involving  the  design  and 
dissemination  of  teaching  material  or  other  documents  such  as  databases  and 
directories. 

2. 
For the purposes of the Odysseus programme "identity documents" shall be taken 
to  mean  the  documents  issued  by  the  Member  States  and  non-member  countries, 
principally  to enable  the holders  thereof to prove  their  identity  and to  cross  an external 
frontier,  if need be. 

Article  3 

Training 

In the field of training, the Odysseus programme shall focus on: 

training for instructors; 

specialist  training,  in  particular  advanced  courses  for  decision-makers,  and 
courses designed for those in charge of training. 

Article  4 

Exchanges 

Exchanges under the Odysseus programme shall take the form in particular of placements 
of  limited  duration  within  the  national  administrative  departments  responsible  for  the 
matters to which the programme relates. 

Article  5 

Studies  and  research 

The  Odysseus  programme  shall  comprise 

1. 
dissemination of teaching material to disseminate training schemes. 

the  design,  production  and 

Ways  of  improving  the  circulation  of  information  in  the  areas  to  which  the 

2. 
programme relates may also be a matter for study and research. 

IV 

CHAPTER  II:  STRUCTURE 

Article  6 

Asylum 

1. 

In the field of asylum, measures shall focus primarily  on: 

coordinated  application  of  the  Dublin  Convention  of  15  June  1990  determining 
the  State  responsible  for  examining  applications  for  asylum  lodged  in  one  of  the 
Member  States of the European Communities, after  its entry into  force; 

,  close cooperation between competent national administrations and bodies. 

2. 
Projects  may  be taken  into consideration  under the heading  of measures  focusing 
on  a  coordinated  application  of  the  Dublin  Convention  if  they  have  the  following 
objectives: 

the  coordinated  application  of  the  procedures,  time  limits,  evidence,  and  other 
practical problems of applying the  Convention; 

the application of other legal instruments relating to asylum. 

3. 
Projects  may be taken  into  consideration  under the heading  of measures  focusing 
on close  cooperation  between  competent  national  administrations  and  bodies  responsible 
for matters of asylum if they are concerned  in particular with the following  areas: 

procedures  for  examining  asylum  requests  at  first 
accelerated) and appeal procedures; 

instance  (standard  or 

systems of documentation on countries of origin; 

conditions for reception of asylum-seekers, including their rights and obligations; 

alternatives to refugee  status, including temporary  protection; 

cooperation  between  the  various  bodies  involved  (asylum  request  scrutiny 
departments, welfare  departments, border control services, etc.) and the role of the 
UNHCRandNGOs; 

treatment of asylum-seekers whose requests have been  rejected. 

12. 

Article 7 

Immigration 

Projects  may  be taken  into consideration  under the heading  of measures  in the field of 
immigration  of  nationals  of  non-member  countries  if  they  are  concerned  with  the 
following areas: 

admission  of  non-member  country  nationals,  and  in  particular  conditions  for 
entry, conditions for  travel within the Union, residence  rules, family  unification, 
access  to  employment  and to  activity  as self-employed  persons,  whether  or  not 
salaried; 

combating  illegal  immigration,  and  in  particular  combating  illegal  entry, 
residence and employment, and the organisation of the expulsion and repatriation 
of illegal immigrants. 

Article 8 

Crossing of external borders 

Projects  may be taken  into consideration  under the heading of measures to monitor  the 
crossing  of  external  borders  if  they  are  concerned  with  organising  the  practicalities  of 
controls,  including  matters  concerning  the  security  of  identity  documents.  Special 
attention will be paid to addressing problems on a thematic basis (in particular by type of 
border) or on a geographical basis. 

Article 9 

Cooperation with applicant countries 

Specific  subprogrammes  in  the  areas  listed  in  Articles 6  to  8  shall  be  set  up  in  each 
annual programme to prepare the applicant countries for accession in those areas. Special 
attention shall be paid to transposai into national law and application by civil servants on 
the ground. 

Measures  shall  be  targeted  on  familiarisation  with  the  Union  in  order  to  help  the 
applicant countries to take the measures needed to implement Union standards. 

13 

CHAPTER  III: FINANCIAL  PROVISIONS 

Article  10 

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  may  involve  States  applying  for  accession  where  the  aim  is to  prepare  for  their 
accession  and  may  involve  other  nonr-member  countries  where  their  involvement  is 
conducive to the attainment of the projects'  objectives. 

Article  11 

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  12 

Level  of Community  finance 

1. 
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. 

2. 
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 Chapter IV of this joint action, it shall not exceed 80%. 

3. 
Translation  and  interpreting  costs,  computing  costs  and  expenditure  on  durables 
or consumables  shall  not be considered  unless they  are essential  for  the realisation  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. 

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. 

H 

Article  13 

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. 

When  presenting  financing  proposals,  the  Commission  shall  take  account  of  the 
in  particular  of  economy  and 

2. 
principles  of  sound 
cost-effectiveness  as required by Article 2 of the Financial  Regulation. 

financial  management  and 

CHAPTER  IV: MANAGEMENT  AND  MONITORING 

Article  14 

Devising  of  programme 

The  Commission  shall  be  responsible  for  managing  and  monitoring 

1. 
programme and shall take such measures as are necessary to this  effect. 

the 

2. 
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 Odysseus programme.  The annual  programme  shall 
cover the three areas referred  to  in Articles 6, 7 and  8, but  may  give preference  to  one  of 
these if so required to meet the needs of the national  administrations. 

To this effect,  the  Commission  shall  scrutinise  the projects  submitted  to  it  in the  light  of 
the criteria  specified  in Article  1(2), with  due account  for  the  innovative  character  of  the 
proposed  measure and of the overall consistency of the programme. 

Article  15 

Implementation 

The  Commission  shall  be  assisted  by  a  committee  consisting  of  a  representative 

1. 
of each Member  State and chaired by a representative  of the  Commission. 

Financial Regulation (OJ No L 356, 31.12.1977, p.  1), as last amended  by  Regulation  (EC, Euratom, 
ECSC) No 2335/95 of  18 September  1995 (OJ No L 240, 7.10.1995, p. 12). 

\i> 

2. 
The  Commission  shall  submit  to  the  Committee  the  draft  annual  programme, 
together  with  a plan  for  the allocation  of the available  appropriations  to the various  areas 
of the programme  and proposals  for  implementing  rules and evaluations. The  Committee 
shall deliver  its opinion  unanimously  within two months. That time  limit may  be  reduced 
in the event of urgency. The Chairman shall not vote. 

If  a  favourable  opinion  is  not  given  within  the  time  limit,  the  Commission  shall  either 
withdraw  its  proposal  or  present  a  proposal  to  the  Council,  which  shall  decide 
unanimously  within two months. 

Article  16 

Management 

Projects  for  which  finance  is requested  shall  be  submitted  to the  Commission  for 

1. 
scrutiny no later than 31 March of the budgetary  year in which they are to be booked. 

less 

Where  finance  of 

2. 
the  Commission 
than  ECU  50 000 
representative  shall  present  the  project  to  the  Committee  provided  for  in  Article  15(1). 
The  Committee,  acting  by  the  majority  provided  for  in  the  second  subparagraph  of 
Article K.4(3)  of  the  Treaty  on  European  Union,  shall  give  an  opinion  on  the  project 
within  a  time  limit  set  by  the  Chairman  according  to  the  level  of  urgency.  The  opinion 
shall  be  recorded  in  the  Committee's  minutes,  and  each  Member  State  may  ask  that  its 
position be recorded likewise. The Chairman shall not vote. 

is  requested, 

The Commission  shall have the fullest  regard  for the Committee's  opinion. It shall  inform 
the Committee  of the action taken on its opinion. 

is  requested, 

Where  finance  of  more 

3. 
the  Commission 
than  ECU 50 000 
representative  shall  present  a  list  of  the  projects  submitted  for  the  annual  programme  to 
the  Committee  provided  for  in  Article  15(1).  It  shall  specify  which  projects  it  has 
selected  and  give  reasons.  The  Committee,  acting  by  the  majority  provided  for  in  the 
second  subparagraph  of  Article K.4(3)  of  the  Treaty  on  European  Union,  shall  give  an 
opinion  on the projects  within  two  months. The  Chairman  shall  not  vote. If a  favourable 
opinion  is  not  given  within  the  time  limit,  the  Commission  shall  either  withdraw  the 
projects  in  question  or  present  them,  together  with  the  Committee's  opinion,  to  the 
Council,  which,  acting  by  the  majority  provided  for  in  the  second  subparagraph  of 
Article K.4(3) of the Treaty, shall decide within two months. 

Article  17 

Evaluation 

The  Commission  shall  be  responsible  for  organising  an  evaluation  of  the 

1. 
programme  by impartial  experts unconnected  with the programme. 

\L> 

Each year, the Commission  shall  address  a report to Parliament  and the  Council 

2. 
recapitulating the measures taken during the previous year. 

Article  18 

Council  Joint  Action  96/637/JHA  of  28  October  1996  introducing  a  programme  of 
training,  exchanges  and  cooperation  in  the  field  of  identity  documents  ('Sherlock')  is 
hereby rescinded. 

Article  19 

This Joint Action shall enter into force on the day of its adoption. 

It shall be published in the Official  Journal. 

Done at Brussels, 

For the Council 

The President 

i> 

FINANCIAL  STATEMENT 

Item  B5-800:  Cooperation  in  the  fields  of  justice  and  home  affairs.  The  commitment 
appropriations have been entered  in Chapter B0-40. 

1. 

TITLE OF  OPERATION 

Joint  action  on  a  programme  of  training,  exchanges  and  cooperation  in  the  field  of 
asylum,  immigration,  the  crossing  of  external  borders  and  the  security  of  identity 
documents ("Odysseus  programme"). 

2. 

BUDGET HEADING  INVOLVED 

B5-800: Cooperation in the fields of justice and home  affairs. 

3. 

LEGAL  BASIS 

Article K.3(2) of the Treaty on European Union. 

4. 

DESCRIPTION  OF  OPERATION 

4.1 

General objective 

For  the  purposes  of  the  cooperation  provided  for  in  Title VI  of  the  TEU  in  the 
fields  of asylum, immigration  and the crossing  of external  borders, the training  of 
personnel  working  in  these  fields  is  a  key  factor  for  efficiency,  especially  if  it 
involves  more  frequent  exchanges  between  Member  States  and  better  knowledge 
of  their  techniques,  procedures  and  tools.  Pilot  projects  were  run  in  1996; 
participants  gave  a  positive  evaluation  and  wished  to  see  a  continuation  on  a 
larger  scale.  In  October  1996  this  wish  was  reflected  in  the  adoption  of  the 
Sherlock  programme,  which  is  concerned  with  combating  the  use  of  forged 
identity  documents  and  thus  falls  within  the  scope  of  the  Odysseus  programme 
under 
illegal 
the  headings  "external  border  controls"  and  "combating 
immigration".  The two programmes  should  therefore  be brought together to  make 
the general  objective  of the action more effective  and  coherent. 

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

would  be  worthwhile  allowing  civil  servants  from  the  countries  applying  for 
accession,  notably  in  central  and  eastern  Europe,  to  gain  access  to  cooperation 
tools  that  would  help  them  to  better  absorb  the  Union  acquis  and  attain  Union 
standards  in the fields  to which the programme relates. 

4.2 

Period covered 

The action covers a period of five years from  1997. 

5. 

CLASSIFICATION  OF  EXPENDITURE 

NCE/DA 

6. 

TYPE OF  EXPENDITURE 

Grants  (of  up  to  60%,  or  in  exceptional  cases  80%)  for  co-financing  with  other 
public or private sector sources. 

7. 

FINANCIAL  IMPACT 

NB:  Given  the  nature  of  the  decision-making  procedure  (annual  programme 
approved  by  ad  hoc  committee),  it  is  not  possible  to  give  more  than  indicative 
allocations,  in  terms  of  both  schedules  and  the  breakdown  between  components  of 
the programme. 

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  14 million  will  be  set  aside  for  this  programme  for  the 
period  1997-2001, 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)  and  pilot  projects  in  1996, are 
as  follows: 

y\ 

1997 
2.5 

1998 
3 

1999 
3 

2000 
3 

2001 
2.5 

Total 
14 

ECU  million 

7.2 

Itemised  breakdown  of cost 

commitments  in ECU  million 
(current prices) 

Breakdown 
Training 
Exchanges 
Studies,  research, 
dissemination 
Applicant  countries 
Evaluation 
TOTAL 

1997 
0.9 
0.8 
0.3 

0.4 
0.1 
2.5 

1998 
1.1 
0.9 
0.4 

0.5 
0.1 
3 

1999 
0.9 
0.9 
0.3 

0.7 
0.2 
3 

2000 
0.9 
0.9 
0.3 

0.7 
0.2 
3 

2001 
0.8 
0.8 
0.2 

0.6 
0.1 
2.5 

Total 
4.6 
4.3 
1.5 

2.9 
0.7 
14 

7.3 

Indicative schedule of payments 

ECU million 

1998 

1999 

2000 

2001 
2.5 

2002  Total 
14 

0 

Year 
Commitment 
appropriations 
Payment 
appropriations 

1997 
2.5 

0.5 

1997 
1998 
1999 
2000 
2001 

Total 

0.5 

4.4 

4; /-  ? 

2.4 

0.6 
2.4 

0.6 
2.4 

2.5 

0.6 

2.6 

0.5 
0.5 

2.5 
14 

Indicative  financial  allocation  for the period  1997-2001: ECU  14 million. 

lo 

8. 

FRAUD  PREVENTION  MEASURES;  RESULTS  OF  MEASURES  TAKEN 

Verification  of  grants  or  receipt  of  payments  and  preparatory,  feasibility  and  evaluation 
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. 

ELEMENTS  OF COST-EFFECTIVENESS  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: 

Giving  permanent  status  to  training  in  the  fields  of  asylum,  immigration, 
* 
the  crossing  of  external  borders  and  the  security  of  identity  documents, 
particularly  in the following  areas: 

-  instructor-training; 

- further  training for recognised  specialists; 

- cooperation with applicant countries. 

The underlying  aim here is to harmonise 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 
harmonisation  and in anticipation of their possible accession, training will  also  be 
organised at Union level for officials  from  central and eastern European  countries. 

* 
In  conjunction  with  the  previous  objective,  teaching  material  will  be 
developed  which  can  subsequently  be  used  in  training  programmes  in  the 
Member  States,  thereby  capitalising  on  the  training  provided  at  Union  level. 
Producing  materials  at  Union  level  will  generate  economies  of  scale  and  allow 
training  to  be  developed  in  the  Member  States  on  the  basis  of  harmonised 
teaching  tools.  Close  attention  will  be  paid  to  training  schemes  developed  in  the 
Member  States in the areas covered  by the programme. 

Research  to  improve  ways  and  means  of  disseminating 

information 
* 
relating to the areas covered  by the programme, notably  the dissemination  of tools 
that  improve  knowledge  (of  rules  and  regulations,  legislation  and  statistics) 
among the personnel  actively  involved. 

2V 

i 

j 

\ 

J 

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,  including  decision-makers,  responsible  for  giving  effect  to  policies  on 
asylum,  immigration  the  crossing  of  external  borders  and  the  security  of  identity 
documents. 

Officials  responsible  for  training,  especially  for  devising  and  implementing 
training  schemes  in  the  departments  concerned  and  in  particular  for  devising 
instructor-training. 

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. Asylum,  immigration  and the  crossing 
them.  Cooperation  between  government 
of  external  borders  are  among 
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  Odysseus  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  1(2) of  the joint  action  and 
the  provisions  to  secure  the  consistency  of  the  programme  in  accordance 
with Article  14. 

9.3  Monitoring and  evaluation 

Special  attention  will  be  paid  to  evaluation  and  an  evaluation  arrangement  will 
have  to  be  devised  before  projects  get  under  way.  Some  5% of  the  budget  shall 
be set aside for evaluation of the programme. 

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

•  2L 

- 

- 

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 Odysseus  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  (for example, 
sample method (panel) with evaluation at successive intervals after  training). 

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  III of the  general 
budget) 

The  effective  mobilisation  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 budgetary  authority. 

10.1  Effect  on number of posts 

Types of work 

Staff required to 
manage the project 
Temporary 
Permanent 

Officials or 
temporary 
staff 

B 

1/2 

C 
Other resources 

Total 

1/2 

1 

of whom 

Period 

using 
additional 
resources 

using existing 
resources 
within DG or 
department 
concerned 

5 years  from 
January 1997 

1/2 

1/2 

1 

-

13> 

10.2  Overall  financial  effect  of additional human  resources 

ECU 

Amount 
305 000 

Method of calculation 
(ECU  33 000 + 28 000) x 5 years 

Officials 
Temporary  staff 

Total 

305 000 

The amounts  express  the total cost of additional posts for  the total duration  of the  action. 

10.3 

Increase of other expenditure resulting from  the  project 

Budget item 
(Number and heading) 

Amount 

Method of calculation 

A  1300 

16 650  Missions:  30  days/official:  30  x  ECU  111  x 

5 yrs 

44 700  Travel:  12 annual journeys x ECU  745 x 5 yrs 

A 2510 

156315  Committee provided for in Article  15 : 

15 people x ECU 695 x 3 meetings x 5 yrs 

A 250 

60 000  Experts:  15  days/experts/year  x  ECU  800  x 

5 yrs 
(3 meetings organised  a year with 5 experts) 

Total  J 

277 665  | 

The amounts  represent  the  total  expenditure for  the  action;  the  necessary  resources  will 
be mobilised  by redeployment  of existing  resources. 

M 

ISSN 0254-1475 

COM(97) 364 final 

DOCUMENTS 

EN 

01  06  11 

Catalogue number  : CB-C0-97-351-EN-C 

ISBN  92-78-22477-4 

Office  for Official  Publications of the European Communities 

L-2985 Luxembourg 

2 ^>