Proposal for a European Parliament and Council Decision amending Decision 92/481/EEC of 22 September 1992 on the adoption of an action plan for the exchange between Member State administrations of national officials who are engaged in the implementation of Community legislation required to achieve the internal market (Karolus programme)
Date: 1997-07-24
Institutions: European Commission
Subjects: EU law, action programme, approximation of laws, civil servant, single market

•mf f,fi * • 

COMMISSION  OF THE  EUROPEAN  COMMUNITIES 

Brussels,  24.07.1997 
COM(97)393  final 

97/0214  (COD) 

Proposal  for a 

EUROPEAN  PARLIAMENT  AND  COUNCIL  DECISION 

amending  Decision 92/481/EEC of 22 September  1992 on the adoption of an action plan 
for the exchange between Member  State administrations of national officials  who are 
engaged  in the implementation  of Community  legislation required 
to achieve the internal market 

(Karolus  programme) 

(presented  by the  Commission) 

EXPLANATORY  MEMORANDUM 

I. 

BACKGROUND 

1. 
The  action  plan  for  the  exchange  between  Member State  administrations  of 
national  officials  engaged  in  the  implementation  of  Community  legislation  required  to 
achieve  the  internal  market,  called  the  Karolus  programme,  has  its  origins  in  the  1985 
Commission  White Paper  on  completing  the  internal  market,1  one  of  the  principal 
objectives  of which was to bring more closely into line legislation and mutual  recognition 
of standards in a number of key  fields. 

2. 
In order to improve cooperation and promote mutual  confidence  between  national 
administrations,  thereby  encouraging  uniform  application  of Community  internal-market 
legislation,  the  action  plan  was  adopted  by  means  of  Council  Decision 92/481 /EEC2  of 
22 September  1992, to run for five years from  1  January  1993. 

3. 
The  Community  institutions  have  since  confirmed,  on  several  occasions,  the 
importance of administrative  cooperation for the effective  operation of the single  market. 
On  16 February  1994  the  Commission  presented  its  first  communication  to  Parliament 
the 
the  Council  on  the  development  of  administrative  cooperation 
and 
implementation  and  enforcement  of  Community  legislation  in  the  internal  market.3  On 
29 January  1996  it  presented  a  report  to  Parliament  and  to  the  Council  providing  an 

in 

to 

1  COM(85) 310 final,  14.6.1985. 
2  OJ No L 286,  1.10.1992. 
3  COM(94) 29  final. 

update  on that  cooperation.4  In resolutions  adopted  on  16 June  19945  and  8 July  1996,6 
the Council stressed its commitment to promoting greater cooperation in this field. 

4. 
The  Karolus  programme  is  due  to  end  in  December  1997.  However,  the 
programme's  operation  and  the  results  achieved  through  the  exchanges  undertaken 
during  the  first  two years  are  such  that  the  Commission  intends  shortly  to  present  a 
proposal  for  a Parliament  and  Council  Decision  extending  the programme  in  a  modified 
and expanded  form. 

Once the  conclusions  and  recommendations  contained  in the  interim  assessment  report7 
undertaken  by  an  independent  firm  had  been  made  available,  the  Commission 
departments  drew  up  a  working  paper  with  a  view  to  preparing  such  a  proposal  for  a 
Parliament  and  Council  Decision  extending  the  Karolus  programme  in  a  new  formula 
comprising,  in addition to the individual training measures such as exchanges of  officials 
between Member  State administrations, a range of joint training measures such as: 

-  general  seminars, to be  arranged  by the Commission  regularly  in each  Member  State, 

on administrative cooperation and the implementation of internal market rules; 

- 

joint  sectoral  seminars,  open  to  all  Member State  officials  working  in  the  specific 
sector(s)  concerned,  to  be  arranged  on  the  Commission's  or  the  Member  States' 
initiative; 

-  national  seminars,  to  be  arranged  by  each  Member State  exclusively  for  its  own 
the 

the  other  Member States  and  from 

officials,  with  guest  speakers  from 
Commission; 

- 

joint monitoring visits. 

These  various  measures  were  designed  to  enable  more  people  to  take  part  in  the 
programme at less cost per participant. 

The  working  paper  was  submitted  to the  Karolus  Management  Committee  in  July  1996. 
But it emerged from  that consultation that the Committee did not entirely  share the  views 
expressed  in  the  interim  assessment  report.  While  it  was  prepared  to  engage  in  the 
process  of  adapting  the  current  programme,  the  Committee  stressed  the  importance  of 
continuing  to  give  priority  to  exchanges  within  the  framework  of  an  amended 
programme.  Any  changes  made  to  certain  components  of  the  exchanges  (for  example, 
introductory  and assessment seminars) must not lead to their being devalued. 

In  the  light  of  this,  it  seemed  premature  to  present  straightaway  a  proposal  for  a 
Parliament  and  Council  Decision  amending the programme.  Thorough  consultations  are 
in  progress,  with  a  view -  among  other  things -  to  determining  the  degree  of 
centralization  or  decentralization  of  management,  the  nature  of  the  seminars  to  be  held 

4  COM(96) 20  final. 
5  Resolution No"94/C/l 79/01 (OJ No C  179/1,  1.7.1994). 
6  No 96//C 224/02  - OJ No 224/3,  1.8.1996. 
7 

The  assessment  report  (doc.  XV/567/96),  which  is too  bulky  to enclose,  is available  on  request  from 
the DG XV.A.l  secretariat, Tel. 295.74.56/296.75.11 - Fax 296.09.50. 

and  the  priority  areas  for  the  joint  seminars,  as  well  as  budgetary  changes  and  the 
resulting procedural changes. 

Reorienting the programme and expanding it to include a range of measures is a complex 
task  owing  to  the  large  number  of  fields  concerned  (currently  22  priority  areas)  and, 
potentially, just  as  many  different  departments  in  each  Member State  administration  as 
well as at the Commission. 

So that the programme  can continue while these consultations  are being  carried  out,  it  is 
proposed  to extend  the programme  in its present  form  for  two  years, in  accordance  with 
the Management  Committee's wish to see a transitional period. 

This  extension  would  not  entail  an  increase  in  the  financial  resources  estimated  as 
necessary  in the  1992 Council  Decision,  since that  amount  has  not  been  used  up  during 
the first five years. 

5. 
The  proposal  to  extend  the  programme  also  takes  into  account  the  Community 
decisions  regarding  the  extension  of  Community  programmes  to  the  central  and  eastern 
European countries (CEECs) as well as to the EFTA countries that are EEA members and 
Cyprus: 

(i) 

(ii) 

in  Community  programmes; 

the Copenhagen  European  Council  in June  1993 decided  to permit  the  CEECs  to 
in 
participate 
December  1994 drew up a pre-accession  strategy  which  included  wider  access  to 
Community  programmes  and  the  drawing-up  of  the  White Paper  on 
the 
preparation  of  those  countries  for  integration  into  the  internal  market  of  the 
Union.  Since the Europe Agreements  concluded  with those  countries  did  not  yet 
provide  for  their  participation  in  Community  programmes,  the  Community 
concluded  additional protocols for that purpose; 

the  Essen  European  Council 

in  accordance  with  the  objectives  of  the  Agreement  on  the  European  Economic 
Area  and  the  obligations  deriving  from  that  Agreement,  which  has  been  in  force 
since  1  January  1994,  the  contracting  parties  are  taking  the  necessary  steps  to 
develop,  strengthen  or  extend  their  cooperation  with  regard  to  Community 
initiatives  where they  consider that such cooperation  may  contribute  to  achieving 
the objectives  of that Agreement or would be of mutual  benefit; 

(iii)  with regard to Cyprus, the Council reaffirmed  on 6 March  1995 "the suitability  of 
"the 
-  European Union's will to incorporate Cyprus in the next stage of its  enlargement" 

the  European Union"  and 

confirmed 

accession 

Cyprus 

for 

to 

(see point III: Political background). 

II. 

DESCRIPTION  OF PROGRAMME 

The  Karolus  programme 
implementing 
is  designed  for  all  persons 
Community  legislation,  whether  they  be central  or  local  government  employees  or  work 
for a private-sector  organization entrusted with that responsibility. 

involved 

in 

The programme comprises: 

- 

the exchange,  between  Member States, of central  or local  government  employees  and 
of  persons  working  for  private-sector  organizations  designated  by  the  competent 
authorities; each exchange lasts approximately two months; 

-  a training seminar before  each exchange; 

-  an assessment seminar at the end of each exchange. 

The objectives of the programme are: 

- 

- 

- 

- 

- 

to  promote  a  relatively  uniform  approach  to  the  implementation  of  Community 
legislation; 

to  make  Member State  officials  aware  of the  European  dimension  of  their  work,  and 
of the scope and importance of Community  legislation; 

to  permit  cross-fertilization  of  ideas  between  Member State  officials  on  the  way  in 
which Community  legislation can be best implemented; 

to  encourage  participation  by  middle  management  so  that  the  experience  gained 
through the exchanges is disseminated as widely as possible; 

to ensure that the experience gained is applied in such a way as to attain the  uniformity 
of implementation  sought. 

III. 

POLITICAL, ECONOMIC, SOCIAL AND TECHNICAL  BACKGROUND 

Extension of the Karolus programme must be seen in its political and financial  context. 

The assessment  made  by the  Commission  in  1996 of the impact  and  effectiveness  of the 
single market8  revealed  that  the  uniform  implementation  of  legislation  by  Member  State 
administrations  still  poses  a  major  challenge  for  the  proper  functioning  of  the  internal 
market. 

Following  the  communications  presented  by  the  Commission  to  Parliament  and  the 
Council  on  16 February  19949  on  the  development  of  administrative  cooperation  in  the 
implementation  and enforcement  of Community  legislation  in the internal market  and  on 
29 January  199610  on  the  situation  with  regard  to  such  cooperation,  the  Council,  in  its 
resolution  of  16 June  1994,11  called  on  the  Commission  to  play  a  leading  role  in  the 
practical  organization  of  cooperation  between  the  competent  administrations  of  the 
Member States  and  the  Commission  departments.  In  its  resolution  of  8 July  1996,12  the 
Council  called  on  the  Member States  and  the  Commission  to  continue  with  their 
programme  of  reviewing  cooperation  between  administrations  in  areas  of  legislation 
important  for  the  operation  of  the  internal  market  listed  in  the  Annex  to  the  Council 

8  COM(96) 520 final,  30.10.1996. 
9  COM(94) 29  final. 
10  COM(96) 20 final. 
11  Resolution  No 94/C/l 79/01 (OJNoC  179/1,  1.7.1994). 
12  No 96//C 224/02-OJ No 224/3,  1.8.1996. 

-4 

resolution  of  16 June  1994,  in  particular  by  developing  Community  actions  which 
provide  cross-sector  support  for  cooperation  such  as  the  programme  for  the  exchange 
between Member State administrations of national officials  (Karolus). 

The  Member State's  representatives  on  the  Karolus  Management  Committee  have  also 
called  for  the  programme  to  be  continued.  They  greatly  value  its  contribution  to 
cooperation  between  Member State  administrations  and  the  experience  gained  by 
participants. 

The CEECs, the EFTA countries that are EEA members and Cyprus have more than once 
expressed an interest in taking part in the programme. 

The  Copenhagen  and  Essen  European Councils  (June  1993  and  December  1994) 
confirmed  the suitability of the CEECs for accession to the European Union. 

The Europe Agreements or their Additional Protocols concluded between the. Community 
and the CEECs all provide for their participation in Community programmes. 

It  should  be  stressed  that the provision  of training  in the  implementation  of  Community 
law forms  an important part of the pre-accession  strategy. 

On  3 May  1995  the  Commission  presented  a  White Paper  on  preparing  the  CEECs  for 
integration  into  the  internal  market,  in which  it  stressed  the  benefit  of  allowing  them  to 
take  part  in  Community  programmes.13  Among  other  things,  the  White Paper  provides 
for  extending Karolus to those countries. 

In  the  case  of  Cyprus,  the  Council  in  1995  not  only  adopted  a  timetable  for  accession 
negotiations  but  also  specified  the  content  of  a  pre-accession  strategy  including 
participation  by  Cyprus  in  Community  programmes  open  to  Member  States  and/or  to 
accession candidates. 

Provision  should  therefore  be  made  for  the  Karolus  programme  to  be  extended  to  the 
above-mentioned  countries,  while  bearing  in  mind  that  the  detailed  arrangements  for 
participation will have to be agreed in accordance with the Karolus programme criteria. 

IV.  WHY ACTION AT UNION LEVEL IS NECESSARY 

The  measures  taken  on administrative  cooperation  by  each  Member State  administration 
are not, by themselves,  sufficient  to attain the desired  objectives;  it is therefore  essential 
to  backup  national  initiatives  by  joint  programmes  so  that  Member State  officials 
the 
internal-market 
responsible 
Community  dimension  of  their  work  and  of  the  need  for  closer  cooperation  with  their 
counterparts in other Member States. 

are  aware  of 

implementing 

legislation 

for 

Accordingly,  it is felt  that a training programme at Community  level  for  such officials  is 
one of the most appropriate ways of achieving this result. 

13  COM(95)  163  final,  page 31. 

-5 

Of the thirteen Member State administrations for which an assessment  of participation  in 
the programme  is available, nine rate Karolus as very good, two  as excellent  and  two  as 
beneficial.  Since the implementation  of Community  legislation  still  differs  widely  from 
one Member State  to  another,  participating  administrations  wish  to  see  the  programme 
extended beyond  1997 (doc. XV/567/96, p. 30, see point 1.4 above). 

V. 

COSTS  AND  BENEFITS  OF  PROPOSED  MEASURES  FOR  THE 
GROUPS MOST DIRECTLY  AFFECTED 

The  1996 evaluation report states that "The potential benefits  of improved  administrative 
cooperation  are  thus  enormous,  in  terms  of  savings  for  European  businesses  and 
especially  SMEs, who suffer  more from administrative  and regulatory trade barriers  than 
large companies.  The costs of  'non-Europe'  run into billions of Ecu so any reduction  in 
trade barriers will be worth a considerable amount".  The report stresses that the costs  of 
the programme  are relatively  low  compared  with  its results  (doc. XV/567/96, p. 57,  see 
point 1.4 above). 

The  Community  contribution  averages  ECU 9281 per person  for  a two-month  exchange 
and  two  seminars  which  form  an  integral  part  of  the  programme.  Although  this 
represents  a  considerable  investment,  it  is  easily  outweighed  by  the  potential  costs  of 
non-cooperation. 

VI.  WHY THE  MEASURES ARE REGARDED  AS  PROPORTIONATE 

On  the  basis  of  the  assessment  results  and  the  discussions  held  within  the  Commission 
and the Management Committee, the Commission considers that - pending finalization  of 
a modified  Karolus II programme - the existing programme  should be continued,  in  view 
of the contribution it has made to the proper functioning  of the internal  market. 

While the number  of participants  to  date - on average  100 per year  - has been  below  the 
figure  forecast  (some  300 per year), the  Commission  has no  doubt  that  the  general  level 
of  interest  in the programme  is very  high.  It attributes the  low take-up  rate to  a  number 
of  difficulties  that  have turned  out  to  be more  significant  than was  initially  thought:  the 
lack  of  linguistic  knowledge  among  potential  applicants,  budgetary  constraints  and  staff 
cutbacks  in  Member State  administrations  have  greatly  reduced  the  scope  for  their 
officials  to take part in this type of programme; a further  constraint  is the limited  number 
of  places  available  within  the  government  departments  in  which  applicants  would  most 
like to spend their exchange. 

Nevertheless,  it  should  be  noted  that  the  number  of  applications  submitted  is  steadily 
increasing. 

VII.  VIEWS EXPRESSED  BY INTERESTED  PARTIES  CONSULTED 

The Member States have expressed interest in this form of closer  cooperation. 

The  assessment  of  the  Karolus programme  has  stressed  the  benefit  of  its  continuation, 
along  with  the  need  to  introduce  other  measures  and  to  support  the  initiatives  taken  by 
improving  and  strengthening  relations  between 
Member States  with  a  view 
administrations as regards internal-market  legislation. 

to 

- 6-

The  Karolus  Management  Committee  considers  a transition  period  important  so that  the 
existing programme can continue while a broader programme is being devised. 

VIII.  JUSTIFICATION  OF CHOICE OF LEGAL BASIS 

Article  100a of the Treaty provided  the legal basis for the initial proposal  adopted  by the 
Council  in  199214  and  thus  remains  valid  for  the  proposal  extending  the  programme's 
duration. 

IX.  ACTUAL IMPLEMENTATION OF PROPOSED MEASURES 

The  existing  programme  is  coordinated  and  organized  by  the  Commission  and  the 
Member  States,  working  in  partnership  within  a  management committee  made  up  of 
Member  State and Commission representatives. 

As  in  the  past,  the  Commission  will  continue  to  monitor  the  implementation  and 
budgetary  aspects of the programme, paying particular regard to the level of participation 
and expenditure.  After  each batch of 50 exchanges, a progress report is distributed  to the 
Member  States and interested parties. 

Specific  conditions  governing  participation  by  th ;  EFTA  countries  which  are 
members of the EEA and the countries of central and eastern Europe  (CEECs) 

The programme  is open to participation  by the CEECs, in accordance with the terms  laid 
down in the European Agreements or the Additional Protocols annexed to them  regarding 
participation  in  Community  programmes,. provided  that  the  country  concerned  has 
into  its  national  law  and  is  actually  implementing  the  Community 
incorporated 
legislation governing the field for which an exchange of oficials  is sought. 

Participation  is  open  to  the  EFTA  countries  that  are  EEA  members  and  to  Cyprus,  the 
latter  on  the  basis  of  additional  appropriations  and  subject  to  the  same  rules  as  those 
applying to those countries, in accordance with procedures to be agreed with Cyprus. 

The detailed  rules  governing  participation  still need to be agreed  at the appropriate  stage 
between the parties  concerned. 

X. 

HOW  THE  PROPOSED  MEASURE  FITS 
COMMISSION'S  ANNUAL  PROGRAMME 

IN  WITH  THE 

The  proposal  is  presented  in  the  context  of  completing  the  internal market.  It  seeks  to 
extend-and adapt an existing legislative  instrument. 

XI. 

IMPACT ON THE INTERNAL  MARKET 

See point V above. 

14  Decision No 92/481/EEC of 22 September  1992, OJ No  L 286,  1.10.1992. 

- 7-

PROPOSAL FOR A EUROPEAN PARLIAMENT AND COUNCIL DECISION 

of... 

amending Decision 92/481/EEC of 22 September 1992 on the adoption of an action plan 
for the exchange between Member State administrations of national officials who are 
engaged in the implementation of Community legislation required 
to achieve the internal market 

(Karolus programme) 

(.../.../EC) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN 
UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  100a thereof, 

Having regard to the proposal from the Commission, 

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

Having regard to the opinion of the Committee of the Regions,3 

Acting in accordance with the procedure laid down in Article 189b of the Treaty,4 

Whereas  the  Karolus  programme,  introduced  by  Council  Decision 92/481/EEC  of 
22 September  1992, expires on 31 December 1997; 

Whereas  the  usefulness  of  the  programme  has  been  proven  in  terms  of  strengthening 
cooperation  between  the  Member States  by  exchanging  experience  gained  in  the 
implementation of Community legislation required to complete the internal market; 

Whereas  the  programme  should  be extended  for  two  years  pending  the  proposal  for  a 
new programme following in-depth consultations; 

Whereas the programme should be opened up to participation by the central and eastern 
European  countries  (CEECs),  in  accordance  with the terms  laid  down  in the  European 
Agreements  or  in  the  Additional  Protocols  annexed  to  them  regarding  participation  in 
Community programmes; 

Whereas  the  programme  should  be  opened  up to  participation  by  the  EFTA  countries 
which are members of the EEA and by Cyprus, the latter on the basis of additional  funds, 
subject  to  the  same  rules  as  those  applying  to  those  countries,  in  accordance  with 
procedures to be agreed with Cyprus, the arrangements for this participation to be agreed 
between the parties concerned  at the appropriate time; . 

-8 

Whereas  extension  is  possible  without  exceeding  the  financial  resources  originally 
in  Article 11  of  Council  Decision 92/481/EEC  of 
estimated  as  necessary 
22 September 1992, 

HAVE ADOPTED THIS DECISION: 

Article 1 

Council Decision 92/481/EEC of 22 September 1992 is hereby amended as follows: 

1.  Paragraph 1  of Article 11  is replaced by: 

"1.  The programme  shall  last  seven  years and  its execution  shall  start  with  the  1993 
budget year." 

2.  Article 1 la is hereby inserted: 

"Article 11a 

The  programme  shall  be  open  to  participation  by  the  central  and  eastern  European 
countries (CEECs), in accordance with the terms laid down in the European Agreements 
or  in the  Additional  Protocols  annexed  to  them  regarding  participation  in  Community 
programmes. 

The  programme  shall  be  open  to  participation  by  the  EFTA  countries  that  are  EEA 
members and by Cyprus, the latter on the basis of additional funds,  subject  to the same 
rules  as those  applying  to those  countries,  in accordance  with procedures  to  be  agreed 
with Cyprus. 

The arrangements for this participation shall be agreed between the parties concerned  at 
the appropriate time." 

This Decision is addressed to the Member States. 

Article 2 

Done at Brussels,... 

FINANCIAL  STATEMENT 

1. 

TITLE OF OPERATION 

for 

a  European Parliament 

Proposal 
amending 
Decision 92/481/EEC  of  22 September  1992  on  the  adoption  of  an  action  plan  for  the 
exchange between Member State administrations of national officials  who are engaged  in 
the  implementation  of  Community  legislation  required  to  achieve  the  internal  market 
(Karolus programme). 

and  Council  Decision 

2.  BUDGET HEADING(S) INVOLVED 

B 5-3000, A  1178 and A 2510. 

3. 

LEGAL BASIS 

Article  100a of the EC Treaty; 
Council Decision 92/481/EEC of 22 September  1992 (OJ No L 286 of  1 October  1992). 

4. 

DESCRIPTION OF OPERATION 

4.1 

General obj ective : 

1. 

2. 

3. 

4. 

5. 

6. 

in  the 

implementation  of  Community 

to  encourage  a  uniform  approach 
legislation; 
to make officials  in national  administrations  aware of the European  dimension  of 
their work, the scope of Community legislation and its importance; 
to permit cross-fertilization  of ideas between Member State administrations  on the 
way in which Community legislation can best be implemented; 
to  involve  officials  at  middle-management  level  in  order  to  ensure  the  widest 
"possible dissemination of the results, both now and in the  future; 
to use the results of the exchanges  in such a way  as to contribute to the  objective 
of a uniform  approach; 
to  permit  participation  by  nationals  of  Cyprus  and  the  associated  countries  of 
Central  Europe which are candidates for  accession, and by nationals  of the  EFTA 
countries  that  are  EEA  members,  with  a  view  to  familiarising  them  with  the 
application  of Community  legislation necessary  for the completion  of the  internal 
market. 

io 

4.2 

Period covered and arrangements for renewal 

The  Karolus  programme  is  due  to  end  in  December  1997.  However* the  programme's 
operation  and  the  results  achieved  through  the  exchanges  undertaken  during  the  first 
two years  are  such  that  the  Commission  intends  shortly  to  present  a  proposal  for  a 
Parliament  and  Council  Decision  extending  the programme  in  a modified  and  expanded 
form. 

Once the  conclusions  and  recommendations  contained  in the  interim  assessment  report1 
undertaken  by  an  independent  firm  had  been  made  available'  the  Commission 
departments  drew  up  a  working  paper  with  a  view  to  preparing  such  a  proposal  for  a 
Parliament  and  Council  Decision  extending  the  Karolus  programme  in  a  new  formula 
comprising,  in addition to the individual training measures such as exchanges of  officials 
between Member  State administrations, a range of joint training measures  sueh as general 
seminars, joint  sectoral seminars, national seminars to be arranged by each Member  State 
exclusively  for  its  own  officials,  with  guest  speakers  from  the  other  Member States  and 
from  the Commission and joint monitoring visits. 

These  various  measures  were  designed  to  enable  more  people  to  take  part  in  the 
programme at less cost per participant. 

The working  paper  was  submitted  to the Karolus  Management  Committee  in  July  1996. 
But it emerged  from  that consultation that the Committee did not entirely  share the views 
expressed  in  the  interim  assessment  report.  While  it  was  prepared  to  adapt  the  current 
programme,  the  Committee  stressed  the  importance  of  continuing  to  give  priority  to 
exchanges  within  the  framework  of  an  amended  programme.  Any  changes  made  to 
certain  components  of  the  exchanges  (for  example,  introductory  and  assessment 
seminars) must not lead to their being devalued. 

In  the  light  of  this,  it  seemed  premature  to  present  straightaway  a  proposal  for  a 
Parliament  and  Council Decision  amending the programme.  Thorough  consultations  are 
the  degree  of 
in  progress,  with  a  view -  among  other  things -  to  determining 
centralization  or  decentralization  of  management,  the  nature  of  the  seminars  to  be  held 
and  the  priority  areas  for  the  joint  seminars,  as  well  as  budgetary  changes  and  the 
resulting procedural  changes. 

Reorienting the programme and expanding it to include a range of measures  is a complex 
task  owing  to  the  large  number  of  fields  concerned  (currently  22  priority  areas)  and, 
potentially,  just  as  many  different  departments  in  each  Member  State  administration  as 
well as at the  Commission. 

So that the  programme  can  continue while these consultations  are being  carried  out,  it is 
proposed  to  extend  the programme  in its present  form  for  two years, in  accordance  with 
the Management  Committee's wish to see a transitional period. 

The assessment  report (doc. XV/567/96), which is too bulky to enclose, is available on request  from 
the DG XV.A.l  secretariat, Tel. 295.74.56/296.75.11 - Fax 296.09.50. 

-n 

This  extension  would  not  entail  an  increase  in  the  financial  resources  estimated  as 
necessary in the  1992 Council Decision, since that amount has not been used up during 
the first five years. 

5. 

CLASSIFICATION OF EXPENDITURE OR REVENUE 

5.1  Non-compulsory operating expenditure. 

5.2 

Differentiated  appropriations. 

5.3  N/A. 

6.  TYPE OF EXPENDITURE OR REVENUE 

Expenditure  comprises  reimbursement  of  participants'  travel  expenses  and  daily 
subsistence  allowances,  organizational  costs,  and  costs  incurred  through  training  and 
assessment seminars. 

The  programme 
administrations concerned. 

is  func-ed  jointly  by  the  Community  and  the  Member State 

7. 

FINANCIAL IMPACT 

7.1  Method of calculating total cost of operation (relationship between individual and 

total costs) 

Average cost per participant:  Community  share-(EC):  ECU 10 000.  The total  cost  is 
based  on  the  assumption  that  200  people  will  take  part  in  the  first  year  for  which 
extension is sought, and at least the same number in the second. 

IX 

7.2 

Itemized breakdown of cost 

EC in ECU million (1996 value, current prices) 

Breakdown by budget 
heading 

B 5-3000 
Reimbursement  of  expenses 
and 
participants 
to 
operating 
to 
Member  States 
Total 

costs 

Cumulative 
position in 
1997 
7.7 

7.7 

1998 

1999 

Total 

2 

2 

2.52 

* 

12.2 

2.5Z 

12.2 

Measures  relating  to  this  programme  and  designed  to  achieve  the  same  objectives 
are  being  funded  through  Community  programmes  and  financial  protocols  under 
agreements  concluded  between  the  Community  and  third  countries  (e.g.  PHARE 
for the central European  countries). 

7.3 

Operational  expenditure  on  studies,  experts,  etc.  falling  under  Part B  of  the 
budget 

EC in ECU million (1996 value, current prices) 

-  Programme  assessment 
-  Experts'  meetings 
-  Conferences  and 

congresses 

-  Information  and 
publications 

Total 

1997 

1998 

0.048 

0.048 

1999 
0.042 
0.048 

Total 
0.042 
0.144 

0.048 

0.048 

0.090 

0.186 

2 

This  figure  is  subject  to  revision  and  may  increase  or  decrease  depending  on  the  actual  number  of 
participants. 

IZ 

7.4 

Schedule of commitment and payment  appropriations 

Cumulative 
position in 
1997 
-7.7 

1998 

1999 

2000 

Total 

2 

2.5' 

-

12.2 

Commitment 
appropriations 

Payment appropriations 
Total 

3.17 
3.17 

1.2 
1.2 

2 
2 

1.3 
1,3 

7.67 
7.67 

8.  FRAUD PREVENTION MEASURES 

Fraud  prevention  measures  (monitoring,  possible  audit,  obligations  of  the  contractor 
under  Commission  contracts  with  outside  suppliers)  are  provided  for  in  the  contract 
between the Commission and those covered by the measure. 

9. 

COST  EFFECTIVENESS 

9.1 

Specific  and quantifiable  objectives, target group 

The  main  objective  of  the  action  plan  is  to  ensure  the  proper  implementation  of 
Community  legislation in the context of completing the internal market. 

implementing 
The  Karolus  programme 
Community  legislation,  whether  they  be central  or local  government  employees  or  work 
for a private-sector  organization entrusted with that responsibility. 

is  designed  for  all  persons  involved 

in 

It  is estimated  that  around  200 people will take part in the first year  for  which  extension 
is sought, and at least the same number in the second. 

2  This  figure  is  subject  to  revision  and  may  increase  or  decrease  depending  on  the  actual  number  of 

participants. 

h 

9.2 

Grounds for the operation 

The measures  taken  on administrative  cooperation by each Member S^ate administration 
are not, by themselves, sufficient  to attain the desired objectives;  it is therefore  essential 
to  back  up  national  initiatives  by  joint  programmes  so  that  Member State  officials 
responsible  for  implementing  internal-market  legislation  are  aware  of  the  Community 
dimension  of their work and of the need for closer cooperation with their counterparts  in 
other  Member States  in order to ensure that administrations  are adapted  to  their  tasks  in 
the context of the Single Market. 

Accordingly,  it is felt  that a training programme at Community  h  < i\  :or such officials  is 
one of the most appropriate ways of achieving this result. 

in  keeping  with  the  Commission's 
All  the  budgetary  requirements  are  strictly 
institutional responsibility to ensure that rules laid down by the Council are  implemented 
satisfactorily.  Any neglect of that responsibility  by the Commission would be  prejudicial 
to the operation of the legislation. 

The operation is provided for in DG XV's financial  planning. 

Choice of ways and means 

Joint  funding  by  the  Commission  and  the  Member State  administrations  ensures 
involvement of the latter in determining the programme's  objectives. 

Advantages  over possible  alternatives (comparative advantages) 

* 
Not applicable. 

Explanatory  reference to similar Community or national  operations 

* 
The  Matthaeus  customs  and  Matthaeus  tax  programmes  are  similar  to  Karolus  at 
Community  level,  i.e. they  include  short  exchanges  and  separate  seminars  that  are  open 
to  staff  who  have  not  taken  part  in  an  exchange.  The  estimated  cost  per  person  is 
comparable,  given  the  differences  in  the  implementing  arrangements  (see  assessment 
doc. XV/567/96, pp. 56-57, see point 4.2 above). 

spin-off and multiplier  effects expected 

* 
The  training  received  by  each  participant  has  a  multiplier  effect  since  the  experience 
gained is shared with colleagues in the host and home countries. 

factors  of uncertainty  which could affect the specific results of the operation 
The  operation  is  in  response  to  a need  voiced  by  Member States.  The  only  uncertainty 
lies in the number of people who will actually take part. 

/^ 

9.3  Monitoring and evaluation of the operation 

end-of-exchange 
The  programme  is  subject  to  continual  monitoring  and  evaluation: 
seminars  are  held  during  which  participants  give  their  assessment  and  share  the 
experience they have gained with other seminar participants; the Management  Committee 
is consulted  regularly.  A summary  report on the results  achieved  is drawn  up after  each 
group  of  around  50  exchanges:  these  reports,  together  with  those  drawn  up  by  each 
participant,  are  circulated  to  the  Karolus  Management  Committee,  the  Member States, 
the  Internal  Market  Advisory  Committee, the European  Public  Services  Committee  and 
the departments  involved. 

In  addition,  an  outside  company  undertook  an  assessment  of  the  programme  in  1996, 
examining  how  it  had  functioned  since  its  inception  in  January  1993  (doc. XV/567/96, 
30 May  1996, see point 4.2 above). 

Of  the  13 home  administrations  surveyed  in  different  Member States,  nine  assessed  the 
programme as very good, two as excellent and two as useful. 

The results of the assessment were disseminated  to the Karolus Management  Committee, 
the  Member States,  the  Internal  Market  Advisory  Committee,  the  European  Public 
Services Committee and the departments  concerned. 

the 

implementation  of  Community 

Since 
rules  still  differs  widely  between 
Member States,  an  extension  of, the  programme  beyond  1997  has  been  sought 
(doc. XV/567/96, p. 30, see point 4.2 above). 

The  Member States'  representatives  on  the  Karolus  Management  Committee  have  also 
requested  the  continuation  of  the  programme.  They  attach  great  importance  to  the 
contribution  made  by  the  programme  towards  cooperation  between  Member  State 
administrations and value the experience gained by participants. 

i% 

10.  ADMINISTRATIVE  EXPENDITURE  (SECTION  III,  PART  A  OF  THE 

BUDGET) 

This section  of the financial  statement  must be sent to DGsIXandXIX;  DG IX will  then 
forward  it to DG XIX  with its opinion. 

Actual  mobilization  of  the  necessary  administrative  resources  will  depend  on  the 
Commission's  annual  decision  on the allocation  of  resources,  taking  into  account  the 
number of staff and additional amounts authorized by the budgetary  authority. 

10.1 Effect  on the number of posts 

Type of post 

Staff to be assigned to 
managing the operation 
Temporary 
posts 

Penrmrierrt 
PQ$t$ 

Source 

.  Duration 

Additional 
resources 

Existing 
resources 
in 
the  DG  or 
department 
concerned 

Officials or 
temporary 
staff 
Other resources 
Total 

A 
B 
C 

1 
1 
1 

3 

0 
0 
0 
0 
0 

J 

• 

. 

1 
1 
1 

3 

0 

2 years 
2 years 

If additional  resources are required, indicate the pace at which they will have to be made 
available. 

10.2 Overall financial impact of additional human resources 

ECU (1996 value, current  prices) 

Amounts 

Method of calculation 

Officials 
Temporary  staff 
Other resources (A 1178) 

210 000 

2 x annual amount based on the present cost of 
subcontracting 
200 
participants, i.e. 2 x ECU  105  000 

estimated 

for 

an 

Total 

210 000 

| 

The amounts given  must  express the total cost of additional posts for  the entire  duration 
of the operation  if this duration  is predetermined  or for  12 months if it is indefinite. 

ft 

10.3 Increase in other administrative expenditure as a result of the operation 

Budget heading 

Amounts 

Method of calculation 

ECU (1996 value, current prices) 

A 2510 

48 600 

the  Karolus 

annual  meetings  of 

2 
Management Committee: 
Average  cost  per  meeting 
(government 
experts):  ECU 650  x  15  +  ECU 800  x  3 
EFTA/EEA  (i.e.  ECU 12 150  per  meeting), 
giving for 2 years:  4 x ECU 12 150 

Total  J 

48 600 

| 

The amounts given must correspond to total expenditure arising from the operation  if its 
duration is predetermined or expenditure for  12 months if it is indefinite. 

IS 

ISSN 0254-1475 

COM(97) 393 final 

DOCUMENTS 

EN 

10  11  06  01 

Catalogue  number  :  CB-CO-97-394-EN-C 

ISBN  92-78-23073-1 

Office  for  Official  Publications of the European  Communities 

L-2985  Luxembourg