Proposal for a Council Decision on a joint action establishing a programme of exchanges, training and cooperation for persons responsible for action to combat organised crime (Falcone programme)
Date: 1997-10-20
Institutions: European Commission
Subjects: approximation of laws, fight against crime, intergovernmental cooperation (EU), organised crime, teaching curriculum

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 20.10.1997 
COM(97) 528 final 

PROPOSAL FOR A 

COUNCIL  DECISION 

ON A JOINT ACTION ESTABLISHING  A PROGRAMME 
OF EXCHANGES, TRAINING AND COOPERATION  FOR PERSONS 
RESPONSIBLE FOR 
ACTION TO COMBAT ORGANISED  CRIME 
(FALCONE  PROGRAMME) 

(presented by the Commission) 

•XPLANATORY  MEMORANDUM 

A. 

Background  to  proposal 

The  Dublin  European  Council  on  13-14  December  1996  underlined  its  determination  to 
fight  against  organised  crime  and  stressed  the  need  for  a  coherent  and  coordinated 
approach  by  the  European  Union.  Accordingly,  it  decided  to  set  up  a  High  Level  Group 
responsible 
specific 
recommendations,  including  realistic  timetables  for  carrying  out  the  work.  The  High 
Eevel  Group  has  met  six  times.  Its  findings  arc  set  out  in  a  report  containing  15 political 
guidelines  and  30  specific  recommendations,  together  with  a  proposed  timetable  and  an 
indication  of where  the responsibility  for  implementing  each  recommendation  would  lie. 

action  plan  containing 

a  comprehensive 

formulating 

for 

At  a  meeting  in  Luxembourg  on  28  April  1997,  the  Council  (Justice  and  Home  Affairs) 
endorsed  the  approach  of  the  High  Level  Group's  report1  and  requested  the  European 
Council  to  adopt  in  particular  the  recommendations  in  Part  II  as  its  own  political 
guidelines. 

The  Amsterdam  European  Council  on  16  and  17  June  1997  welcomed  the  action  plan 
drawn  up  by  the  High  Level  Group  on  organised  crime  in  pursuance  of  the  mandate 
entrusted  to  it  by  the  Heads  of  State  or  Government  at the  meeting  in  Dublin.  It  adopted 
the  political  guidelines  presented  for  its  approval  and  requested  the  Council  to  adopt  the 
measures  needed  to  implement  the  plan,  monitor  its execution  and  report  to the  European 
Council  in  June  1998.  The  European  Council  particularly  welcomed  the  comprehensive 
approach 
to  both  prevention  and 
enforcement,  stressed  the  search  for  the  right  balance  between  the  approximation  or 
harmonisation  of  legislation,  practical  cooperation  between  judicial  and  police  bodies 
responsible  for  the  application  of  laws  and  the  importance  of  close  cooperation  between 
the  Union's  main  partners, especially  with  the applicant  countries. 

the  action  plan,  which  gave  equal  weight 

in 

Recommendation  No  11  of  the  action  plan  requests  the  Council  to  adopt  "a joint  action 
establishing  a  specific  multi-annual  programme  to  combat  organised  crime,  including 
fraud  affecting  the  financial  interests  of  the  Communities,  permitting  specific  actions  in 
the  fields  of  training  for  key  players  responsible  for  preventive  policies,  exchanges  of 
information,  research,  and  other  forms  of improving  skills  and  operational  methods." 

The  proposal  for joint  action  is  the  product  of  a  concerted  initiative  by  the  Luxembourg 
Presidency  of  the  Council  and  by  the  Commission  rapidly  to  provide  a  financial 
instrument  to  facilitate  the  implementation  of  several  of  the  key  recommendations  of  the 
action  plan to combat  organised  cime. 

1  OJC 251, 15.8.1997. 

2-

B. 

Scope  of  proposal 

The joint  action  to  implement  the  multi-annual  Falcone  plan  has a twofold  purpose: 

it  seeks  to  provide  financial  support  where  necessary  for  the  implementation  of 
several  of  the  recommendations  in  the  action  plan  to  combat  organised  crime.  Rapid 
implementation  of  the  Falcone  programme  is  vital  for  carrying  out  the  undertakings 
(regarding  substance  and  timetable)  set out  in  the  report  of  the  High  Level  Group  adopted 
by the  European  Council  in  Amsterdam. 

in  addition,  it  seeks  to  place  cooperation  between  authorities  responsible  for 
combating  organised  crime  in  a  multi-annual  perspective.  This  is  essential  if  there  is  to 
be  real  follow-up  to  the  action  plan  and  the  measures  involving  the  European  Union 
continuing  beyond  the  timetable  fixed  for  it. 

This  programme  aims  to  meet  the  above  objectives  by  supporting  measures  to  encourage 
cooperation  between  the  bodies  responsible  for  action  against  organised  crime. 
It  is 
based  on  an  annual  programme  adopted  by  the  Management  Committee,  which  will 
select  projects  applying  the  most  open  and  strict  criteria  with  the  assistance  of  experts, 
who  will  assist  the  Commission,  where  necessary,  to  prepare  technical  background  and 
formulate  proposals  for  consistent  programmes. 

In  preparing  this  proposal  the  Commission  was  mindful  of  the  other  programmes  under 
Title  VI  of  the  Treaty  on  European  Union  (Oisin  for  cooperation  between 
law 
enforcement  authorities,  Grotius  for judicial  cooperation,  and  STOP  for  combating  trade 
in  human  beings  and  the  sexual  exploitation  of  children).  It  nevertheless  considered  it 
preferable 
this  particular 
phenomenon  within  the  scope  of  the  action  plan  approved  by  the  European  Council,  and 
reflecting  the  guidelines  used  to  determine  whether  a  criminal  group  comes  under  the 
heading  of  organised  crime  for  the  annual  report  on  organised  crime  in  the  European 
Union.  This  approach  seeks  to  ensure  greater  consistency  between  the  various  measures 
concerned,  which  will  in  future  come  under  a common  framework. 

to  propose  a  programme  entirely  devoted 

to  combating 

The  committee  procedures  set  out  in  this  proposal  are  along  the  same  lines  as  those 
adopted  for  other  programmes  under  Title  VI. 
In  view  of  the  close  ties  between  the 
objectives  of  the  Falcone  programme  and  implementation  of  the  action  plan,  the 
Member  States  might  wish  to  include  among  their  representatives  on  the  committee 
provided  for  under  Article  11 of the  proposal  the national  appointees  who  are  involved  in 
or  participate  in  the  multidisciplinary  group  on  crime  set  by  decision  of  the  Permanent 
Representatives  Committee  on  10 July  1997 and  are entrusted  with  the  implementation  of 
the action  plan. 

The  Commission  has  also  sought  to  give  the  Falcone  programme  a  multi-disciplinary 
approach,  stressing  both  prevention  and  enforcement,  which  would  at  the  same  time  have 
an impact  on political  guidelines, the  legislative  process  and  operational  cooperation. 

the  Falcone  programme  should  also  be 
The  Commission's  role 
considered  in  the  light  of  the  new  powers  conferred  on  it  in  this  area  by  the  Amsterdam 
Treaty. 

in  implementing 

C. 

Commentary  on  individual  articles 

Article 1 

The  Article  defines  the  objective  and  scope  of  the  programme,  the  target  population  and 
categories  of  operations.  It  provides  for  Community  financing.  The  attached  financial 
statement  calls  for  an aggregate  budget  of  ECU  10 million. 

is 

intended 

to  facilitate 

the  programme  will  cover  five  years  and 

recommendation  6  on  a  comprehensive  policy 

Initially 
the 
implementation  and  monitoring  of  the  action  plan  to  combat  organised  crime  adopted  by 
the  Amsterdam  European  Council.  To  make  sure  the  plan  is  not  confined  to  enforcement 
alone,  the  list  of  responsible  authorities  also  includes  those  responsible  for  supervising 
financial  establishments  and  public  procurement,  those  responsible  for  combating  fraud 
and  corruption  and  representatives  of  certain  professional  circles.  This  in  particular 
reflects  the  wording  in  recommendation  11  of  the  action  plan  concerning  the  multi-
annual  programme,  which  targets  the  key  players  responsible  for  preventive  policies  (see 
and 
also 
recommendation  12  on  measures  to  shield  certain  vulnerable  professions  from 
the 
influence  of  organised  crime).  In  the categories  of  measures,  stress  is  placed  on  training, 
courses,  meetings  and  seminars  which  could  be  targeted  at  one  or  several  categories  of 
those  responsible.  To  avoid  overlapping,  it specifies  that  a given  measure  financed  under 
the  Falcone  programme  precludes  cumulative  financing  from  other  programmes  under 
Title  VI  of  the  European  Union  Treaty  and  from  other  Community  programmes,  apart 
from  Community  programmes  specifically  aimed  at  supporting  the  efforts  of  applicant 
countries  preparing  for  accession.  The  Commission  will  also  make  sure  that  the  sources 
of  financing  provided  for  in  certain  Community  programmes  are  mobilised  for  specific 
projects  associated  with  the action  plan  in a complementary  and  coordinated  way. 

against  corruption, 

Article 2 

The  Article  specifies  the  types  of  projects  relating  to  training  measures.  It  concerns 
improvement  of  mutual  knowledge  of  rules,  procedures  and  practices  specific  to the  fight 
against  organised  crime, and  preparation  of teaching  modules  for  further  training. 

Article  3 

The  Article  first  stipulates  that  the  programme  could  also  co-finance  coordinated 
operational  activities  involving  several  Member  States  and  one  or  several  categories  of 
authorities  (e.g. customs,  police, judges),  including  aspects  concerning  their  preparation 
and  the  temporary  secondment  of  experts  to  specific  projects.  This  provision  could  help 
to  improve  skills  and  operational  methods,  which  is one  of  the  specific  objectives  defined 
in  recommendation  11. 
The  general  objective  is  to  target  pilot  projects  of  special 
importance  in  the  context  of  combating  organised  crime.  Second,  in  the  context  of 
implementing  the  mutual  evaluation  procedure  of  national  provisions  relating  to  the  fight 
against  organised  crime  provided  for  in  the  action  plan  to  combat  organised  crime 
(recommendation  15) the article  provides  for  the  specific  expert  missions. 

- 4-

Article 4 

The  Article  describes  the  types  of  visits, courses  and  exchanges  that  could  be  eligible  for 
the  Falcone  programme. 
In  addition  to  the  organisation  of  visits  and  courses  held  in 
specialised  public  bodies,  it  is  proposed  to  allow  co-financing  of  seminars  covering 
specific  aspects of organised  crime. 

Article  5 

The  Article  allows  for  feasibility  studies  and  research.  Several  recommendations  in  the 
action  plan  to  combat  organised  crime  call  for  specific  studies  (e.g.  recommendation  5, 
recommendation  12,  study  of  measures  to  protect 
study  on  high  technology  crime; 
vulnerable  professions; 
and 
(e.g. 
confiscation)  or  which  need 
recommendation  7,  public  procurement;  general  recommendation  18).  This  is  why 
Article  5 envisages  studies  concerning: 

recommendation  26,  study  on  money-laundering 
implemented 

studies  before 

they  can  be 

comparison  and  assessment  of  instruments  directly  or  indirectly  applicable  to  the 
fight  against  organised  crime  to identify  possibilities  for  the definition  of  common 
policies; 

new  legislative  measures  (see recommendation  17); 

feasibility  of operational  pilot  projects. 

Article  6 

The  Article  specifies  the  projects  for  the  transmission  of  information  to  those  responsible 
for  combating  organised  crime.  Primarily  these  are  projects  to  help  set  up  networks  of 
contact  points  pursuant  to  recommendations  2,  19 , 20  and  21  but  excluding  financing  of 
the  operating  and  management  costs  of  networks.  The  networks  concerned  include  the 
network  which  could  be  established  on  the  basis  of  the  directory  of  specialised  skills  in 
the  fight  against  organised  crime  against  organised  crime  managed  by  the  Europol  Drugs 
Unit2  and the one  involved  in the  establishment  of a judicial  contact  network. 

In  addition,  feasibility  studies  and  databases  and/or  electronic  data  networks  containing 
legislation  and  legal  precedents  are  some  of the prerequisite  for  the  creation  of these  tools 
to improve practitioners  knowledge. 

Lastly,  projects  involving  the  dissemination  of  information  concerning  training  and 
operational  activities,  exchange  programmes,  courses,  and  more  generally,  feasibility 
studies  and  research  carried  out  in the context  of this  programme  may  be  considered. 

2  OJL  342, 31.12.1996. 

- 5-

Article  7 

Since  the  underlying  principle  of  this  programme  is  that  the  operations  must  benefit  the 
European  Union,  they  must  be  multilateral,  in  other  words  involve  more  than  one 
Member  State.  One  of  the  selection  criteria  stipulates  that  the  various  projects  must  be 
complementary,  and  the  results  obtained  must  help  to  reinforce  cooperation  between  the 
Member  States 
(in  particular  give  rise  to  the  possibility  of  adopting  new  instruments 
under  Title  VI  of  the  Treaty).  Article  7  also  provides  for  those  responsible  in  the 
applicant  countries  to  participate  in  specific  projects  so  as  to  familiarise  them  with  the 
European  Union  acquis  in  this  area  and  to  help  them  prepare  for  accession  where  this  is 
of  benefit  to  the  projects.  This  possibility  is  also  open  to  participants  from  other 
non-member  countries.  This  provision  is  all  the  more  important  since  the  action  plan 
specifically  provides  for  the  reinforcement  of  cooperation  with  applicant  countries  of 
central  and  eastern  Europe  (general  recommendation  3  and  specific  recommendation  27 
on  money-laundering)  and  with  other  non-member  countries  (recommendation  4). 

In  the  case  of  projects  concerning  organised  crime  targeted  at  applicant  countries  of 
central  and  eastern  Europe,  support  should  be  examined  in  the  specific  context  of  the 
horizontal justice  and home  affairs  programme  set up under the  Phare  programme. 

Article  8 

The  Article  contains  the  usual  provisions  for  follow-up  and  financial  monitoring  by  the 
Commission  and the Court  of Auditors. 

Article  9 

The  Article  sets  out  the  general  framework  for  financing  under  the  Community  budget. 
Paragraph  2  sets  an  overall  ceiling  establishing  the  principle  of  a contribution  lower  than 
that allocated  for the  national  authorities. 

Paragraph  4  establishes  the  principle  of  restrictions  applicable  to  certain  cost  categories, 
thus emphasising  the operational  and  non-administrative  nature  of the heading.  Provision 
is made  for  a degree  of flexibility  to respond  to special  circumstances. 

NB  Articles  10  to  15  are  along  the  same  lines  as  the  corresponding  articles  in  the 
Grotius,  Stop  and  Oisin  programmes,  which  have  been  agreed  by  the  Member  States  and 
are already  operational. 

Article  10 

The  Article  defines  the  Commission's  responsibility  for  management  and  monitoring  of 
programmes,  especially  the  formulation  of  annual  programmes.  When  formulating  the 
annual  programmes 
the 
Member  States  and  its  own  proposals.  The  suggestions  will  be  taken  into  account  in  the 

the  Commission  will  examine 

the  applications 

from 

- 6-

light  of  the  priorities  in  the  first  article  and  their  innovative  dimension  and  consistency 
with the annual programme as a whole.  To obtain  the necessary  technical  support  for the 
examination,  the  Commission  will  wherever  necessary  take  the  advice  of  experts  in  the 
areas covered  by this programme. 

Article 11 

In the case of measures  based  on a Title  VI  instrument,  an original  committee  procedure 
has  been  introduced. 
It  allows  the  Commission  to  play  its  role  to  the  full,  since  it 
involves  Community  financing,  while  observing  Title  VI  decision-making  procedures 
with safeguards  for the Member States. 

Article 12 

Depending  on  the  cost  of  a  project,  two  different  mechanisms  come  into  play,  thus 
allowing  maximum  flexibility  and  the  rapid  implementation  of  more  modest  projects  as 
regards  financing. 

Article 13 

The Article sets out the usual rules of procedure  which apply  in the context  of operations 
financed  out of the Community  budget. 

Article 14 

Assessment  of  the  programme  as  a  whole  is  extremely  important  and  the  Commission 
sets  great  store  by  it  as  was  specified  in  the  SEM  2000  initiative.  It  is  essential  that 
assessment  should  go  beyond  simply  ascertaining  the  satisfaction  of  participants  in  the 
activities.  The mutual  evaluation  procedure  must  be  formulated  at the  same  time  as the 
projects  and  include  a  means  of  measuring  the  impact  of  measures  over  time  in  the 
Member  States'  administrative  departments.  Given  the  overall  volume  of  the 
programme's  budget  and  an  educated  cost  estimate,  a  very  thorough  assessment  could 
take up 5% of the budget. 

The Article also provides for  Parliament  and the Council  to be informed  of the results of 
projects  financed  under  the  present  joint  action  and  of  the  implementation  of  the 
programme. 

Article 15 

The Article contains the usual provisions for the entry into force of the joint action. 

Proposal for a Joint action adopted  by the Council, establishing a programme of 
exchanges, training and cooperation  for people responsible for combating organised 
crime (Falcone  programme) 

THE COUNCIL OF THE EUROPEAN  UNION, 

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

Having regard to the Commission's proposal of 

Whereas the Member  States regard  the fight against  organised  crime  in all  its  forms  as a 
matter of common  interest; 

Considering  the  conclusions  of  the  Amsterdam  European  Council  in  June  1997,  which 
adopted  the  action  plan  on  organised  crime3  established  by  the  High  Level  Group,  as 
reflected  in the Council  Resolution  of 
fixing  the priorities for  cooperation 
in the field of justice and home affairs  for the period  1  July  1998 to 30 June 2000,4 

Mindful  of  the  need  for  a  coordinated  multidisciplinary  approach  to  the  problem  with 
respect to prevention, enforcement,  and the legislative and operational  aspects; 

Whereas  there  is  a  need  to  focus  this  programme  on  activities  contributing  to  the 
implementation and monitoring of the action plan to combat organised crime; 

Whereas  the  institution  of  a  framework  to  support  measures  designed  to  facilitate  the 
implementation  of  the  action  plan,  in  particular  action  to  facilitate  multidisciplinary 
meetings  and  exchanges,  research,  studies  and  operational  projects  with  a  European 
dimension  for those responsible  for  action  against  organised  crime  is likely  to  strengthen 
and  facilitate  the  struggle  against  this  phenomenon,  and  reduce  such  obstacles  as  may 
exist  to  increased  cooperation  between  Member  States  in  this  area,  particularly  in  the 
customs, police and judicial fields; 

Whereas  these  objectives  may  be  more  effectively  pursued  at  European  Union  level 
rather than at the level  of the individual  Member  States,  in view of the  synergy  likely  to 
develop as a result of the exchange of specific  experience  available  in the Member  States 
and of the likely economies of scale and cumulative effects  of the intended measures; 

Whereas this joint  action  is without  prejudice  to the  powers  of  the  Community  and  will 
therefore  not  detract  from  the  Community  measures  taken  or  likely  to  be  taken  in  the 
areas covered by the action plan; 

Whereas,  however,  the  enforcement  and judicial  aspects  affecting  these  areas  could  be 
considered  to  be  part  of  this  programme  when  they  complement  Community  measures, 
and  it  is therefore  necessary  for  the  implementation  of  the  action  plan  to  adopt  a broad 

3  OJC  251,  15.8.1997. 

4 

OJ 

approach  to  the  phenomenon  of  organised  crime,  including  economic  crime,  fraud, 
corruption  and  money-laundering; 

Whereas  this  joint  action  must  not  overlap  with  other  Title  VI  programmes,  and  the 
annual  priorities  for  these  programmes  must  be  adjusted  accordingly  to  exclude  in  future 
operations  specifically  relating  to  the  implementation  of  the  action  plan  to  combat 
organised  crime; 

Whereas  this joint  action  does  not  affect  existing  procedural  rules  on  customs,  police  and 
judicial  cooperation; 

Whereas  the  Presidency  has  consulted  the  European  Parliament  in  accordance  with 
Article  K.6  of the Treaty  on  European  Union, 

HAS  ADOPTED  THIS JOINT  ACTION: 

Article  I 

1. 
A  programme  ("Falcone")  to  promote  coordinated  measures  for  those  responsible 
for  the  fight  against  organised  crime,  to  facilitate  the  implementation  and  monitoring  of 
the  action  plan  to  combat  organised  crime,  is  hereby  established  for  the  period  1997  to 
2001. 

2. 
For  the  purposes  of  this  joint  action,  "persons  responsible  for  the  fight  against 
organised  crime"  means  the  following  categories  of  persons  inasmuch  as  they  have 
responsibilities  in  the  area  concerned  under  their  national  legislation: 
judges,  public 
prosecutors,  police  and  customs  departments,  civil  servants,  public  tax  authorities, 
authorities  responsible  for 
the  supervision  of  financial  establishments  and  public 
procurement,  including  the  fight  against  fraud  and  corruption,  and  representatives  of 
professional  circles  who  may  be  involved 
in  the  implementation  of  some  of  the 
recommendations  in the action  plan. 

3. 

The  programme  covers  measures  in the  following  fields: 

training; 

operational  projects  for  cooperation  in the  fight  against  organised  crime; 

programme  of courses, organisation  of meetings  and  seminars; 

research,  specialised  studies 
assessment; 

including  operational 

feasibility 

studies,  and 

dissemination  and  exchange  of  information;  and 

all  other  measures  that  may  promote  the  implementation  of the action  plan  against 
organised  crime. 

-9 

Operations  financed  under  this  programme  shall  preclude  cumulutative  recourse 
to  any  other  Title  VI  programme  under  the  EU  Treaty  and  other  Community 
financing  programmes,  with 
programmes 
specifically  aimed  at  supporting  the  efforts  of  applicant  countries  for  accession  to 
the  European  Union. 

the  exception  of  Community 

Article  2 

Subject  to the  provisions  of  Article  1(4), training  projects  having  the  following  aims  may 
be eligible: 

knowledge  of  specific  aspects  of  regulations,  legislation,  procedures  and  practices 
relating  to  the  various  aspects  of  the  fight  against  organised  crime  referred  to  in 
the action  plan,  as regards prevention,  enforcement  and  prosecution; 

preparation  of  teaching  modules  for  actions  involving  training,  exchanges  and 
training  courses, conferences  or seminars organised  under  this  programme. 

Article  3 

For  the  purposes  of  cooperation  between  the  Member  States,  coordinated  projects, 
including  aspects  relating  to  preparation  and  the  temporary  secondment  of  experts 
organised  by  the  categories  referred  to  in  Article  1(2)  concerning  actions  which  may 
involve the  Europol  Drugs  Unit,  such  as joint  investigation  and  surveillance  operations  to 
combat  various  forms  of organised  crime  may  be  eligible. 

Specific  expert  missions  may  be  eligible  in  the  framework  of  the  implementation  of  the 
mechanism  for  the  mutual  assessment  of  national  provisions  relating  to  the  fight  against 
organised  crime covered  by the action  plan  on  organised  crime. 

Article  4 

For  training  courses,  exchanges  and  the  organisation  of  meetings  and  seminars,  projects 
having the  following  aims may  be  eligible: 

organisation  of visits to  and  limited-duration  courses  in public  bodies  which  have 
been  given  particular  responsibilities  in the  fight  against  organised  crime; 

the organisation  and holding  of seminars  on  specific  aspects of organised  crime. 

Article  5 

For  feasibility  studies and  research,  projects  having  the  following  aims  may  be  eligible: 

definition  of common  standards  and  methodology  to  facilitate  identification  of  the 
phenomenon  and data  collection; 

10-

scientific,  technical  or  comparative  research  on  specific  aspects  of  the  light 
against organised crime or coordination of research on the matter; 

comparison  and assessment  of  instruments  directly  or  indirectly  applicable  to the 
fight  against  organised  crime  (prevention,  enforcement  and  prosecution)  to 
identify  the  possibilities  for  a  definition  of  common  policies  and  measures  for 
convergence or harmonisation which could constitute a long-term objective  of the 
Union; 

comparison  and assessment  of methods  used  in the fight against  organised  crime 
by  operational  departments  (police,  customs, judiciary)  to  identify  the  resources 
to be improved and, where applicable, to coordinate the methods in question. 

Article 6 

For dissemination  and exchange of information,  projects  having the  following  aims may 
be eligible: 

assistance  in setting up networks  of contact  points to  facilitate  the  dissemination 
of  information  and  cooperation  procedures  between  the  departments  concerned 
(data collection  and analysis system, enforcement  and judicial  services, integrated 
multidisciplinary  teams); 

aid  for  the  development  of  databases  or  electronic  data  networks  containing 
legislation  and  case-law  on  the  fight  against  organised  crime  facilitating  the 
action of the responsible persons referred  to in Article  1(2); 

dissemination  of information  on the  operations  referred  to  in  Articles  2, 4 and  5 
and, where appropriate, operations under Article 3. 

Article 7 

1. 

2. 

3. 

Projects receiving Community financing must be of European interest and involve 
more than one Member State. 

Those responsible  for  projects  may  be public  or private organisations,  including, 
in particular, research institutes. 

The projects to be financed shall be subject  to a procedure taking  into  account  in 
particular: 

- 

- 

- 

compatibility  of  topics  covered  with  work  undertaken  or  provided  for  in 
Council multiannual (justice and home affairs)  cooperation programmes; 

input  towards  the  framing  or  implementation  of  instruments  provided  for 
in Title VI of the Treaty; 

mutual complementarity  between various projects; 

-  11 -

- 

- 

- 

- 

number and nature of the services or categories of professions  targeted; 

quality of the institution  responsible; 

degree of preparation of the participants; 

scope  for  drawing  on  results  achieved  in  order  to  reinforce  cooperation 
between  Member States. 

The projects  may  involve  those  responsible  in applicant  countries  with  a  view to 
4. 
familiarising  them  with the  European  Union acquis in this field and  to help them  prepare 
for accession, or in other non-member countries where it serves the aims of the projects. 

Article 8 

Financing  decisions  and  the  contracts  deriving  from  them  shall  provide  in particular  for 
follow-up  and  financial  monitoring  by  the  Commission  and  audit  by  the  Court  of 
Auditors. 

Article 9 

All  types  of  expenditure  directly  attributable  to  implementation  of a  project  and 

1. 
incurred during a contractually  set period shall be eligible. 

The rate of financial support  from  the Community  budget  may not exceed  80% of 

2. 
the cost of the project. 

3. 
Translation  and  interpreting  expenses,  data-processing  costs  and  expenditure  on 
durables  or  consumables  shall  be  taken  into  consideration  only  when  they  constitute  a 
necessary  support  for  carrying  out  the  measure  and  may  be  financed  only  up  to  a 
maximum  of  50% of the  subsidy,  or  80% where  the  very  nature  of the project  makes  it 
indispensable. 

4. 
Expenditure  relating  to  public  premises  and  equipment  and  to  remuneration  of 
officials  of  State  or  public  bodies  may  be  taken  into  consideration  only  in  so  far  as  it 
concerns  uses  and  tasks  not  linked  with  a  national  purpose  or  function  but  specifically 
connected with implementation of the project. 

Article 10 

1. 
The Commission shall be responsible for  implementing the measures provided  for 
in this joint  action  and  shall  adopt  the detailed  procedures  for  applying  it, including  the 
eligibility criteria for costs. 

2. 
It  shall  draw  up  each  year,  with  the  assistance  of  experts  from  the  relevant 
professional  circles, the draft  annual  programme  implementing  this joint  action  in terms 

-  12-

of  the  thematic  priorities  and  the  distribution  of  available  appropriations  between  fields 
of  activity. 

It  shall  undertake  each  year  an  assessment  of  the  measures  implementing  the 

3. 
programme  for  the previous  year. 

Article  II 

The  Commission 

1. 
representative  from  each  Member  State and  chaired  by  the  Commission. 

shall  be  assisted  by  a  Committee  consisting  of  one 

The  Commission  shall  submit  to  the  Committee  the  draft  annual  programme 
2. 
referred  to  in  Article  10(2),  including  proposals  for  implementing  rules  and  for  project 
assessment.  The  opinion  shall  be  delivered  by  the  Committee,  acting  unanimously, 
within  a period  of two  months.  This  period  may  be  reduced  by  the  Chairman  for  reasons 
of urgency.  The Chairman  shall  not  vote. 

If a favourable  opinion  is not delivered  within  the  time  limit, the  Commission  shall  either 
withdraw  its  proposal  or  submit  a  proposal  to  the  Council,  which  shall  take  a  decision 
unanimously  within two  months. 

Article  12 

1. 
Projects  for  which  financing  is  requested  shall  be  submitted  to  the  Commission 
for  scrutiny  within  a  time  limit  to  be  determined  in  the  annual  programme  referred  to 
Article  10(2). 

The  Commission  shall  examine  the  projects  that  are  submitted  to  it  with  the 

2. 
assistance  of the experts referred  to  in Article  10(2). 

3. 
Where  the  financing  requested  is  less  than  ECU  50 000,  the  representative  of  the 
Commission  shall  submit  a  draft  to  the  Committee  referred  to  in  Article  11(1).  The 
the  second  subparagraph  of 
Committee,  acting  by 
Article  K.4(3)  of  the  Treaty,  shall  deliver  its  opinion  on  this  draft  within  a  time  limit 
which  the  Chairman  may  lay  down  according  to  the  urgency  of  the  matter.  The 
Chairman  shall  not  vote. 

the  majority  provided 

for 

in 

The opinion  shall  be  recorded  in the  minutes;  furthermore,  each  Member  State  shall  have 
the right to ask  that  its position  be recorded  in the  minutes. 

The  Commission  shall  take  the  fullest  account  of  the  opinion  delivered  by 
Committee.  It shall  inform  the Committee  of how  it has done  so. 

the 

Where  the  financing  requested  exceeds  ECU  50 000,  the  Commission  shall 
4. 
submit  to  the  Committee  referred  to  in  Article  11(1)  a  list  of  the  projects  submitted  tc  it 
under  the  annual  programme.  The  Commission  shall  indicate  the  projects  it  selects  and 
shall  give  reasons  for  its  selection.  The  Committee,  acting  by  the  majority  provided  for 
in the  second  subparagraph  of Article  K4(3)  of the  Treaty,  shall  deliver  its opinion  on  the 
If  a 
various  projects  within  a  period  of  two  months.  The  Chairman  shall  not  vote. 

-  1 3-

favourable  opinion  is  not  delivered  within  the  time  limit,  the  Commission  shall  either 
withdraw  the  project(s)  concerned  or  submit  it  (them),  with  any  opinion  from  the 
Committee  to  the  Council  which,  acting  by  the  majority  provided  for  in  the  second 
subparagraph of Article K.4(3) of the Treaty, shall take a decision within two months. 

Article 13 

1. 
Measures  incorporated  in  the  programme  and  financed  by  the  general  budget  of 
the European 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.5 

2. 
When  presenting  the  financing  proposals  referred  to  in  Article  12  and  the 
assessment  provided  for  by  Article  10,  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. 

Article 14 

The Commission  is required  to organise  an evaluation  programme  carried  out by 

1. 
neutral experts outside the programme. 

2. 
Each  year  the  Commission  shall  report  on  the  operations  undertaken  and  the 
evaluation.«5"be  sent  to  the  European  Parliament  and  the  Council.  The  report  shall  be 
preserved  at  the  end  of  the  year  in  which  all  the  operations  relating  to  the  first  year  of 
operation are accomplished. 

Article 15 

This joint action shall enter into force on the day of its adoption-

It shall be applicable for a period of £ve years, at the end of which  it may be extended. 

It shall be pi>£>nshed in the Official  Journal. 

Done at Brussels, 

for the Council 

The President 

OJ  L  356,  31.12.1977,  p.I; 
( O J L 2 4 0,  7.10.1995,  p. 12). 

as  last  amended  by  Regulation  (EC,  Euratom,  ECSC)  No  2335/95 

14 

FINANCIAL  STATEMENT 

Item B 5-800  Cooperation in the fields of justice and home  affairs. 

1.  TITLE OF OPERATION 

Joint  action  establishing  a  programme  of  exchanges,  training  and  cooperation  for 
persons responsible for action to combat organised crime (Falcone). 

2.  BUDGET HEADING  INVOLVED 

B5-800  Joint actions in the context  of 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 

In  the  framework  of  cooperation  provided  for  in  Title  VI  of  the  Treaty  on 
European  Union  in  the  fields  of judicial  and  police  cooperation  with  a  view  to 
prevention  and  combating  terrorism,  drug  trafficking  and  other  forms  of  serious 
international  crime,  the  Dublin  European  Council  on  13 and  14  December  1996 
underlined  its determination to fight against organised crime and stressed the need 
for  a coherent  and coordinated  approach  by the  European  Union.  Accordingly  it 
decided  to  set  up  a  High  Level  Group  to  draw  up  a  comprehensive  action  plan 
containing  specific  recommendations,  including  realistic  timetables  for  carrying 
out the work.  The  High  Level  Group  has  met  six times.  Its  findings  have  been 
set  out  in  a  report  which  was  approved  by  the  European  Council  meeting  in 
Amsterdam  on  16  and  17  June  1997.  The  European  Council  in  particular 
requested  the  Council  to  adopt  the  measures  necessaiy  to  implement  the  action 
plan. 

Recommendation  No  11 of  the action  plan  requests the Council  to adopt  "a joint 
action establishing a specific  multi-annual  programme to combat organised  crime, 
including  fraud  affecting  the  financial  interests  of  the  Communities,  permitting 
specific  actions in the fields of training  for  key  players  responsible  for  preventive 

15 

policies,  exchanges  of information,  research,  and other  forms  of improving  skills 
and  operational  methods." 

The  general  objective  of  the  action  plan,  through  multi-annual  programming, 
being to extend  cooperation  between  persons  responsible  for combating  organised 
crime,  is  first  and foremost  to implement  certain  recommendations  in the action 
plan,  to follow-up  these  recommendations,  rationalise  measures  by  coordinating 
them  on  the basis  of  clear  priorities,  and  ensure  lasting  results  by  adopting  a 
long-term  approach. 
In  addition,  with  respect  to  the  applicant  countries  it is 
important  to  enable  their  responsible  bodies  to  benefit  from  the  cooperation 
instruments  which  will  allow  them  to  integrate  the Union  acquis  better  and to 
reach  the  same  standards  in the areas covered  by the  programme. 

4.2  Period  covered 

The programme  will  cover  five  years  starting in 1997. 

5.  CLASSIFICATION  OF EXPENDITURE 

5.1  Non-compulsory  expenditure 

5.2  Differentiated  appropriations 

6.  T Y PE  OF EXPENDITURE 

Subsidy  (up  to a maximum  of 80%)  for joint  financing  with  other  sources  in  the 
public  and/or private  sector. 

7.  FINANCIAL  IMPACT 

NB  In  view  of the nature  of the decision-making  process  (preparation  of an 
annual  programme  by a  special  committee)  the amounts  given,  the  timetable 
and  breakdown  of the  components  of the  plan  arc given  by way  of  information 
only. 

7.1  Method  of calculating  total  cost of operation 

Subsidies  will be granted  in respect of measures  in the  following  fields: 

-  16-

multi-disciplinary  training; 

operational projects for cooperation  in the fight against organised crime; 

programme  of  multi-disciplinary  courses,  organisation  of  multi-disciplinary 
meetings and seminars; 

research, operational  feasibility  studies, and assessment; 

dissemination of  information; 

all other measures that may promote the implementation  of the action plan against 
organised crime. 

It  is  proposed,  subject  to  the  annual  budgetary  procedure,  to  allocate  an 
indicative  amount  of  ECU  10 million  for  the  programme  for  the  period 
1997-2001, in accordance with the schedule in point 7.2 

(million ecus) 

1997 

1998 

1999 

2000 

2001 

TOTAL 

0.8 

3.2 

2 

2 

2 

10 

In  view  of  the  link  between  this  programme  and  the  action  plan  to  combat 
organised  crime,  it  was  considered  necessary  to  place  heavier  emphasis  on 
financing  operations  to  be  carried  out  in  1998,  which  is  the year  in  which  the 
greater part  of  the  recommendations  are  to  be  implemented,  even  if  they  will 
continue beyond the year. 

7.2 

Breakdown by fields 

(million ecus) 
(current prices) 

Breakdown* 

1997 

1998 

1999 

2000 

20C1 

Total 

Training 
Operational  projects 
Courses and seminars 
Research 
Dissemination of  information 
Other operations 

TOTAL 

0.1 
0.1 
0.2 
0.1 
0.2 
0.1 

0.8 

0.5 
0.7 
1.0. 
0.6 
0.3 
0.1 

3.2 

0.3 
0.5 
0.6 
0.3 
0.2 
0.1 

2. 

0.3 
0.5 
0.6 
0.3 
0.2 
0.1 

2 

0.3 
0.5 
0.6 
0.3 
0.2 
0.1. 

2 

1.5 
2.3 
3.0 
1.6 
1.1 
0.5 

10 

This  breakdown  is  indicative  and  does  not  preclude  readjustment  to  cover 
operations other than those provided for in the last indent of point 7.1 above. 

17-

7.3 

Indicative schedule of commitment/payment  appropriations 

(million ecus) 

Year 

1997 

1998 

1999 

2000 

2001 

2002 

Total 

Commitment 
appropriations 
Payment 
appropriations 
1997 

1998 

1999 

2000 

2001 

Total 

0.8 

3.2 

2 

2 

2 

0 

10 

0.4 

0.4 

2.4 

0.8 

1.5 

0.5 

1.5 

0.4 

2.8 

2.3 

2 

0.5 

1.6 

2.1 

0.4 

0.4 

0.8 

3.2 

2 

2 

2 

10 

Indicative amount for the period  1997-2001 :  ECU  10 million 

8.  FRAUD PREVENTION MEASURES; RESULTS OF MEASURES TAKEN 

Commission  departments  check  subsidies  or  the  reception  of  services,  preparatory, 
feasibility  or  assessment  studies  before  payment,  bearing  in  mind  the  contractual 
obligations  and  principles  of  economy  and  sound  financial  management. 
Fraud 
prevention  measures  (inspection,  presentation  of  reports,  etc.)  are  included  in  all  the 
agreements or contracts between the Commission and beneficiaries  of payments. 

9.  ELEMENTS OF COST-EFFECTIVENESS ANALYSIS 

9.1 

Specific  and quantified  objectives; target population 

In the context of the overall  objective  referred  to in point 4.1 the Commission  will  focus 
in particular on the following areas. 

In  general,  assisting  with  the  implementation  of  several  recommendations  in  the  action 
plan  to  combat  organised  crime,  and  also  encouraging  cooperation  between  the  bodies 
responsible  for  the  fight  against  organised  crime,  so  as to  ensure  tangible  follow-up  to 
measures  initiated  under  the  action  plan  but  going  beyond  the  timetable  adopted  in  the 
In  this  context  the  Falcone  programme  must  be 
report  of  the  High  Level  Group. 
multi-disciplinary  and stress prevention and enforcement;  it must provide an impetus  for 
political  guidelines,  the  legislative  process  and  practical  cooperation.  A  multi-
disciplinary  approach  is  especially  important  in  the  case  of  training  activities,  courses, 
meetings  and  seminars  to  enable  the  different  categories  of  professionals  (see  below-
target population) to engage in mutual exchanges of information  and experience. 

-  18 

Two other important aspects of the Falcone programme should be noted: 

besides encouraging  policies  and  legislative  action  in  the  fight  against  organised 
crime,  the  possibility  of  supporting  coordinated  operational  actions  involving 
several Member States and several categories of responsible persons: 

the  possibility  of  carrying  out  specific  studies  intended  to  implement,  directly 
certain  recommendations  in  the  action  plan,  formulate  legislative  proposals,  or 
again to work  out  operational  pilot  projects  coming  under  the  general  objectives 
in point 4.1. 

Target population 

The  persons  responsible  for  the  fight  against  organised  crime  -  judges,  public 
prosecutors,  police  and  customs  departments,  civil  servants  responsible  for  taxation, 
supervision  of  financial  establishments  and  public  procurement  and  for  combating 
organised  crime,  fraud  and  corruption,  and  representatives  of  the  professional  circles 
likely  to  be  involved  in  implementing  certain  recommendations  in  the  action  plan  to 
combat organised crime. 

9.2 

Grounds for the  operation 

Cooperation between the Member States as defined  in Title VI of the Treaty, in which the 
Commission is fully  involved,  covers  the  areas  where  the  Member  States  consider  they 
have  a common  interest,  such  as judicial  and  police  cooperation  for  the  prevention  and 
prosecution  of  forms  of  serious  international  crime.  In  particular,  cooperation  between 
authorities in the Member States supplements the efforts  of these authorities  in their own 
field of competence. 

The speed of information flows and the need to work in real time mean that need to have 
an  ever  deeper  knowledge  of  what  their  colleagues  in  other  Member  States  are  doing. 
The  Falcone  programme  is  drawn  up  in  response  to  this  situation  and  is  totally  in 
conformity  with  the  subsidiarity  principle  as  regards  the  separation  of  tasks  described 
above in the presentation of the specific  objectives  of the programme. 

More  specifically,  the  Falcone  programme  (point  9(1))  is  mainly  intended  to  help 
implement  and  follow-up  the  action  plan  to  combat  organised  crime  adopted  by  the 
Amsterdam European Council. 

The procedures for the selection of projects are based on two principles: 

respect  for the  structure  of the programme  as described  in  Section  II  of the joint 
action,  which  requires  operations  to  be  repeated  regularly  to  ensure  long-term 
effectiveness  and to develop a multiplier effect  in the Member States; 

observance  of the  criteria  set  out  in Article  1(2) of the joint  action  and  the  rules 
ensuring coherence of the programme as set out in Article  10. 

9.3  Monitoring and evaluation of the operation 

- 19 

Special  attention  will  be  given  to  evaluation  of  the  programme;  an  evaluation  plan 
should  be  formulated  before  the  first  operations  take  place.  A  significant  share  of  the 
budget (5%) will be allocated to the evaluation. 

20 

Two types of indicators will be set up to measure progress towards the objectives: 

number of trainee days organised  in the Union, including seminars and 
exchanges; 

number of trainee days organised in the Member States involving 
instructors trained by the Falcone programme and the teaching tools 
prepared under the programme. 

These  quantitative  indicators  will  be  supplemented  by  more  qualitative  indicators 
measuring the impact of training  on staff  (e.g. sampling  (panel) method  with  assessment 
at successive intervals after training). 

Annual  reports  will  be  supplemented  by  a  more  detailed  report  on  educational  aspects 
after the first three years of the programme. 

10.  ADMINISTRATIVE  EXPENDITURE (PART  A  OF SECTION  III OF THE  BUDGET) 

The  necessary  human  resources  will  be  mobilised  in  the  annual  Commission 
decision  on the  allocation  of resources, bearing  in mind  in particular  the  additional 
staff and amounts which will have been approved by the budgetary  authority. 

10.Î  Impact on the number of posts 

Type of post 

Staff to be assigned to 
management of  project 
Permanent 

Temporary 

Officials  or 
temporary  staff 

Other resources 
Total 

A 

B 
C 

2 

1 

1/2 
1/2 

Including 

Duration 

Use of current 
resources of 
departments 
concerned 

Use of 
additional 

resources** 

5 years 
from 
January 
1998 

1 

1/2 
1/2 

2 

6 

Provided they are included in the  1998 budget allocated to the Secretariat-General. 

21 

10.2  Overall financial  implications of additional  human  resources 

Officials 

Temporary  staff 

Total 

(ecus) 

Amounts 

1  030 000 

1  030 000 

Method of calculation 

( 103 000+2) x 5 years 

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

10.3 

Increase in other operational expenditure linked to the measure 

Budget heading and No  Amounts 

Method of calculation 

(ecus) 

A1300 

A2510 

A250 

16 650 

44 700 

156 315 

60 000 

__ 

277 665 

Missions: officials/30  days 
30 x ECU  111x5  years 

Travel:  12 journeys/year x ECU 745 x 5 years 

Committee  provided 
15 persons x ECU 695 x 3 meetings x 5 years 

in  Article  15: 

for 

Experts:  15  experts/days/year  x  ECU 800  x 
5 years 

(organisation  of  3  annual  meetings  with 
5 experts) 

The amounts correspond  to the total  expenditure  for  the action:  the necessary  resources 
will be mobilised through redeployment of existing resources. 

-22 

ISSN 0254-1475 

COM(97) 528 final 

DOCUMENTS 

EN 

05  06  11 

Catalogue  number  :  CB-CO-97-542-EN-C 

ISBN  92-78-25999-3 

Office  for Official  Publications of the European  Communities 

L-2985 Luxembourg 

%?>