Proposal for a Council Regulation amending Regulation (EC) 1030/2002 laying down a uniform format for residence permits for third-country nationals
Date: 2003-09-24
Institutions: European Commission
Subjects: admission of aliens, data protection, foreign national, harmonisation of standards, residence permit, technical specification

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 24.09.2003
COM(2003)558 final

2003/0217 (CNS)
2003/0218 (CNS)

Proposal for a

COUNCIL REGULATION

amending Regulation (EC) 1683/95 laying down a uniform format for visas

Proposal for a

COUNCIL REGULATION

amending Regulation (EC) 1030/2002 laying down a uniform format for residence
permits for third-country nationals

.

(presented by the Commission)

EXPLANATORY MEMORANDUM

1. 

INTRODUCTION

In  the  aftermath  of  the  tragic  events  of  September  11,  2001  the  Commission  was  asked  by
Member  States  to  take  immediate  action  in  order  to  improve  document  security.  Clearly,  it
was important to be able to detect persons who tried to use forged official documents in order
to gain entry  to European  Union  territory. Prevention of  the  use  of bogus or  false  identities
could  best  be  achieved  by  enabling  more  reliable  checking  of  whether  the  person  who
presented a document was identical to the person to whom the document had been issued.

One of the weaknesses of the system then in use was that neither the visa nor the residence
permit,  in  sticker  form,  included  any  sort  of  photograph  or  other  reliable  means  of
identification.  Consequently,  it  was  decided  that  at  the  very  minimum,  it  was  urgent  to
provide  for  the  incorporation  into  both  documents  of  a  photograph,  meeting  high  security
standards.

Proposals  were  submitted  to  the  Council  and  the  European  Parliament  in  September  2001.
Subsequently,  on  18  February  2002,  the  modification  of  the  uniform  format  for  visas  was
adopted  by  Council  Regulation  (EC)  334/20021  (amending  Regulation  (EC)  No  1683/95
laying  down  a  uniform  format  for  visas)  and  on  13  June  2002  Regulation  (EC)  1030/2002
laying  down  a  uniform  format  for  residence  permits  for  third  country  nationals  2.  The
Commission  proceeded  to  adopt  the  additional  technical  specifications  on  3  June  2002  in
relation to the visa and on 14 August 2002 in the case of the residence permit3. Member States
are obliged to implement these new specifications before the final dates of 3 June 2007 and 14
August 2007 respectively.

However, Member States have emphasised that they would like to see further enhancement of
the security standards of the uniform format for visas and travel documents in general. They
have made it clear that they are in favour of including biometric identifiers in the visa and the
residence permit for third country nationals in order to establish a more reliable link between
holder, passport and visa.

At the informal JHA Ministers’ meeting in Veria on 28/29 March 2003, Member States called
again for a Commission proposal to integrate biometric identifiers into the uniform format for
visas and residence permits for third country nationals. Commissioner Vitorino undertook to
present a proposal, at the same time emphasising that a coherent approach should be taken in
respect  of  all  travel  documents,  including  the  passport  of  EU  citizens.  This  was  even  more
necessary  given  the  need  to  take  a  common  approach  towards  new  US  legislation,  which
requires biometric elements in passports of citizens of countries granted a visa waiver as from
26 October 2004.

1

2

3

OJ L 53, 23.2.2002, p. 7.
OJ L 157, 15.6.2002, p. 1.
Commission decisions C(2002) 2002 and C(2002) 3069 unpublished.

2

                                                
The Thessaloniki European Council of 19/20 June 2003 confirmed that “a coherent approach
is  needed  in  the  EU  on  biometric  identifiers  or  biometric  data  which  would  result  in
harmonised  solutions  for  documents  for  third  country  nationals,  EU  citizens’  passports  and
information  systems  (VIS  and  SIS  II)”,  and  invited  the  Commission  “to  prepare  the
appropriate proposals, starting with the visa”.

A close link is thus established between the uniform format for visas, the residence permit for
third country nationals and the Visa Information System.

The  Laeken  and  Seville  European  Councils  and  the  comprehensive  plan  to  combat  illegal
immigration and trafficking of human beings have given high priority to the establishment of
a common Visa Information System (VIS). The Council adopted in June 2002 guidelines for
the introduction of such a system and invited the Commission to carry out a feasibility study
following  the  guidelines  adopted.  The  objectives  of  the  VIS  as  set  out  in  the  Council
guidelines are in particular to facilitate the fight against fraud, to contribute to the prevention
of  "visa  shopping",  to  improve  visa  consultation,  to  facilitate  identifications  for  the
application of the Dublin II regulation and return procedures, to improve the administration of
the common visa policy and to contribute towards internal security and combating terrorism.
The  VIS  should  comprise  a  Central  Visa  Information  System  (C-VIS)  and  a  National  Visa
Information  System  (N-VIS)  in  each  Member  State.  The  feasibility  study  is  now  available,
and provides an analysis of the technical and financial aspects of the VIS. The importance of
biometrics for the overall effectiveness of the system must be underlined, particularly as the
use of biometrics at such an unprecedented scale will bear a significant impact on the system,
in both technical and financial terms.

The present proposals will have a decisive impact on the choice of biometric identifiers to be
used in the VIS,  as they  should be  the same  in order  to  ensure  coherence.  Furthermore,  the
enrolment  of  the  biometric  identifiers  must  be  in  line  with  the  requirements  of  the  VIS  in
order to enable identification (one-to-many searches).

2. 

AIM OF THE PROPOSALS

The Commission is now presenting as a first step these proposals on the modification of the
Regulations  (EC)  1683/95  laying  down  a  uniform  format  for  visas  and  1030/2002  laying
down a uniform format for residence permits of third country nationals.

The second step, in relation to documents of EU citizens, will follow later this year.

The Commission’s intention with these proposals is twofold:

– 

– 

to bring forward the final date for the implementation of the photograph from 2007
to 2005 and at the same time,

require  Member  States  to  integrate  biometric  identifiers  into  the  visa  and  the
residence  permit  for  third  country  nationals  in  a  harmonised  way,  thus  ensuring
interoperability.

3

The  digital  photograph  should  be  not  only  integrated  into  the  visa  but  also  used  for  the
integration of the facial image as the primary interoperable biometric identifier, to be stored
among other information on a storage medium with sufficient capacity. The bringing forward
of  the  final  date  of  implementation  is  a  logical  consequence.  Some  Member  States  have
already anticipated the final date by implementing the Regulations early i.e. before 2007.

3. 

CHOICE OF THE BIOMETRICS

The Commission proposals provide for the mandatory storage of the facial image as a primary
biometric  identifier  in  order  to  ensure  interoperability.  A  secondary  biometric  identifier
should be added, which should be the fingerprint, as it provides the best solution for so-called
“background  checks”,  the  identification  (one-to-many  searches)  in  databases.  The  main
purpose of the chosen identifiers is to achieve a solution, which guarantees a very high level
of security and the best technical results. It is considered that existing security standards are
improved  even  further  by  the  integration  of  two  biometric  identifiers,  introducing  modern
technologies  to  combat  not  only  document  fraud,  but  also  fraudulent  use  by  establishing  a
more reliable link between the holder and the visa and residence permit format.

When  choosing  the  most  appropriate  biometric  identifiers,  the  results  of  the  work  of  the
ICAO  (International  Civil  Aviation  Organisation),  which  has  taken  the  lead  for  the
development of international standards in this respect, and in the feasibility study on the visa
information system (VIS) have been taken into account. It is also important not to lose sight
of the need for a proper balance between the reinforcement of security and due regard for the
individual rights of the persons concerned.

ICAO  has  chosen  the  facial  image  as  the  primary  interoperable  biometric  identifier  and
fingerprint and/or  iris images  as an  optional biometric identifier  for  countries which require
this for database searches.

The approach taken by the VIS feasibility  study  would  take  ten  fingerprints  from  each  visa
applicant (point 3.3.5.1 p. 45) as only they provide a proven, high level of accuracy. It is the
oldest  and  most  mature  identifier  and  already  used  in  all  Member  States  for  national
databases.

The first biometric identifier, the high resolution electronic portrait, is already available as it
should be printed on the visa from 2007 onwards. This is an additional argument in favour of
anticipating the implementation date of the photograph in the visa and residence permit and it
will  improve  the  security  of  the  uniform  format.  At  borders,  the  electronic  record  could  be
used to display the image on the screen as well as the additional visual check, even if facial
recognition technology is not applied. This would constitute a basic application of the digital
photograph. A more advanced application would be the use of facial recognition systems with
the  digital  photograph.  This  would  require  the  availibility  of  the  necessary  technology  and
equipment at  the  border crossing-point.  It leaves the  choice  to  Member  States  whether  they
wish  to  display  only  the  photo  on  the  screen  or  run  a  facial  recognition  programme.  The
quality standards for the digital photograph set out by ICAO should also be respected in order
to ensure interoperability. The Commission would leave the choice of technology to Member
States.

4

The storage of the second biometric identifier should not be left to the discretion of Member
States, as only a minimum of two identifiers can ensure a sufficient level of good  matching
results. In any case, a second biometric identifier would be needed when the enrolment of one
of them is not possible for various reasons. The additional storage of fingerprints will ensure
the highest matching rate and enable searches in databases.

The proposals provide, that the number of fingerprint images stored on the document should
be  limited  to  two.  In  the  initial  stage  they  would  be  used  only  for  verification  purposes
(one-to-one checks) and no searches in the VIS will be performed.  If  experience shows that
the  failure  rate  for  verification  is  too  high,  the  number  of  fingerprints  should  be  reviewed.
Furthermore the storage capacity of a contactless chip is -at least in the beginning- limited to
two fingerprint images.

The  requirements  for  the  quality  of  the  fingerprint  images  should  be  established  by  the
Committee created by Article 6 of Regulation (EC) 1683/95. However, the fingerprint images
shall  be  taken  from  “flat”  fingers  and  not  be  “rolled”.  The  rolled  fingerprint  needs  the
intervention of a second person. In order to avoid physical contact between consular officials
and the visa applicants, “rolled” fingerprints should be excluded.

However,  it  could  be  considered  that  in  their  implementation  Member  States  should  have
more  flexibility.  The  facial  image  should  be  introduced  as  the  first  biometric  identifier  for
reasons  of  interoperability.  The  introduction  of  the  compulsory  fingerprints  need  not
necessarily  happen  at  the  same  time,  as  it  has  not  yet  been  decided  whether  the  VIS  will
include biometric data from its very beginning. The implementation of the fingerprints could
be phased in parallel to the rollout of the Visa Information System, as the infrastructure may
not be available at every consular post at the same time.

Iris recognition has not been chosen as biometric identifier as it is a proprietary technology as
the  patent  on  the  concept  are  held  by  one  single  US  company.  As  a  quite  new  technology
(developed as from 1992) it has not yet been proven mature enough for large scale databases
performance.

4. 

SUPERVISORY AUTHORITIES ON DATA PROTECTION

The  two  Regulations  provide  only  for  the  legal  basis  for  Member  States  to  store  biometric
data on the uniform format for visas and the residence permit for third country nationals. The
implementation of such action is left to the Member States in accordance with the technical
specifications set out by the Committee created by Article 6 of Regulation (EC) 1683/95 on a
uniform format for visas. Member States will carry out the processing of the biometric data.

Directive 95/46/EC on data protection4 applies to the processing of personal data –including
biometric data-by Member States’ authorities within the scope of Community law.

In  accordance  with  Article  28  of  Directive  95/46/EC,  Member  States  have  established
supervisory authorities that are responsible for the monitoring of the application within their
territory  of  the  provisions  adopted  by  the  Member  States  pursuant  to  Directive  95/46/EC.
These authorities must act in complete independence in exercising the functions entrusted to
them.

4

OJ L 281, 23.11.1995, p. 31.

5

                                                
Those authorities are competent to hear claims on data protection lodged by any person or by
an association representing that person.

They are endowed with

(cid:1)  Investigative powers, such as

– 

– 

powers of access to data, forming the subject-matter of processing operations and

powers  to  collect  all  the  information  necessary  for  the  performance  of  their
supervisory duties,

(cid:1)  Effective powers of intervention, such as,

– 

– 

– 

– 

– 

delivering opinions before processing operations are carried out, and

ensuring appropriate publication of such opinions,

ordering the blocking, erasure or destruction of data,

imposing a temporary or definitive ban on processing, of warning or admonishing the
controller,

referring the matter to national parliaments or other political institutions,

(cid:1)  The  power  to  engage  in  legal  proceedings  or  to  bring  violations  to  the  attention  of  the
judicial authorities, where the national provisions adopted pursuant to Directive 95/46/EC
have been violated.

Decisions by the supervisory authority, which give rise to complaints may be appealed against
through the courts.

Furthermore, those supervisory authorities have the obligation to draw up a regular report on
their  activities  and  may  also  be  requested  to  exercise  its  powers  by  an  authority  of  another
Member State.

As  indicated  in  the  first  report  of  the  Commission  on  the  implementation  of  Directive
95/46/EC  5,  those  authorities  are  currently  under-resourced  for  their  wide  range  of  tasks.
Since the supervision of the processing of biometrics will increase their workload, it will be
necessary to provide additional resources for them.

5

COM(2003) 265 final, 15.5.2003.

6

                                                
The report states “that the supervisory authorities themselves in many Member States are also
concerned  about  this,  in  particular  their  lack  of  resources.  Resource  difficulties  may  affect
independence.  Independence  in  the  taking  of  decisions  is  a  sine  qua  non  for  the  correct
functioning  of  the  system.  This  aspect  requires  further  investigation,  but  if  these  tendencies
are  confirmed,  they  are  reasons  for  serious  concern  and  reflections  need  to  be  undertaken
between the Commission and the Member States and the supervisory authorities to determine
their causes and design feasible solutions. The fact that the three aspects are linked means that
addressing one of them successfully can have positive spill-over on the others. More vigorous
and  effective  enforcement  will  improve  compliance  with  the  legislation.  Better  compliance
will result in data controllers providing more and better information to data subjects about the
existence of the processing and their rights under the law, with a beneficial effect on the level
of awareness about data protection among citizens in general.

Technological  products  should  be  in  all  cases  developed  in  compliance  with  the  applicable
data protection rules. But being in compliance is only the first step. The aim should be to have
products that are not only privacy-compliant and privacy-friendly but if possible also privacy-
enhancing.  Privacy-compliant  products  are  products  developed  in  full  compliance  with  the
Directive,  privacy-friendly  products  go  one  step  further  by  introducing  some  elements  that
make  the  privacy  aspects  more  easily-accessible  to  the  users  like  for  instance  by  providing
very user-friendly information to the data subject or very easy ways of exercising their rights.
Privacy-enhancing  products  are  those  that  have  been  designed  in  a  way  that  aims  at
accomplishing the largest possible use of truly anonymous data.”

The Working Party set up by Article 29 of Directive 95/46/EC to advise the Commission on
data  protection  matters  has  adopted  on  1  August  2003  a  working  document  on  biometrics
(Working  Document  on  biometrics  No  WP  80).  It  covers  the  principle  of  purpose  and
proportionality, as well as information of the data subject, notification, security measures and
regimes for sensitive data.

When  Member  States  implement  the  biometric  identifiers  in  accordance  with  the  two
Regulations,  the  above  considerations  must  be  taken  into  account.  Measures  aiming  to
reinforce  public  security  must  respect  the  fundamental  rights  and  freedoms  of  the  persons
concerned.  This  implies  in  this  context  the  increase  of  personnel  in  the  national  data
protection  supervisory  authorities  in  order  to  ensure  effective  supervision  and  the  choice  of
technologies, which comply with the provisions of Directive 95/46/EC.

Therefore the Commission intends also to submit the proposals to the Working Party set up
by Article 29 of Directive 95/46/EC for consultation in accordance with Article 30 of the said
Directive.

However,  in the  future,  a central way  of dealing with  data  protection issues  would be  more
favourable.  If  in  the  framework  of  VIS  and  SIS  a  decision  on  the  creation  of  an  agency  at
Community  level  would  be  taken,  the  independent  supervisory  authority  established  by
Regulation (EC) 45/2001 had to take its responsibilities as regards the data protection issues.

7

5. 

STRUCTURE OF THE PROPOSALS

The present Regulations will amend the two existing Regulations in order to set out the legal
framework to enable Member States to integrate the facial image and the fingerprints on the
uniform format for visas and the residence permit.

The  proposals  provide  only  for  the  determination  of  the  biometric  identifiers.  Technical
details are not gone into.

Implementation powers at the technical level in relation to both proposals should be delegated
to the Commission with the assistance of the  Committee created by  Article 6  of Regulation
1683/95 laying down the uniform format for visas, in line with the procedure set out in Article
5 of Decision  1999/468/EC6 in compliance with Article  7 thereof.  Under  this procedure  the
technical  specifications  to  render  the  documents  compatible  with  the  required  security
standards will be established. It should decide for example on the development of a standard
as  regards  the  choice  of  the  storage  medium,  its  capacity  and  how  to  secure  the  stored
information by using for example an appropriate PKI (Public Key Infrastructure) and digital
signature.  Furthermore  it  should  be  charged  with  establishing  the  requirements  in  order  to
obtain two fingerprints for storage on the formats. This will have the advantage that the needs
can be identified by  the  technical  experts  and be adopted  in a  less time-consuming manner.
The Committee can also take account more quickly of new technical developments.

6. 

LEGAL BASIS

The proposal in relation to the visa is based on Article 62 (2) b) iii) of the EC-Treaty, under
which the Commission may present proposals on a uniform format for visas.

The proposal in relation to the residence permit for third country nationals is based on Article
63 (3) (a) TEC.

The amendments of both proposals should be based on the same provisions.

Regulation  (EC)  1030/2002  laying  down  a  uniform  format  for  residence  permits  for  third
country nationals was considered to be a development of the Schengen acquis. This is also the
case for a Regulation amending it.

7. 

CONSEQUENCES  IN  RELATION  TO  THE  VARIOUS  PROTOCOLS  ANNEXED  TO  THE
TREATY

The  legal  bases  for  the  proposals  concerning  documents  issued  by  Member  States  to  third-
country  nationals,  the  uniform  format  for  visas  and  the  residence  permit  for  third-country
nationals,  fall  within  Title  IV  of  the  Treaty  and  thus  give  rise  to  the  variable  situation  laid
down by the protocols on the position of UK, IRL and DK.

6

OJ L 184, 17.7.1999, p. 23.

8

                                                
7.1

United Kingdom and Ireland

According  to  Article  2  of  the  Protocol  on  the  position  of  the  United  Kingdom  and  Ireland
annexed  to  the  Treaty  "none  of  the  provisions  of  Title  IV  of  the  Treaty  establishing  the
European Community, no measure adopted pursuant to that title,…, shall be binding upon or
applicable in the United Kingdom or Ireland".

However, following Article 3 of the said protocol "the United Kingdom or Ireland may notify
the president of the Council in writing, within three months after a proposal or initiative has
been  presented  to  the  Council  pursuant  to  Title  IV  of  the  Treaty  establishing  the  European
Community, that it wishes to take part in the adoption and application of any such proposed
measure, whereupon that State shall be entitled to do so".

In  accordance  with  Article  3  of  the  Protocol  on  the  position  of  the  United  Kingdom  and
Ireland annexed to the Treaty on European Union and to the Treaty establishing the European
Community, the United Kingdom gave notice, by letter of 3 July 2001, of its wish to take part
in the adoption and application of Regulation (EC) 1030/2002 laying down a uniform format
for residence permits for third country nationals.

7.2

a)

Denmark

Regulation  amending  Regulation  (EC)  1683/95  laying  down  a  uniform  format  for
visa

By the Protocol annexed by the Amsterdam Treaty to the EU and EC Treaty on the position
of Denmark, Denmark does not take part in the adoption by the Council of measures pursuant
to Title IV of the EC Treaty, with the exception of “measures determining the third countries
whose  nationals  must  be  in  possession  of  visas  when  crossing  the  external  borders,  or
measures relating to a uniform format for visas” (former Article 100c).

This  passage  from  the  Protocol  reflects  Denmark’s  concern  to  abide  by  the  Community
commitments it undertook in the Maastricht Treaty (Article 100c ECT and Regulations (EC)
No 1683/95 and 574/99). The Commission, on the basis of its interpretation of Article 100c,
considers that Article 62(2)(b)(iii) of the EC Treaty makes no innovations in respect of Article
100c but merely confirms and clarifies the objective to which it gives form. Denmark should
play a full part in the legislative procedure following the presentation of the proposals for a
Regulation based on Article 62(2)(b)(iii) such as the amendment to Regulation 1683/95.

b)

Regulation amending Regulation (EC) 1030/2002 laying down a uniform format for
residence permits for third country nationals

Where  however,  as  in  this  case,  the  proposals  constitute  a  development  of  the  Schengen
acquis and  following  Article  5  of  the  Protocol,  “Denmark  shall  decide  within  a  period  of  6
months after the Council has decided on a proposal or initiative to build upon the Schengen
acquis under the provisions of Title IV of the Treaty establishing the European Community,
whether it will implement this decision in its national law”.

9

7.3

Norway and Iceland

In  accordance  with  Article  6  first  indent  of  the  Schengen  Protocol,  an  agreement  has  been
signed on 18 May 1999 between the Council, Norway and Iceland in order to associate those
two countries with the implementation, application and development of the Schengen acquis7.

Article  1  of  this  agreement  stipulates  that  Norway  and  Iceland  are  associated  with  the
activities of the EC and the EU in the areas covered by the provisions referred to in Annexes
A (provisions of the Schengen acquis) and B (provisions of acts of the European Community,
which  have  replaced  corresponding  provisions  of,  or  adopted  pursuant  to,  the  Schengen
Convention) of the agreement as well as by those which will follow from them.

According to Article 2 of the agreement, the provisions of all acts or measures taken by the
European  Union  amending  or  building  upon  the  integrated  Schengen  Acquis  (Annex  A,  B)
shall be implemented and applied by Norway and Iceland.

In Annex B is included Council Regulation (EC) 1683/95 of 29 May 1995  laying down  the
uniform format for visas. The Regulation amending Regulation (EC) 1030/2002 laying down
a uniform format for  residence  permits  for  third  country  nationals  build  upon  the  Schengen
acquis as defined in Annex A of the agreement.

As a consequence the matter has to be discussed in the "Mixed Committee" as provided for in
Article  4  of  the  Agreement  to  give  the  possibility  to  Norway  and  Iceland  "to  explain  the
problems  they  encounter  in  respect  of  "  the  measure  and  "to  express  themselves  on  any
questions concerning the development of provisions of concern to them or the implementation
thereof".

8. 

SUBSIDIARITY AND PROPORTIONALITY

Article 5 of the EC Treaty provides that “action by the Community shall not go beyond what
is necessary to achieve the objectives of this Treaty”. The form taken by Community action
must be the simplest form allowing the proposal to attain its objective and to be implemented
as efficiently as possible.

As the proposed initiatives developing the Schengen acquis intend to amend two Regulations,
which  should  assure  a  harmonised  application  in  all  Member  States  applying  the  Schengen
acquis, the form of a regulation has been chosen.

The harmonisation of document formats and of their security features will provide a guarantee
against  counterfeiting.  By  preventing  forgery  and  counterfeiting  of  travel  and  residence
documents the Commission intends to enhance the high level of security, a target set out both
by the Treaty and the European Council of Thessaloniki. This level of harmonisation can only
be  reached  by  Community  action  as  already  demonstrated  by  the  adoption  of  several  other
instruments aiming at making documents more secure.

7

OJ L 176, 10.7.1999, p. 35.

10

                                                
The proposals related to the integration of biometrics into the uniform formats of the visa and
the  residence  permit  are  intended  to  make  them  more  secure,  legally  binding  and  easy
adaptable  to  new  circumstances  given  the  risk  of  counterfeiting  and  forgery  of  the  two
documents,  which  should  meet  special  situations  for  crossing  of  the  external  borders  of  the
European  Union  and  should  therefore  be  the  same  throughout  the  EU.  In  addition  they
provide  for  a  reliable  link  between  the  document  and  its  holder.  The  main  reason  for
preferring regulations to directives is that the proposal provides  for a total  harmonisation of
the  layout  of  such  documents,  and  their  biometric  identifiers,  thus  leaving  no  room  for
discretion to the Member States.

9. 

FINANCIAL IMPACT

It is rather difficult to specify the exact financial impact of these legislative measures, as the
exact  requirements  are  not  yet  known  and  will  be  established  by  the  Committee  created  by
Article 6 of Regulation (EC) 1683/95 laying down a uniform format for visas.

In any event, it should be recalled that the necessary technical equipment has to be installed
for the integration of the photograph according to high security standards into the visa and the
residence permit for third country nationals and for the VIS system. The following technical
requirements seem to be necessary:

– 

Storage medium

For  the  time  being,  the  most  appropriate  storage  medium  is  a  contactless  microchip.  The
microchip is necessary for the storage of the biometric information and the security code (PKI
digital signature). ICAO recommends as a minimum standard a 32 K chip. However, as it is
necessary  to  store  a  facial  image  and  two  fingerprint  images,  a  64  K  chip  would  be  more
appropriate, especially if Member States wish to add some alphanumeric data.

The cost of such microchip is not yet known. The technology is developing rapidly and with
the  demand  of  chips  needed  for  25  Member  States,  the  price  will  drop  significantly.  The
Commission  could  also  make  a  “grouped  order”  after  a  call  for  tender  in  order  to  obtain  a
better price.

– 

Enrolment equipment

Member  States  have  to  install  enrolment  equipment  in  the  place  where  the  data  will  be
produced. Two biometrics (face and fingerprint) would mean either two enrolment systems or
one combined system (e.g. desktop solution with camera and fingerprint capture station.) The
prices of one-fingerprint enrolment device are much lower than equipment with which more
fingers can be enrolled. To make sure that the data can be used for a long period of time (up
to 10 years) the equipment should be of high quality.

– 

Verification systems

Verification systems have to be installed at border posts. They would have to be designed and
built to handle the information "quickly" as Member States would not want people to wait at
the border control for hours. They have to be designed not only for positive scenarios (where
everything works) but alsobe robust enough to cope with difficulties.

11

– 

Data management

Security would be a critical factor for success and acceptance of the system.

10. 

COMMENTS ON THE ARTICLES

9.1

Article 1

The first paragraph adds two points to Article 2 of both Regulations giving the powers to the
Committee  created  by  Article  6  of  Regulation  1683/95  laying  down  a  uniform  format  for
visas to establish additional technical specifications in relation to the integration of biometric
identifiers.

The  second  paragraph  sets  out  a  change  to  Article  4  of  both  Regulations.  It  is  necessary  in
order to allow the integration of biometric elements but limiting the personal data stored on
the visa to those indicated either in the Regulation itself, its Annex or in the relevant passport
of the person. It must be avoided that other information can be stored.

The third paragraph adds Article 4a, which sets out the choice of the biometric identifiers and
allows  the  integration  into  the  two  formats.  It  also  specifies  that  the  biometric  identifier(s)
shall be stored on a storage medium with sufficient capacity. It could be a contactless chip but
also  another  storage  medium  with  the  required  capacity,  to  be  determined  by  the  technical
experts  in  the  responsible  committee.  Furthermore  it  gives  the  power  to  the  Committee  to
determine the technical requirements in order to obtain two fingerprint images.

In  its  fourth  paragraph,  the  text  of  the  existing  Regulations  is  adapted  in  order  to  bring
forward the date for the implementation of the photograph. The Commission decision on the
integration  of  the  photograph  in  relation  to  the  visa  was  taken  on  3  June  2002  and  for
the residence permit on 14 August 2002. The final implementation date will therefore be fixed
for  the  visa  on  3  June  2005  and  for  the  residence  permit  for  third  country  nationals  on
14 August 2005.

As Member States wish to put the measure in place urgently, the implementation of the facial
image shall be fixed two years after the adoption of the respective technical specifications and
for  the  fingerprints  three  years  after  the  adoption  of  the  technical  specifications  in  order  to
give slightly more flexibility.

9.2

Article 2

This is a standard formula for the entry into force.

12

Biometrie

Glossary

(International  Scientific  Vocabulary,  Date:  1831):  the  statistical
analysis of biological observations and phenomena from the Greek
bios (life) and metron (measurement). A biometric is a measurable
physiological or behavioural trait of a living person, especially one
that can be used to identify a person or a claimed identity. Since a
biometric  is  uniquely  bound  to  a  person,  it  provides  the  strongest
single factor for user authentication.

Enrolment of fingerprints

The  process  of  providing  the  fingerprints  as  biometric  data  for
further use in the biometric systems

Facial image

Facial recognition

The  photograph  of  the  face  in  digital  form  –in  contrast  to  the
template

The system locates the human face within an image captured by a
video camera or digital photograph and takes that face and isolates
it from the other objects captured within the image. Software then
analyzes  the  captured  images  for  general  facial  structures  such  as
eyes  and  nose  and  measures  and  determines  the  rest  of  the  face.
Other imaging methods include three-dimensional mapping (using
a laser range scanner, instead of a camera) and thermal imaging of
blood vessels under the skin. This result is compared to the face of
the  person,  where  the  same  image  capturing  procedure  is  used  in
order to verify the claimed identity

High resolution electronic portrait

The digital photograph of a very high quality

Interoperability

The  different  systems  will  be  able  to  work  with  the  same  digital
image (a digital image of a fingerprint enrolled in Germany can be
read  in  France  and  vice  versa)  so  that  it  is  independent  from
equipment vendors.

One-to-many checks

also: Identification: The process of determining a person’s identity
through a database search against multiple templates or images.

One-to-one checks

PKI (Public Key Infrastructure)

Template

Also:  Verification:  A  comparison  of  two  templates  or  images  to
establish the validity of a claimed identity. The process of claiming
an identity and subsequently verifying the claimed identity.

Asymmetric cryptographic systems use two keys in order to secure
information:  a  public  and  a  private  key.  The  mathematical
relationship  between  the  two  keys  is  such  that  knowledge  of  one
key cannot be used to deduce the other. Thus, one key can be made
publicly  available  (public  key)  while  the  other  remains  secret
(private key).

Distinctive  encoded  files  derived  from  the  unique  features  of  a
biometric  sample  or  biometric  data.  (dependent  on  software
systems of vendors)

13

2003/0217 (CNS)

Proposal for a

COUNCIL REGULATION

amending Regulation (EC) 1683/95 laying down a uniform format for visas

THE COUNCIL OF THE EUROPEAN UNION,

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular
Article 62 (2) b) iii) thereof,

Having regard to the proposal from the Commission8,

Having regard to the opinion of the European Parliament9,

Whereas:

(1) 

(2) 

(3) 

(4) 

Council  Regulation  (EC)  No  1683/95  laying  down  a  uniform  format  for  visas10  has
been  amended  by  Regulation  (EC)  334/2002  introducing  the  integration  of  a
photograph according to high security standards.

The  integration  of  biometric  identifiers  is  an  important  step  towards  the  use  of  new
elements, which establish a more reliable link between the holder and the visa format
as an important contribution to ensuring that the uniform format for visas is protected
against fraudulent use. The specifications set out in the ICAO document No 9303 on
machine readable visas should be taken into account.

The specifications for the  enrolment of the biometric identifiers  shall be  in  line with
the requirements for the Visa Information System (VIS)

It is necessary to make provisions for the establishment of common standards relating
to the implementation of the uniform format for visas, in particular common rules on
the  technical  methods  and  standards  to  be  used  for  the  implementation  of  such
biometric identifiers.

(5) 

Regulation (EC) N° 1683/95 should be therefore amended.

(6)  With regard to the personal data to be processed in the context of the uniform format
for  visa,  Directive  95/46/EC  of  the  European  Parliament  and  of  the  Council  of
24.10.1995 on the protection of individuals with regard to the processing of personal
data  and  on  the  free  movement  of  such  data11  applies.  It  must  be  ensured  that  no

8

9

10

11

OJ C , , p. .
OJ C , , p. .
OJ 164, 14.7.1995, p. 1.
OJ L 281, 23.11.1995, p. 31.

14

                                                
(7) 

(8) 

further information shall be stored on the uniform format for visa unless provided for
in the regulation, its annex or unless it is mentioned in the relevant travel document.

In accordance with the principle of proportionality, it is necessary and appropriate for
the  achievement  of  the  basic  objective  of  introducing  interoperable  biometric
identifiers  to  lay  down  rules  for  all  Member  States  implementing  the  Schengen
Convention. This Regulation does not go beyond what is necessary in order to achieve
the  objectives  pursued  in  accordance  with  the  third  paragraph  of  Article  5  of  the
Treaty.

As  regards  Iceland  and  Norway,  this  Regulation  constitutes  a  development  of
provisions of the Schengen acquis within the meaning of the Agreement concluded by
the Council of the European Union and the Republic of  Iceland and the Kingdom of
Norway  concerning  the  association  of  those  two  States  with  the  implementation,
application  and  development  of  the  Schengen  acquis  which  fall  within  the  area
referred to in Article 1, point B of Council Decision 1999/437/EC of 17 May 1999 on
certain arrangements for the application of that Agreement12.

(9) 

This  Regulation  constitutes  an  act  building  on  the  Schengen  acquis  or  otherwise
related to it within the meaning of Article 3(1) of the Act of Accession.

HAS ADOPTED THIS REGULATION:

Article 1

Regulation (EC) No 1683/95 is hereby amended as follows:

(1)

Article 2 (1), the following points c) and d) are added

“c)  technical  specifications  for  the  storage  medium  of  the  biometric  information  and  its
securisation;

d) requirements for the quality of the fingerprint images.”

(2)

Article 4 (2) is replaced by the following :

“No information in machine-readable form shall be included in the uniform format for visa,
unless  provided  for  in  this  Regulation,  its  Annex  or  unless  it  is  mentioned  in  the  relevant
travel document.”

(3)

The following Article 4a is inserted:

“Article 4a

The uniform format for visa shall contain a facial image, which shall function as interoperable
biometric identifier and two fingerprint images of the holder. The fingerprint images shall be
taken from flat fingers.

The biometric information shall be kept on a storage medium which shall be highly secured
and which shall have sufficient capacity.”

12

OJ L 176, 10.7.1999, p. 31.

15

                                                
(4)

The third subparagraph of Article 8 shall be replaced by the following:

“The  integration  of  the  photograph  provided  for  in  point  2a  of  the  Annex  shall  be
implemented  at  the  latest  on  3  June  2005.  The  storage  of  the  facial  image  as  primary
biometric identifier shall be  implemented  at  the  latest  two  years,  and  the  storage of the two
fingerprint  images  at  the  latest  three  years  after  the  adoption  of  the  respective  technical
measures provided in Article 2 (1) c) and d).”

This  Regulation  shall  enter  into  force  on  the  20th  day  following  that  of  its  publication  in
the Official Journal of the European Union.

Article 2

This Regulation shall be binding in its entirety and directly applicable in the Member States in
accordance with the Treaty establishing the European Community.

Done at Brussels,

For the Council
The President

16

2003/0218 (CNS)

Proposal for a

COUNCIL REGULATION

amending Regulation (EC) 1030/2002 laying down a uniform format for residence
permits for third-country nationals

THE COUNCIL OF THE EUROPEAN UNION,

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular
Article 63 (3) a) thereof,

Having regard to the proposal from the Commission13,

Having regard to the opinion of the European Parliament14,

Whereas:

(1)

(2)

(3)

(4)

13

14

15

The  Amsterdam  Treaty  aims  establishing  progressively  an  area  of  freedom,  security
and justice and confers a shared right of initiative to the Commission in order to take
the relevant measures on a harmonised immigration policy.

It  is  essential  that  the  uniform  format  for  residence  permits  should  contain  all  the
necessary information and meet very high technical standards, in particular as regards
safeguards against counterfeiting and falsification; this will contribute to the objective
of  preventing  and  fighting  against  illegal  immigration  and  illegal  residence.  It  must
also be suited to use by all the Member States.

The  integration  of  biometric  identifiers  is  an  important  step  towards  the  use  of  new
elements,  which  establish  a  more  reliable  link  between  the  holder  and  the  residence
permit as an important contribution to ensuring that it is protected against fraudulent
use. The specifications set out in the  ICAO document No 9303 on  machine  readable
visas should be taken into account.

This  Regulation  only  lays  down  such  specifications  as  are  not  secret;  these
specifications need to be supplemented by further specifications which are to remain
secret in order to prevent counterfeiting and falsifications and which may not include
personal  data  or  references  to  such  data.  Powers  to  adopt  such  supplementary
specifications  should  be  conferred  to  the  Commission,  who  shall  be  assisted  by  the
Committee established by Article 6 of Council Regulation(EC) n°1683/95 of 29 May
1995 laying down a uniform format for visas15.

OJ C , , p. .
OJ C , , p. .
OJ L 164, 14.7.1995,p. 1. Regulation as amended by Regulation amending Regulation 1683/95 laying
down a uniform format for visas.

17

                                                
(5) With regard to the personal data to be processed in the context of the uniform format
for  residence  permits,  Directive  95/46/EC  of  the  European  Parliament  and  of  the
Council of 24.10.1995 on the protection of individuals with regard to the processing of
personal data and on the free movement of such data16 applies. It must be ensured that
no  further  information  shall  be  stored  on  the  uniform  format  for  residence  permits
unless provided for in the regulation, its annex or unless it is mentioned in the relevant
travel document.

(6)

(7)

(8)

In accordance with the principle of proportionality, it is necessary and appropriate for
the  achievement  of  the  basic  objective  of  introducing  interoperable  biometric
identifiers  to  lay  down  rules  for  all  Member  States  implementing  the  Schengen
Convention. This Regulation does not go beyond what is necessary in order to achieve
the  objectives  pursued  in  accordance  with  the  third  paragraph  of  Article  5  of  the
Treaty.

In  accordance  with  Articles  1  and  2  of  the  Protocol  on  the  position  of  Denmark
annexed to the Treaty on European Union and to the Treaty establishing the European
Community, Denmark is not taking part in the adoption of this Regulation, and is not
bound  by  it  or  subject  to  its  application.  Given  that  this  Regulation  builds  upon  the
Schengen  acquis  under  the  provisions  of  Title  IV  of  Part  Three  of  the  Treaty
establishing the European Community, Denmark shall, in accordance with Article 5 of
the said Protocol, decide within a period of six months after the Council has adopted
this Regulation, whether it will implement it in its national law.

As  regards  Iceland  and  Norway,  this  Regulation  constitutes  a  development  of
provisions of the Schengen acquis within the meaning of the Agreement concluded by
the Council of the European Union and the Republic of Iceland and the Kingdom of
Norway  concerning  the  association  of  those  two  States  with  the  implementation,
application  and  development  of  the  Schengen  acquis  which  fall  within  the  area
referred to in Article 1, point B of Council Decision 1999/437/EC of 17 May 1999 on
certain arrangements for the application of that Agreement17.²

(9)

This  Regulation  constitutes  an  act  building  on  the  Schengen  acquis  or  otherwise
related to it within the meaning of Article 3(1) of the Act of Accession,

HAS ADOPTED THIS REGULATION:

Article 1

Regulation (EC) No 1030/2002 is hereby amended as follows:

(1)

Article 2 (1), the following points d) and e) are added:

“d)  technical  specifications  for  the  storage  medium  of  the  biometric  information  and  its
securisation;

e) requirements for the quality of the fingerprint images.”

16

17

OJ L 281, 23.11.1995, p. 31.
OJ L 176, 10.7.1999, p. 31.

18

                                                
(2)

Article 4 second subparagraph is replaced by the following:

“No information on machine-readable form shall be included in the residence permit, unless
provided  for  in  this  Regulation,  its  Annex  or  unless  it  is  mentioned  in  the  relevant  travel
document.”

(3)

The following Article 4a is inserted:

“Article 4a

‘The uniform format for residence permits shall contain a facial image, which shall function
as interoparable biometric identifier and two fingerprint images of the holder. The fingerprint
images are taken from flat fingers.

The biometric information shall be kept on a storage medium which shall be highly secured
and which shall have sufficient capacity.”

(4)

The third subparagraph of Article 9 is replaced by the following:

‘The  integration  of  the  photograph  provided  for  in  point  14  of  the  Annex  shall  be
implemented  at  the  latest  on  14  August  2005.  The  storage  of  the  facial  image  as  primary
biometric identifier shall be  implemented  at the  latest  two  years,  and  the  storage of the two
fingerprint  images  at  the  latest  three  years  after  the  adoption  of  the  respective  technical
measures provided for in Article 2 (1) d) and e).’

This  Regulation  shall  enter  into  force  on  the  20th  day  following  that  of  its  publication  in
the Official Journal of the European Union.

Article 2

This Regulation shall be binding in its entirety and directly applicable in the Member States in
accordance with the Treaty establishing the European Community.

Done at Brussels,

For the Council
The President

19