Proposal for a Regulation of the European Parliament and of the Council concerning the Visa Information System (VIS) and the exchange of data between Member States on short stay-visas {SEC(2004) 1628}
Date: 2004-12-28
Institutions: European Commission
Subjects: EU police cooperation, EU visa policy, admission of aliens, disclosure of information, information system

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 28.12.2004 
COM(2004) 835 final 

2004/0287 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

concerning the Visa Information System (VIS) and the exchange of data between 
Member States on short stay-visas  

SEC(2004)1628 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1. 

GENERAL OBJECTIVE 

When  progressively  establishing  an  area  of  freedom,  security  and  justice,  the 
European  Union  shall  ensure  the  free  movement  of  persons  and  a  high  level  of 
security.  In  this  context,  top  priority  has  been  given  to  the  development  and 
establishment of the Visa Information System (VIS) as a system for the exchange of 
visa data between Member States, which represents one of the key initiatives within 
the EU policies aimed at supporting stability and security. 

Building  upon  the  Conclusions  of  the  European  Council  of  Laeken,  Seville  and 
Thessalonica,  the  JHA  Council  adopted  on  19  February  2004  conclusions  on  the 
development of the Visa Information System1. Reaffirmed by the European Council 
of Brussels on 25-56 March 20042, these Council conclusions give orientation for the 
development  of  the  VIS  to  be  taken  “into  account  when  preparing  the  technical 
implementation of the VIS and the proposal for the legal instrument concerning the 
establishment of the VIS, while fully respecting the Communities’ legislation on the 
protection of personal data”3.  

Prior  to  this  proposal,  the  Council  adopted  on  8  June  2004  Council  Decision 
2004/512/EC establishing the Visa Information System (VIS)4, which constitutes the 
required  legal  basis  to  allow  for  the  inclusion  in  the  budget  of  the  European 
Communities  of  the  necessary  appropriations  for  the  development  of  VIS  and  the 
execution of that part of the budget, defines the architecture of the VIS and gives the 
Commission the mandate to develop the VIS at technical level, assisted by the SIS II 
committee5, whereas the national systems shall be adapted and/or developed by the 
Member States. 

The further development and establishment of the VIS requires the elaboration of a 
comprehensive  legal  framework.  The  objective  of  the  present  proposal  for  a 
Regulation of the European Parliament and the Council is to define the purpose, the 
functionalities  and  responsibilities  for  the  VIS,  to  give  to  the  Commission  the 
mandate  to  set  up  and  maintain  the  VIS  and  to  establish  the  procedures  and 
conditions  for  the  exchange  of  data  between  Member  States  on  short-stay  visa 
applications  to  facilitate  the  examination  of  such  applications  and  the  related 
decisions. 

The  VIS  shall  improve  the  administration  of  the  common  visa  policy,  the  consular 
cooperation  and  the  consultation  between  central  consular  authorities  in  order  to 
prevent threats to internal security and ‘visa shopping’, to facilitate the fight against 
fraud  and  checks  at  external  border  checkpoints  and  within  the  territory  of  the 
Member States, to assist in the identification and return of illegal immigrants and to 

1 
2 
3 
4 
5 

Council Document 6535/04 VISA 33 COMIX 111. 
Cf. point 5(c) of the declaration on combating terrorism, Council document 7764/04 JAI 94. 
See point 3 of the Council conclusions. 
OJ L 213 of 15.6.2004, p. 5. 
Set up by Article 5 (1) of Council Regulation (EC) No 2424/2001 (OJ L 328, 13.12.2001, p. 4). 

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facilitate  the  application  of  the  “Dublin  II  Regulation”  (EC)  No  343/20036.  The 
improvement  of  the  assessment  of  visa  applications  including  the  consultation 
between  central  authorities,  and  the  verification  and  identification  of  applicants  at 
consulates  and  at  checkpoints  contributes  to  the  internal  security  of  the  Member 
States  and  towards  combating  terrorism7,  which  constitutes  a  horizontal  objective 
and  basic  criterion  for  the  common  visa  policy,  as  well  as  the  fight  against  illegal 
immigration8. Simultaneously, the VIS will benefit bona fide travellers by improving 
the procedures for issuing visas and for checks. 

The scope of this Regulation is related to the exchange of data on Schengen short- 
stay visas as the primary purpose of the VIS, including the national long-stay visas 
which  are  concurrently  valid  as  short-stay  visas.  The  exchange  of  data  on  other 
national long-stay visa of the Schengen States, which is also included in the Council 
conclusions  of  19  February  20049,  requires  a  separate  legal  instrument:  Other  than 
for the short-term visas there exists no common aquis on procedures on the issue of 
long-term visas by Member States and for the relevant Article 63 point (3)(a) of the 
Treaty,  the  co-decision  procedure  does  not  apply,  as  long  as  there  is  no  decision 
according to Article 67(2) of the Treaty. 

This Regulation shall constitute the core instrument for the legal framework for the 
VIS. However, to complement this legal framework, further legal instruments will be 
needed in particular for: 

a) 

b) 

c) 

amending  the  Common  Consular  Instructions  (CCI)10,  concerning  standards 
and  procedures  for  taking  the  biometric  data,  including  the  obligation  and 
specifying the exceptions to the recording of biometrics; 

the development of a mechanism for the exchange of data with Ireland and the 
United Kingdom for the purposes to facilitate the application of the Dublin II 
Regulation  (EC)  No  343/200311  and  to  assist  in  the  identification  and 
administrative procedures for returning of illegal immigrants, as far as Ireland 
and the UK participate in immigration and return policy;  

the  exchange  of  data  on  long  stay-visas  which  are  not  concurrently  valid  as 
short-stay  visas  by  the  VIS;  this  would  need  further  political  orientation  in 
view of the absence of a common aquis for such visas. 

2. 

IMPACTS OF THE VISA INFORMATION SYSTEM (VIS) 

The Extended Impact Assessment12 annexed to this proposal, highlights the need for 
the  VIS  and  its  impacts  in  comparison  to  other  policy  options,  and  motivates  in 
particular why the storage and use of biometric data in the VIS is essential to achieve 

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12 

OJ L 50 of 25.2.2003, p. 1. 
Cf. Council conclusions of 19.2.2004, point 1(g) of the annex thereto. 
Cf. Articles 5(1)(e) and 15 of the Schengen Convention and CCI, introduction to part V. 
Cf. Council conclusions of 19.2.2004, points 2 and 3(a) of the annex thereto, including also “’national 
visas’ (…) of the Member States which have abolished checks at their internal borders”. 
OJ C 310, 19.12.2003, p. 1. 
OJ L 50, 25.2.2003, p. 1. 
According the Commission’s Work Programme 2004, COM(2003) 645final. 

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the  objectives  of  the  VIS  and  what  should  be  the  appropriate  safeguards  for  data 
protection and data security. In view of the related sensitive issues for the protection 
of  personal  data,  inter  alia  the  consultation  of  the  Article  29  Working  Party13  is 
required. 

3. 

LEGAL BASIS  

This  Regulation  is  founded  on  Article  62  point  (2)(b)(ii)  and  Article  66  of  the  EC 
Treaty. Article 66 provides the appropriate legal basis for setting-up and maintaining 
the  VIS  and  for  procedures  for  the  exchange  of  visa  data  between  Member  States, 
ensuring cooperation between the relevant authorities of the Member States’ as well 
as between those authorities and the Commission in the areas covered by Title IV of 
the Treaty. These areas include the implementation of the common visa policy, but 
also checks on external borders and measures on asylum and illegal immigration. 

However,  quite  apart  from  the  mechanisms  and  procedures  for  the  introduction, 
exchange and consultation of visa data in the VIS, the Regulation implies procedures 
which are necessary conditions for the examination and issuance of short-stay visas 
by  the  Member  States  on  the  basis  of  the  Schengen  acquis  for  the  common  visa 
policy. The introduction of information into the VIS, at the moment of the receipt of 
visa  application  and  the  checking  of  the  VIS  for  previous  applications,  being 
obligatory steps in the examination of such an application, are themselves procedures 
and conditions for the issuing of visas within the meaning of Article 62(2)(b)(ii).  

According  to  Article  67(4)  TEC,  measures  referred  to  in  Article  62  (2)(b)(ii)  TEC 
shall be adopted in accordance with the co-decision procedure referred to in Article 
251.  Since  Article  66  is  now  subject  to  qualified  majority  and  not  unanimity  as 
formerly14, the two legal bases are compatible and can be combined. Therefore the 
co-decision  procedure  applies  for  the  adoption  of  the  Regulation  as  an  integral 
whole. 

4. 

PARTICIPATION IN THE VIS  

Since  the  Regulation  covers  the  exchange  of  data  on  short  stay  visas  between 
Member  States  "which  have  abolished  checks  at  their  internal  borders"15,  it 
constitutes a development of the Schengen acquis on the common visa policy. The 
consequences for the participation in the VIS are as follows: 

Iceland and Norway:  

The procedures laid down in the Association Agreement16 concluded by the Council 
and  the  Republic  of  Iceland  and  the  Kingdom  of  Norway  concerning  the  latters' 
association  with  the  implementation,  application  and  development  of  the  Schengen 

13 

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15 
16 

The Working Party on the Protection of Individuals with Regard to the Processing of Personal Data, set 
up by Article 29 of Directive 95/46/EC of 24.10.1995, OJ L 281 of 23.11.1995, p. 31. 
Protocol on Article 67 annexed to the Nice Treaty. 
Council conclusions of 19.2.2004, point 2 of the Annex thereto. 
OJ L 176, 10.7.1999, p. 36. 

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acquis  are  applicable,  since  the  present  proposal  builds  on  the  Schengen  acquis  as 
defined in Annex A of this Agreement. 

Denmark:  

Pursuant  to  the  Protocol  on  the  position  of  Denmark  annexed  to  the  TEU  and  the 
TEC, Denmark will not participate in the adoption of the Regulation and is therefore 
not bound by it or subject to its application. Given the fact that the Regulation is an 
act which aims to build upon the Schengen acquis in accordance with the provisions 
of Title IV of the TEC, Article 5 of the above-mentioned Protocol applies. 

United Kingdom and Ireland:  

According  to  Articles  4  and  5  of  the  Protocol  integrating  the  Schengen  acquis into 
the framework of the European Union and Council Decision 2000/365/EC of 29 May 
2000  concerning  the  request  of  the  United  Kingdom  of  Great  Britain  and  Northern 
Ireland17,  and  Council  Decision  2002/192/EC  of  28  February  2002  concerning 
Ireland's request to take part in some of the provisions of the Schengen acquis18, the 
United Kingdom and Ireland are not taking part in the adoption of the Regulation and 
are not bound by it or subject to its application. 

New Member States:  

Since the initiative constitutes an act building upon the Schengen acquis or otherwise 
related  to  it  within  the  meaning  of  Article  3(2)  of  the  Act  of  Accession,  the 
Regulation shall only apply in a new Member State pursuant to a Council decision in 
conformity with this provision. 

Switzerland: 

This  Regulation  constitutes  a  development  of  the  provisions  of  the  Schengen  aquis 
within the meaning of the Agreement signed by the European Union, the European 
Community  and  the  Swiss  Confederation  on  the  latter’s  association  with  the 
implementation,  application  and  development  of  the  Schengen  acquis19  which  fall 
within the area referred to in Article 4(1) of the Council decision on the signing, on 
behalf  of  the  European  Community,  and  on  the  provisional  application  of  certain 
provisions of this Agreement20.  

5. 

SUBSIDIARITY AND PROPORTIONALITY 

Article  62  (2)(b)(ii)  creates  a  Community  responsibility  for  the  procedures  and 
conditions  for  issuing  short  stay  visas  by  Member  States.  Article  66  creates  a 
Community  responsibility  for  measures  to  ensure  cooperation  between  Member 
States’  authorities  as  well  as  between 
the  Commission.  These 
responsibilities  must,  however,  be  exercised  in  accordance  with  Article  5  of  the 

them  and 

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20 

OJ L 131, 1.6.2000, p. 43. 
OJ L 64, 7.3.2002, p. 20. 
Council document 13054/04. 
Council document 13466/04. 

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Treaty  establishing  the  European  Community.  The  proposal  satisfies  the  criteria  of 
this provision: 

The  objectives  of  the  Regulation,  to  set  up  a  common  system  and  common 
procedures  for  the  exchange  of  visa  data  between  Member  States  cannot  be 
sufficiently achieved by the Member States and can therefore, by reason of the scale 
and impact of the action, be better achieved at Community level.  

The activities of the Commission are limited to the setting-up and maintenance of the 
Central  Visa  Information  System,  the  National  Interfaces  and  the  communication 
infrastructure  between  the  Central  VIS  and  the  National  Interfaces,  whereas  the 
competence for its  National  System remains by  each  Member  State.  The  form  of  a 
regulation  has  been  chosen  because  it  is  necessary  to  adopt  an  act  of  general 
application  which  is  binding  in  its  entirety  and  directly  applicable  in  the  Member 
States. 

The present initiative does not go beyond what is necessary to achieve its objective: 
The data to be entered into the VIS are the data required to examine visa applications 
and on the decisions taken thereto. The alphanumeric data on the applicant are to be 
taken  from  the  current  application  form.  To  ensure  exact  verification  and 
identification of visa applicants, it is necessary to process biometric data in the VIS. 
This  allows  the  verification  and  identification  independent  from  the  existence, 
presentation  and  malfunctioning  of  other  storage  media  like  microchips.  However, 
this  proposal  does  not  include  the  storage  of  scanned  documents,  although  this  is 
foreseen by the Council conclusions21, since this is not considered to be proportional 
in view of the need for such further documents only in specific cases; in such cases 
the copies of documents can be transmitted on request by the Member State that has 
issued the visa22. 

The  consultation  of  the  data  is  exclusively  reserved  to  duly  authorised  staff  of  the 
competent  authorities  of  each  Member  State,  specified  for  each  of  the  purposes  as 
defined  in  this  Regulation  and  limited  to  the  extent  the  data  are  required  for  the 
performance of the tasks in accordance with these purposes.  

6. 

STRUCTURE AND CONTENT OF THE PROPOSAL  

This  proposal  for  the  second  legal  instrument  for  the  legal  framework  for  the  VIS 
comprises  seven  chapters:  The  first  chapter  provides  the  subject  matter  of  the 
Regulation and the purpose of the VIS, definitions, the categories of data and general 
rules on the access to the VIS.  

The second chapter details the obligations and procedures for entering and the use of 
data  by  the  visa  authorities.  It  specifies  the  data,  which  shall  be  entered  upon 
registration  of  the  application  and  those  added  when  a  decision  has  been  taken  to 
issue, to refuse, to annul, revoke or extend a visa or to refuse the examination of the 
application. Furthermore, this chapter provides the obligations for the visa authorities 

21 

22 

Cf. Council conclusions of 19.2.2004, points 2 and 4 of the annex thereto, stating that “in a further step 
supporting documents could be scanned and processed”. 
Cf. the Extended Impact Assessment, point 6.2. 

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to use the VIS for examining visa applications and procedures for the use of the VIS 
for  consultation  between  central  authorities  and  the  request  for  documents,  thus 
integrating the technical functionalities of the current VISION network into the VIS. 
Provision  is  also  made  to  the  use  of  data  by  the  visa  authorities  for  reporting  and 
statistics. 

The third chapter details the conditions and procedures for the use of data by other 
authorities for the specific purposes of the VIS: for checks on visas, for identification 
and  return  of  illegal  immigrants,  for  determining  the  responsibility  for  asylum 
applications  and  for  examining  asylum  applications.  The  authorities  which  should 
have access to consult the VIS are defined by these specific purposes.  

The  fourth  chapter  lays  down  rules  for  the  retention  and  amendment  of  the  data 
recorded  in  the  VIS.  The  fifth  chapter  provides  the  responsibilities  for  the  VIS, 
including  for  the  operational  management  of  the  VIS,  for  the  use  of  data  and  data 
security, and rules on liability, records and penalties.  

The  sixth  chapter  concerns  rights  and  supervision  on  data  protection.  Whereas 
Directive  95/46/EC  and  Regulation  (EC)  No  45/2001  fully  apply  for  this 
Regulation23,  the  provisions  of  this  chapter  clarify  certain  points  in  respect  of 
safeguarding the rights of the data subject and of the roles of the national supervisory 
authorities and the Independent Supervisory Authority.  

The final chapter covers the implementation, the start of transmission and operation, 
comitology, monitoring and evaluation, the entry into force and the applicability of 
this Regulation. 

A commentary on the individual articles is annexed to this proposal. 

23 

Cf. recitals 14 and 15 of this proposal. 

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2004/0287 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

concerning the Visa Information System (VIS) and the exchange of data between 
Member States on short stay-visas  

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
62 (2)(b)(ii) and Article 66 thereof, 

Having regard to the proposal from the Commission24, 

Acting in accordance with the procedure laid down in Article 251 of the Treaty25, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

Building  upon  the  conclusions  of  the  Council  of  20  September  2001,  and  the 
conclusions  of  the  European  Council  in  Laeken  on  14  and  15  December  2001,  in 
Seville  on  21  and  22  June  2002,  in  Thessaloniki  on  19  and  20  June  2003  and  in 
Brussels on 25 and 26 March 2004, the establishment of the Visa Information System 
(VIS) represents one of the key initiatives within  the  politics of the European Union 
aimed at supporting stability and security.  

Council  Decision  2004/512/EC  of  8  June  2004  establishing  the  Visa  Information 
System (VIS)26 established the VIS as a system for the exchange of visa data between 
Member States. 

It  is  now  necessary  to  give  the  Commission  the  mandate  to  set  up  and  maintain  the 
VIS and to define the purpose, the functionalities and responsibilities for the VIS, and 
to  establish  the  conditions  and  procedures  for  the  exchange  of  visa  data  between 
Member  States  to  facilitate  the  examination  of  visa  applications  and  the  related 
decisions, taking into account the orientations for the development of the VIS adopted 
by the Council on 19 February 2004. 

The Visa Information System should improve the administration of the common visa 
policy, consular cooperation and consultation between central consular authorities by 
facilitating  the  exchange  of  data  between  Member  States  on  applications  and  on  the 
decisions relating thereto, in order to prevent threats to internal security of any of the 
Member States and ‘visa shopping’ and to facilitate the fight against fraud and checks 

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25 
26 

OJ C , , p. . 
OJ C , , p. . 
OJ L 213, 15.6.2004, p. 5. 

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at external border checkpoints and within the territory of the Member States. The VIS 
should  also  facilitate  the  identification  and  return  of  illegal  immigrants  and  the 
application of Council Regulation (EC) No 343/2003 of 18 February 2003 establishing 
the  criteria  and  mechanism  for  determining  the  Member  State  responsible  for 
examining  an  asylum  application  lodged  in  one  of  the  Member  States  by  a  third 
country national27. 

The  Visa  Information  System  should  be  connected  to  the  national  systems  of  the 
Member States to enable competent Member States’ authorities to process data on visa 
applications and on visas issued, annulled, revoked or extended. 

The  conditions  and  procedures  for  entering,  amending,  deleting  and  consulting  the 
data  in  the  VIS  should  take  into  account  the  procedures  laid  down  in  the  Common 
Consular  Instructions  on  visas  for  the  diplomatic  missions  and  consular  posts 
(hereinafter referred to as ‘the Common Consular Instructions’)28. 

The  technical  functionalities  of  the  network  for  consulting  the  central  national 
authorities  as  laid  down  in  Article  17(2)  of  the  Convention  implementing  the 
Agreement of 14 June 1985 on the gradual abolition of checks at common  borders29 
should be integrated into the VIS. 

The data to be processed by the VIS should be determined in view of the data provided 
by  the  common  form  for  visa  applications  as  introduced  by  Council  Decision 
2002/354/EC of 25 April 2002 on the adaptation of Part III of, and the creation of an 
Annex  16  to,  the  Common  Consular  Instructions30,  and  the  information  on  the  visa 
sticker provided for in Council Regulation (EC) No 1683/95 of 29 May 1995 laying 
down a uniform format for visas31.  

To  ensure  exact  verification  and  identification  of  visa  applicants,  it  is  necessary  to 
process biometric data in the VIS. 

It  is  necessary  to  define  the  competent  Member  States’  authorities,  duly  authorised 
staff of which are to have access to enter, amend, delete or consult data for the specific 
purposes of the VIS, to the extent necessary for the performance of their tasks. 

(5) 

(6) 

(7) 

(8) 

(9) 

(10) 

(11)  The personal data stored in the VIS should be kept for no longer than is necessary for 
the purposes of the VIS. It is appropriate to keep the data for a period of five years, in 
order  to  enable  data  on  previous  applications  to  be  taken  into  account  for  the 
assessment  of  visa  applications,  including  the  applicants’  good  faith  and  for  the 
documentation of illegal immigrants who may, at some stage, have applied for a visa. 
A  shorter  period  would  not  be  sufficient  for  those  purposes.  The  data  should  be 
deleted after the period of five years, unless there are grounds to delete it earlier. 

27 
28 
29 
30 
31 

OJ L 50, 25.2.2003, p. 1. 
OJ C 310, 19.12.2003, p. 1. 
OJ L 239, 22.9.2000, p. 19. 
OJ L 123, 9.5.2002, p. 50. 
OJ  L  164,  14.7.1995,  p.  1,  amended  by  Council  Regulation 
OJ L 53, 23.2.2002, p. 7. 

(EC)  No  334/2002, 

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(12)  Precise rules should be laid down as regards the responsibilities of the Commission for 
the establishment and operation of the VIS, on the one hand, and of the Member States 
for  the  national  systems  and  the  use  of  data  by  the  national  authorities,  on  the  other 
hand. 

(13)  Rules  on  the  liability  of  the  Member  States  in  respect  of  damage  arising  from  any 
breach  of  this  Regulation  should  be  laid  down.  The  liability  of  the  Commission  in 
respect  of  such  damage  is  governed  by  the  second  paragraph  of  Article  288  of  the 
Treaty. 

(14)  Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 
on the protection of individuals with regard to the processing of personal data and on 
the  free  movement  of  such  data32  applies  to  the  processing  of  personal  data  by  the 
Member  States  in  application  of  this  Regulation.  However,  certain  points  should  be 
clarified in respect of the responsibility for the use of data, of safeguarding the rights 
of the data subjects and of the supervision on data protection. 

(15)  Regulation  (EC)  No  45/2001  of  18  December  2000  of  the  European  Parliament  and 
the Council on the protection of individuals with regard to the processing of personal 
data  by  the  Community  institutions  and  bodies  and  on  the  free  movement  of  such 
data33  applies  to  the  activities  of  the  Commission  in  relation  to  the  protection  of 
personal  data.  However,  certain  points  should  be  clarified  in  respect  of  the 
responsibility for the use of data and of the supervision on data protection. 

(16)  The  national  supervisory  authorities  established  in  accordance  with  Article  28  of 
Directive 95/46/EC should monitor the lawfulness of the processing of personal data 
by the Member States, whilst the European Data Protection Supervisor as established 
by  Regulation  (EC)  No  45/2001  should  monitor  the  activities  of  the  Commission  in 
relation to the protection of such data.  

(17)  The  effective  monitoring  of  the  application  of  this  Regulation  requires  evaluation  at 

regular intervals. 

(18)  The Member States should lay down rules on penalties applicable to infringements of 

the provisions of this Regulation and ensure that they are implemented. 

(19)  The measures necessary for the implementation of this Regulation should be adopted 
in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the 
procedures for the exercise of implementing powers conferred on the Commission34. 

(20)  This Regulation respects the fundamental rights and observes the principles recognised 

in particular by the Charter of Fundamental Rights of the European Union. 

(21)  The establishment of a common Visa Information System and the creation of common 
obligations, conditions and procedures for the exchange of visa data between Member 
States  cannot  be  sufficiently  achieved  by  the  Member  States  and  can  therefore,  by 
reason of the scale and impact of the action, be better achieved at Community level, 

32 
33 
34 

OJ L 281, 23.11.1995, p. 31. 
OJ L 8, 12.1.2001, p. 1. 
OJ L 184, 17.7.1999, p. 23. 

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the Community may adopt measures, in accordance with the principle of subsidiarity 
as  set  out  in  Article  5  of  the  Treaty.  In  accordance  with  the  principle  of 
proportionality, as set out in that Article, the Regulation does not go beyond what is 
necessary in order to achieve this objective.  

(22) 

In  accordance  with  Articles  1  and  2  of  the  Protocol  on  the  position  of  Denmark, 
annexed  to  the  Treaty  on  European  Union  and  the  Treaty  establishing  the  European 
Community,  Denmark  is  not  taking  part  in  the  adoption  of  this  Regulation  and  is 
therefore 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  adoption  of  this 
instrument whether it will implement it in its national law. 

(23)  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  acquis35,  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 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 acquis36. 

(24)  An arrangement has to be made to allow representatives of Iceland and Norway to be 
associated with the work of committees assisting the Commission in the exercise of its 
implementing powers. Such an arrangement has been contemplated in the Exchange of 
Letters  between  the  Community  and  Iceland  and  Norway,  annexed  to  the  above 
mentioned Association Agreement37. 

(25)  This  Regulation  constitutes  a  development  of  provisions  of  the  Schengen  acquis  in 
which  the  United  Kingdom  does  not  take  part,  in  accordance  with  Council  Decision 
2000/365/EC of 29 May 2000 concerning the request of the United Kingdom of Great 
Britain  and  Northern  Ireland  to  take  part  in  some  of  the  provisions  of  the  Schengen 
acquis38;  the  United  Kingdom  is  therefore  not  taking  part  in  its  adoption  and  is  not 
bound by it or subject to its application. 

(26)  This  Regulation  constitutes  a  development  of  provisions  of  the  Schengen  acquis  in 
which Ireland does not take part, in accordance with Council Decision 2002/192/EC of 
28 February 2002 concerning Ireland's request to take part in some of the provisions of 
the  Schengen  acquis39;  Ireland  is  therefore  not  taking  part  in  its  adoption  and  is  not 
bound by it or subject to its application. 

35 
36 
37 
38 
39 

OJ L 176, 10.7.1999, p. 36. 
OJ L 176, 10.7.1999, p. 31. 
OJ L 176, 10.7.1999, p. 53. 
OJ L 131, 1.6.2000, p. 43 
OJ L 64, 7.3.2002, p. 20. 

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(27)  This  Regulation  constitutes  an  act  building  on  the  Schengen  acquis  or  otherwise 

related to it within the meaning of Article 3(2) of the Act of Accession. 

(28)  As regards Switzerland, this Regulation constitutes a development of the provisions of 
the  Schengen  aquis  within  the  meaning  of  the  Agreement  signed  by  the  European 
Union,  the  European  Community  and  the  Swiss  Confederation  on  the  latter’s 
association  with  the  implementation,  application  and  development  of  the  Schengen 
acquis which fall within the area referred to in Article 4(1) of the Council decision on 
the signing, on behalf of the European Community, and on the provisional application 
of certain provisions of this Agreement, 

HAVE ADOPTED THIS REGULATION: 

CHAPTER I 

General Provisions 

Article 1  
Subject matter and scope 

1. 

2. 

This Regulation defines the purpose, the functionalities of and responsibilities for the 
Visa  Information  System  (VIS),  as  established  by  Article  1  of  Decision 
2004/512/EC.  It  sets  up  the  conditions  and  procedures  for  the  exchange  of  data 
between  Member  States  on  applications  for  short  stay  visas  and  on  the  decisions 
taken thereto, including the decision whether to annul, revoke or extend the visa, to 
facilitate the examination of such applications and the related decisions.  

The  VIS  shall  improve  the  administration  of  the  common  visa  policy,  consular 
cooperation and consultation between central consular authorities by facilitating the 
exchange  of  data  between  Member  States  on  applications  and  on  the  decisions 
thereto, in order: 

(a) 

to prevent threats to internal security of any of the Member States; 

(b) 

to  prevent  the  bypassing  of  the  criteria  for  the  determination  of  the  Member 
State responsible for examining the application; 

(c) 

to facilitate the fight against fraud; 

(d) 

to facilitate checks at external border checkpoints and within the territory of the 
Member States;  

(e) 

to assist in the identification and return of illegal immigrants;  

(f) 

to facilitate the application of Regulation (EC) No 343/2003.  

For the purposes of this Regulation, the following definitions shall apply: 

Article 2 
Definitions 

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(1) 

‘visa’ means: 

(a) 

‘short stay visa’ as defined in Article 11(1)(a) of the Convention implementing 
the Agreement of 14 June 1985 on the gradual abolition of checks at common 
borders40 (hereinafter referred to as “the Schengen Convention”); 

(b) 

‘transit visa’ as defined in Article 11(1)(b) of the Schengen Convention; 

(c) 

(d) 

(e) 

‘airport transit visa’ as defined in part I, point 2.1.1, of the Common Consular 
Instructions  on  visas  for  the  diplomatic  missions  and  consular  posts 
(hereinafter referred to as “the Common Consular Instructions”); 

‘visa  with  limited  territorial  validity’  as  defined  in  Article  11(2)  of  the 
Schengen Convention; 

‘national  long-stay  visa  valid  concurrently  as  a  short-stay  visa’  as  defined  in 
Article 18 of the Schengen Convention; 

‘visa sticker’ means the uniform format for visas as defined by Regulation (EC) No 
1683/95; 

‘visa authorities’ means the authorities of each Member State which are responsible 
for examining applications and for decisions taken thereto or for decisions whether to 
annul, revoke or extend visas; 

‘application form’ means the uniform application form for visas in Annex 16 to the 
Common Consular Instructions; 

‘applicant’ means a third country national who has lodged an application for a visa; 

‘third country national’ means any person who is not a citizen of the European Union 
within the meaning of Article 17(1) of the EC Treaty; 

‘group  members’  means  other  applicants  with  whom  the  applicant  is  travelling 
together, including the spouse and the children accompanying the applicant; 

‘travel  document’  means  a  passport  or  other  equivalent  document,  entitling  the 
holder to cross the external borders and to which a visa may be affixed; 

‘Member State responsible’ means the Member State which has entered the data in 
the VIS; 

‘verification’ means the process of comparison of sets of data to establish the validity 
of a claimed identity (one-to-one check); 

‘identification’ means the process of determining a person’s identity through a data 
base search against multiple sets of data (one-to-many check). 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

(10) 

(11) 

40 

OJ L 239, 22.9.2000, p. 19. 

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Article 3 
Categories of data 

1. 

Only the following categories of data shall be recorded in the VIS:  

(a) 

alphanumeric  data  on  the  applicant  and  on  visas  requested,  issued,  refused, 
annulled, revoked or extended; 

(b)  photographs; 

(c) 

fingerprint data; 

(d) 

links to other applications. 

2. 

1. 

2. 

3. 

1. 

2. 

The messages transmitted by the infrastructure of the VIS, referred to in Article 14, 
Article 21(2) and Article 22(2), shall not be recorded in the VIS, without prejudice to 
the recording of the data processing operations pursuant to Article 28.  

Article 4 
Access for entering, amending, deleting and consulting data 

Access to the VIS for entering, amending or deleting the data referred to in Article 
3(1)  in  accordance  with  this  Regulation  shall  be  reserved  exclusively  to  duly 
authorised staff of the visa authorities.  

Access  to  the  VIS  for  consulting  the  data  shall  be  reserved  exclusively  to  duly 
authorised staff of the authorities of each Member State which are competent for the 
purposes laid down in Articles 13 to 19, limited to the extent the data is required for 
the performance of the tasks in accordance with these purposes. 

Each Member State shall designate the competent authorities, the staff of which shall 
have access to enter, amend, delete or consult data in the VIS. Each Member State 
shall communicate to the Commission a list of these authorities.  

The  Commission  shall  publish  these  lists  in  the  Official  Journal  of  the  European 
Union. 

CHAPTER II 

Entry and use of data by visa authorities 

Article 5 
Procedures for entering data upon the application 

On  receipt  of  an  application,  the  visa  authority  shall  create  without  delay  the 
application file, by entering the data referred to in Articles 6 and 7 in the VIS. 

When creating the application file, the visa authority shall check in the VIS whether 
a previous application of the individual applicant has been registered in the VIS by 
any of the Member States. 

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14 

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3. 

4. 

If a previous application has been registered, the visa authority shall link each new 
application file to the previous application file on that applicant. 

If the applicant is travelling in a group with other applicants, the visa authority shall 
create an application file for each applicant and link the application files of the group 
members.  

Article 6 
Data upon lodging the application 

The visa authority shall enter the following data in the application file: 

(1) 

(2) 

(3) 

the application number; 

status information, indicating that a visa has been requested; 

the authority to which the application has been lodged, and whether the application 
has been lodged to that authority on behalf of another Member State; 

(4) 

the following data to be taken from the application form: 

(a) 

surname, surname at birth (earlier surname(s)); first names; sex; date, place and 
country of birth; 

(b) 

current nationality and nationality at birth; 

(c) 

type and number of the travel document, the authority which issued it and the 
date of issue and of expiry; 

(d)  place and date of the application; 

(e) 

type of visa requested; 

(f) 

details  of  the  person  issuing  an  invitation  or  liable  to  pay  the  costs  of  living 
during the stay, being, 

(i) 

in  the  case  of  a  natural  person,  surname,  first  name  and  address  of  the 
person; 

(ii) 

in the case of a company, the name of the company and surname and first 
name of the contact person in that company; 

(5) 

(6) 

the photograph of the applicant, in accordance with Regulation (EC) No 1683/95; 

fingerprints  of  the  applicant,  in  accordance  with  the  relevant  provisions  of  the 
Common Consular Instructions. 

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Article 7 
Additional data in case of a consultation between central authorities 

If consultation between central authorities is required by any of the Member States according 
to  Article  17(2)  of  the  Schengen  Convention,  the  visa  authority  shall  enter  the  following 
additional data to be taken from the application form: 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

main destination and duration of the intended stay; 

purpose of travel; 

date of arrival and departure; 

border of first entry or transit route; 

residence;  

current occupation and the employer; for students: name of school; 

surname and first name(s) of the applicants father and mother. 

Article 8 
Data to be added for a visa issued 

1. 

Where a decision has been taken to issue a visa, the competent visa authority shall 
add the following data to the application file: 

(a) 

(b) 

status information indicating that the visa has been issued, replacing the status 
information that the visa has been requested; 

the authority that issued the visa, and whether that authority issued it on behalf 
of another Member State; 

(c) 

date and place where the visa was issued; 

(d) 

the type of visa;  

(e) 

the number of the visa sticker; 

(f) 

the territory in which the holder of the visa is entitled to travel, in accordance 
with the relevant provisions of the Common Consular Instructions; 

(g) 

the period of validity of the visa; 

(h) 

the number of entries authorised by the visa in the territory for which the visa 
is valid; 

(i) 

the duration of the stay as authorised by the visa. 

2. 

If  an  application  is  withdrawn  before  a  decision  has  been  taken  whether  to  issue  a 
visa, the visa authority to which the application was lodged shall replace the status 

EN 

16 

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information  that  the  visa  has  been  requested  by  the  status  information  that  the 
application has been withdrawn, indicating the date of the withdrawal.  

Article 9 
Data to be added in case of a refusal to examine the application 

In case of a refusal to examine the application, the visa authority to which the application was 
lodged shall add the following data to the application file:  

(1) 

(2) 

(3) 

(4) 

status  information  indicating  that  the  examination  of  the  application  has  been 
refused, replacing the status information that the visa has been requested; 

the  authority  that  refused  the  examination  of  the  application  and  whether  this 
decision was taken on behalf of another Member State; 

place and date of the decision; 

the Member State competent to examine the application. 

Article 10 
Data to be added for a visa refused  

1. 

Where a decision has been taken to refuse a visa, the competent visa authority shall 
add the following data to the application file: 

(a) 

(b) 

status information indicating that the visa has been refused, replacing the status 
information that the visa has been requested; 

the  authority  that  refused  the  visa  and  whether  this  decision  was  taken  on 
behalf of another Member State; 

(c) 

place and date of the decision. 

2. 

The  application  file  shall  also  indicate  the  ground(s)  for  refusal  of  the  visa,  which 
shall be one or more of the following:  

(a) 

failure to submit a valid travel document; 

(b) 

failure to submit documents proving the purpose and conditions of the intended 
stay, failure to prove the possession of sufficient means for subsistence during 
the  stay  or  failure  to  prove  that  the  applicant  is  in  a  position  to  acquire  such 
means lawfully; 

(c) 

an alert on the applicant for the purposes to refuse entry; 

(d) 

the  applicant  constitutes  a  threat  to  public  policy,  internal  security,  public 
health or the international relations of any of the Member States. 

EN 

17 

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Article 11 
Data to be added for a visa annulled or revoked 

1. 

Where  a  decision  has  been  taken  to  annul  or  to  revoke  a  visa,  the  competent  visa 
authority shall add the following data to the application file: 

(a) 

(b) 

status  information  indicating  that  the  visa  has  been  annulled  or  revoked, 
replacing the status information that the visa has been issued; 

authority that annulled or revoked the visa and whether this decision was taken 
on behalf of another Member State; 

(c) 

place and date of the decision; 

(d) 

the reduced period of validity of the visa, if appropriate. 

2. 

The application file shall also indicate the ground(s) for annulment or revocation of 
the visa, which shall be: 

(a) 

(b) 

in  the  case  of  annulment  or  revocation,  one  or  more  of  the  grounds  listed  in 
Article 10(2);  

in the case of a decision to shorten the length of the period of validity of  the 
visa, one or more of the following: 

(i) 

for the purposes of the expulsion of the applicant; 

(ii) 

absence  of  adequate  means  of  subsistence  for  the  initially  intended 
duration of the stay. 

Article 12 
Data to be added for a visa extended 

1. 

Where a decision has been taken to extend a visa, the competent visa authority shall 
add the following data to the application file: 

(a) 

(b) 

status  information  indicating  that  the  visa  has  been  extended,  replacing  the 
status information that the visa has been issued; 

the  authority  that  extended  the  visa  and  whether  this  decision  was  taken  on 
behalf of another Member State; 

(c) 

place and date of the decision; 

(d) 

the number of the visa sticker, if the extension of the visa shall take the form of 
a new visa sticker; 

(e) 

period of the extension of the validity; 

(f) 

period of the extension of the authorised duration of the stay. 

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18 

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2. 

The  application  file  shall  also  indicate  the  ground(s)  for  extending  the  visa,  which 
shall be one or more of the following: 

(a) 

force majeure; 

(b)  humanitarian reasons; 

(c) 

serious occupational reasons; 

(d) 

serious personal reasons. 

1. 

2. 

3. 

1. 

2. 

Article 13 
Use of the VIS for examining applications 

The  competent  visa  authority  shall  consult  the  VIS  for  the  purposes  of  the 
examination  of  applications  and  the  decisions  relating  to  those  applications  in 
accordance with the relevant provisions of the Common Consular Instructions.  

For  the  purposes  referred  to  in  paragraph  1,  the  competent  visa  authority  shall  be 
given access to search with one or several of the following data:  

(a) 

the application number; 

(b) 

the data referred to in Article 6(4)(a); 

(c) 

the data on the travel document, referred to in Article 6(4)(c); 

(d) 

the name of the person or company referred to in Article 6(4)(f); 

(e) 

photographs; 

(f) 

fingerprints; 

(g) 

the number of the visa sticker of any previous visa issued. 

If the search with one or several of the data listed in paragraph 2 indicates that data 
on the applicant is recorded in the VIS, the visa authority shall be given access to the 
application file and the linked application file(s), solely for the purposes referred to 
in paragraph 1. 

Article 14 
Use of the VIS for consultation and requests for documents  

For the purposes of consultation between central national authorities on applications 
according to Article 17(2) of the Schengen Convention, the consultation request and 
the responses thereto shall be transmitted in accordance with paragraph 2. 

The Member State which is responsible for examining the application shall transmit 
the  consultation  request  with  the  application  number  to  the  VIS,  indicating  the 
Member State or the Member States to be consulted.  

EN 

19 

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The  VIS  shall  transmit  the  request  to  the  Member  State  or  the  Member  States 
indicated.  

The Member State or the Member States consulted shall transmit the response to the 
VIS,  which  shall  transmit  that  response  to  the  Member  State  which  launched  the 
request.  

The  procedure  set  out  in  paragraph  2  may  also  apply  for  the  transmission  of 
information  on  the  issuance  of  visas  with  limited  territorial  validity  and  other 
messages  related  to  the  consular  cooperation  as  well  as  for  the  transmission  of 
requests  to  the  competent  visa authority to forward copies of  travel documents  and 
other documents supporting the application. 

The  personal  data  transmitted  pursuant  to  this  article  shall  be  solely  used  for  the 
consultation of central national authorities and consular cooperation. 

3. 

4. 

Article 15 
Use of data for reporting and statistics 

The competent visa authorities shall have access to consult the following data, solely for the 
purposes of reporting and statistics: 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

status information; 

the competent authorities; 

current nationality of the applicant; 

border of first entry; 

date and place of the application or the decision concerning the visa; 

the type of visa requested or issued; 

the type of the travel document; 

the grounds indicated for any decision concerning the visa or visa application; 

the  competent  authority  and  the  date  of  the  decision  refusing  any  previous  visa 
application. 

CHAPTER III 

Use of data by other authorities 

Article 16 
Use of data for checks on visas 

1. 

The competent authorities for carrying out checks at external borders and within the 
territory of the Member State, shall have access to search with the following data, for 

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the sole purpose of verifying the identity of the person and/or the authenticity of the 
visa: 

(a) 

the data referred to in Article 6(4)(a); 

(b)  data on the travel document, referred to in Article 6(4)(c); 

(c) 

photographs,; 

(d) 

fingerprints; 

(e) 

the number of the visa sticker. 

2. 

If the search with one or several of the data the listed in paragraph 1 indicates that 
data on the applicant is recorded in the VIS, the competent authority shall be given 
access  to  consult  the  following  data  of  the  application  file  as  well  as  of  linked 
application file(s) of group members, for the sole purpose referred to in paragraph 1: 

(a) 

the status information and the data taken from the application form, referred to 
in Article 6(2), (4) and Article 7; 

(b)  photographs,  

(c) 

fingerprints; 

(d) 

the data entered in respect of any visa previously issued, annulled, revoked or 
extended. 

Article 17 
Use of data for identification and return of illegal immigrants 

1. 

The competent immigration authorities shall have access to search with the following 
data, solely for the purposes of identification and return of illegal immigrants: 

(a) 

the data referred to in Article 6(4)(a); 

(b)  photographs; 

(c) 

fingerprints. 

2. 

If the search with one or several of the data listed in paragraph 1 indicates that data 
on the applicant is recorded in the VIS, the competent authority shall be given access 
to consult the following data of the application file and the linked application file(s), 
solely for the purposes referred to in paragraph 1: 

(a) 

the status information and the authority to which the application was lodged; 

(b) 

the data taken from the application form, referred to in Article 6(4) and Article 
7; 

(c) 

photographs; 

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21 

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(d) 

the  data  entered  in  respect  of  any  visa  previously  issued,  refused,  annulled, 
revoked or extended. 

Article 18 
Use of data for determining the responsibility for asylum applications 

The competent asylum authorities shall have access to search with the following data 
for the sole purpose of determining the Member State responsible for examining an 
asylum application according to Article 9 of Regulation (EC) No 343/2003: 

(a) 

the data referred to in Article 6(4)(a); 

(b)  photographs; 

(c) 

fingerprints. 

If the search with one or several of the data listed in paragraph 1 indicates that a visa 
issued with an expiry date of no more than six months before the date of the asylum 
application,  and/or  a  visa  extended  to  an  expiry  date  of  no  more  than  six  months 
before  the  date  of  the  asylum  application,  is  recorded  in  the  VIS,  the  competent 
authority shall be given access to consult the following data on such visa, for the sole 
purpose referred to in paragraph 1: 

(a) 

the authority that issued or extended the visa; 

(b) 

the type of visa; 

(c) 

the period of validity of the visa; 

(d) 

the duration of the stay 

(e) 

photographs. 

Article 19 
Use of data for examining the application for asylum 

The  competent  asylum  authorities  shall  have  access  in  accordance  with  Regulation 
(EC)  No  343/2003  to  search  with  the  following  data,  for  the  sole  purpose  of 
examining an application for asylum:  

(a) 

the data referred to in Article 6(4)(a); 

(b)  photographs;  

(c) 

fingerprints. 

If the search with one or several of the data listed in paragraph 1 indicates that data 
on the applicant is recorded in the VIS, the competent authority shall have access to 
consult the following data of the application file and the linked application file(s), for 
the sole purpose referred to in paragraph 1: 

1. 

2. 

1. 

2. 

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22 

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(a) 

(b) 

the  status  information  and  the  authority  to  which  the  application  has  been 
lodged; 

the data taken from the application form, referred to in Article 6(4) and Article 
7; 

(c) 

photographs; 

(d) 

the  data  entered  in  respect  of  any  visa  previously  issued,  refused,  annulled, 
revoked or extended, or in respect of the refusal to examine the application. 

CHAPTER IV 

Retention and amendment of the data 

Article 20 
Retention period for data storage 

1. 

Each  application  file  shall be  stored  in  the  VIS  for  five  years,  without  prejudice  to 
the  deletion  referred  to  in  Article  21  and  Article  22  and  to  the  keeping  of  records 
referred to in Article 28.  

That period shall start: 

(a)  with the expiry date of the visa, if a visa has been issued; 

(b)  with  the  new  expiry  date  of  the  visa,  if  a  visa  has  been  annulled,  revoked  or 

extended; 

(c) 

on  the  date  of  the  creation  of  the  application  file  in  the  VIS,  if  a  visa  or  the 
examination  of  the  application  has  been  refused,  or  the  application  has  been 
withdrawn. 

Upon  expiry  of  the  period  referred  to  in  paragraph  1,  the  VIS  shall  automatically 
delete the application file and the link(s) to this file. 

Article 21 
Amendment of data 

Only the Member State responsible shall have the right to amend data which it has 
transmitted  to  the  VIS,  by  up-dating,  supplementing  or  correcting  such  data,  or  to 
delete it pursuant to paragraph 3 of this Article or to Article 22.  

If  a  Member  State  has  evidence  to  suggest  that  data  processed  in  the  VIS  is 
inaccurate or that data was processed in the VIS contrary to this Regulation, it shall 
advise the Member State responsible immediately. Such message may be transmitted 
by the infrastructure of the VIS. 

The  Member  State  responsible  shall  check  the  data  concerned  and,  if  necessary, 
amend or delete it immediately. 

2. 

1. 

2. 

3. 

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1. 

2. 

1. 

2. 

3. 

1. 

2. 

3. 

4. 

Article 22 
Advance data deletion 

Application  files  and  the  links  relating  to  an  applicant  who  has  acquired  the 
nationality  of  any  Member  State  before  expiry  of  the  period  referred  to  in  Article 
20(1)  shall  be  deleted  from  the  VIS  immediately  as  the  Member  State  responsible 
becomes aware that the applicant has acquired such nationality. 

Each  Member  State  shall  advise  the  Member  State  responsible  immediately,  if  an 
applicant  has  acquired  its  nationality.  Such  message  may  be  transmitted  by  the 
infrastructure of the VIS. 

CHAPTER V 

Operation and Responsibilities 

Article 23 
 Operational management 

The Commission shall be responsible for establishing and operating the Central Visa 
Information System and the communication infrastructure between the Central Visa 
Information System and the National Interfaces.  

The data shall be processed by the VIS on behalf of the Member States.  

In  relation  to  the  processing  of  personal  data  in  the  VIS,  each  Member  State  shall 
designate  the  authority  which  is  to  be  considered  as  controller  in  accordance  with 
Article  2(d)  of  Directive  95/46/EC.  Each  Member  State  shall  communicate  this 
authority to the Commission. 

Article 24 
Relation to the National Systems 

The  VIS  shall  be  connected  to  the  National  System  of  each  Member  State  via  the 
National Interface in the Member State concerned. 

Each  Member  State  shall  designate  a  national  authority,  which  shall  provide  the 
access of the competent authorities referred to in Article 4(1) and (2) to the VIS, and 
connect that national authority to the National Interface. 

Each Member State shall observe automated procedures for processing the data.  

Each Member State shall be responsible for:  

(a) 

(b) 

the  development  of  the  National  System  and/or  its  adaptation  to  the  VIS 
according to Article 2(2) of Decision 2004/512/EC; 

the  organisation,  management,  operation  and  maintenance  of  its  National 
System; 

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24 

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(c) 

the  management  and  arrangements  for  access  of  duly  authorised  staff  of  the 
competent national authorities to the VIS in accordance with this Regulation. 

(d)  bearing  the  costs  incurred  by  the  National  Systems  and  the  costs  for  their 
connection to the National Interface, including the investment and operational 
costs for the communication infrastructure between the National Interface and 
the National System. 

Article 25 
Responsibility for the use of data 

1. 

Each  Member  State  shall  ensure  that  the  data  is  processed  lawfully.  The  Member 
State responsible shall ensure in particular that: 

(a) 

the data is collected lawfully; 

(b) 

the data is transmitted lawfully to the VIS; 

(c) 

the data is accurate and up-to-date when it is transmitted to the VIS.  

2. 

The  Commission  shall  ensure  that  the  VIS  is  operated  in  accordance  with  this 
Regulation and its implementing rules. In particular, the Commission shall: 

(a) 

take  the  necessary  measures  to  ensure  the  security  of  the  Central  Visa 
Information System and the communication infrastructure between the Central 
Visa Information System and the National Interfaces, without prejudice to the 
responsibilities of each Member State; 

(b) 

ensure that only duly authorised staff has access to data processed in the VIS 
for  the  performance  of  the  tasks  of  the  Commission  in  accordance  with  this 
Regulation. 

The  Commission  shall  inform  the  European  Parliament  and  the  Council  of  the 
measures it takes pursuant to paragraph 2.  

Article 26 
Data security 

The Member State responsible shall ensure the security of the data before and during 
the  transmission  to  the  National  Interface.  Each  Member  State  shall  ensure  the 
security of the data it receives from the VIS.  

3. 

1. 

2. 

Each Member State shall take the necessary measures to: 

(a) 

prevent any unauthorised person from having access to national installations in 
which the Member State carries out operations in accordance with the purposes 
of the VIS (checks at entrance to the installation); 

(b)  prevent  data  and  data  media  from  being  read,  copied,  modified  or  deleted  by 

unauthorised persons (control of data media); 

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(c) 

ensure that it is possible to check and establish what data has been processed in 
the VIS, when and by whom (control of data recording); 

(d)  prevent  the  unauthorised  processing  of  data  in  the  VIS  and  any  unauthorised 

modification or deletion of data processed in the VIS (control of data entry); 

(e) 

(f) 

ensure  that,  in  using  the  VIS,  authorised  persons  have  access  only  to  data 
which is within their competence (control of access); 

ensure  that  it  is  possible  to  check  and  establish  the  authorities  to  which  data 
recorded  in  the  VIS  may  be  transmitted  by  data  transmission  equipment 
(control of transmission); 

(g)  prevent  the  unauthorised  reading,  copying,  modification  or  deletion  of  data 
during the transmission of data to or from the VIS (control of transport). 

The Commission  shall  take  measures  equivalent to those mentioned in paragraph 2 
as regards the operation of the VIS. 

Article 27 
Liability 

Any  person  who,  or  Member  State  which,  has  suffered  damage  as  a  result  of  an 
unlawful processing operation or any act incompatible with this Regulation shall be 
entitled to receive compensation from the Member State which is responsible for the 
damage suffered. That State shall be exempted from its liability, in whole or in part, 
if it proves that it is not responsible for the event giving rise to the damage. 

If  failure  of  a  Member  State  to  comply  with  its  obligations  under  this  Regulation 
causes damage to the VIS, that Member State shall be held liable for such damage, 
unless and insofar as the Commission failed to take reasonable measures to prevent 
the damage from occurring or to minimise its impact. 

Claims  for  compensation  against  a  Member  State  for  the  damage  referred  to  in 
paragraphs  1  and  2  shall  be  governed  by  the  provisions  of  national  law  of  the 
defendant Member State. 

Article 28 
Keeping of records  

Each  Member  State  and  the  Commission  shall  keep  records  of  all  data  processing 
operations within the VIS. These records shall show the purpose of access referred to 
in Article 4(1) and in Articles 13 to 19, the date and time, the data transmitted, the 
data  used  for  interrogation  and  the  name  of  the  authority  entering  or  retrieving  the 
data.  In  addition,  each  Member  State  shall  keep  records  of  the  persons  responsible 
for putting in or retrieving the data. 

Such  records  may  be  used  only  for  the  data-protection  monitoring  of  the 
admissibility of data processing as well as to ensure data security. The records shall 
be protected by appropriate measures against unauthorised access and deleted after a 

3. 

1. 

2. 

3. 

1. 

2. 

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period  of  one  year  after  the  retention  period  referred  to  in  Article  20(1)  has  been 
expired,  if  they  are  not  required  for  monitoring  procedures  which  have  already 
begun. 

Article 29 
Penalties 

The Member States shall  lay  down  the rules on penalties applicable  to infringements of  the 
provisions of this Regulation relating to data protection and shall take all measures necessary 
to  ensure  that  they  are  implemented.  The  penalties  provided  for  must  be  effective, 
proportionate  and  dissuasive.  The  Member  States  shall  notify  those  provisions  to  the 
Commission by the date of the notification referred to in Article 37(1) at the latest and shall 
notify it without delay of any subsequent amendment affecting them. 

CHAPTER VI 

Rights and supervision on data protection 

Article 30 
Right of information 

1. 

Applicants  and  the  persons  referred  to  in  Article  6(4)(f)  shall  be  informed  of  the 
following by the Member State responsible: 

(a) 

the  identity  of  the  controller  referred  to  in  Article  23(3)  and  of  his 
representative, if any; 

(b) 

the purposes for which the data will be processed within the VIS; 

(c) 

the recipients of the data; 

(d) 

that the taking of the data is mandatory for the examination of the application; 

2. 

3. 

(e) 

the  existence  of  the  right  of  access  to,  and  the  right  to  rectify,  the  data 
concerning that person. 

The information referred to in  paragraph 1  shall  be  provided to the  applicant when 
the  data  from  the  application  form,  the  photograph  and  the  fingerprint  data  as 
referred to in Article 6(4), (5), (6) and Article 7 are taken. 

The information referred to in paragraph 1 shall be provided to the persons referred 
to  in  Article  6(4)(f)  in  the  forms  to  be  signed  by  those  persons  providing  proof  of 
invitation, sponsorship and accommodation. 

Article 31 
Right of access, correction and deletion 

1. 

Without prejudice to the obligation to provide other information in accordance with 
Article  12(a)  of  Directive  95/46/EC,  any  person  shall  have  the  right  to  obtain 

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2. 

3. 

4. 

5. 

6. 

1. 

2. 

3. 

communication  of  the  data  relating  to  him  recorded  in  the  VIS  and  of  the  Member 
State which transmitted it to the VIS. Such access to data may be granted only by a 
Member State. 

Any person may request that data relating to him which is inaccurate be corrected or 
that  data  recorded  unlawfully  may  be  deleted.  The  correction  and  deletion  shall  be 
carried  out  without  delay  by  the  Member  State  responsible,  in  accordance  with  its 
laws, regulations and procedures. 

If the request is made to a Member State, other than the Member State responsible, 
the  authorities  of  the  Member  State  to  which  the  request  has  been  lodged  shall 
contact  the  authorities  of  the  Member  State  responsible.  The  Member  State 
responsible shall check the accuracy of the data and the lawfulness of its processing 
in the VIS.  

If  it  emerges  that  data  recorded  in  the  VIS  are  inaccurate  or  have  been  recorded 
unlawfully,  the  Member  State  responsible  shall  correct  or  delete  the  data  in 
accordance  with  Article  21(3).  The  Member  State  responsible  shall  confirm  in 
writing  to  the  person  concerned  without  delay that  it  has  taken  action  to  correct  or 
delete data relating to him. 

If  the  Member  State  responsible  does  not  agree  that  data  recorded  in  the  VIS  is 
inaccurate or has been recorded unlawfully, it shall explain in writing to the person 
concerned  without  delay  why  it  is  not  prepared  to  correct  or  delete  data  relating  to 
him. 

The  Member  State  responsible  shall  also  provide  the  person  concerned  with 
information  explaining  the  steps  which  he  can  take  if  he  does  not  accept  the 
explanation provided. This shall include information on how to bring an action or a 
complaint before the  competent authorities or courts of that Member  State and any 
financial or other assistance that is available in accordance with the laws, regulations 
and procedures of that Member State. 

Article 32 
Cooperation to ensure the rights on data protection 

The competent authorities of the Member States shall cooperate actively to enforce 
the rights laid down in Article 31(2), (3) and (4). 

In  each  Member  State,  the  national  supervisory  authority  shall  assist  and,  where 
requested,  advise  the  person  concerned  in  exercising  his  right  to  correct  or  delete 
data relating to him in accordance with Article 28(4) of Directive 95/46/EC. 

The  national  supervisory  authority  of  the  Member  State  responsible  which 
transmitted the data shall assist and, where requested, advise the person concerned in 
exercising  her  right  to  correct  or  erase  the  data  relating  to  him.  Both  national 
supervisory  authorities  shall  cooperate  to  this  end.  The  person  concerned  may  also 
apply for assistance and advice to the independent supervisory authority referred to 
in Article 35. 

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28 

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Article 33 
Remedies 

1. 

2. 

In  each  Member  State  any  person  shall  have  the  right  to  bring  an  action  or  a 
complaint before the competent courts of that Member State if he is refused the right 
of access to or the right of correction or deletion of data relating to him, provided for 
in Article 31(1) and (2). 

The obligations of the national supervisory authorities to assist and, where requested, 
advise  the  person  concerned,  in  accordance  with  Article  32(3),  shall  subsist 
throughout the proceedings. 

Article 34 
National supervisory authority 

Each Member State shall require the national supervisory authority or authorities established 
in  accordance  with  Article  28(1)  of  Directive  95/46/EC  to  monitor  independently,  in 
accordance  with  its  national  law,  the  lawfulness  of  the  processing,  in  accordance  with  this 
Regulation, of personal data by the Member State in question, including their transmission to 
and from the VIS. 

Article 35 
Independent Supervisory Authority 

1. 

2. 

3. 

The  European  Data  Protection  Supervisor  as  established  by  Article  41(1)  of 
Regulation (EC) No 45/2001 shall monitor the activities of the Commission to ensure 
that  the  rights  of  persons  covered  by  this  Regulation  are  not  violated  by  the 
processing of data in the VIS, including that the personal data is transmitted lawfully 
between the National Interfaces and the Central Visa Information System. 

In  the  performance  of  its  tasks,  the  European  Data  Protection  Supervisor  shall,  if 
necessary, be actively supported by the national supervisory authorities. 

The  Commission  shall  supply  information  requested  by  the  European  Data 
Protection Supervisor, give him access to all documents and to its records referred to 
in Article 28(1) and allow him access to all its premises, at all times. 

CHAPTER VII 

Final Provisions 

Article 36 
Implementation 

1. 

The Central Visa Information System, the National Interface in each Member State 
and the communication infrastructure between the Central Visa Information System 
and the National Interfaces shall be implemented in two phases. 

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29 

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In  the  first  phase,  the  functionalities  for  processing  alphanumeric  data  and  the 
photographs,  as  referred  to  in  Article  3(1)(a)  and  (b),  shall  be  implemented  by  31 
December 2006 at the latest. 

In the second phase, the functionalities for processing the biometric data referred to 
in Article 3(1)(c) shall be implemented by 31 December 2007 at the latest. 

The  measures  necessary  for  the  technical  implementation  of  the  functionalities 
referred to in paragraph 1 shall be adopted in accordance with the procedure referred 
to in Article 39(2).  

Article 37 
Start of transmission 

Each  Member  State  shall  notify  the  Commission  that  it  has  made  the  necessary 
technical  and  legal  arrangements  to  transmit  data  to  the  Central  Visa  Information 
System via the National Interface in accordance with Article 36. 

The Member States referred to in Article 38 shall start to collect and enter the data by 
the date referred to in that article.  

A Member State which notifies that it has made the necessary arrangements after the 
date  referred  to  in  Article  38,  shall  start  to  collect  and  enter  the  data  by  the  date 
specified in the notification to the Commission. 

No  Member  State  shall  consult  the  data  transmitted  by  other  Member  States  to  the 
VIS before it starts entering data in accordance with paragraphs 2 and 3. 

2. 

1. 

2. 

3. 

4. 

Article 38 
Start of operations 

When the measures referred to in Article 36(2) have been adopted in respect of the first phase 
of  implementation  and  at  least  five  Member  States  have  notified  the  Commission  that  they 
have  made  the  necessary  technical  and  legal  arrangements  to  transmit  data  to  the  VIS  in 
accordance with Article 37(1) the Commission shall determine the date from which the VIS is 
to start operations. 

It shall publish that date in the Official Journal of the European Union. 

Article 39 
Committee 

1. 

2. 

The  Commission  shall  be  assisted  by  the  committee  set  up  by  Article  5(1)  of 
Regulation (EC) No 2424/2001. 

Where  reference  is  made  to  this  paragraph,  Articles  4  and  7  of  Decision 
1999/468/EC shall apply. 

The period laid down in Article 4(3) of Decision 1999/468/EC shall be two months. 

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30 

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3. 

The committee shall adopt its Rules of Procedure. 

Article 40 
Monitoring and evaluation 

1. 

2. 

3. 

1. 

2. 

The Commission shall ensure that systems are in place to monitor the functioning of 
the  VIS  against  objectives,  in  terms  of  outputs,  cost-effectiveness  and  quality  of 
service. 

Two  years  after  the  VIS  starts  operations  and  every  two  years  hereafter,  the 
Commission shall submit to the European Parliament and the Council a report on the 
technical  functioning  of  the  VIS.  This  report  shall  include  information  on  the 
performance  of 
the 
Commission. 

the  VIS  against  quantitative 

indicators  predefined  by 

Four  years  after  the  VIS  starts  operations  and  every  four  years  thereafter,  the 
Commission  shall  produce  an  overall  evaluation  of  the  VIS  including  examining 
results  achieved  against  objectives  and  assessing  the  continuing  validity  of  the 
underlying  rationale  and  any  implications  of  future  operations.  The  Commission 
shall  submit  the  reports  on  the  evaluations  to  the  European  Parliament  and  the 
Council. 

Article 41 
Entry into force and applicability 

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

It shall apply from the date referred to in the first paragraph of Article 38. 

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 European Parliament 
The President 

For the Council 
The President 

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ANNEX 

COMMENTARY ON THE ARTICLES 

1. 

Chapter I: General Provisions 

Article  1  defines  in  paragraph  1  the  object  of  the  Regulation  and  gives  the 
Commission  the  mandate  for  setting  up  and  maintaining  the  VIS.  Article  1  of 
Council Decision 2004/512/EC, which is referred to by paragraph 1, established the 
VIS as a system for the exchange of visa data between Member States, which shall 
enable  authorised  national  authorities  to  enter  and  update  visa  data  and  to  consult 
these data electronically and shall be based on a centralised architecture and consist 
of the Central Visa Information System, a National Interface in each Member State 
and the communication infrastructure between the Central Visa Information System 
and the National Interfaces. 

Paragraph 2 sets out the objectives of the VIS in line with the Council conclusions of 
19  February  200441.  These  objectives  are  translated  in  Chapters  II  and  III  into  the 
specific purposes for the use of the data, creating obligations for the visa authorities 
and giving other competent authorities access to the relevant visa data. 

The definitions in Article 2 refer to the Treaty or the Schengen acquis on visa policy, 
except  for  the  terms  ‘visa  authority’,  ‘applicant’,  ‘group  members’,  ‘Member  State 
responsible’, ‘verification’ and ‘identification’, which are defined specifically for the 
purposes of this Regulation. 

Article 3 sets out the categories of data to be recorded in the VIS: alphanumeric data, 
photographs  and  fingerprint  data,  which  are  detailed  in  the  referred  provisions  of 
Chapter II. However, as outlined in the Extended Impact Assessment, for reasons of 
proportionality  the  processing  of  scanned  documents  as  foreseen  by  the  Council 
conclusions42 is not included43.  

Paragraph 2 provides that messages transmitted for the purposes of the consultation 
between  central  authorities,  as  well  as  messages  between  the  competent  authorities 
shall not be recorded, except for the purposes of data protection monitoring and data 
security pursuant to Article 28 of this Regulation. 

Article  4  provides  the  basic  rules  for  the  access  to  the  data:  Access  for  entering, 
amending or deleting the data shall be reserved only to duly authorised staff of the 
visa  authorities.  Access  for  consulting  data  and  the  right  to  search  and  to  use  data 
shall be reserved exclusively to duly authorised staff of the authorities competent for 
the purposes as specified in Chapters II and III, limited to the extent as needed for the 
performance  of  these  tasks.  The  competent  authorities  shall  be  designated  and 
communicated by each Member State to the Commission, which shall publish these 
lists in the Official Journal of the European Union. 

41 
42 
43 

See point 1 of the annex to the Council conclusions of 19.2.2004. 
Cf. the Council conclusions of 19.2.2004, points 2 and 4 of the annex thereto. 
Cf. point 6.2 of the Extended Impact Assessment.  

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32 

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2. 

Chapter II: Entry and use of data by visa authorities 

Article  5  determines  the  procedures  for  entering  data,  when  a  visa  application  has 
been lodged: The competent visa authority shall create an application file by entering 
the data referred to in Article 6 and 7 into the VIS and link previous applications of 
the  same  applicant  to  this  application  file  as  well  as  the  application  files  of  the 
applicants  travelling  in  a  group  with  other  applicants,  e.g.  in  the  framework  of  an 
ADS agreement44, or together with family members. As laid down in paragraph 4, 
the  visa  authority  shall  create  an  application  file  in  the  VIS  for  each  of  the  group 
members, i.e. also in case of family members using one single travel document. 

Articles 6 and 7 detail the data to be entered when creating the application file: The 
unique  application  number,  the  status  information  and  the  authority  to  which  the 
application has been lodged are needed to identify the set of data on the application 
and the competent visa authority. The source for the alphanumeric data listed under 
point 4 of Article 6 and under Article 7 is the uniform application form (Annex 16 of 
the CCI). These data are required for the assessment of the application and for checks 
on the visa and the applicant. In view of proportionality, the storage of two sets of 
alphanumeric personal data is foreseen: The data under point 4 of Article 6 shall be 
entered for each applicant. The inclusion of data on persons and companies issuing 
invitations will help to identify those persons and companies which make fraudulent 
invitations.  This  constitutes  important  information  in  the  fight  against  visa  fraud, 
illegal immigration,  human  trafficking and the related criminal organisations  which 
often operate in an international scale45.  

The data listed in Article 7 shall be entered only in the specific cases46 for which the 
consultation  between  central authorities according to Article 17(2) of the Schengen 
Convention  and  part  V,  point  2.3,  of  the  CCI  is  required  by  any  of  the  Member 
States.  The  use  of  the  VIS  for  this  consultation  in  line  with  the  Council 
conclusions47 is laid down in Article 14 of this proposal. The categories for which 
such consultation is needed are specified in Annex 5B to the CCI. In the cases where 
the applicants come under these categories, these data are also relevant for checks at 
external  borders  and  within  the  territories  of  the  Member  States  as  well  as  for 
identification and return purposes and for examining asylum applications. Thus these 
data  shall  be  also  available  for  these  purposes,  cf.  Articles  16(2)(a),  17(2)(b)  and 
19(2)(b) of this proposal. 

The photograph listed under point 6 of Article 8) has been introduced by Regulation 
(EC) No 334/2002 amending Regulation (EC) No 334/2002 for the visa sticker. The 
storage of photographs in the VIS is needed for the visual identity of the applicant. 
Further development at a later stage might enable the use of photographs for facial 
recognition. The fingerprint data (point 7 of Article 8) are essential to ensure exact 
verification and identification of visa applicants. In a large database it is not possible 
to  identify  persons  with  alphanumeric  data  alone.  Even  for  bona-fide  travellers  the 
spelling  of  the  same  name  can  be  different  from  one  country  to  another,  many 

44 

45 
46 
47 

EN 

Approved  Destination  Status, 
OJ L 83 of 20.3.2004, p. 14. 
Cf. Extended Impact Assessment, point 5.3, section “Reductions in fraud and visa shopping”. 
According the Extended Impact Assessment, point 6.1, currently about 20 % of the visa applications. 
Council conclusions of 19.2.2004, point 5 of the annex thereto. 

the  ADS  Agreement  with  China 

cf. 

of  12.2.2004, 

33 

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instances  of  the  same  name  exist  and  in  some  countries  dates  of  births  are  not 
completely  known.  Identifying  undocumented  persons  or  persons  is  virtually 
impossible  without  biometrics.  The standards, conditions and procedures for taking 
the biometric data shall be laid down in an amendment of the CCI.  

Article 8 creates the obligation for the visa authorities to add to the application file 
the  data  which  shall  be  introduced  in  the  visa  sticker,  when  the  decision  has  been 
taken to issue a visa. The ‘territory’ listed under point (f) shall indicate according to 
part  VI,  point  1.1  of  the  CCI  either  the  Schengen  area  or  individual  Schengen 
State(s).  Paragraph  2  covers  the  case  that  the  application  is  withdrawn  before  a 
decision has been taken.  

Article  9  provides  which  data  should  be  added  in  case  of  a  refusal  of  the  visa 
authority to examine the application according to cf. part V, point 2.4, of the CCI. 

Article 10 concerns the data to be added when a visa has been refused. The grounds 
for refusing the visa are based upon the conditions for issuing a visa as laid down in 
Article  15  in  conjunction  with  Article  5(1)(a),  (c),  (d)  and  (e)  of  the  Schengen 
Convention, and, as far as “public health” is referred to in subparagraph 2(a), in the 
proposal  on  a  Community  Code  for  the  movement  of  persons  across  borders48. 
These  grounds  are  introduced  for  the  purposes  of  this  Regulation,  i.e.  without 
constituting or affecting any obligation to motivate the related decision towards the 
applicant.  

Article 11 covers the data to be added when the decision has been taken to annul or 
to revoke  a  visa.  In line with the Decision of the  Executive Committee  SCH/Com-
ex(93)2449,  paragraph  2  concerns  the  grounds,  in  case  that  checks  reveal  that  the 
applicant does not fulfil or no longer fulfils one or several of these conditions, and 
paragraph 3 to grounds for shortening the length of the validity of the visa.  

Article 12 provides the data to be added for a visa extended, defining grounds in line 
with the Decision of the Executive Committee SCH/Com-ex(93)2150.  

Article 13 covers the obligations of the visa authorities to use the VIS for examining 
visa applications and for the examination whether to annul, revoke or extend visas. 
Since  for  these  purposes  all  information  stored  in  the  VIS  may  be  relevant,  the 
competent  visa  authority  shall  have  access  to  the  complete  application  file  and  the 
linked  application  files  of  previous  applications  of  the  applicant  and  of  group 
members  travelling  together  with  the  applicant.  Even  if  the  applicant  uses  not  the 
same  identity  to  re-apply  for  the  Schengen  visa  after  visa  refusal,  the  consular 
authorities  in  another  Member  State  would  have  the  possibility  to  establish  the 
identity of the visa applicant by the use of biometrics and the personal data about the 
visa applicant from his previous application. The access shall be given in two steps: 
If the search with data listed in paragraph 2 indicates that data on the applicant are 
recorded in the VIS, in a second step access shall be given to the relevant application 

48 

49 
50 

Cf. Article 5(1)(e) of the proposal for a Council Regulation establishing a Community Code on the rules 
governing  the  movement  of  persons  across  borders  that  proposal,  COM(2004)391  final,  which  shall 
replace Article 5 of the Schengen Convention. 
OJ L 239 of 22.9.2000, p. 154. 
OJ L 239 of 22.9.2000, p. 151. 

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   EN 

 
                                                 
file(s),  Fingerprints  shall  be  used  to  identify  the  person.  The  photograph  might  be 
used  to  increase  accuracy  if  facial  recognition  would  be  implemented  if  the  photo 
quality improves and facial recognition techniques become more mature. 

Article 14 integrates the technical functionalities of the consultation between central 
authorities  according  to  Article  17(2)  of  the  Schengen  Convention  (VISION 
network)  into  the  VIS,  in  line  with  the  Council  Conclusions51,  and  provides  the 
possibility  to  use  the  VIS  for  other  messages  in  the  framework  of  consular 
cooperation and for requests for documents. The mechanism introduced in paragraph 
1  is  building  upon  the  procedure  as  laid  down  in  part  V,  point  2.3,  of  the  CCI, 
replacing the current transmission procedure by the transmission of requests and the 
responses  thereto  via  the  VIS.  The  transmission  of  the  application  number  enables 
duly authorised staff to consult the relevant application file(s), including the linked 
application files on previous applications or on the applications of persons travelling 
in  a  group.  The  Member  States  to  be  consulted  shall  be  indicated  by  the  central 
authority  asking  for  consultation  pursuant  to  Annex  5B  of  the  CCI.  As  part  of  the 
procedures for the examination of visa applications, the central authorities consulted 
shall have access to the relevant application files.  

The integration of the technical functionalities of the current VISION network in the 
VIS  will  not  only  avoid  redundancy  of  the  data  flow  but  improve  the  current 
consultation and the related background checks in national databases according to the 
relevant national law. In particular the use of the fingerprint data would significantly 
improve the possibility to detect persons who constitute a threat to internal security. 
In particular these functionalities of the VIS would strengthen the horizontal task of 
visa  authorities  to  prevent  such  threats  for  any  of  the  Member  States.  Paragraph  4 
stresses that the personal data transmitted pursuant to this article may be solely used 
for the consultation of central authorities and consular cooperation. 

Article 15 specifies the use of data for reporting and statistics by the visa authorities. 
The nature of the data referred to in this provision do not allow identifying individual 
applicants. 

3. 

Chapter III: Use of data by other authorities 

Article  16  covers  the  use  of  data  for  checks  at  external  borders  and  within  the 
territory of the Member States: Paragraph 1 defines this purpose as well as the data to 
be  searched  with.  Paragraph  2  specifies  to  which  data  access  shall  be  given,  if  the 
search with these data indicates that data on the applicant are recorded in the VIS. 

Article  17  concerns  the  use  for  identification  and  return  purposes:  Paragraph  1 
defines these purposes, as well as the data to be searched with. Paragraph 2 specifies 
to which data access shall be given, if the search with these data indicates that data 
on the applicant are recorded in the VIS. 

Articles 18 and 19 cover the use for the application of the Dublin Regulation (EC) 
No  343/2003,  defining  the  specific  purposes,  the  data  to  be  searched  with  and  the 
data  to  which  access  shall  be  given.  The  access  to  the  VIS  for  the  purposes  to 

51 

Council conclusions of 19.2.2004, point 5 of the annex thereto. 

EN 

35 

   EN 

 
                                                 
determine  the  Member  State  responsible  for  examining  an  asylum  application  is 
limited by Article 18(2) to the visa data needed for the application of Article 9 of the 
Dublin  Regulation,  which  connects  the  responsibility  for  examining  an  asylum 
application  to  the  previous  issuing  or  extending  of  a  visa  to  the  asylum  seeker. 
Article  19(2)  specifies  to  which  data  access  shall  be  given  for  the  purposes  to 
examine the asylum application, in accordance with the Dublin Regulation52. 

4. 

Chapter IV: Retention and amendment of data 

Article 20 sets out a retention period of five years for each application file. For the 
determination of this retention period has been taken into account that for reasons of 
data  protection,  personal  data  should  be  kept  no  longer  than  it  is  necessary  for  the 
purposes of the VIS (cf. Article 6(1)(e) of Directive 95/46/EC). This retention period 
is necessary to meet the objectives of the VIS, e.g. the assessment of the applicant’s 
good  faith  or  detect  continued  practices  of  fraud  or  visa  shopping  over  years.  If 
personal  data  would  be  retained  only  for  the  period  of  the  visa's  validity,  the 
contribution to these purposes would be very limited. This retention period would not 
allow  any  speeding  up  of  subsequent  applications  for  regular  travellers,  as  their 
record would only be stored for the time period the visa is valid. In addition, it would 
be unlikely that such a period of validity would assist in the documentation of illegal 
migrants, who, at some stage had applied for a visa. Moreover, in exceptional cases a 
short term visa can be valid up to five years (cf. CCI, part V, point 2.1). The five-
year period is also indicated in part VII, point 2, of the CCI which foresees the filing 
of visa applications for “at least five years where the visa has been refused”. 

Paragraph 2 specifies that the period shall start for a visa issued, annulled, revoked or 
extended with the expiry date, and in other cases with the creation of the application 
file. Paragraph 3 creates the obligation to carry out automatically the deletion of the 
application  and  the  link(s)  to  this  application  file  as  referred  to  in  Article  5(3)  and 
(4). 

Article  21  provides  that  only  the  Member  State  responsible  shall  have  the  right  to 
amend the data. Paragraph 2 creates the obligation for each Member State to advise 
this  Member  State  if  there  is  evidence  that  data  are  inaccurate  or  were  processed 
contrary to this Regulation. 

Article  22  ensures  the  deletion  of  data  of  applicants  who  have  required  the 
nationality  of  a  Member  State  before  expiry  of  the  retention  period.  However,  if  a 
third  country  national  becomes  member  of  the  family  of  a  EU  citizen  without 
requiring the nationality of a Member State, this will not affect the storage of his data 
in  the  VIS.  In  such  case,  a  third  country  national  can  still  be  subject  to  a  visa 
obligation. Since the data on previous applications are needed for the assessment of 
subsequent applications it is necessary that in such cases the data remain in the VIS 
till the retention period ends. 

5. 

Chapter V: Operation and responsibilities 

52 

Cf. Article 21(1)(b) and (2)(e) of Regulation (EC) No 343/2003. 

EN 

36 

   EN 

 
                                                 
Article  23  clarifies  that  the  Commission  shall  be  responsible  for  establishing  and 
operating  the  VIS  and  that  the  Member  States  are  the  controllers  of  the  data 
processed in the VIS.  

Article  24  creates  in  paragraphs  1  to  3  the  obligation  for  each  Member  State  to 
connect  the  VIS  to  each  National  System  via  the  National  Interface,  to  designate  a 
national authority to provide the access for the competent authorities and to observe 
automated  procedures  for  processing  the  data.  According  to  Article  1  of  Decision 
1(2) of Decision 2004/512/EC, the National Interface shall provide the connection to 
the  relevant  central  national  authority  of  the  respective  Member  State  to  enable 
national authorities to access the VIS. Paragraph 4 clarifies the competences of each 
Member State for its National System and the burden for the related costs, including 
the competence for the development of the National System and/or its adaptation to 
the VIS, as laid down in Article 2(2) of Council Decision 2004/512/EC. 

Article  25  sets  out  in  paragraph  1  the  responsibilities  of the  Member  States  for  the 
use of the data, acting as a controller at the moment of collection, transmission and 
reception  of  personal  data.  Paragraph  2  creates  obligations  for  the  Commission  as 
processor with regard to confidentiality and security, pursuant to Articles 16 and 17 
of Directive 95/46/EC and Articles 21 and 22 of Regulation (EC) No 45/2001. 

Article 26 determines according to Article 17 of Directive 95/46/EC which measures 
have to be implemented to ensure the security of processing. Paragraph 2 creates the 
obligation  for  the  Commission  to  take  equivalent  measures;  in  particular  the 
Commission provisions on security have to be respected53. 

Article  27  sets  out  the  applicable  rules  on  liability  of  Member  States  for  damages. 
The liability of the Commission is governed by Article 288(2) of the Treaty. 

Article 28 creates the obligation for the Member States and the Commission to keep 
complete  records  of  data  processing  operations  for  one  year  after  expiry  of  the 
retention  period,  which  may  solely  be  usedfor  the  purposes  of  data  protection 
monitoring and data security. 

Article  29  creates  the  obligation  of  each  Member  State  to  ensure  the  proper 
processing  and  use  of  data  by  appropriate  penalties,  as  an  essential  complement  to 
the data protection and security arrangements. 

6. 

Chapter VI: Rights and supervision on data protection 

For the protection of personal data, the relevant Community’s legislation, Directive 
95/46/EC and Regulation (EC) 45/2001, fully apply for this ‘first pillar’ instrument 
(cf. recitals 14 and 15). The provisions in this chapter clarify certain points in respect 
of  safeguarding  the  rights  of  the  persons  concerned  and  of  the  supervision  on  data 
protection.  

Article 30 covers the right of information of the applicants, but also persons issuing 
invitations  or  liable  to  pay  the  costs  of  living  during  the  stay,  whose  data  shall  be 
stored in the VIS pursuant to Article 8(4)(f). Paragraph 1 contains in conformity with 

53 

Commission Decision 2001/844/EC, ECSC, Euratom of 29.11.2001 (OJ L 317 of 3.12.2001, p. 1). 

EN 

37 

   EN 

 
                                                 
Article  10  of  Directive  95/46/EC  a  list  of  items  the  person  concerned  has  to  be 
informed about. Paragraph 3 refers to the harmonised forms, specimens of which are 
published in Annex 15 of the CCI.  

As far as the applicant’s employer and parents are concerned according Article 7(6) 
and  (7)  of  this  Regulation,  the  provision  of  such  provision  would  involve  a 
disproportionate effort in the meaning of Article 11(2) of Directive 95/46/EC, if the 
visa  authority  would  be  required  to  send  a  specific  information  to  these  persons 
named in the application form. However, these data shall only be stored in the VIS if 
a consultation between central authorities is required and the safeguards clarified in 
Articles 31 to 35 of this chapter apply also for these persons. 

Article 31 provides in paragraphs 1 and 2 any person the right of access, correction 
and deletion of data relating to him which are inaccurate or recorded unlawfully, and 
clarifies in paragraph 3 that the related request may be lodged to each Member State. 
Paragraphs  4  to  6  specify  the  requirements  according  to  Article  12  of  Directive 
95/46/EC. 

Article 32 lays down an obligation for the competent authorities to ensure the proper 
operation of the mechanism laid down in Article 31 and the assistance and advice by 
the  national  supervisory  authority,  specifying  the  obligations  laid  down  in  Article 
28(4) and (6) of Directive 95/46/EC.  

Article  33  clarifies  pursuant  to  Article  22  of  Directive  95/46/EC  the  right  of  any 
person on remedies before the courts of each Member State if the rights of access to 
or of correction or deletion of data relating to him is refused. 

Article 34 clarifies the competence of the national supervisory authorities to review 
the lawfulness of all the processing operations carried out by the Member States. 

Article  35  provides  that  the  European  Data  Protection  Supervisor  as  established  by 
Article  41(1)  of  Regulation  (EC)  No  45/2001  shall  monitor  the  activities  of  the 
Commission related to the rights of persons covered by this Regulation. Paragraphs 2 
and 3 create obligations to support this monitoring. 

7. 

Chapter VII: Final Provisions 

Article  36  covers  the  implementation  approach  to  start  with  alphanumeric  data  and 
the  photographs  and  adding  in  a  second  phase  the  functionalities  for  processing 
biometric  data,  in  line  with  the  step-wise  approach  as  set  out  by  the  Council 
conclusions54.  Paragraph  2  provides  that  the  measures  necessary  for  the  technical 
implementation  of  these  functionalities  shall  be  adopted  in  accordance  with  the 
management procedure. 

Article  37  connects  the  start  of  transmission  of  data  to  the  notification  of  each 
Member State to the Commission that it has made the necessary technical and legal 
arrangements for the transmission of data to the VIS. Paragraph 2 lays down that the 
Member  States  which  have  notified  as  a  condition  for  the  applicability  of  this 

54 

Council conclusions of 19.2.2004, point 2 of the annex thereto; for the reasons not to include scanned 
documents, as also foreseen by the conclusions, see point 6.2 of the Extended Impact Assessment. 

EN 

38 

   EN 

 
                                                 
Regulation, shall start to collect and enter the data by the date laid down in Article 
38. Paragraph 3 provides that the Member States which have notified at a later date 
shall  start  to  collect  and  enter  the  data  by  the  date  of  their  respective  notification. 
Paragraph  4  ensures  the  entering  of  data  by  the  individual  Member  State  as  a 
precondition for consulting the data transmitted by other Member States.  

Article 38 concerns the start of operations, the date of which shall be published by 
the Commission when the conditions laid down in this provision have been met. 

Article 39 extends the mandate of the SIS II committee, further to the measures for 
the  development  of  the  VIS  as  specified  in  Articles  3  and  4  of  Council  Decision 
2004/512/EC,  to  measures  for  implementing  this  Regulation  by  the  management 
procedure. These measures are, as specified in Article 37(2) the technical measures 
for implementing the functionalities of the VIS. 

Article  40  creates  the  obligation  of  the  Commission  to  monitor  and  evaluate  the 
operation of the VIS and produce monitoring and evaluation reports, to be submitted 
to the European Parliament and the Council.  

Article  41  concerns  the  entry  into  force  and  applicability.  Due  to  the  technical 
requirements  involved  in  establishing  the  VIS,  it  is  not  possible  to  provide  for 
simultaneous entry into force and applicability of the Regulation.  

EN 

39 

   EN 

 
Policy area(s): JHA 

FICHE FINANCIÈRE 

Activit(y/ies): (visa, asylum, immigration and other policies related to the free circulation 
of persons) 

TITLE OF ACTION: SECOND PHASE OF THE VIS, BIOMETRIC PROCESSING  

1. 

BUDGET LINE(S) + HEADING(S) 

18.08.03 Visa Information System 

2. 

OVERALL FIGURES  

2.1. 

Total allocation for action (Part B):  

97 million € for commitment until 2013. 

2.2. 

Period of application: 

Undetermined duration. Foreseen for 2007-2013: 

•  Investment costs for biometric processing: 64 Mio € 

•  Exploitation costs for biometric processing: 33 Mio € 

The  amounts  foreseen  for  the  period  2007-2013  are  subject  to  the  adoption  of  the 
new financial perspectives. 

2.3. 

Overall multi-annual estimate of expenditure: 

(a) 

Schedule  of  commitment  appropriations/payment  appropriations 
intervention) 

(financial 

2008 
2007 
24.000  23.000 

2009 
17.000 

2010 
12.000 

2011 
11.000 

€ million  

2012 and 
subsequent years 

5.000 

19.000  23.000 

18.000 

13.000 

12.000 

5.000 

Commitments 

Payments 

 As explained in 5.2.2 all investments will be done at the beginning of each year, so 
annual payments are estimated at around 80% of the commitments. 

(b) 

Overall  financial  impact  of  human  resources  and  other  administrative  expenditure 

Commitments/ 
payments 

0.216  0.216 

0.216 

0.216 

0.216 

0.216 

EN 

40 

   EN 

 
 
 
 
 
 
 
 
 
 
 
TOTAL a+b 

Commitments 

Payments 

24.216  23.216 

17.216 

12.216 

11.216 

5.216 

19.216  23.216 

18.216 

13.216 

12.216 

5.216 

2.4. 

Compatibility with financial programming and financial perspectives  

[] 

Proposal is compatible with existing financial programming. 

2.5. 

Financial impact on revenue:  

[X]  Proposal has financial impact – the effect on revenue is as follows: 

The present proposal builds upon the Schengen acquis, as defined in Annex A of the 
Agreement signed on 18 May 1999 between the Council and the Republic of Iceland 
and the Kingdom of Norway concerning the association of both these States with the 
implementation, application and development of the Schengen acquis55. Article 12(1) 
last paragraph lays down: 

“In cases where operational costs are attributed to the general budget of the European 
Community, Iceland and Norway shall share in these costs by contributing to the said 
budget  an  annual  sum  in  accordance  with  the  percentage  of  the  gross  national 
product  of  their  countries  in  relation  with  the  gross  national  product  of  all 
participating States” 

Contribution from Iceland/Norway: 2.128% (2002 figures) 

(€ million to one decimal place) 

Prior to
action 

Situation following action 

Budget 
line 

Revenue 

2007 2008 2009 2010  2011  2012 and 
subsequent 

a) Revenue in absolute terms 

0.5

0.5

0.4

0.3 

0.3 

0.1

b) Change in revenue 

 ∆ 

3. 

BUDGET CHARACTERISTICS 

Type of 
expenditure 

New 

EFTA 
contribution 

Contributions 
form applicant 
countries 

Heading in 
financial 
perspective 

Non 
Comp 

Diff 

YES 

NO 

NO 

No [3] 

55 

OJ L 176, 10. 7.1999, p. 36. 

EN 

41 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
4. 

LEGAL BASIS  

This statement accompanies a legislative proposal for a Regulation of the European 
Parliament  and  the  Council  concerning  the Visa  Information  System  (VIS)  and  the 
exchange  of  data  between  Member  States  on  short-stay  visas,  based  on  Article  62 
point (2)(b)(ii) TEC and Article 66 TEC. 

5. 

DESCRIPTION AND GROUNDS 

5.1. 

Need for Community intervention 

5.1.1.  Objectives pursued 

The present financial statement is designed to allow for the second phase of the VIS 
to take place by means of Community financing as of 2007 and in accordance with 
the relevant provisions of the Treaty.  

The implementation of the Visa Information System is done in phases as follows: 

•  Phase 1: the functionalities for processing of alphanumeric data and photographs. 

•  Phase 2: the functionalities for processing biometrics. 

The  Commission  has  followed  a  two-step  approach  for  the  legal  framework  of  the 
VIS:  

A  first  legal  instrument,  Council  Decision  2004/512/EC  establishing  the  Visa 
Information System (VIS)56, which constitutes the required legal base to allow for 
the inclusion in the budget of the European Union of the necessary appropriations for 
the  development  of  VIS  and  the  execution  of  that  part  of  the  budget,  defines  the 
architecture of the VIS and gives the Commission the mandate to develop the Visa 
Information  System  at  the  technical  level,  assisted  by  the  SIS  II  committee57, 
whereas  the  national  systems  shall  be  adapted  and/or  developed  by  the  Member 
States.  The  financial  statement  made  in  the  financial  statement  of  this  Decision 
relates  to  the  procurement  of  technical  expertise,  management  expertise,  hardware 
and software, etc. for the first phase of the setting-up of the VIS system containing 
alphanumeric data and photographs. 

The present proposal for a Regulation of the European Parliament and the Council, 
the second “fully fledged” legal instrument, gives the Commission the mandate to 
set  up,  maintain  and  operate  the  VIS  and  defines  the  purpose,  functionalities  and 
responsibilities  for  the  Visa  Information  System  and  the  procedures  and  conditions 
for the exchange of visa data between Member States. This second legal instrument 
has  been  elaborated  on  the  basis  of  the  political  orientation  given  by  the  Council 
conclusions  of  19  February  2004.  The  financial  statement  for  this  legal  instrument 
relates, in particular, to the costs for processing biometrics, phase 2 of the VIS.  

56 
57 

OJ L 213 of 15.6.2004, p. 5. 
Set up by Article 5 (1) of Council Regulation (EC) No 2424/2001 (OJ L 328, 13.12.2001, p. 4). 

EN 

42 

   EN 

 
                                                 
Community  intervention  is  needed,  since  the  establishment  of  a  common  Visa 
Information  System  and  the  creation  of  common  obligations,  conditions  and 
procedures  for  the  exchange  of  visa  data  between  Member  States  cannot  be 
sufficiently achieved by the Member States and can, therefore, by reason of the scale 
and impact of the action, be better achieved at Community level. 

Article 1(2) of the proposal states the purpose of the VIS:  

“The  VIS  shall  improve  the  administration  of  the  common  visa  policy,  consular 
cooperation and consultation between central consular authorities, by facilitating the 
exchange  of  data  between  Member  States  on  applications  and  on  the  decisions 
thereto, in order: 

(a) 

to prevent threats to the internal security of any of the Member States; 

(b) 

to  prevent  the  bypassing  of  the  criteria  for  the  determination  of  the  Member 
State responsible for examining the application; 

(c) 

to facilitate the fight against fraud; 

(d) 

to facilitate checks at external border checkpoints and within the territory of the 
Member States;  

(e) 

to assist in the identification and return of illegal immigrants;  

(f) 

to facilitate the application of Regulation (EC) No 343/2003.”  

In order to achieve these objectives, the VIS shall be connected to a National System 
in each Member State, to enable duly authorised staff of the competent authorities of 
each  Member  State  to  enter,  amend,  transmit  or  consult  the  data  by  means  of  an 
automated procedure in accordance with this Regulation.  

5.1.2.  Measures taken in connection with ex ante evaluation  

A feasibility study on technical and financial aspects of the VIS was launched by the 
Commission on 16 September 2002 and submitted to the Council in May 2003. The 
study provides an analysis of the technical and financial aspects of the VIS.  

The  importance  of  biometrics  for  the  overall  efficiency  of  the  system  must  be 
underlined.  The  study  assessed  three  options,  which  can  for  the  time  being  be 
envisaged  as  biometric  identifiers:  iris  scanning,  facial  recognition  and  fingerprints 
and  recommends  the  latter  as  main  biometric  identifier  for  identification  purposes. 
Fingerprint  technology  would  provide  the  required  accuracy  to  identify  individuals 
and  fingerprint  databases  would  still  be  used  for  many  years,  even  if  the  biometric 
technology changes. The use of biometrics on such an unprecedented scale will have 
a significant impact on the system, both in technical and financial terms. 

On  the  budgetary  aspects,  the  figures  are  based  on  estimates  provided  by  the 
feasibility  study  on  technical  and  financial  aspects  of a  system  for  the  exchange  of 
visa data between Member States, but take into account the rapid drop in prices for 
fingerprint matching systems. The estimates set out in the feasibility study cover the 
fixed  costs  of  the  central  system,  the  CS-VIS,  and  for  27  NI-VIS,  including  their 

EN 

43 

   EN 

 
communication  infrastructure,  as  well  as  the  annual  costs  for  operations,  networks 
and  human  resources.  These  estimates  for  the  development  and  operation  of  the 
“biometrics” module were extremely high. Currently, however, prices for biometric 
systems  are  dropping  rapidly.  Therefore,  the  original  estimates  of  the  feasibility 
study have been adapted to match these lower price trends.  

In  accordance  to  the  Commission’s  Work  Programme  2004,  an  Extended  Impact 
Assessment  was  launched.  One  of  its  main  conclusions  is  that  the  further 
development of the VIS, with the processing of biometric data, is needed to ensure 
exact  verification  and  identification  of  visa  applicants.  Only  with  the  inclusion  of 
biometric data processing in the VIS can the objectives be sufficiently reached. The 
Extended  Impact  report  is  annexed  to  the  legal  instrument  that  this  financial 
statement accompanies. 

5.1.3.  Measures taken following ex post evaluation 

Not applicable 

5.2. 

Action envisaged and budget intervention arrangements 

This proposal envisages the further development of the Visa Information System, in 
particular biometric processing. 

5.2.1  Operational costs for alphanumeric and photo 

The  legal  and  financial  base  for  the  first  phase  has  been  established  in  Council 
Decision  512/2004/EC  establishing  the  VIS,  whereby  an  annual  amount  of  seven 
million euros is foreseen for operational costs, as of 2007. 

5.2.2 

Investment costs for biometric processing 

For  the  second  phase,  (biometric  data  for  verification  and  identification  purposes, 
including  background  checks)  in  2003  the  feasibility  study  estimated  that  an  extra 
investment  of  144  million  euros  would  be  needed.  However,  prices  for  finger  print 
matching  systems  have  come  down  dramatically.  In  fact,  current  experience  shows 
that  prices  for  fingerprint  matching  systems  follow  Moore’s  law:  every  18  months 
the capacity doubles for the same price. In the calculation this amounts to an annual 
estimated drop in price of 37%. 

The price  estimations in this financial statement are based on a gradual increase of 
capacity,  with  annual  investments  of  the  capacity  needed  for  the  next  year,  and 
taking  into  account  the  constant  drop  in  prices.  Thus,  in  the  beginning  of  2007  the 
capacity to handle the matching needed until 2008 only is budgeted. In early 2008, 
the  extra  capacity  is  bought  for  the  needs  until  mid-2009,  estimated  at  a  price 
lowered by 37%. 

As for the capacity of the databases, the calculations are based on the start in mid-
2007  with  an  empty  database,  with  gradual  connection  of  all  consular  posts  over  a 
period  of  one  year.  It  is  estimated  that  mid-2008  all  consular  posts  of  all  Member 
States will be connected. The feasibility study estimates 20 million visa requests per 
year, of which 30% are repeated travellers whose fingerprints are already in the VIS. 

EN 

44 

   EN 

 
The  total  storage  capacity  needed  for  a  five  year  storage  period  will  be  70  million 
sets of fingerprints. 

Matching  capacity  needs  will  rise  linearly  with  the  number  of  fingerprints  in  the 
database. 

The details: 

year 

mid 2007 

mid 2008 

mid 2009 

mid 2010 

mid 2011 

mid 2012 

mid 2013 

Total 

connected 
posts 

database 
capacity 
needed  

matching 
capacity needed 

investment 
total 
costs  for  biometric 
processing 

(%  of  total 
applications)

(million 
applicants) 

(million  matches 
per second) 

(Mio €) 

0%

100%

100%

100%

100%

100%

100%

10 

24 

38 

52 

70 

70 

70 

42

100

158

217

292

292

292

21

18

12

7

6

0

0

64

It  is  estimated  that  the  payments  for  the  equipment  will  be  done  in  the  year  of 
commitment, with an exception of a guarantee sum (around 10% of the price). The 
figures calculated might vary according to the final technical solution chosen. 

5.2.3 

Exploitation costs for biometric processing 

In addition to the operational costs for alphanumeric and photo functionalities, extra 
operational costs for biometrics are foreseen. 

The costs consist of extra human resources for the system management (estimated in 
the  feasibility  study  at  100  000  €  per  year),  extra  network  costs  (700  000  €)  and 
annual maintenance and licences. These maintenance and licence costs will depend 
very  much  on  the  technical  solution  chosen.  The  annual  maintenance  costs  are 
estimated at 4.2 Mio € per year. As operations will start in mid-2007, the costs for 
2007 will be lower. 

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The details: 

year 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

maintenance 
and  licence 
costs  

human 
resources  

network costs 

total 
exploitation 
costs  for  biometric 
processing  

(Mio €) 

(Mio €) 

(Mio €) 

(Mio €) 

2.5 

4.2 

4.2 

4.2 

4.2 

4.2 

4.2 

0.1

0.1

0.1

0.1

0.1

0.1

0.1

0.7

0.4

0.7

0.7

0.7

0.7

0.7

0.7

4.6

3

5

5

5

5

5

5

33

Total 

27.7 

Most of the payments will be done in the same year as the commitments. 

5.2.5  National infrastructure costs 

According  to  Article  2  (2)  of  Decision  2004/512  EC  establishing  the  VIS,  the 
national infrastructures beyond the national interfaces in the Member States shall be 
adapted and/or developed by the Member States. This includes the financial burden 
for  the  development  of  these  infrastructures  and  the  adaptation  of  existing  national 
systems  to  the  VIS,  the  world-wide  connections  to  their  consular  posts  and  their 
equipment, shipping and training.  

Cost estimates and cost-benefit analyses concerning the impacts of VIS on national 
infrastructures and national budgets are the responsibility of each Member State. To 
provide  cost  estimates  would  require  a  detailed  analysis  of  every  national 
environment  and  national  organisation.  This  can  only  be  done  by  Member  States 
themselves.  

5.3.  Methods of implementation 

Development will be carried out under direct management of the Commission using 
its own staff assisted by external contractors. The development of the alphanumeric 
functionalities of the system has been tendered. Additional technical support has also 
been tendered to assist Commission services in the follow up of the implementation. 

A third call for tender will be launched for the biometric equipment needed. 

The  system  shall  be  set  up  and  maintained  by  the  Commission.  The  Commission 
shall  be  responsible  for  operating  the  Central  Visa  Information  System  and  the 

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communication infrastructure between the Central Visa Information System and the 
National Interfaces. The data shall be processed by the VIS on behalf of the Member 
States. 

Member  States  are  closely  involved  in  the  work  via  the  SIS  II  committee,  in 
accordance with Article 5 of Decision 2004/512/EC establishing the VIS, and Article 
39 of the present proposal. 

In relation to the objectives of the Freedom programme, the Council has reached an 
agreement  on  the  proposed  external  borders  agency.  The  scope  for  entrusting  tasks 
related  to  the  management  of  large-scale  IT  systems  (Eurodac,  SIS  II,  VIS)  to  this 
agency at a later stage will be explored. 

6. 

FINANCIAL IMPACT 

6.1. 

Total financial impact on Part B - (over the entire programming period) 

Figures  in  brackets  are  for  operational  costs  for  alphanumeric  and  photo 
functionalities  and  costs  for  external  assistance  for  project  management,  audit  and 
evaluation  already  covered  by  the  financial  statement  annexed  to  Decision 
2004/512/EC establishing the VIS. 

The  indicative  global  costs  for  the  VIS  for  the  period  2007-2013  amount  to  153 
Mio€,  of  which  97  Mio€  are  covered  by  the  present  proposal  and  56  Mio€  by 
Decision 2004/512/EC. 

Commitments (in € million to three decimal places) 

Breakdown 

2007 

2008 

2009 

2010 

2011 

annual amounts in 
2012 and subsequent 
years 

Operational cost for 

(7.000)58 

(7.000) 

(7.000) 

(7.000) 

(7.000) 

(7.000) 

alphanumeric and photo 

Investment costs for 

21.000 

18.000 

12.000 

7.000 

6.000 

biometric processing 

Exploitation costs for 

3.000 

5.000 

5.000 

5.000 

5.000 

5.000 

biometric processing 

SUBTOTAL59  24.000  23.000 17.000 12.000 11.000 5.000 

External  assistance 
project 
audit and evaluation 

for 
management, 

(1.000)60 

(1.000) 

(1.000) 

(1.000) 

(1.000) 

(1.000) 

TOTAL  24.000  23.000 17.000 12.000 11.000 5.000 

58 

59 
60 

An annual amount of seven million euros is already foreseen in the financial statement annexed to the 
Decision 2004/512/EC establishing the VIS 
Operating expenditure directly derived from the feasibility study. 
An  annual  amount  of  one  million  euros  is  already  foreseen  in  the  financial  statement  annexed  to  the 
Decision 2004/512/EC establishing the VIS. 

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7. 

IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE  

7.1. 

Impact on human resources 

Figures in bracket are for human and administrative resources already covered by the 
financial statement annexed to Decision 2004/512/EC establishing the VIS. 

Staff to be assigned to management of the 
action using existing resources 

Description of tasks deriving from the 
action 

Types of post 

Total 

Number of 
permanent posts 

Number of 
temporary posts 

Officials 
temporary staff 

or 

A 

B 

C 

(3 + ) 1  

(2 + )  

(1 + ) 1 

Other human resources 

(2) 

Total 

(8 + ) 2 

1 

1 

2 

2 National Experts 

The  needs  for  human  and  administrative  resources  shall  be  covered  within  the 
allocation  granted  to  the  managing  DG  in  the  framework  of  the  annual  allocation 
procedure. 

7.2. 

Overall financial impact of human resources 

Type of human resources 

Amount (€) 

Method of calculation *  

Officials 

18010101 

Other human resources  

1801020103 

216 000 

2 officials * 108 000 

The amounts are total expenditure for twelve months. 

Total  216 000 

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7.3. 

Other administrative expenditure deriving from the action 

Figures  below  are  resources  already  covered  by  the  financial  statement  annexed  to 
the Decision establishing the VIS and repeated for information only. 

Budget line 

(number and heading) 

Overall allocation (Title A7) 

1801021101 – Missions 

1801021102 – Meetings 

1801021103 – Compulsory committees  

1801021102 – Conferences 

1801021104 – Studies and consultations 

Other expenditure (specify) 

Information systems (A-5001/A-4300) 

Other expenditure - Part A (specify) 

Amount € 

Method of calculation 

(66 000) 

(300 000) 

(15 000) 

(500 000) 

30*1000+12*3000 

10*30 000 

2*7500 

2-3 studies per year 

Total 

(881 000) 

I. 

II. 

Annual total (7.2) 

Duration of action 

III. 

Total cost of action (I x II) 

216 000 € 

At least 7 years 

1 512 000€ 

8. 

FOLLOW-UP AND EVALUATION 

8.1. 

Follow-up arrangements 

Deliverables  are  foreseen  for  the  development  envisaged  in  point  5.2.  Each 
deliverable produced will be submitted to an acceptance procedure, which will vary 
depending on the type of deliverable. 

8.2. 

Arrangements and schedule for the planned evaluation 

Council  Decision  512/2004/EC  establishing  the  VIS  foresees  that  the  Commission 
presents  to  the  Council  and  the  European  Parliament  a  yearly  progress  report 
concerning the development of the VIS. 

The  current  proposal  provides  the  following  arrangements  for  monitoring  and 
evaluation:  

The Commission shall ensure that systems are in place to monitor the functioning of 
the  VIS  against  objectives  in  terms  of  outputs,  cost-effectiveness  and  quality  of 
service. 

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Two  years  after  the  VIS  starts  operations  and  every  two  years  thereafter,  the 
Commission shall submit to the European Parliament and the Council a report on the 
technical  functioning  of  the  VIS.  This  report  shall  include  information  on  the 
performance  of 
the 
Commission. 

the  VIS  against  quantitative 

indicators  predefined  by 

Four  years  after  the  VIS  starts  operations  and  every  four  years  thereafter,  the 
Commission  shall  produce  an  overall  evaluation  of  the  VIS,  including  examining 
results  achieved  against  objectives  and  assessing  the  continuing  validity  of  the 
underlying  rationale  and  any  implications  for  future  operations.  The  Commission 
shall  submit  the  reports  on  the  evaluations  to  the  European  Parliament  and  the 
Council. 

9. 

ANTI-FRAUD MEASURES 

The  Commission  procedures  for  the  award  of  contracts  will  be  applied,  ensuring 
compliance with Community law on public contracts. 

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