Proposal for a Regulation of the European Parliament and of the Council on the establishment, operation and use of the second generation Schengen information system (SIS II)
Date: 2005-05-31
Institutions: European Commission
Subjects: EU Member State, Schengen Agreement, Schengen Information System, data transmission, police cooperation, public safety

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 23.8.2005 
COM(2005) 236 final/2 

2005/0106 (COD) 

CORRIGENDUM : Annule et remplace la fiche financière du document COM(2005)236 final 
du 31.5.2005. Concerne les versions FR, EN et DE. 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the establishment, operation and use of the second generation Schengen information 
system (SIS II) 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL  

1.1. 

Grounds for and objectives of the proposal 

General objective 

The  main  objective  of  this  Regulation,  together  with  the  Decision  on  the  establishment, 
operation and use of the second generation of the Schengen Information System (hereinafter 
referred to as “SIS II”) based on Title VI of the Treaty on the European Union (hereinafter 
referred to as the “EU Treaty”) is to establish the legal framework that shall govern the SIS II. 
The availability of the SIS II as a compensatory measure that contributes to maintain a high 
level  of  security  within  an  area  without  internal  border  controls  is  crucial  so  that  the  new 
Member States can fully apply the Schengen acquis and that their citizens can benefit from all 
the advantages of an area of free movement.  

In this context, the Council laid down in December 2001 the first foundations for the SIS II by 
assigning its technical development to the Commission and allocating the necessary financial 
resources  from  the  Budget  of  the  European  Union1.  This  Regulation  together  with  the 
aforementioned Decision (hereinafter referred to as the “Decision”) represent now the second 
legal  step,  both  instruments  lay  down  common  provisions  on  the  architecture,  financing, 
responsibilities  and  general  data  processing  and  data  protection  rules  for  the  SIS  II.  Apart 
from these common rules, the Decision contains specific provisions regarding the processing 
of  SIS  II  data  for  supporting  police  and  judicial  cooperation  in  criminal  matters,  while  this 
Regulation  rules  on  the  processing  of  SIS  II  data  supporting  the  implementation  of  policies 
linked  to  the  movement  of  persons  part  of  the  Schengen  acquis  (e.g.  external  borders  and 
visa). 

Specific objectives 

This  Regulation,  as  well  as  the  Decision,  is  largely  based  on  the  current  provisions  on  the 
Schengen  Information  System  (hereinafter  referred  to  as  the  “SIS”)  contained  in  the 
Convention of 19 June 1990 implementing the Schengen Agreement of 14 June 1985 between 
the  governments  of  the  States  of  the  Benelux  economic  union,  the  Federal  Republic  of 
Germany and the French Republic on the gradual abolition of checks at their common borders 
(hereinafter  referred  to  as  the  “Schengen  Convention”)2  taking  also  into  account  the 
Conclusions  of  the  Council  and  the  Resolutions  of  the  European  Parliament  on  SIS  II3.  In 
addition, this Regulation also aims to better align the SIS legal framework with EU law and 
enlarge the use of the SIS II, in particular, in the following areas:  

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Regulation EC No 2424/2001 and Decision 2001/886/JHA on the development of the second generation 
of the Schengen Information System, 
Articles 92 to 119 of the Schengen Convention (OJ L 239,22.09.2000, p. 19) taking into account also 
the amendments entered in the Convention following the adoption of the Regulation EC No 871/2004 
concerning the introduction of some new functions for the SIS, including in the fight against terrorism, 
OJ L 162, 30.04.2004, p. 29. 
Council Conclusions on SIS II of 5-6 June 2003, 29 April and 14 June 2004 and European Parliament’s 
Opinions and Resolutions T4-0082/1997, T5-0610/2002, T5-0611/2002, T5-0391/2003, T5-0392/2003 
and T5-0509/2003 

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Alerts issued to third country nationals for the purpose of refusing entry. The current 
rules  on  these  alerts  have  been  reviewed  in  order  to  further  harmonise  the  grounds 
for issuing such alerts in the SIS II. This is due to the current diverging practices in 
the Member States for issuing such alerts.  

Additional access to the alerts issued to third country nationals. The Regulation has 
enlarged the scope of these alerts so that the authorities responsible for asylum and 
immigration will  also  gain access to these alerts in certain cases and in accordance 
with  their  competencies.  These  new  uses  are  foreseen  in  the  context  of  the  fight 
against  illegal  immigration  and  more  in  particular  for  the  return  of  illegal  third 
country  nationals,  as  well  as,  for  the  implementation  of  provisions  of  the  asylum 
acquis  related  to  public  order  and  security or  determination  of  the  responsibility  of 
the Member State for an asylum application.  

Better  data  quality  and  improved  identification  performance.  This  Regulation  lays 
down the possibility, subject to the consent of the individual, of entering in the SIS II 
information  on  persons  whose  identity  has  been  abused  in  order  to  avoid  further 
inconveniences  caused  by  misidentifications.  This  Regulation  also  allows  for  the 
processing  of  biometrics  that  will  result  in  more  accurate  identifications  and 
improved quality of the personal data entered in the system.  

Data  protection.  The  Regulation  confirms  the  competence  of  the  European  Data 
Protection  Supervisor  to  monitor  the  SIS  II  data  processing  carried  out  by  the 
Commission and the application of the Community acquis relevant to this field. 

Inter-governmental origin of the current SIS provisions. These provisions developed 
in  an  inter-governmental  framework  will  be  replaced  by  classic  European  law 
instruments.  The  advantage  is  that  the  different  institutions  of  the  European  Union 
will  be  this  time  associated  in  the  adoption  and  implementation  of  these  new 
instruments and the legal value of the rules governing the SIS will be reinforced.  

Operational  management  of  the  SIS  II.  This  Regulation  entrusts  the  Commission 
with the operational management of the system. The operational management of the 
Central Part of the current SIS is carried out by one Member State. 

1.2. 

General context 

The SIS  

The progressive establishment of an area of freedom, security and justice involves creating an 
area without internal frontiers. To this end, Article 61 of the Treaty establishing the European 
Community (hereinafter, referred to as “EC Treaty”) requires the adoption of measures aimed 
at ensuring the free movement of persons, in accordance with Article 14 of the EC Treaty, in 
conjunction with flanking measures on external border controls, asylum and immigration, as 
well as measures to prevent and combat crime. 

The SIS is a common information system allowing the competent authorities in the Member 
States  to  cooperate,  by  exchanging  information  for  the  implementation  of  various  policies 
required,  in  order  to  establish  an  area  without  internal  border  controls.  It  allows  these 
authorities, through an automatic query procedure, to obtain information related to alerts on 
persons  and  objects.  The  information  obtained  is  used,  in  particular,  for  police  and  judicial 

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cooperation in criminal matters, as well as for controls of persons at the external borders or on 
national territory and for the issuance of visas and residence permits. The SIS, therefore, is an 
indispensable component of the Schengen area for applying the Schengen provisions on the 
movement of persons and in ensuring a high level of security in this area. Consistency with a 
wide range of policies linked to control of external borders, visa, immigration and also police 
and judicial cooperation in criminal matters is, therefore, essential. 

Existing provisions and related proposals in this area 

Articles  92  –  119  of  the  Schengen  Convention  are  the  basic  legal  provisions  governing  the 
SIS. Adopted in an inter-governmental framework, they were incorporated in the institutional 
and  legal  framework  of  the  European  Union  following  the  entry  into  force  of  the  Treaty  of 
Amsterdam. 

This Regulation is tabled together with a Decision on the establishment, operation and use of 
the SIS II, based on Title VI of the EU Treaty. A third proposal based on Title V EC Treaty 
(Transport) regarding the specific issue of access to the SIS II by the authorities and services 
in  the  Member  States  responsible  for  issuing  registration  certificates  for  vehicles  will 
complete these two proposals. 

This Regulation and the Decision based on Title VI of the EU Treaty will replace Articles 92-
119  of  the  Schengen  Convention  and  the  Decisions  and  Declarations  of  the  Schengen 
Executive Committee which are related to the SIS.  

In  addition,  this  Regulation  will  also  repeal  Regulation  (EC)  No  378/20044  of  19  February 
2004 on procedures for amending the SIRENE Manual.  

Calendar 

The  legal  instruments  regulating  the  SIS  II  should  be  adopted  in  due  time  for  allowing  the 
necessary  preparations  to  this  new  system  and,  in  particular,  the  migration  from  the  current 
system to the SIS II. 

2. 

LEGAL ASPECTS 

2.1. 

Legal basis 

The  Schengen  acquis,  including  the  SIS,  was  integrated  into  the  EU  framework  on  1  May 
1999 by the Protocol annexed to the Amsterdam Treaty. The Council defined the parts of the 
Schengen acquis integrated in the Union framework in its Decision  of 20 May 1999.  These 
included  the  arrangements  regarding  the  SIS  i.e.  Articles  92  to  119  of  the  Schengen 
Convention and the relevant Executive Committee decisions and declarations. 

Council Decision 1999/436/EC of 20 May 19995 determined the legal basis in the Treaties for 
each  of  the  provisions  or  decisions  which  constitute  the  Schengen  acquis.  Nevertheless,  the 
Council  did  not  reach  a  decision  on  the  provisions  regarding  the  SIS.  Therefore,  the 
provisions of the Schengen acquis concerning the SIS are “regarded as acts based on Title VI 

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OJ L 64, 02.03.2004, p. 5. 
OJ L 176, 10.7.1999, p. 17. 

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of  the  Treaty  on  European  Union”  on  the  basis  of  Article  2  (1)  of  the  Schengen  Protocol. 
However,  under  Article  5  (1)  of  the  Protocol,  any  new  proposal  concerning  the  Schengen 
acquis must be based on the appropriate legal basis in the Treaties.  

In  terms  of  a  legal  instrument  which  aims  at  establishing  procedures  for  the  systematic 
exchange  of  information  between  Member  States  and  at  defining  the  architecture  of  the 
information system (SIS II) that shall support them, the appropriate legal base is Article 66 of 
the  EC  Treaty.  The  exchange  of  information  is  an  action  of  cooperation  between  Member 
States’ relevant departments, as laid down in Article 66. The legal base of Article 66 can also 
cover provisions on what authorities have access to the SIS II; thus, the proposal allows for 
the access of the authorities responsible for external borders, visas, asylum and immigration.  

Article 62 (2) (a) also constitutes a pertinent legal base for this Regulation in that substantive 
rules are laid down which affect the policy on the control at external borders; this particularly 
relates to the nature of the alerts which can be issued and the action to be taken thereon by the 
authorities responsible for the control of external borders. These authorities must, as part of 
the  checks  at  the  external  borders,  search  the  person  wishing  to  enter  Community  territory 
against the SIS. 

2.2. 

Subsidiarity and proportionality 

In accordance with the principle of subsidiarity, the objective of the proposed action, namely 
the  sharing  of  information  regarding  certain  categories  of  persons  and  objects  through  a 
computerised information system, cannot be achieved by the Member States. Because of the 
very  nature  of  a  common  information  system  and  by  reason  of  the  scale  and  impact  of  the 
action,  it  can  be  better  achieved  at  Community  level.  The  present  initiative  does  not  go 
beyond what is necessary to achieve its objective.  

The  activities  of  the  Commission  are  limited  to  the  operational  management  of  the  SIS  II 
comprising  a  central  database,  national  access  points  and  the  communication  infrastructure 
connecting both. Member States are competent for the national systems, for their connection 
to the SIS II and will enable the competent authorities to process SIS II data. The consultation 
of the data is restricted to 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.  

2.3. 

Choice of instruments 

The Regulation instrument is warranted in view of the need to apply fully-harmonised rules, 
in particular in relation to the processing of data in the system. The provisions set out in this 
Regulation  must  constitute  a  set  of  precise,  unconditional  provisions  that  are  directly  and 
uniformly  applicable  in  a  mandatory  way  and,  by  their  very  nature,  require  no  action  by 
Member States to transpose them into national law.  

2.4. 

Participation in the SIS II 

This Regulation has its legal basis in Title IV of the EC Treaty and constitutes a development 
of the Schengen acquis. It must, therefore, be proposed and adopted in compliance with the 
Protocols  annexed  to  the  Amsterdam  Treaty  on  the  position  of  the  United  Kingdom  and 
Ireland and on the position of Denmark and the Protocol integrating the Schengen acquis into 
the framework of the European Union. 

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a) 

United Kingdom and Ireland  

The proposed Regulation develops the provisions of the Schengen acquis, in which the United 
Kingdom and Ireland do not participate, 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  acquis6,  and  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 acquis.7 The United Kingdom and Ireland are, therefore, not 
parties to the adoption of the Regulation, which neither binds nor applies to them. 

b) 

Denmark 

In  accordance  with  the  Protocol  on  the  position  of  Denmark  annexed  to  the  EC  Treaty, 
Denmark does not participate in the Council’s adoption of measures pursuant to Title IV of 
the EC Treaty. When these proposals develop the Schengen acquis, in accordance with Article 
5 of the Protocol, “Denmark shall decide within a period of six months after the Council has 
decided  on  a  proposal  or  initiative  to  develop  the  Schengen  acquis  under  the  provisions  of 
Title IV of the EC Treaty, whether it will implement this decision in its national law”.  

c) 

Norway and Iceland 

In addition, in accordance with the first paragraph of Article 6 of the Protocol integrating the 
Schengen  acquis,  an  agreement  was  signed  on  18  May  1999  between  the  Council,  Norway 
and Iceland in order to associate those two countries with the implementation, application and 
development of the Schengen acquis. 

Article  1  of  the  Agreement  provides  that  Norway  and  Iceland  are  to  be  associated  with  the 
activities of the  European Community and the European Union in  the fields covered by the 
provisions referred to in Annexes A (provisions of the Schengen acquis) and B (provisions of 
European Community acts which have replaced corresponding provisions of, or were adopted 
pursuant to, the Schengen Convention) to the Agreement and further developments. 

Pursuant  to  Article  2,  the  acts  and  measures  adopted  by  the  European  Union  to  amend  or 
supplement  the  Schengen  acquis  which  has  been  integrated  into  the  framework  of  the 
European  Union  (Annexes  A  and  B)  are  implemented  and  applied  by  Norway  and  Ireland. 
The  proposal  presented  develops  the  Schengen  acquis  as  defined  in  Annex  A  to  the 
Agreement. 

d) 

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. 

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OJ L 131, 1.6.2000, p. 43. 
OJ L 64, 7.3.2002, p. 20.  

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e) 

Switzerland 

As  regards  Switzerland,  this  Regulation  constitutes  a  development  of  the  provisions  of  the 
Schengen  acquis  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 acquis8 which fall within the 
area  referred  to  in  Article  1  point  g  of  Council  decision  1999/437/EC9  read  in  conjunction 
with  Article  4  (1)  of  the  Council  Decision  2004/860/EC  on  the  signing,  on  behalf  of  the 
European  Community,  and  on  the  provisional  application  of  certain  provisions  of  this 
Agreement10. 

3. 

BUDGETARY IMPLICATIONS 

Council  Regulation  (EC)  No  2424/2001  and  Council  Decision  2001/886/JHA  on  the 
development of the second generation of the Schengen Information System11 laid down that 
the expenditure involved in the development of the SIS II is to be charged to the budget of the 
European Union. The present proposal establishes that the cost incurred for the operation of 
the  SIS  II  shall  continue  to  be  covered  by  the  budget  of  the  European  Union.  Although  the 
biggest  expenditure  will  be  made  during  the  development  phase  (design,  construction  and 
testing  of  the  SIS  II),  the  operational  phase,  starting  in  2007,  will  constitute  a  long-term 
budgetary commitment that must be examined in the light of the new financial perspectives. 
Adequate human and financial resources will have to be allocated to the Commission, which 
is  responsible  for  the  operational  management  of  the  system  during  a  first  transitional  or 
interim  phase.  For  the  mid  to  long-term  the  Commission  will  assess  the  different 
externalisation options, taking into account the synergy effects resulting from the operation of 
several  other  large-scale  IT  systems  such  as  the  VIS  (Visa  Information  system)  and 
EURODAC.  

The Commission has prepared a common financial statement annexed to this Regulation valid 
also for the Decision proposed under Title VI of the EU Treaty. 

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Council document 13054/04. 
OJ L 176 of 10.07.1999, p. 31. 
OJ L 370, 17.12.2004, p.78. 
OJ L 328 of 13.12.2001, p. 1. 

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2005/0106 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the establishment, operation and use of the second generation Schengen information 
system (SIS II) 

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) (a) and Article 66 thereof, 

Having regard to the proposal from the Commission12, 

Acting in accordance with the procedure laid down in Article 251 of the Treaty13, 

Whereas : 

(1) 

(2) 

(3) 

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17 

The Schengen information system (hereinafter referred to as “SIS”) set up pursuant to 
Title IV of the Convention of 19 June 1990 implementing the Schengen Agreement of 
14 June 1985 between the governments of the States of the Benelux economic union, 
the Federal Republic of Germany and the French Republic on the gradual abolition of 
checks  at  their  common  borders14  (hereinafter  referred  to  as  the  “Schengen 
Convention”), constitutes an essential tool for the application of the provisions of the 
Schengen acquis as integrated into the framework of the European Union. 

The development of the second generation of the SIS (hereinafter, referred to as “SIS 
II”)  has  been  entrusted  to  the  Commission  pursuant  to  Council  Regulation  (EC)  No 
2424/200115  and  Council  Decision  No  2001/886/JHA16  of  6  December  2001  on  the 
development of the second generation Schengen Information System (SIS II). The SIS 
II will replace the SIS as established by the Schengen Convention. 

This Regulation constitutes the necessary legislative basis for governing the SIS II in 
respect  of  matters  falling  within  the  scope  of  the  Treaty  establishing  the  European 
Community  (hereinafter  referred  to  as  the  “EC  Treaty”).  Council  Decision  No 
2006/XX/JHA on the establishment, operation and use of the SIS II17 constitutes the 
necessary legislative basis for governing the SIS II in respect of matters falling within 

OJ C , , p. . 
OJ C , , p. . 
OJ L 239, 22.9.2000, p. 19. Convention as last amended by Regulation (EC) No 871/2004 (OJ L 162, 
30.4.2004, p. 29). 
OJ L 328 , 13.12.2001, p.4. 
OJ L 328, 13.12.2001, p. 1.  
OJ. L… 

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the  scope  of  the  Treaty  of  the  European  Union  (hereinafter  referred  to  as  the  “EU 
Treaty”). 

The  fact  that  the  legislative  basis  necessary  for  governing  the  SIS  II  consists  of 
separate instruments does not affect the principle that the SIS II constitutes one single 
information  system  that  should  operate  as  such.  Certain  provisions  of  these 
instruments should therefore be identical.  

The  SIS  II  should  constitute  a  compensatory  measure  contributing  to  maintaining  a 
high level of security within an area without internal border controls between Member 
States by supporting the implementation of policies linked to the movement of persons 
part of the Schengen acquis.  

It is necessary to specify the objectives of the SIS II and to lay down rules concerning 
its operation, use and responsibilities including its technical architecture and financing, 
categories of data to be entered into the system, the purposes for which they are to be 
entered,  the  criteria  for  their  entry,  the  authorities  authorised  to  access  it,  the 
interlinking  of  alerts  and  further  rules  on  data  processing  and  the  protection  of 
personal data. 

The expenditure involved in the operation of SIS II should be charged to the budget of 
the European Union.  

It is appropriate to establish a manual setting out the detailed rules for the exchange of 
supplementary  information  in  relation  with  the  action  required  by  the  alert.  National 
authorities in each Member State should to ensure the exchange of this information. 

The Commission should be responsible for the operational management of the SIS II 
in  particular  in  order  to  ensure  a  smooth  transition  between  the  development  of  the 
system and the start of its operations.  

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

(10) 

It is appropriate to further harmonise the provisions on the grounds for issuing alerts to 
third country nationals for the purpose of refusing entry and to clarify their use in the 
framework of asylum, immigration and return policies. The grounds for issuing such 
alerts,  their  purposes  and  the  authorities  with  right  to  access  them  should  be  more 
homogeneous. 

(11)  Alerts aiming at refusing entry should not be kept longer in the SIS II than the period 
of refusal of entry set out in the national decision giving rise to the alert. As a general 
principle, they should be automatically erased from the SIS II after a maximum period 
of five years. Member States should review at least annually these alerts. 

(12)  The  SIS  II  should  permit  the  processing  of  biometric  data  in  order  to  assist  in  the 
reliable identification of individuals concerned. In the same context the SIS II should 
also allow for the processing of data of individuals whose identity has been misused in 
order  to  avoid  inconveniences  caused  by  their  misidentification,  subject  to  suitable 
safeguards, in particular the consent of the individual concerned and a strict limitation 
of the purposes for which such data can be lawfully processed. 

(13)  The SIS II should offer Member States the possibility to establish links between alerts. 
The establishment of links by a Member State between two or more alerts should have 

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no impact on the action to be taken, the conservation period or the access rights to the 
alerts. 

(14)  Directive 1995/46/EC of the European Parliament and 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 data18 applies to the processing of personal data carried out 
in  application  of  this  Regulation.  This  includes  the  designation  of  the  controller  in 
accordance with Article 2 (d) of that Directive and the possibility for Member States to 
provide for exemptions and restrictions to some of the provided rights and obligations 
in accordance with Article 13 (1)  of that Directive including as  regards the rights of 
access and information of the individual concerned. The principles set out in Directive 
1995/46/EC should be supplemented or clarified in this Regulation, where necessary.  

(15)  Regulation  (EC)  No  2001/45  of  the  European  Parliament  and  of  the  Council  of  18 
December  2000  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  data19  applies  to  the  processing  of  personal  data  by  the  European  Commission. 
The  principles  set  out  in  that  Regulation  should  be  supplemented  or  clarified,  where 
necessary.  

(16) 

It  is  appropriate  that  national  independent  supervisory  authorities  monitor  the 
lawfulness  of  the  processing  of  personal  data  by  the  Member  States,  whilst  the 
European Data Protection Supervisor should monitor the activities of the Commission 
in relation to the processing of personal data. 

(17)  Liability  of  the  Community  arising  from  any  breach  by  the  Commission  of  this 
Regulation is governed by the second paragraph of Article 288 of the EC Treaty. 

(18) 

In  order  to  ensure  transparency,  a  report  on  the  activities  of  the  SIS  II  and  on  the 
exchange  of  supplementary  information  should  be  produced  every  two  years  by  the 
Commission.  An  overall  evaluation  should  be  issued  by  the  Commission  every  four 
years.  

(19)  Some  aspects  of  the  SIS  II  such  as  compatibility  of  alerts,  links  between  alerts  and 
exchange  of  supplementary  information  cannot  be  covered  exhaustively  by  the 
provisions of this Regulation due to their technical nature, level of detail and need for 
regular  update.  Implementing  powers  in  respect  of  those  aspects  should  therefore  be 
delegated to the Commission.  

(20)  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 Commission20. 

(21) 

It  is  appropriate  to  lay  down  transitional  provisions  in  respect  of  alerts  issued  in  the 
SIS in accordance with the Schengen Convention, which will be transferred to the SIS 
II or alerts issued in the SIS II during a transitional period before all provisions of this 
Regulation  become  applicable.  Some  provisions  of  the  Schengen  acquis  should 

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20 

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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continue to apply for a limited period of time until the Member States have examined 
the compatibility of those alerts with the new legal framework.  

(22) 

It  is  necessary  to  lay  down  special  provisions  regarding  the  remainder  of  the  budget 
affected to the operations of the SIS which are not part of the budget of the European 
Union.  

(23)  Since the objectives of the action to be taken, namely the establishment and regulation 
of  a  joint  information  system,  cannot  be  sufficiently  achieved  by  the  Member  States 
and can therefore, by reason of the scale and effects of the action, be better achieved at 
Community  level,  the  Community  may  adopt  measures  in  accordance  with  the 
principle of subsidiarity, as set out in Article 5 of the EC Treaty. In accordance with 
the principle of proportionality, as set out in that Article, this Regulation does not go 
beyond what is necessary to achieve those objectives. 

(24)  This  Regulation  respects  the  fundamental  rights  and  observes  the  principles 
recognised, in particular by the Charter of Fundamental Rights of the European Union.  

(25) 

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  a  party  to  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 
EC Treaty, Denmark shall, in accordance with Article 5 of the said Protocol, decide, 
within  a  period  of  six  months  after  the  adoption  of  this  Regulation,  whether  it  will 
implement it in its national law.  

(26)  This Regulation constitutes a development of the SIS for the purpose of its application 
in relation to provisions of the Schengen acquis relating to the movement of persons; 
the  United  Kingdom  has  not  applied  to  and  is  not  taking  part  in  the  SIS  for  these 
purposes,  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 acquis 21; the United Kingdom 
is, therefore, not party to its adoption and is not bound by or subject to its application. 

(27)  This Regulation constitutes a development of the SIS for the purpose of its application 
in relation to provisions of the Schengen acquis relating to the movement of persons; 
Ireland has not applied to and is not taking part in the Schengen Information System 
for these purposes, 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 acquis 22; Ireland is, therefore, not party to its adoption and is not bound by 
it or subject to its application. 

(28)  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, 

21 
22 

OJ L 131, 1.6.2000, p. 43. 
OJ L 64, 7.3.2002, p. 20. 

EN 

11 

   EN 

 
                                                 
application  and  development  of  the  Schengen  acquis23,  which  fall  within  the  area 
referred to in Article 1, point G of Council Decision 1999/437/EC of 17 May 1999 on 
certain arrangements for the application of that Agreement. 

(29)  As regards Switzerland, this Regulation constitutes a development of the provisions of 
the  Schengen  acquis  within  the  meaning  of  the  Agreement  signed  between  the 
European  Union,  the  European  Community  and  the  Swiss  Confederation  concerning 
the  association  of  the  Swiss  Confederation  with  the  implementation,  application  and 
development of the Schengen acquis, which falls within the area referred to in Article 
1, point G of Council Decision 1999/437/EC read in conjunction with Article 4 (1) of 
Council Decision 2004/860/EC on the signing, on behalf of the European Community, 
and on the provisional application of certain provisions of that Agreement24. 

(30)  This  Regulation  constitutes  an  act  building  on  the  Schengen  acquis  or  otherwise 
related to it within the meaning of Article 3 (2) of the 2003 Act of Accession, 

HAS ADOPTED THIS REGULATION: 

CHAPTER I 

General provisions 

Article 1 

1. 

2. 

1. 

Establishment and general objective of the SIS II 

A  computerised  information  system  called  the  second  generation  of  the  Schengen 
Information  System  (hereinafter  referred  to  as  “SIS  II”)  is  hereby  established  to 
enable  competent  authorities  of  the  Member  States  to  cooperate  by  exchanging 
information for the purposes of controls on persons and objects.  

The  SIS  II  shall  contribute  to  maintaining  a  high  level  of  security  within  an  area 
without internal border controls between Member States. 

Article 2 

Scope  

This  Regulation  defines  the  conditions  and  procedures  for  the  processing  of  alerts 
issued  in  respect  of  third  country  nationals  in  the  SIS  II  and  the  exchange  of 
supplementary information for the purpose of refusing entry into the territory of the 
Member States. 

23 
24 

OJ L 176, 10.7.1999, p. 31. 
OJ L 370, 17.12.2004, p.78 

EN 

12 

   EN 

 
 
                                                 
2. 

This Regulation also lays down provisions on the technical architecture of the SIS II, 
responsibilities of the Member States and the Commission, general data processing, 
rights of individuals concerned and liability. 

Article 3 

Definitions  

1. 

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

(a) 

(b) 

(c) 

(d) 

“alert”  means  a  set  of  data  entered  in  the  SIS  II  allowing  the  competent 
authorities to identify a person or an object in view of a specific action to be 
taken; 

“supplementary  information”  means  the  information  not  stored  in  the  SIS  II, 
but connected to SIS II alerts, which is necessary in relation to the action to be 
taken;  

“additional  data”  means  the  data  stored  in  the  SIS  II  and  connected  to  SIS  II 
alerts  which  is  necessary  for  allowing  the  competent  authorities  to  take  the 
appropriate action; 

“third  country  national”  means  any  individual  who  is  not  a  citizen  of  the 
European Union within the meaning of Article 17(1) of the EC Treaty and who 
is not a person enjoying the Community right of free movement; 

(e) 

“persons enjoying the Community right of free movement” means: 

(i) 

(ii) 

citizens  of  the  Union  within  the  meaning  of  Article  17(1)  of  the  EC 
Treaty, and third-country nationals who are members of the family of a 
citizen  of  the  Union  exercising  his  right  to  free  movement,  to  whom 
Directive 2004/38/EC of the European Parliament and of the Council on 
the right of citizens of the Union and their family members to move and 
reside freely within the territory of the Member States 25 applies; 

third-country  nationals  and  their  family  members,  whatever  their 
nationality,  who,  under  agreements  between  the  Community  and  its 
Member  States,  on  the  one  hand,  and  the  countries  of  which  they  are 
nationals, on the other, enjoy rights of free movement equivalent to those 
of citizens of the Union.  

“Processing of personal data”, “processing”, and “personal data” shall be understood 
in accordance with Article 2 of Directive 95/46/EC of the European Parliament and 
of the Council26. 

OJ L 158, 30.04.04, p. 77. 
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 data, OJ L 281 23.11.1995, p. 31. 

2. 

25 
26 

EN 

13 

   EN 

 
                                                 
Article 4 

Technical architecture and ways of operating the SIS II 

1. 

The SIS II is composed of: 

(a) 

a  central  database  called  “the  Central  Schengen  Information  System” 
(hereinafter referred to as “CS-SIS”); 

(b)  one to two access points defined by each Member State (hereinafter referred to 

as “NI-SIS”);  

(c) 

a communication infrastructure between the CS-SIS and the NI-SIS. 

The National Systems of the Member States (hereinafter referred to as “NS”) shall be 
connected to the SIS II via the NI-SIS.  

The  national  competent  authorities  referred  to  in  Article  21  (3)  shall  enter  data, 
access and perform searches in the SIS II directly or in a copy of data of the CS-SIS 
available in their NS. 

The communication infrastructure between the CS-SIS and the NI-SIS shall also be 
used by Member States for the exchange of supplementary information.  

Article 5 

Costs 

The  costs  incurred  in  connection  with  the  operation  and  maintenance  of  the  SIS  II 
comprising  CS-SIS,  NI-SIS  and  the  communication  infrastructure  between  CS-SIS 
and NI-SIS shall be borne by the budget of the European Union.  

The  costs  of  developing,  adapting  and  operating  each  NS  shall  be  borne  by  the 
Member State concerned. 

Additional costs incurred as a result of the use of the copies referred to in Article 4 
(3) shall be borne by the Member States that make use of such copies. 

2. 

3. 

4. 

1. 

2. 

3. 

EN 

14 

   EN 

 
CHAPTER II 

Responsibilities of the Member States 

Article 6 

National Systems 

Each Member State shall be responsible for operating and maintaining its NS and connecting 
it to the SIS II. 

Article 7 

SIS II national office and SIRENE authorities 

Each  Member  State  shall  designate  an  office  which  shall  ensure  competent 
authorities’ access to the SIS II in accordance with this Regulation.  

Each  Member  State shall designate  the authorities which shall ensure the exchange 
of  all  supplementary 
the  “SIRENE 
information,  hereinafter  referred 
authorities”. These authorities shall verify the quality of the information entered into 
the SIS II. For those purposes they shall have access to data processed in the SIS II. 

to  as 

The  Member  States  shall  inform  each  other  and  the  Commission  of  the  office 
referred to in paragraph 1 and of the SIRENE authorities referred to in paragraph 2. 

Article 8 

Exchange of supplementary information  

Member  States  shall  exchange  all  supplementary  information  through  the  SIRENE 
authorities. Such information shall be exchanged in order to allow Member States to 
consult  or  inform  each  other  whilst  entering  an  alert,  following  a  hit,  when  the 
required  action  cannot  be  taken,  when  dealing  with  the  quality  of  SIS  II  data  and 
compatibility of alerts as well as for the exercise of the right of access.  

Detailed  rules  for  the  exchange  of  supplementary  information  shall  be  adopted  in 
accordance with the procedure defined in Article 35 (3) in the form of a manual to be 
called the “SIRENE Manual”. 

1. 

2. 

3. 

1. 

2. 

EN 

15 

   EN 

 
Article 9 

Technical Compliance 

1. 

2. 

3. 

Each  Member  State  shall  ensure  the  compatibility  of  its  NS  with  the  SIS  II  and 
observe  the  procedures  and  technical  standards  established  for  that  purpose,  in 
accordance with the procedure referred to in Article 35 (2). 

Where relevant, Member States shall ensure that the data present in the copies of the 
data of the CS-SIS database is at all times identical and consistent with the CS-SIS. 

Where relevant, Member States shall ensure that a search in copies of the data of the 
CS-SIS produces the same result as a search performed directly in the CS-SIS. 

Article 10 

Security and confidentiality 

1. 

Member States having access to data processed in the SIS II shall take the necessary 
measures to: 

(a) 

prevent  any  unauthorised  person  having  access  to  installations  in  which 
operations relating to the NI-SIS and NS are carried out (checks at the entrance 
to the installation);  

(b)  prevent SIS II data and data media from being accessed, read, copied, modified 

or erased by unauthorised persons (control of data media);  

(c) 

(d) 

(e) 

(f) 

(g) 

prevent  the  unauthorised  accessing,  reading,  copying,  modification  or  erasure 
of  SIS  II  data  for  transmission  between  the  NS  and  the  SIS  II  (control  of 
transmission); 

ensure the possibility of checking and establishing a posteriori what SIS II data 
has been recorded, when and by whom (control of data recording);  

prevent unauthorised processing of SIS II data in the NS and any unauthorised 
modification  or  erasure  of  SIS  II  data  recorded  in  the  NS  (control  of  data 
entry);  

ensure that, in using the NS, authorised persons have access only to SIS II data 
which fall within their competence (control of access);  

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

(h)  monitor the effectiveness of the security measures referred to in this paragraph 

(self-auditing). 

EN 

16 

   EN 

 
2. 

3. 

1. 

2. 

3. 

4. 

Member States shall take measures equivalent to those referred to in paragraph 1 as 
regards security and confidentiality in respect of the exchange and further processing 
of supplementary information.  

Professional secrecy or an equivalent obligation of confidentiality shall apply to all 
persons  and  to  all  bodies  required  to  work  with  SIS  II  data  and  supplementary 
information. 

The  obligation  of  confidentiality  shall  also  apply  after  those  people  leave  office  or 
employment or after the termination of the activities of those bodies. 

Article 11 

Keeping of logs at national level 

Each Member State shall keep logs of all exchanges of data with the SIS II and its 
further processing, for the purpose of monitoring the lawfulness of data processing, 
ensuring the proper functioning of the NS, data integrity and security.  

The logs shall show, in particular, the date and time of the data transmitted, the data 
used  for  interrogation,  the  data  transmitted  and  the  name  of  both  the  competent 
authority and the person responsible for processing the data. 

The logs shall be protected by appropriate measures against unauthorised access and 
erased after a period of one year, if they are not required for monitoring procedures 
which have already begun. 

The competent authorities of the Member States, in particular those in charge of the 
supervision of the processing of data in the SIS II, shall have the right to access the 
logs for the purposes of monitoring the lawfulness of data processing and to ensure 
the proper functioning of the system including data integrity and security. 

Each Member State shall transmit the findings of such monitoring to the Commission 
without delay to enable them to be integrated, as appropriate, into the reports referred 
to in Article 34 (3). 

Chapter III 

Responsibilities of the Commission 

Article 12 

Operational management 

1. 

The Commission shall be responsible for the operational management of the SIS II.  

EN 

17 

   EN 

 
 
2. 

The operational management shall consist of all the tasks necessary to keep the SIS 
II  functioning  on  a  24  hours  a  day,  7  days  a  week  basis  in  accordance  with  this 
Regulation,  in  particular  the  maintenance  work  and  technical  developments 
necessary for the smooth running of the system. 

Article 13 

Security and confidentiality 

With reference to the operation of the SIS II, the Commission shall apply Article 10 mutatis 
mutandis. 

Article 14 

Keeping of logs at central level 

All  processing  operations  within  the  SIS  II  shall  be  logged  for  the  purposes  of 
monitoring the lawfulness of data processing and ensuring the proper functioning of 
the system, data integrity and security. 

The  logs  shall  show,  in  particular,  the  date  and  time  of  the  operation,  the  data 
processed and the identification of the competent authority.  

The logs shall be protected by appropriate measures against unauthorised access and 
erased  after  a  period  of  one  year  following  erasure  of  the  alert  to  which  they  are 
related, if they are not required for monitoring procedures which have already begun. 

The competent national authorities, in particular those in charge of the supervision of 
processing  data  in  the  SIS  II,  shall  have  the  right  to  access  the  logs  only  for  the 
purposes  of  monitoring  the  lawfulness  of  data  processing  and  to  ensure  the  proper 
. 
functioning  of 

including  data 

security. 

integrity 

system, 

and 

the 

Such access shall be reserved to the logs relating to the processing operations carried 
out by the Member State concerned. 

The  Commission  shall  have  the  right  to  access  the  logs  only  for  the  purposes  of 
ensuring the proper functioning of the system, data integrity and security. 

The European Data Protection Supervisor shall have the right to access the logs for 
the  sole  purpose  of  monitoring  the  lawfulness  of  the  personal  data  processing 
operations performed by the Commission including data security. 

1. 

2. 

3. 

4. 

5. 

6. 

EN 

18 

   EN 

 
 
Chapter IV 

Alerts issued in respect of third country nationals for the purpose 
of refusing entry 

Article 15 

Objectives and conditions for issuing alerts  

1. 

Member States shall issue alerts in respect of third country nationals for the purpose 
of  refusing  entry  into  the  territory  of  the  Member  States  on  the  basis  of  a  decision 
defining  the  period  of  refusal  of  entry  taken  by  the  competent  administrative  or 
judicial authorities, in the following cases:  

(a) 

if the presence of the third country national in the territory of a Member State 
represents  a  serious  threat  to  public  policy  or  public  security  of  any  Member 
State based on an individual assessment, in particular if: 

(i) 

the  third  country  national  has  been  sentenced  to  a  penalty  involving 
deprivation  of  liberty  of  at  least  one  year  following  a  conviction  of 
offence  referred  to  in  Article  2  (2)  of  Council  Framework  Decision 
2002/584/JHA27on  the  European  arrest  warrant  and  the  surrender 
procedures between Member States; 

(ii) 

the third country national is the object of a restrictive measure intended 
to  prevent  entry  into  or  transit  through  the  territory  of  Member  States, 
taken in accordance with Article 15 of the EU Treaty. 

(b) 

if the third country national is the subject of a re-entry ban in application of a 
return  decision  or  removal  order  taken  in  accordance  with  Directive 
2005/XX/EC[on Return]28. 

2. 

Member  States  shall  issue  the  alerts  referred  to  in  paragraph  1  in  accordance  with 
Article  25  (2)  of  the  Schengen  Convention  and  without  prejudice  to  any  provision 
which may be more favourable for the third country national laid down in: 

(a)  Council Directive 2003/86/EC on the right to family reunification29;  

(b)  Council Directive 2003/109/EC concerning the status of third country nationals 

who are long-term residents30;  

27 
28 
29 
30 

OJ L190, 18.7.2002, p.1. 
OJ XX 
OJ L 251, 3.10.2003, p. 12. 
OJ L 16, 23.1.2004, p. 44. 

EN 

19 

   EN 

 
                                                 
(c)  Council Directive 2004/81/EC on the residence permit issued to third-country 
nationals who are victims of trafficking in human beings or who have been the 
subject  of  an  action  to  facilitate  illegal  immigration,  who  cooperate  with  the 
competent authorities31; 

(d)  Council Directive 2004/83/EC on minimum standards for the qualification and 
status of third country nationals or stateless persons as refugees or as persons 
who  otherwise  need  international  protection  and  the  content  of  the  protection 
granted32; 

(e)  Council Directive 2004/114/EC on the conditions of admission of third country 
nationals for the purpose of studies, pupil exchange, unremunerated training or 
voluntary service33; 

(f)  Council  Directive  2005/XX/EC  on  a  specific  procedure  for  admitting  third-

country nationals for purposes of scientific research34.  

3. 

Where the decision to issue an alert is taken by an administrative authority, the third 
country  national  shall  have  the  right  to  a  review  by  or  an  appeal  to  a  judicial 
authority. 

Article 16 

Categories of data 

1. 

No  more  than  the  following  data  shall  be  contained  in  alerts  on  third  country 
nationals for the purpose of refusing entry: 

(a) 

surname(s) and forename(s), name at birth and previously used names and any 
aliases, possibly entered separately; 

(b)  date and place of birth; 

(c) 

sex;  

(d)  photographs; 

(e) 

fingerprints; 

(f) 

nationality; 

(g) 

any  specific  objective  and  physical  characteristics  not  subject  to  frequent 
change ; 

(h) 

authority issuing the alert; 

31 
32 
33 
34 

OJ L 261, 6.8.2004, p. 19. 
OJ L 304, 30.9.2004, p. 12. 
OJ L 375, 23.12.2004, p. 12. 
OJ L XX 

EN 

20 

   EN 

 
                                                 
(i) 

a reference to the decision giving rise to the alert that must be: 

- 

a judicial or administrative decision based on a threat to public policy or 
internal  security  including,  if  relevant,  the  decision  of  conviction  or  the 
restrictive measure taken in accordance with Article 15 of the EU Treaty 
or 

- 

a return decision and/or removal order accompanied by a re-entry ban; 

(j) 

link(s) to other alerts processed in the SIS II. 

2. 

3. 

The  data  referred  to  in  paragraph  1  shall  only  be  used  to  identify  a  person  for  the 
purposes set out in this Regulation. 

The  technical  rules  necessary  for  entering  and  accessing  the  data  referred  to  in 
paragraph  1  shall  be  established  in  accordance  with  the  procedure  referred  to  in 
Article 35 (3).  

Article 17 

Authorities with right to access the alerts  

1. 

The  following  authorities  shall  have  the  right  to  access  the  alerts  referred  to  in 
Article 15 (1) for the purpose of refusing entry: 

(a) 

authorities  responsible  for  control  of  persons  at  the  external  borders  of  the 
Member States;  

(b) 

authorities responsible for issuing of visas  

2. 

3. 

4. 

In case of a hit, the information on authorisations to enter required by Article 5 (2) of 
the  Schengen  Convention  shall  be  provided  by  the  exchange  of  supplementary 
information. The detailed rules for this exchange shall be adopted in accordance with 
the  procedure  referred  to  in  Article  35  (3)  of  this  Regulation  and  inserted  in  the 
SIRENE Manual.  

Access  to  the  alerts  shall  be  given  to  the  authorities  responsible  for  the  issuing  of 
residence  permits  in  order  to  decide  on  the  granting  of  the  residence  permit  in 
accordance  with  the  procedure  laid  down  in  Article  25  (1)  of  the  Schengen 
Convention.  

The consultation required by Article 25 of the Schengen Convention shall be carried 
out by means of the exchange of supplementary information. The detailed rules for 
this exchange shall be adopted in accordance with the procedure referred to in Article 
35 (3) of this Regulation and inserted in the SIRENE Manual.  

EN 

21 

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Article 18 

Other authorities with right to access  

1. 

2. 

3. 

Access to the alerts issued in accordance with Article 15 (1) (b) shall be given to the 
authorities  responsible  for  the  implementation  of  Directive  2005/XX/EC  for  the 
purpose  of  identifying  a  third  country  national  staying  illegally  in  the  territory  in 
order to enforce a return decision or removal order.  

Access to the alerts issued in accordance with Article 15 (1) (b) shall be given to the 
authorities  responsible  for  the  implementation  of  Regulation  (EC)  No  343/2003 
establishing  the  criteria  and  mechanisms  for  determining  the  Member  State 
responsible for examining an asylum application lodged in one of the Member States 
by  a  third-country  national35,  for  the  purpose  of  determining  whether  an  asylum 
applicant has stayed illegally in another Member State. 

Access to the alerts issued in accordance with Article 15 (1) (a) shall be given to the 
authorities responsible for the implementation of Directive 2004/83/EC and Directive 
2005/XX/EC36 [on minimum standards on procedures in Member States for granting 
and  withdrawing  refugee  status]  for  the  purpose  of  determining  whether  a  third 
country national represents a threat to public order or internal security. 

Article 19 

Access to alerts on identity documents 

The  authorities  referred  to  in  Article  17  and  18  (1)  shall  have  the  right  to  access  alerts  on 
identity documents referred to in Article 35 (1) (d) and (e) of Decision 2006/XX in order to 
verify that the identity document produced by the third country national has not been stolen, 
misappropriated, or lost. 

Article 20 

Conservation period of the alerts 

Alerts  issued  pursuant  to  Article  15  (1)  shall  not  be  kept  longer  than  the  period  of 
refusal of entry laid down in the decision referred to in this provision.  

Alerts  issued  in  respect  of  a  person  who  has  acquired  citizenship  of  any  Member 
State  shall  be  erased  as  soon  as  the  Member  State  which  issued  the  alert  becomes 
aware that the person has acquired such citizenship. 

Alerts  issued  in  respect  of  third  country  nationals  who  become  members  of  the 
family of a citizen of the Union or of other beneficiaries of Community law on the 

OJ L 50, 25.02.03, p.1 
OJ XX 

1. 

2. 

3. 

35 
36 

EN 

22 

   EN 

 
                                                 
4. 

5. 

6. 

1. 

2. 

3. 

right  to  free  movement  shall  be  erased  as soon as the Member State which entered 
the alert becomes aware that the person has acquired such new status. 

The alerts shall be reviewed in order to determine if they comply with the Directives 
listed in Article 15 (2) when these become applicable to the third country national in 
respect of whom the alert has been issued.  

The alerts shall automatically be erased after five years from the date of the decision 
referred to in Article 15 (1). The Member States having entered the data in the SIS II 
may  decide  to  keep  the  alerts  in  the  system  if  the  conditions  of  Article  15  are 
fulfilled. 

Member  States  will  be  informed  systematically  one  month  before  the  automatic 
erasure of the alerts from the system. 

CHAPTER V 

General data processing rules 

Article 21 

Processing of SIS II data 

Data entered in the SIS II pursuant to this Regulation shall only be processed for the 
purposes and by the competent national authorities defined by the Member States in 
accordance with this Regulation. 

Access to SIS II data shall only be authorised within the limits of the competence of 
the national authority and to duly authorised staff. 

Each Member State shall maintain and transmit to the Commission an up-to-date list 
of  national  authorities  who  are  authorised  to  process  SIS  II  data.  That  list  shall 
specify, for each authority, which category of data it may process, for what purpose 
and  who  is  to  be  considered  as  controller,  and  shall  be  communicated  by  the 
Commission  to  the  European  Data  Protection  Supervisor.  The  Commission  shall 
ensure  the  annual  publication  of  the  list  in  the  Official  Journal  of  the  European 
Union. 

Article 22 

Entering a reference number 

A  Member  State  accessing  the  SIS  II  without  making  use  of  a  copy  of  data  of  the  CS-SIS 
referred  to  in  Article  4  (3)  may  add  a  reference  number  to  the  alerts  it  issues  for  the  sole 
purpose of tracing national information linked to the issued alert. 

EN 

23 

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Access to the reference number shall be restricted to the Member State that issued the alert. 

Article 23 

Copy of SIS II data 

1. 

2. 

3. 

4. 

1. 

2. 

3. 

4. 

Except  for  the  copy  of  data  of  the  CS-SIS  referred  to  in  Article  4  (3),  the  data 
processed in the SIS II may only be copied for technical purposes and provided that 
such copying is necessary for the competent national authorities to access the data in 
accordance with this Regulation.  

Data  entered  into  the  SIS  II  by  another  Member  State  shall  not  be  copied  into  a 
Member State’s own national data files. 

Paragraph 2 shall not prejudice the right of a Member State to keep in its national file 
SIS II data in connection with which action has been taken on its territory. Such data 
shall be kept in national files for a maximum period of three years, except if specific 
provisions in national law provide for a longer retention period. 

This  article  shall  not  prejudice  the  right  of  a  Member  State  to  keep  in  its  national 
files data contained in a particular alert, which that Member State has issued in the 
SIS II. 

Article 24 

Quality of the data processed in the SIS II and compatibility between alerts 

The  Member  State  entering  the  data  in  the  SIS  II  shall  be  responsible  for  ensuring 
that  that  data  is  processed  lawfully  and,  in  particular,  that  it  is  accurate  and  up-to-
date.  

Only  the  Member  State  which  entered  the  data  in  the  SIS  II  shall  modify,  add  to, 
correct or erase it. 

If a Member State, which did not enter the data, has evidence suggesting that data is 
incorrect or has been unlawfully processed in the SIS II, it shall inform the Member 
State which entered the data by exchanging supplementary information at the earliest 
opportunity  and  if  possible  not  later  then  10  days  after  the  evidence  comes  to  its 
attention. The Member State which entered the data shall check it and, if necessary, 
modify,  add  to,  correct  or  erase  it.  The  detailed  rules  for  this  exchange  of 
supplementary  information  shall  be  adopted  in  accordance  with  the  procedure 
defined in Article 35 (3) and inserted in the SIRENE Manual.  

If  Member  States  are  unable  to  reach  agreement  within  two  months  about  the 
correction  of  the  data,  any  of  them  may  submit  the  case  to  the  European  Data 
Protection Supervisor who shall act as mediator. 

EN 

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5. 

6. 

The Member States shall exchange supplementary information in order to distinguish 
accurately between alerts in the SIS II related to persons with similar characteristics. 
The detailed rules for this exchange of supplementary information shall be adopted 
in  accordance  with  the  procedure  defined  in  Article  35  (3)  and  inserted  in  the 
SIRENE Manual.  

When  a  person  is  already  the  subject  of  an  alert  in  the  SIS  II,  the  Member  State 
issuing a new alert in respect of the same person shall reach agreement on the entry 
of this new alert with the Member State which issued the first alert. The agreement 
shall  be  reached  on  the  basis  of  the  exchange  of  supplementary  information.  The 
detailed  rules  for  this  exchange  of  supplementary  information  shall  be  adopted  in 
accordance with the procedure defined in Article 35 (3) and inserted in the SIRENE 
Manual.  

Different  alerts  on  the  same  person  may  be  entered  in  the  SIS  II  if  they  are 
compatible.  

The  rules  governing  the  compatibility  and  priority  of  categories  of  alerts  shall  be 
determined in accordance with the procedure set out in Article 35 (3). 

7. 

Data  kept  in  the  SIS  II  shall  be  reviewed  at  least  annually  by  the  issuing  Member 
State. Member States may provide for a shorter review period. 

Article 25 

Additional data for the purpose of dealing with misidentifications of persons 

1. 

2. 

Where  confusion  may  arise  between  the  person  actually  intended  by  an  alert  and  a 
person whose identity has been misused, Member States shall add data related to the 
latter to the alert in order to avoid the negative consequences of misidentifications.  

The  data  related  to  an  individual  whose  identity  has  been  misused  shall  only  be 
added with that individual’s explicit consent and shall only be used for the following 
purposes:  

a) 

b) 

to allow the competent authority to differentiate the individual whose identity 
has been misused from the person actually intended by the alert; 

to  allow  the  individual  whose  identity  has  been  misused  to prove  his  identity 
and to establish that his identity has been misused. 

3. 

No  more  than  the  following  personal  data  may  be  entered  and  further  processed  in 
the SIS II for the purpose of this article: 

(a) 

surname(s) and forename(s), any aliases possibly entered separately; 

(b)  date and place of birth; 

(c) 

sex; 

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25 

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(d)  photographs; 

(e) 

fingerprints; 

(f) 

any specific objective and physical characteristic not subject to frequent change  

(g)  nationality; 

(h)  number(s) of identity paper(s) and date of issuing. 

The  data  referred  to  in  paragraph  3  shall  be  erased  at  the  same  time  as  the 
corresponding alert or earlier if the person so requests. 

Only the authorities having the right to access the corresponding alert may access the 
data referred to in paragraph 3 and for the sole purpose of avoiding misidentification. 

The technical rules referred to in Article 16 (3) shall apply to the data referred to in 
paragraph 3 of this article. 

Article 26 

Links between alerts 

A Member State may create a link between alerts it issues in the SIS II in accordance 
with  its  national  legislation.  The  effect  of  such  a  link  shall  be  to  establish  a 
relationship between two or more alerts. 

The creation of a link shall not affect the specific action to be taken on the basis of 
each linked alert or the conservation period of each of the linked alerts. 

The  creation  of  a  link  shall  not  affect  the  rights  to  access  provided  for  in  this 
Regulation. Authorities with no right to access certain categories  of  alerts shall not 
have access to the links to those categories.  

When  a  Member  State  considers  that  the  creation  of  a  link  between  alerts  is 
incompatible  with  its  national  law  or  international  obligations,  it  may  take  the 
necessary  measures  to  ensure  there  can  be  no  access  to  the  link  from  its  national 
territory. 

The technical rules for linking alerts shall be adopted in accordance with Article 35 
(3). 

Article 27 

4. 

5. 

6. 

1. 

2. 

3. 

4. 

5. 

Purpose and conservation period of supplementary information  

1. 

Member States shall keep a copy of the decisions referred to in Article 16 (1) (i) to 
support the exchange of supplementary information.  

EN 

26 

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2. 

3. 

The  supplementary  information  transmitted  by  another  Member  State  shall  be  used 
only  for  the  purpose  for  which  it  was  transmitted.  It  shall  only  be  kept  in  national 
files as long as the alert to which it relates is kept in the SIS II. Member States may 
keep  this  information  for  a  longer  period  if  necessary  to  achieve  the  purpose  for 
which it was transmitted. In any event, the supplementary information shall be erased 
at the latest one year after the related alert has been erased from the SIS II. 

Paragraph 2 shall not prejudice the right of a Member State to keep in national files 
data relating to a particular alert in connection with which action has been taken on 
its territory. Such data may be held in national files for a maximum period of three 
years, except if specific provisions of national law authorise retention of the data for 
a longer period. 

CHAPTER VI 

Data protection 

Article 28 

Right of information  

An  individual  whose  data  is  to  be  processed  in  the  SIS  II  for  the  purpose  of  refusing  entry 
shall be informed of: 

(a) 

(b) 

(c) 

(d) 

(e) 

1. 

2. 

the identity of the controller and his representative, if any; 

the purposes for which the data will be processed within the SIS II; 

the potential recipients of the data; 

the reason for issuing the alert in the SIS II; 

the existence of the right of access and the right to rectify his personal data. 

Article 29 

Right of access, rectification and erasure  

The right of individuals to have access to, and to obtain the rectification or erasure of 
their personal data processed in the SIS II shall be exercised in accordance with the 
law of the Member State before which that right is invoked. 

If  the  Member  State  before  which  the  right  of  access  is  invoked  did  not  enter  the 
data, it shall communicate the data to the individual concerned after having given the 

EN 

27 

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Member State which entered the data an opportunity to state its position. This shall 
be  done  through  an  exchange  of  supplementary  information.  The  detailed  rules  for 
this exchange of supplementary information shall be adopted in accordance with the 
procedure defined in Article 35 (3) and inserted in SIRENE Manual.  

3. 

4. 

The  personal  data  shall  be  communicated  to  the  individual  concerned  as  soon  as 
possible and in any event not later than 60 days from the date on which he applies for 
access. 

The  individual  shall  be  informed  about  the  follow-up  given  to  the  exercise  of  his 
rights of rectification and erasure as soon as possible and in any event not later than 6 
months from the date on which he applies for rectification or erasure. 

Article 30 

Remedies  

Any person in the territory of any Member State shall have the right to bring an action or a 
complaint before the courts of that Member State if he is refused the right of access to or the 
right to rectify or erase data relating to him or the right to obtain information or reparation in 
connection with the processing of his personal data contrary to this Regulation. 

Article 31 

Data protection authorities 

1. 

2. 

3. 

Each  Member  State  shall  require  that  the  authorities  designated  pursuant  to  Article 
28(1)  of  Directive  95/46/EC  to  monitor  independently  the  lawfulness  of  the 
processing of SIS II personal data on its territory, including the exchange and further 
processing of supplementary information  

The  European  Data  Protection  Supervisor  shall  monitor  that  the  personal  data 
processing  activities  of  the  Commission  are  carried  out  in  accordance  with  this 
Regulation.  

The  national  supervisory  authorities  and  the  European  Data  Protection  Supervisor 
shall  cooperate  actively  with  each  other.  The  European  Data  Protection  Supervisor 
shall convene a meeting for that purpose at least once a year. 

EN 

28 

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CHAPTER VII 

Liability and sanctions 

Article 32 

Liability 

1. 

2. 

3. 

Each  Member  State  shall  be  liable  for  any  damage  caused  to  an  individual  arising 
from  unauthorised  or  incorrect  processing  of  data,  communicated  via  the  SIS  II  or 
SIRENE authorities, carried out by that Member State. 

If the Member State against which an action is brought pursuant to paragraph 1, is 
not the Member State which entered the data in the SIS II, the latter shall reimburse, 
on  request,  the  sums  paid  out  as  compensation  unless  the  data  was  used  by  the 
requested Member State in breach of this Regulation. 

If  failure  of  a  Member  State  to  comply  with  its  obligations  under  this  Regulation 
causes damage to the SIS II, that Member State shall be held liable for such damage, 
unless and insofar as the Commission or other Member State(s) participating in the 
SIS  II  failed  to  take  reasonable  steps  to  prevent  the  damage  from  occurring  or  to 
minimise its impact. 

Article 33 

Sanctions 

Member  States  shall  ensure  that  processing  of  SIS  II  data  or  supplementary  information 
contrary  to  this  Regulation  is  subject  to  effective,  proportionate  and  dissuasive  sanctions  in 
accordance with national law.  

EN 

29 

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CHAPTER VIII 

Final Provisions 

Article 34 

1. 

2. 

3. 

4. 

Monitoring, evaluation and statistics 

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

For the purposes of technical maintenance, reporting and statistics, the Commission 
shall  have  access  to  the  necessary  information  related  to  the  processing  operations 
performed in the SIS II. 

Two  years  after  the  SIS  II  starts  operations  and  every  two  years  thereafter,  the 
Commission shall submit to the European Parliament and the Council a report on the 
activities  of  the  SIS  II  and  on  the  bilateral  and  multilateral  exchange  of 
supplementary information between Member States.  

Four  years  after  the  SIS  II  starts  operations  and  every  four  years  thereafter,  the 
Commission  shall  produce  an  overall  evaluation  of  the  SIS  II  and  the  bilateral  and 
multilateral  exchange  of  supplementary  information  between  Member  States.  This 
overall  evaluation  shall  include  the  examination  of  results  achieved  against 
objectives  and  assess  the  continuing  validity  of  the  underlying  rationale  and  any 
implications of future operations. The Commission shall transmit the reports on the 
evaluation to the European Parliament and the Council. 

5. 

Member States shall provide the Commission with the information necessary to draft 
the reports referred to in paragraphs 3 and 4. 

Article 35 

Committee 

1. 

2. 

3. 

The Commission shall be assisted by a Committee. 

Where  reference  is  made  to  this  paragraph,  the  advisory  procedure  laid  down  in 
Article  3  of  Decision  1999/468/EC  shall  apply,  in  compliance  with  Article  7  (3) 
thereof. 

Where  reference  is  made  to  this  paragraph,  the  regulatory  procedure  laid  down  in 
Article  5  of  Decision  1999/468/EC  shall  apply,  in  compliance  with  Article  7(3) 
thereof.  

EN 

30 

   EN 

 
 
The  period  provided  for  in  Article  5(6)  of  Decision  1999/468/EC  shall  be  three 
months. 

4. 

The Committee shall adopt its Rules of Procedure. 

1. 

2. 

Article 36 

Amendment of the Schengen Convention  

For the purposes of matters falling within the scope of the EC Treaty, this Regulation 
replaces  Articles  92  to  119  of  the  Schengen  Convention,  with  the  exception  of 
Article 102 (a) thereof.  

It also replaces the following provisions of the Schengen acquis implementing those 
articles37:  

a)  Decision  of  the  Executive  Committee  of  14  December  1993  on  the  Financial 
Regulation  on  the  costs  of  installing  and  operating  the  Schengen  information 
system (C.SIS) (SCH/Com-ex (93) 16); 

b)  Decision of the Executive Committee of 7 October 1997 on contributions from 
Norway  and  Iceland  to  the  costs  of  installing  and  operating  of  the  C.SIS 
(SCH/Com-ex (97) 18); 

c)  Decision of the Executive Committee of 7 October 1997 on the development of 

the SIS (SCH/Com-ex (97) 24); 

d)  Decision  of  the  Executive  Committee  of  15  December  1997  amending  the 

Financial Regulation on C.SIS (SCH/Com-ex (97) 35);  

e)  Decision  of  the  Executive  Committee  of  21  April  1998  on  C.SIS  with  15/18 

connections (SCH/Com-ex (98) 11);  

f) 

Decision  of  the  Executive  Committee  of  28  April  1999  on  C.SIS  installation 
expenditure (SCH/Com-ex (99) 4);  

g)  Decision of the Executive Committee of 28 April 1999 on updating the Sirene 

manual (SCH/Com-ex (99) 5);  

h)  Declaration of the Executive Committee of 18 April 1996 defining the concept 

of alien (SCH/Com-ex (96) decl. 5);  

i) 

Declaration  of  the  Executive  Committee  of  28  April  1999  on  the  structure  of 
SIS (SCH/Com-ex (99) decl. 2 rev.). 

3. 

For the purposes of matters falling within the scope of the EC Treaty, references to 
the  replaced  articles  of  the  Schengen  Convention  and  relevant  provisions  of  the 
Schengen acquis implementing those articles shall be construed as references to this 

37 

OJ L 239 22.9.2000, p. 439. 

EN 

31 

   EN 

 
                                                 
Regulation  and  shall  be  read  in  accordance  with  the  correlation  table  set  out  in  the 
Annex.  

Article 37 

Repeal 

Regulation (EC) No 378/2004 is repealed. 

Article 38 

Transitional period and budget  

1. 

2. 

1. 

2. 

Articles  94,  96  and  101  (1)  and  (2)  of  the  Schengen  Convention  shall  continue  to 
apply  to  alerts  issued  in  the  SIS  and  transferred  to  the  SIS  II  or  to  alerts  issued 
directly  in  the  SIS  II  before  the  date  set  in  accordance  with  Article  39  (3)  of  this 
Regulation until one year after that date. 

One  year  after  the  date  set  in  accordance  with  Article  39  (3),  those  alerts  shall  be 
automatically erased from the SIS II unless Member States have reissued those alerts 
in accordance with this Regulation.  

The remainder of the budget at the date set in accordance with Article 39 (2), which 
has been approved in accordance with Article 119 of the Schengen Convention, shall 
be paid back to the Member States. The amounts to be repaid shall be calculated on 
the basis of the contributions from the Member States as laid down in the Decision of 
the  Executive  Committee  of  14  December  1993  on  the  financial  regulation  on  the 
costs of installing and operating the Schengen Information System. 

Article 39 

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  a  date  to  be  determined  by  the  Commission  in  accordance  with 
paragraphs 2 and 3. 

The date from which Articles 1 to 14 and 21 to 38 with the exception of Articles 22, 
25 and 26 are to apply shall be determined after: 

(a) 

the necessary implementing measures have been adopted; 

(b) 

the  Commission  has  made  the  necessary  technical  arrangements  for  allowing 
the SIS II to be connected to the Member States and 

EN 

32 

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(c) 

all  Member  States  have  notified  the  Commission  that  they  have  made  the 
necessary technical and legal arrangements to process SIS II data and exchange 
supplementary information in accordance with the aforementioned articles. 

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

3. 

The date from which Articles 15 to 20 and Articles 22, 25 and 26 are to apply shall 
be determined after:  

(a) 

the necessary implementing measures have been adopted and 

(b) 

all  Member  States  have  notified  the  Commission  that  they  have  made  the 
necessary technical and legal arrangements to process SIS II data and exchange 
supplementary information in accordance with the aforementioned articles. 

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

This Regulation shall be binding in its entirety and directly applicable in all 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 

EN 

33 

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Correlation table 

ANNEX  

Schengen 
Articles 

Art. 92(1) 

Convention38 

Regulation Articles  

Art.  1(1);  Art.  2(1);  Art. 
4(1)(2)(3) 

Art. 92(2) 

Art. 4(1)(2)(3);  

Art. 92(3) 

Art. 92(4) 

Art. 93 

Art. 94(1) 

Art. 94(2) 

Art. 94(3) 

Art. 94(4) 

Art. 95(1) 

Art. 95(2) 

Art. 95(3) 

Art. 95(4) 

Art. 95(5) 

Art. 95(6) 

Art. 96(1) 

Art. 96(2) 

Art. 96(3) 

Art. 5(2)(3); Art.6; Art.9 

Art.  4(1)(2)(3),  Art.  5(1), 
Art. 12 

Art.3 (1); Art. 7(2)(3); Art.8 

Art.1(2) 

Art. 21(1) 

Art.15(1) 

Art. 16(1); Art. 25(3) 

Art. 15(1) 

Art. 15(1) 

Art. 15(1) 

38 

Articles  and  paragraphs  in  italics  have  been  added  or  amended  by  Council  Regulation  (EC)  No. 
871/2004 and Council Decision 2005/211/JHA on the introduction of new functions for the Schengen 
Information System, including the fight against terrorism. 

EN 

34 

   EN 

 
 
 
 
 
 
 
 
                                                 
Convention38 

Regulation Articles  

Art. 17(1) 

Art.  17(1)(3);  Art.  18; 
Art.19 

Art. 21(2) 

Art. 21(3) 

Schengen 
Articles 

Art. 97 

Art. 98(1) 

Art. 98(2) 

Art. 99(1) 

Art. 99(2) 

Art. 99(3 ) 

Art. 99(4) 

Art. 99(5)  

Art. 99(6) 

Art. 100(1) 

Art. 100(2) 

Art. 100(3) 

Art. 101(1) 

Art. 101(2) 

Art. 101(3) 

Art. 101(4) 

Art. 101A(1) 

Art. 101A(2) 

Art. 101A(3) 

Art. 101A(4) 

Art. 101A(5) 

Art. 101A(6) 

Art. 101B(1) 

Art. 101B(2) 

EN 

35 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Schengen 
Articles 

Art. 101B(3) 

Art. 101B(4) 

Art. 101B(5) 

Art. 101B(6) 

Art. 101B(7) 

Art. 101B(8) 

Art. 102(1) 

Art. 102(2) 

Art. 102(3) 

Art. 102(4) 

Art. 102(5) 

Art. 103  

Art. 104(1) 

Art. 104(2) 

Art. 104(3) 

Art. 105 

Art. 106(1) 

Art. 106(2) 

Art. 106(3) 

Art. 107 

Art. 108(1) 

Art. 108(2) 

Art. 108(3) 

Art. 108(4) 

EN 

Convention38 

Regulation Articles  

Art. 21(1) 

Art. 23(1)(2) 

Art.17(1)(3); Art.18; Art.19 

Art. 32(1) 

Art. 11 

Art. 24(1) 

Art. 24(2) 

Art. 24(3) 

Art. 24(4) 

Art. 24(6) 

Art. 7(1) 

Art. 6; Art. 7(1); 

Art. 9(1) 

Art. 7(3) 

36 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
Convention38 

Regulation Articles  

Art. 28; Art. 29(1)(2)(3) 

Art. 29(1)(4); Art.31(1) 

Art. 30 

Art.  20(1)(2)(3)(4)(5);  Art. 
24(7) 

Art. 24(7) 

Art. 20(6) 

Art.20(5) 

Art. 27(2) 

Art. 27(3) 

Art. 14(3)(4)(5)(6) 

Art. 27(2) 

Art. 27(3) 

Art. 31(1) 

Art. 31  

Art. 31(2) 

Art. 32(1) 

Art. 32(2) 

Schengen 
Articles 

Art. 109(1) 

Art. 109(2) 

Art. 110 

Art. 111(1) 

Art. 111(2) 

Art. 112(1) 

Art. 112(2) 

Art. 112(3) 

Art. 112(4) 

Art. 112A(1) 

Art. 112A(2) 

Art. 113(1) 

Art. 113(2) 

Art. 113A(1) 

Art. 113A(2) 

Art. 114(1) 

Art. 114(2) 

Art. 115(1) 

Art. 115(2) 

Art. 115(3) 

Art. 115(4) 

Art. 116(1) 

Art. 116(2) 

Art. 117(1) 

EN 

37 

   EN 

 
 
 
 
 
 
 
 
Schengen 
Articles 

Art. 117(2) 

Art. 118(1) 

Art. 118(2) 

Art. 118(3) 

Art. 118(4) 

Art. 119(1) 

Art. 119(2) 

Convention38 

Regulation Articles  

Art. 10(1) 

Art. 10(1) 

Art. 10(3) 

Art. 13 

Art. 5(1); Art.38(2) 

Art. 5(2)(3) 

EN 

38 

   EN 

 
 
 
FINANCIAL STATEMENT 

Policy area(s): JLS 

Activit(y/ies): Strategy, policy and coordination. 

TITLE OF ACTION: FUNCTIONING OF THE SIS II 

1. 

BUDGET LINE(S) + HEADING(S) 

18 08 02 Schengen Information System, second generation (SIS II) 

2. 

2.1 

OVERALL FIGURES 

Total allocation for action (Part B):  

132 Million € for commitments until 2013 

2.2 

Period of application: 

•  From 2007 to 2013 (for this statement) 

•  Undetermined duration, after 2013. 

2.3 

Overall multi-annual estimate of expenditure: 

a)  Schedule  of  commitment  appropriations/payment  appropriations  (financial 
intervention) (cfr. point 6.1.1) 

€ Million (to 3 decimal places) 

2007 

2008 

2009 

2010 

2011 

2012 and 
subseque
nt years 

Total 

Commitments 

11,000 

13,000 

21,000  33,000  18,000 

36,000 

132,000 

Payments 

5,500 

12,000 

17,000  27,000  25,500 

45,000 

132,000 

It  is  estimated  that  fifty  percent  of  the  payments  will  be  made  in  the  year  of 
commitment, the rest the following year. 

b) Technical and Administrative assistance and support expenditure (cf. point 6.1.2) 

CE 

CP 

CE 

CP 

Sub-total a+b 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

0,000 

11,000  13,000  21,000  33,000  18,000 

36,000 

132,000 

5,500 

12,000  17,000  27,000  25,500 

45,000 

132,000 

EN 

39 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
c)  Overall  financial  impact  of  human  resource  and  other  administrative  expenditure  
(cf. points 7.2 and 7.3) 

2007 

2008 

2009 

2010 

2011 

CE/CP 

3,401 

3,401

3,401 

3,401 

3,401 

2012 and 
subseque
nt years 
6,802 

Total 

23,807 

TOTAL a+b+c 

CE 

CP 

14,401  16,401  24,401  36,401  21,401 

42,802 

8,901 

15,401  20,401  30,401  28,901 

51,802 

155,807 

155,807 

2.4 

Compatibility with financial programming and financial perspectives 

(cid:133) 

Proposal is compatible with existing financial programming. 

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

2.5 

Financial impact on revenue 

(cid:59) 

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 acquis39. 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”40. 

39 
40 

OJ L 176, 10.7.1999, p. 36. 
Switzerland as a country to be associated with the implementation, application and development of the 
Schengen acquis will also contribute to the EU Budget. 

EN 

40 

   EN 

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

€ Million (to one decimal place) 

Prior to
action 

Situation following action 

Budget line   Revenue 

a) Revenue in absolute terms 

b) Change in revenue  

 ∆ 

2007 2008 2009 2010  2011  2012 and 
subsequent 
years 

0,2 

0,3 

0,4 

0,7 

0,4 

0,8 

3. 

BUDGET CHARACTERISTICS 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
form 
applicant 
countries 

Heading in 
financial 
perspective 

Non 
compuls. 

Diff 

NO 

NO 

NO 

N° 3 

4. 

LEGAL BASIS  

This statement accompanies two legislative proposals: 

-  a  Regulation  of  the  European  Parliament  and  the  Council  on  the  establishment,  operation 
and use of the Second Generation Schengen Information System (SIS II) based on Articles 62 
(2) (a) and 66 of the EC Treaty and; 

-  a  Council  Decision  on  the  establishment,  operation  and  use  of  the  Second  Generation  
Schengen Information System (SIS II) based on Articles 30 (1) (a) and (b), Article 31 (1) (a) 
and (b) and Article 34 (2) (c) of the EU Treaty. 

5. 

5.1 

DESCRIPTION AND GROUNDS 

Need for Community intervention  

5.1.1 Objectives pursued 

The  SIS  II  will  be  a  common  information  system  allowing  the  competent  authorities  in  the 
Member  States  to  cooperate,  by  exchanging  information  for  the  implementation  of  various 
policies  required,  in  order  to  establish  an  area  without  internal  frontiers.  It  will  replace  the 
current SIS, which does not have the capacity to service more than 18 participating States. It 
is at present operational for 13 Member States and 2 other States (Iceland and Norway).  

EN 

41 

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The  Council  therefore  adopted  a  Regulation  (EC)  No  2424/2001  and  Decision  No 
2001/886/JHA of 6 December 200141 on the development of the SIS II and entrusted this task 
to  the  Commission.  These  instruments  also  allowed  the  expenditure  involved  in  the 
development  phase  (2002-2006)  of  the  SIS  II  to  be  charged  to  the  budget  of  the  European 
Union. The present proposal aims to ensure the continuity of this Community support during 
the operational phase and provide findings for the development of new functionalities.  

The  target  date  for  the  SIS  II  to  be  operational,  as  required  by  the  Council,  is  set  for  the 
beginning of 2007. The Commission will need adequate facilities and sufficient resources to 
manage the SIS II for the start of operations.  

The  estimates  indicated  in  the  Communication  on  the  development  of  the  Schengen 
Information System II and possible synergies with a future Visa Information System (VIS) of 
December 2003  42 covered the development of the system for the period 2004-2006, whilst 
the present financial statement covers the expenditure necessary for operating the SIS II. 

The  objective  is  to  ensure  daily  maintenance  of  the  IT  system  by  acquiring  the  necessary 
resources  to  verify  the  system’s  activity,  carry  out  maintenance  interventions,  and  react  in 
case  of  difficulties  appearing  during  the  operational  management  procedures.  SIS  II 
management  needs  resources  both  technical  (IT  infrastructure  and  networks,  technical  and 
office space) and human (people in charge of administrative and technical management of the 
IT system). 

The objective is also to manage future evolutions of the system, including the integration of 
new functionalities such as the development of a biometrics search engine.  

5.1.2 Measures taken in connection with ex ante evaluation 

A feasibility study on the SIS II was carried out between September 2002 and July 2003.  

The results of this feasibility study were endorsed by the Council in June 2003 and presented 
by the Commission in the aforementioned Communication on the SIS II. 

The  chosen  architecture  (a  central  database  and  national  interfaces  which  store  no  data) 
requires a high availability and robustness, to be achieved through specific measures, such as 
doubled hardware and software, as well as data replication. The high availability of the SIS II, 
including the possibility for Member States to query the central SIS II database, allows those 
Member States, which are ready to do so, to discard their copy of data contained in the CS-
SIS database. The added value of such a feature is that the annual costs for the management 
and maintenance of the national database will be reduced for those Member States concerned. 

Apart from the feasibility study, the Commission examined the level of financial and human 
resources which the French Ministry of the Interior devotes to the operational management of 
the  current  SIS  to  which  the  Member  States  directly  contribute,  in  accordance  with  Article 
119  of  the  Schengen  Convention43.  The  budget  of  the  European  Union  must  cover  some 
additional items such as premises and infrastructure for hosting the systems, the cost covered 

41 
42 
43 

OJ L 328, 13.12.2001, p. 1. 
COM (2003) 711 
In  particular  the  Management  report  for  2003  on  C.SIS  installation  and  operation  Council  Doc.  No 
10613 SIRIS 73/COMIX 402, 07.07.2004 

EN 

42 

   EN 

 
                                                 
at this moment by France, and which do not impact on the total amount of the operating costs 
of the current SIS. 

5.1.3 Measures taken following ex post evaluation 

Not applicable 

5.2 

Action envisaged and budget intervention arrangements 

The  planned  financial  resources  must  cover  the  expenses  for  the  hosting  of  the  information 
system and for the necessary resources for its daily management and of its possible technical 
evolution. This is in line with the Council conclusions of 29 April 2004, which foresee two 
sites for the development of the SIS II. The financial resources must also cover the expenses 
related to the network which will link the Member States to the central domain. 

SIS II Management (see specific line in section 6.1.1 table): 

The estimates of the expenses to be borne by the budget of the European Union for the SIS II 
management include:  

•  Costs related to the office space occupied by people and computers (server rooms, offices, 
meeting rooms); these costs represent a significant part of the SIS II management budget 
for 2007 and increase slowly consistent with usual rates (maximum 4% yearly grow).  

•  Hardware costs: 

•  For 2007, a provision has been made for a specific investment intended to acquire 
network  devices  enabling  29  users  (Member  States  and  potential  European 
bodies) to be directly connected to the European network. This represents 52% of 
the SIS II management budget for 2007. For 2008, the envisaged provision covers 
only the linking-up of future new Members States (1 to 2 additional MS as from 
2008) and so will not be very significant (only 4% in 2008). This provision covers 
the  acquiring of  the  equipment. As  far as the rental expenses are concerned, see 
the  section  related  to  “Network:  direct  access  point  rental”  hereunder.  As  from 
2010,  the  envisaged  provisions  cover  the  partial  upgrade  and  renewal  of  the 
system  in  order  to  adapt  the  system’s  capacity  to  the  demand  (new  requests  for 
access  to  the  central  system)  while  allowing  its  progressive  replacement.  These 
costs represent 47% of the 2010 SIS II management budget. 

•  The future maintenance contract for the IT system will start in 2010. In the first 3 
years,  the  system  will  remain  under  the  terms  of  the  guarantee,  therefore,  no 
budget  is  planned  for  the  period  2007-2009.  As  from  2010,  the  system 
maintenance  will  be  covered  by  a  specific  contract,  the  budget  is  estimated  at  a 
maximum  of  35%  of  the  SIS  II  management  budget  for  2010.  This  amount  is 
based on the value of the offer that was selected for the implementation of SIS II. 

•  Stationery,  furniture  and  various  work  equipment,  documentation,  costs  related  to  public 
relations  and  training  activities:  These  costs  represent  15.5  %  of  the  SIS  II  management 
budget for 2007. 

EN 

43 

   EN 

 
Network: direct access point rental (see specific line in section 6.1.1 table): 

The  estimates  of  the  expenses  borne  by  the  budget  of  the  European  Union  also  include  the 
costs  for  the  rental  of  devices  allowing  Member  States  to  connect  their  National  system 
directly  to  the  European  network.  At  this  stage,  the  contract  for  the  future  network 
infrastructure is not yet signed and, therefore, the estimates are based on the current contract 
for TESTA II. 

The  2007  financial  figures  cover  the  estimated  rental  cost  for  29  direct  s-TESTA  lines,  the 
link  between  the  two  sites  and  their  relevant  equipment.  These  costs  are  re-evaluated  every 
year in order to cover 36 direct access points by 2013. 

The  communications  infrastructure  (lease  of  access  points,  lines,  etc...)  represents  an 
important expenditure. This is due to the very high sensitivity and necessary high availability 
of  the  SIS  II.  The  users  have  thus  requested  a  dedicated  line  from  the  common  domain 
(TESTA)  to  their  national  SIS  II  access  points,  significantly  increasing  the  communication 
costs.  This  same  communication  infrastructure  will  be  used  for  the  bilateral  or  multilateral 
transmission of supplementary information between the SIRENE authorities. 

However,  the  provisional  costs  of  the  network  are  comparable  to  the  prices  available  in  the 
current SIS. The global amount (6 Mio) might appear higher than that of the SISNET, but this 
is  mainly  due  to  the  doubling  of  the  number  of  access  points.  From  15  access  points  in  the 
first generation Schengen Information System, the SIS II will provide for 29 access points. 

External  support  for  the  assistance  of  the  maintenance  of  IT  management  systems  (see 
specific line in section 6.1.1 table): 

The  estimates  of  the  expenses  borne  by  the  budget  of  the  European  Union  also  foresee  the 
costs for consultancy and technical assistance. The figure given will cover: 

•  consultancy on specific topics that require particular attention through feasibility studies or 

ad-hoc expertise,  

•  IT  technical  assistance  in  various  fields  such  as  new  technology,  biometrics,  system  & 

network management. 

Development  and  operation  of  a  search  engine  based  on  a  biometric  identifier  (see  specific 
line in section 6.1.1 table):  

Contrary to the current SIS, the new system should be flexible enough to cope with changing 
requirements. The Council Conclusions of 14 June 2004 on the SIS II mentioned the possible 
implementation  of  a  central  biometric  search  engine,  for  the  purpose  of  identification  of 
persons  and  this  will  represent  a  significant  improvement  for  the  system  and  a  separate 
expenditure heading has, therefore, been included in the financial statement. The development 
of such a biometric search engine will require a new public procurement procedure and, given 
the currently very dynamic biometric market, the estimates regarding costs can only be very 
approximate.  In  any  case,  the  implementation  will  be  very  progressive,  since  the  Member 
States  will  need  a  considerable  time  for  rolling  out  within  the  country  and,  at  the  external 
borders, the necessary infrastructure for entering and searching biometric data in the SIS II.  

EN 

44 

   EN 

 
The  price  estimates  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. The figures presented hereunder are based on the available estimates, 
in  particular  the  number  of  searches  on  wanted  persons.  It  is  envisaged  that  a  gradual 
introduction  of  biometric  searches  will  result  in  up  to  30%  of  the  total  searches  in  3  years’ 
time  being  carried  out  on  the  basis  of  biometric  data.  This  number  of  total  searches  is 
estimated to grow from 65 Mio to 95 Mio over the period 2008-2010, provided that Members 
States progressively increase their use of the central system.  

External human resources (see specific line in section 6.1.1 table): 

The total of 21 security agents must be seen in terms of up to 7 persons on site, 24 hours a 
day,  7  days  a  week  (3  teams  of  seven).  The  same  reasoning  applies  for  the  21  data  input 
operators.  Currently,  3  teams  of  7  data  input  operators  are  available  on  the  C.SIS  site,  24 
hours a day, 7 days a week.  

5.3 

Methods of implementation 

The system shall be maintained by the Commission, which shall be responsible for operating 
the Central database and the communication infrastructure between the Central database and 
the  National  Interfaces.  External  evaluation  and  consultancy  will  have  to  be  provided  by 
contractors  who  will  also  assist  the  Commission  in  carrying  out  specific  studies  where 
necessary. 

The  Commission  will  be  assisted  by  the  Committees  laid  down  in  the  Regulation  and 
Decision  on  the  establishment,  operation  and  use  of  the  SIS  II  and  that  will  replace  the 
Committees established by Regulation (EC) No 2424/2001 and Decision (EC) No 886/2001 
on the development of the SIS II.  

In the context of the new financial perspectives, the scope for entrusting tasks related to the 
management  of  large-scale  IT  systems  (EURODAC,  SIS  II,  VIS)  to  the  external  borders 
agency will be explored at a later stage. 

6. 

FINANCIAL IMPACT 

6.1. 

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

For certain items, the table below provides estimates prepared on the basis of a projection of 
the costs related to the operation of the current system. For the post-2007 years, an inflation 
rate was applied when necessary. For every part the amounts are rounded to the unit above. 

EN 

45 

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6.1.1 Financial Participation 

Commitments in € million (to three decimal places) 

Break down 

SIS II Management44 

2007 
2,000 

2008 
1,000 

2009 
1,000 

2010 
5,000 

2011 
5,000 

2012  
5,000 

2013 
5,000 

Total 
24,000 

Premises: upkeep and operating costs (2 sites) 

0,591 

0,614 

0,639 

0,664 

0,691 

0,719 

0,747 

Hardware: Updating of computer equipment 
and consumables 

0,976 

0,068 

0,103 

2,071 

2,073 

2,075 

2,076 

Hardware: System maintenance 

0 

0 

0 

Stationary, furniture and work equipment 

0,230 

0,170 

0,176 

1,500 

0,183 

1,500 

0,192 

1,500 

0,198 

1,500 

0,208 

Network : direct access point rental  

6,000 

6,000 

7,000 

7,000 

7,000 

7,000 

7,000 

47,000 

External support for the assistance of 
the maintenance of IT management 
systems 

Development and operation of a 
search engine based on a biometric 
identifier  

External human resources (21 
security agents, 21 data input 
operators)  

TOTAL 

1,000 

1,000 

1,000 

1,000 

1,000 

1,000 

1,000 

7,000 

0,000 

3,000 

10,000 

18,000 

3,000 

3,000 

3,000 

40,000 

2,000 

2,000 

2,000 

2,000 

2,000 

2,000 

2,000 

14,000 

11,000 

13,000 

21,000 

33,000 

18,000 

18,000 

18,000 

132,000 

6.1.2  Technical  and  Administrative  assistance,  support  expenditure  and  IT  expenditure 
(commitment appropriations)  

N/A 

6.2. 

N/A 

Calculation  of  costs  by  measure  envisaged  in  part  B  (over  the  entire 
programming period) 

44 

Computer maintenance on 2 sites, upkeep and operating costs of premises (offices, meeting room and 
computer room), furniture, equipment and supplies, documentation, public relations, training. 

EN 

46 

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7. 

IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE 

7.1. 

Impact on human resources 

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

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 
Other human resources 
Total 

8 

14 

1 

23 

2 managers, 1 intermediate manager , 2 
operating managers, 3 desk officers 
8 operating engineers, 3 test engineers, 
1 assistant and 2 secretaries  
1 support 

8 

14 

1 

23 

7.2 

Overall financial impact of human resources 

Type of human 
resources 
Officials  
Temporary staff 

Amount 
K € 

2484 

Method of calculation* (K€) 

Personnel for operational tasks 

1  Manager (1 current) [A] 

1 

Intermediate manager between manager and staff (1 current) [A] 

2  Operating managers (2 current) [A] 

8  Operating engineers (6 current + 2 new) [B] 

3  Test engineers (3 current) [B] 

2  Secretaries (2 current) [B] 

Personnel for strategic management tasks 

1  Manager (A) 

1  Assistant (B) 

3  Desk officers (A) 

1  Support (C) 

TOTAL 

2007 

1836 

108 

108 

216 

864 

324 

216 

648 

108 

108 

324 

108 

2484 

Other human 
resources 
(please indicate the 
budget line) 

Total 

2484 

The amounts are total expenditure for twelve months. 

EN 

47 

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7.3 

Other administrative expenditure deriving from the action 

Budget line 
(number and heading) 

Overall allocation (Title A7) 
18 01 02 11 01 – Missions 
18 01 02 11 – Meetings 
18 01 02 11 – Compulsory committees  
18 01 02 11 – Non-compulsory committees  
18 01 02 11 – Conferences 
18 01 02 11 04 – 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 

36.000 
500.000 

30*1.000+12*3.000 
10 * 30.000 
2*7500 

1*36.000 
500.000 

Steering Committee 

Total 

917.000 

The amounts are total expenditure for twelve months. 

I. 
II. 
III. 

Annual total (7.2 + 7.3) 
Duration of action 
Total cost of action (I x II) 

3.401.000 €
7 years
23.807.000 €

8. 

FOLLOW-UP AND EVALUATION 

8.1 

Follow-up arrangements 

Regarding  the  performance  of  the  system,  the  Commission  will  ensure  that  systems  are  in 
place  to  monitor  the  functioning  of  the  SIS  II  against  objectives,  in  terms  of  output,  cost-
effectiveness and quality of service. For this purpose, the Commission will produce statistics 
on the use of the SIS II. 

The  Commission  will  also  systematically  involve  the  users  via  the  SIS  II  Committee  or 
specific working groups for assessing the performance of the system and taking appropriate 
action in cooperation with selected contractors.  

8.2 

Arrangements and schedule for the planned evaluation 

Two  years  after  the  SIS  II  starts  operations  and  every  two  years  thereafter,  the  European 
Commission will submit a report to the European Parliament and the Council on the technical 
functioning  of  the  SIS  II  and  on  the  bilateral  and  multilateral  exchange  of  supplementary 
information between Member States.  

Four years after the SIS II starts operations and every four years thereafter, the Commission 
will produce an overall evaluation of the SIS II and the bilateral and multilateral exchange of 
supplementary information between Member States. This overall evaluation shall include the 
examination  of  results  achieved  against  objectives  and  assess  the  continuing  validity  of  the 
underlying  rationale  and  any  implications  of  future  operations.  The  Commission  shall 
transmit the reports on the evaluations to the European Parliament and the Council. 

EN 

48 

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9. 

ANTI-FRAUD MEASURES 

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

EN 

49 

   EN