Proposal for a Regulation of the European Parliament and of the Council amending Council Regulation (EC) No 515/97 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters
Date: 2006-12-22
Institutions: European Commission
Subjects: administrative cooperation, customs fraud, customs regulations, data processing, fraud, fraud against the EU, information system

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 22.12.2006 
COM(2006) 866 final 

2006/0290 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Council Regulation (EC) No 515/97 on mutual assistance between the 
administrative authorities of the Member States and cooperation between the latter and 
the Commission to ensure the correct application of the law on customs and agricultural 
matters 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1. 

SUBJECT 

The  corollary  of  trade  facilitation,  which  is  an  essential  component  of  the 
commercial  policy  of  an  enlarged  European  Union  for  gaining  access  to  new 
markets, is the emergence of international economic and financial crime undermining 
the  financial interests  of  the  European Communities and the prohibition, restriction 
and control measures imposed in the context of certain Community policies. 

Fraud groups have been focusing much of their attention on transactions in breach of 
customs  and  agricultural  regulations  among  the  various  forms  of  fraud  and  other 
illegal activities to the detriment of the Community’s financial interests, on account 
of the amounts concerned. Customs duties on imports, agricultural levies and VAT 
on  imports,  which  are  charged  by  Member  States  when  customs  formalities  are 
completed, generate almost a quarter of the revenue in the Community budget. There 
is  a  great  temptation  for  fraud  organisations  to  evade  controls  or  the  payment  of 
duties  or  to  benefit  from  reduction  or  suspension  of  duties  without  being  properly 
entitled. 

On  the  expenditure  side,  fraud  organisations  are  very  interested  in  the  Community 
budget  for  the  payment  of  export  refunds  on  agricultural  products  and  processed 
products, which the customs authorities verify when customs export formalities are 
completed and the goods leave the Community customs territory. 

And  the  concern  to  maximise  profits  leads  such  organisations  to  circumvent  anti-
dumping  measures  and  bans  or  restrictions.  Even  where  circumventing  these 
measures  has  no  direct  impact  on  the  Community  budget,  it  can  have  detrimental 
consequences  for  the  economy,  employment  and  consumer  health  and  therefore 
indirectly harm the Community budget (e.g. BSE crisis). 

To  gain  a  better  picture  of  irregularities  in  these  fields  and  to  supplement  the 
preventive  aspect,  linked  to  better  organisation  of  customs  controls,  the  European 
Community  enacted  Council  Regulation  (EC)  No  515/97  of  13  March  1997  on 
mutual  assistance  between  the  administrative  authorities  of  the  Member  States  and 
cooperation between the latter and the Commission to ensure the correct application 
of the law on customs and agricultural matters. 

This Regulation is the legal basis for requests for assistance between these authorities 
to combat irregularities and fraud against Community legislation having a financial 
impact on the Community budget or affecting the Community commercial policy. 

It also is within the framework of this legal mechanism that a specific database was 
developed  –  the  Customs  Information  System  (CIS).  This  system,  which  came  on 
stream  on  24  March  2003,  enables  the  relevant  administrative  authorities  to  alert 
their European partners to risks of irregular operations, by transmitting information 
for the purposes of sighting, reporting, discreet surveillance or specific controls. 

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2. 

MAIN PROVISIONS 

Despite  the  good  results  obtained  in  the  prevention  of  fraud  against  Community 
customs and agricultural legislation, there are many reasons for amending Regulation 
(EC) No 515/97. 

(cid:131) The need for more operational cooperation 

As enlargement has shifted and extended the European Union’s land and sea borders, 
with a dual trend for fraudulent activities to both intensify and diversify, the existing 
legal mechanism must be adapted, as otherwise fraud organisations are likely to take 
advantage of the situation. Given the transnational and versatile nature of economic 
and  financial  crime,  the  only  approach  that  will  make  it  possible  to  limit  fraud  as 
much  as  possible  is  to  strengthen  cooperation  between  the  Member  States  and 
between  them  and  the  Commission,  the  accent  being  more  strongly  on  the 
operational dimension. New needs for coordination and support at the European level 
have been identified by those actively involved in fraud prevention, and a solid and 
adequate legal basis should now be supplied. 

(cid:131) Changes in the legal context and the institutional balance 

When Regulation (EC) No 515/97 was adopted, there was no Treaty Article devoted 
specifically to Community customs cooperation. The Member States’ general duty to 
cooperate  under  Article  5  of  the  EC  Treaty  and  the  coordination  of  action  by  the 
Member States to protect the Community’s financial interests under Article 209A of 
that Treaty likewise did not give the Community the power to adopt measures in the 
area of Community customs cooperation. 

Article  135  of  the  EC  Treaty,  relating  to  customs  cooperation,  and  Article  280, 
relating to the protection of the Community’s financial interests, now confer powers 
on  the  Community  in  these  matters.  But  these  powers  must  be  exercised  in 
accordance  with  Article  5  of  the  Treaty,  i.e.  if  and  in  so  far  as  action  taken  at 
Community  level  offers  clear  advantages,  by  reason  of  its  scale  or  effects,  over 
action at Member State level. The proposal for a Regulation satisfies these criteria. 

The  new  draft  Regulation  also  aims  to  provide  a  legal  basis  for  the  Community 
customs files identification database (FIDE) and for other projects developed on the 
basis of needs expressed by the Member States and the European Commission, with 
a  view  to  strengthening  cooperation  between  administrative  authorities  responsible 
for the sound application of customs and agricultural legislation. 

The  draft  must  also  take  account  of  a  number  of  institutional  developments,  in 
particular the strengthening of cooperation with European Union bodies and agencies 
and with international organisations. 

Subsidiarity 

The national administrations are not individually in a position to set up a Community 
technical  infrastructure  and  ensure  full  and  integrated  European  coordination  of 
mutual  administrative  assistance  in  customs  and  agricultural  matters.  It  is  therefore 
necessary  to  create  a  platform  of  services  to  improve  operational  cooperation 

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between  them.  Apart  from  Community  missions  in  third  countries,  administrative 
investigations are actually carried out by the Member States alone. 

Proportionality 

The aim of the draft regulation remains unchanged. Like Regulation (EC) No 515/97, 
which  it  amends,  the  objective  pursued  by  the  draft  regulation  is  the  sound 
application  of  Community  customs  and  agricultural 
the 
Commission  has  well-defined  powers  of  action,  in  the  same  way  as  the  Member 
States’ customs and other authorities. 

legislation,  where 

3. 

CONTENT OF THE PROPOSAL 

3.1. 

Alignment  of  the  definition  of  customs  legislation  on  the  Naples  II  Convention 
(Article 2(1), 1st indent) 

The definition of customs legislation in Regulation (EC) No 515/97 has been brought 
into line with the Convention drawn up on the basis of Article K.3 of the Treaty on 
European  Union,  on  mutual  assistance  and  cooperation  between  customs 
administrations  (the  “Naples  II  Convention”)  so  as  make  Community  instruments 
more  consistent  with  instruments  under  Title  VI  of  the  Union  Treaty  regarding 
prosecutions for offences against Community customs rules. 

Without  prejudice  to  Council  Regulation  (EC)  No  1798/2003  of  7  October  2003 
concerning  administrative  cooperation  in  the  field  of  VAT,1  customs  legislation 
continues to apply on entry and exit of goods in Community customs territory even if 
they  are  exempt  from  customs  duties  or  zero-rated.  When  applying  Community 
prohibition,  restriction  and  external  border  control  measures,  in  particular  for  the 
detection of counterfeit alcohol and cigarettes or illicit dealings in dual-use assets or 
precursors, the customs authorities should be able to exchange information making it 
possible  to  check  quickly  with  another  Member  State  whether  the  company 
established in the latter Member State still exists or is in business, thanks to the VAT 
identifier.  Moreover,  the  customs  authorities,  which  are  also  responsible  for 
formalities  and/or  the  collection  of  VAT  and/or  excise  duties  when  customs 
formalities are completed, should be able to prevent and detect fictitious exports of 
highly-taxed products to third countries by effective customs cooperation. 

The  central  liaison  offices  and  the  liaison  departments  responsible  for  VAT-related 
administrative  cooperation  ensure  effective  cooperation  with  their  counterparts  in 
other  Member  States.  But  horizontal  cooperation  between  these  central  liaison 
offices  and  liaison  departments  and  the  authorities  responsible  for  applying 
Regulation (EC) No 515/97 is not possible for organisational reasons or because of 
the material or operational powers conferred in each Member State and for reasons 
related to the communications network and the absence of stand-by officers (nights 
and  weekends).  On  the  other  hand,  the  customs  authorities  have  a  minimum  of 
information  concerning  the  existence  and  VAT  status  of  an  economic  operator  to 
satisfy urgent requests from the customs authorities of the other Member States. 

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OJ L 264, 15.10.2003, p. 1. 

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3.2. 

Automatic data exchange (Article 15) 

The current spontaneous case-by-case exchange mechanism has been supplemented 
by an automatic and/or structured information exchange mechanism without a prior 
request  from  the  receiving  Member  State.  This  mechanism  is  similar  to  that  set  up 
under Council Regulation (EC) No 1798/2003 of 7 October 2003 on administrative 
cooperation  in  the  field  of  value  added  tax2  and  Council  Regulation  (EC)  No 
2073/2004 of 16 November 2004 on administrative cooperation in the field of excise 
duties3. 

3.3. 

Setting-up a platform of services in the customs sector 

3.3.1.  European data directory (Article 18a) 

The  computerisation  of  customs  clearance  procedures  and  the  real-time  satellite 
monitoring  of  means  of  transport  generate  an  increasing  dematerialisation  of  the 
information exchanged between customs authorities and/or economic operators. The 
result is a proliferation of databases managed by public or private service providers 
doing business in the field of logistics and the carriage of goods. 

In  fraud  prevention,  activities  aiming  specifically  to  detect  consignments  of  goods 
that  may  be  in  breach  of  customs  or  agricultural  legislation  and/or  means  of 
transport, including containers, used for this purpose, service providers are generally 
open to the idea of giving the competent authorities access if they ask for it only on a 
limited basis and do not create additional workload. Consequently, the idea of giving 
the Commission (OLAF) a single general access to certain databases or sites is likely 
to  reassure  the  service  providers  that  they  will  not  be  receiving  multiple  repeated 
requests  from  the  Member  States.  Consequently,  the  proper  solution,  in  economic 
terms  also,  was  felt  to  be  to  empower  the  Commission  (OLAF)  to  negotiate  with 
service  providers  for  the  pooling  of  data  in  a  single  directory  accessible  to  the 
Member States or to channel access to sites managed by such providers. 

The aim of this directory is to collect data commonly used in international trade for 
analysis  purposes  with  a  view  to  detecting,  upstream  of  physical  checks  on  goods, 
operations  presenting  risks  of  irregularity  in  relation  to  customs  and  agricultural 
legislation. 

In  this  directory,  the  Commission  should  be  empowered  to  transfer  the  contents  of 
the  databases  in  whole  or  in  part,  with  the  consent  of  the  holders  of  rights  in  the 
information,  free  of  charge  or  for  a  consideration,  and  in  compliance  with  the 
applicable legal environment as regards intellectual property rights. The information 
thus extracted could be indexed and analysed. 

The  European  directory  would  be  made  available  to  the  Member  States’  liaison 
officers assigned to the permanent coordination unit, and to the relevant authorities 
referred to in Article 1(1) of Regulation (EC) No 515/97. 

3.3.2.  Coordination structure for operational cooperation (Article 18b) 

2 
3 

OJ L 264, 15.10.2003, p. 1. 
OJ L 359, 4.12.2004. 

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The  establishment  of  the  European  Agency  for  the  Management  of  Operational 
Cooperation at the External Borders of the Member States of the European Union by 
Council  Regulation  (EC)  No  2007/2004  of  26  October  20044,  the  extension  of 
Europol’s mandate to the fight against serious forms of international crime (Council 
Decision of 6 December 2001) and the operational activities of certain international 
or regional organisations all call for closer cooperation between the Commission, the 
Member States and the other European Union bodies or agencies. 

The aim of the new draft is to promote the idea of development by the Commission 
of  an  interface  allowing  better  coordination  of  operational  cooperation  between  the 
Member  States  and  between  them  and  the  Commission  and  closer  operational 
association  with  European,  regional  or  international  organisations  and  agencies 
within the limits of the powers conferred on each of the authorities concerned. 

In  its  Resolution  of  2  October  2003  on  a  strategy  for  customs  cooperation,  the 
Council  of  the  European  Union  recognised  that  an  integrated  approach  towards 
combating  crime,  including  a  contribution  to  the  fight  against  terrorism,  within  an 
area  of  freedom,  security  and  justice  should  include,  besides  customs  cooperation, 
close  and  efficient  multilateral  cooperation  between  customs  and  other  law 
enforcement  authorities  as  well  as  other  European  Union  bodies  and  agencies,  for 
example OLAF, Europol and Eurojust. 

In  this  context,  the  resources  and  developments  established  at  Community  level 
could  be  re-used  for  the  purposes  of  customs  cooperation  under  Title  VI  of  the 
Treaty  on  European  Union,  without  prejudice  to  the  mandates  of  Europol  and  of 
Eurojust. 

In  these  circumstances,  a  directly  applicable  legal  instrument  such  as  a  regulation 
could  provide  a  valuable  impetus  in  the  customs  sector  without  necessarily 
conferring  new  powers  on  Commission  staff.  The  new  Article  18b  of  Regulation 
(EC) No 515/97 would enable Member States to involve Commission (OLAF) staff 
as  experts  and  to  use  the  Commission  platform  of  services  for  cases  started  under 
Regulation (EC) No 515/97 for which a common joint team should be set up. 

3.4. 

Article 19 (third countries) 

In  the  current  situation,  if  a  Member  State  receives  information  from  another 
Member State and that information then has to be communicated to a third country 
under  an  agreement  or  protocol  on  mutual  administrative  assistance  in  customs 
matters,  the  receiving  Member  State  must  seek  the  agreement  of  the  supplier 
Member  State  within  the  framework  of  a  joint  action  even  if  the  supplier  Member 
State has already given its prior consent enabling the receiving Member State to use 
the information. 

It is therefore proposed that the current procedure be supplemented by a measure to 
permit  the  Commission  or  a  Member  State  to  communicate  to  a  third  country 
information received from another Member State, provided the latter Member State 
gives its prior consent. In such a case, it would no longer be necessary to exchange 

4 

OJ L349, 25.11.2004. 

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consents within the framework of a joint action. That would apply only in the event 
of an exchange of information treated by more than two Member States. 

3.5. 

Article 20(2)(d) 

The  provisions  of  Article  20(2)(d),  concerning  the  payment  of  the  expenses  of  the 
Community  missions  carried  out  in  the  third  countries,  have  been  taken  over  with 
others in the new Article 42a (financing). 

3.6. 

Title  V:  Articles  23  to  37  (Updating  of  the  provisions  of  the  Regulation  on  the 
control of personal data under the Customs Information System) 

Implementation  of  Parliament  and  Council  Directive  95/46/EC  of  24  October  1995 
by the Member States requires an amendment of the provisions of the Regulation on 
the  national  processing  of  personal  data.  The  adoption  of  Parliament  and  Council 
Regulation  No  45/2001  and  the  establishment  of  an  independent  supervisory 
authority,  the  European  Data  Protection  Supervisor,  likewise  affects  the  Articles  of 
Regulation  (EC)  No  515/97  relating  to  the  processing  of  such  data  by  Community 
institutions and bodies. 

All the provisions of Regulation (EC) No 515/97 dealing with questions concerning 
the  protection  of  personal  data  have  been  adapted  to  changes  in  the  legal 
environment  since  it  entered  into  force,  in  particular  the  data-protection  rules 
applicable  to  the  Community  institutions  under  Article  286  of  the  Treaty  and 
Parliament  and  Council  Regulation  (EC)  No  45/2001  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 data5 and the 
rules applicable to Member States on the basis of Parliament and Council Directive 
95/46/EC  of  24  October  1995  on  the  protection  of  individuals  with  regard  to  the 
processing of personal data and on the free movement of such data6. 

3.7. 

Use of CIS data for analysis purposes (Article 27) 

In view of the current purposes of the customs information system, it cannot achieve 
all  the  objectives  which  were  set  for  it  by  the  Regulation,  namely  to  assist 
prevention,  detection  and  prosecution  of  operations  in  breach  of  customs  and 
agricultural legislation. In the current mechanism, the information entered in the CIS 
only makes it possible to strengthen the effectiveness of controls. Consequently, only 
the  fraud  prevention  objective  is  achieved.  On  the  other  hand,  the  objectives  of 
assisting  the  detection  and  prosecution  of  operations  in  breach  of  customs  and 
agricultural legislation require the development of new objectives and functionalities, 
and that alone requires an amendment of Regulation (EC) No 515/97. 

Article 27 must accordingly be amended to make analysis, whether it be strategic or 
operational, a new purpose of the system. 

5 
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OJ L 8, 12.01.2001, p.1. 
OJ L 281, 23.11.1995, p.31. Directive as amended by Regulation (EC) No 1882/2003 of the European 
Parliament and of the Council (OJ L 284, 31.10.2003, p.1). 

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To match the extended functionalities of the system, a new category of information 
available is created, relating to goods detained, seized or confiscated. 

3.8. 

Title  Va,  Articles  41a  to  41d  –  Creation  of  the  Community  Customs  Files 
Identification Database 

To  optimise  the  effectiveness  of  the  cooperation  mechanisms,  the  administrative 
authorities of the Member States should have access to a file enabling them to better 
target the recipients of requests for administrative assistance. That is the objective of 
FIDE,  which  records  references  to  past  or  current  investigations  in  each  Member 
State and enables any competent authority which so requests to find out which other 
authorities have conducted investigations on a similar subject. 

The purpose of introducing the FIDE into the draft Regulation amending Regulation 
(EC)  No  515/97  is  to  supplement  a  comparable  intergovernmental  initiative 
formalised in the Council Act of 8 May 2003 drawing up the Protocol amending the 
Convention on the use of information technology for customs purposes. 

3.9. 

Title VI: Article 42 (Data protection) 

Without  prejudice  to  the  specific  measures  to  protect  individuals  in  relation  to 
personal data processing in Title V (Articles 23 to 40) of Regulation (EC) No 515/97 
as regards the use of CIS and FIDE, it is felt necessary to refer to Regulation (EC) 
No 45/2001 and Directive 95/46 concerning data exchange and processing, whether 
or not automatic, under Titles I to IV of Regulation (EC) No 515/97. 

3.10. 

Title VIa: Article 42a (Financing) 

The second subparagraph of Article 23(3) of Council Regulation (EC) No 515/97 of 
13  March  1997  on  mutual  assistance  between  the  administrative  authorities  of  the 
Member States and cooperation between the latter and the Commission to ensure the 
correct  application  of  the  law  on  customs  and  agricultural  matters,7  as  amended  by 
Regulation (EC) No 807/2003  of  14  April  2003  adapting  to  Decision  1999/468/EC 
the provisions relating to committees which assist the Commission in the exercise of 
its  implementing  powers  laid  down  in  Council  instruments  adopted  in  accordance 
with the consultation procedure (unanimity)8, was regarded as being the basic act for 
the  purposes  of  Article  49(1)  of  the  Financial  Regulation  as  regards  operating 
expenditure relating to the Anti-Fraud Information System (AFIS). 

This  act  covers  the  financing  of  AFIS  activities  coming  under  both  the  first  pillar 
(Regulation  No  515/97)  and  the  third  pillar  (Convention  drawn  up  on  the  basis  of 
Article K3 of the Treaty on European Union on the use of information technology for 
customs purposes (CIS Convention9)) when these activities are inseparable. 

In this connection, there was a reference to the first subparagraph of Article 22(2) of 
the  CIS  Convention  and  to  the  joint  declaration  of  the  Council  and  of  the 

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OJ L 82, 22.3.1997. 
OJ L 122, 16.5.2003. 
OJ C 316, 27.11.1995. 

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Commission  of  13  July  1995  concerning  Article  22(2)  of  the  Convention10  and  the 
list of inseparable IT expenses established by the Commission in document SEC(94) 
813  of  6  May  1994  on  the  budgetary  implications  of  the  use  of  the  technical 
infrastructure of the Community CIS under the Convention on the use of information 
technology for customs. 

To  clearly  meet  the  requirements  of  the  Financial  Regulation,  an  article  should  be 
inserted  determining  that  Regulation  (EC)  No  515/97  is  a  basic  act  for  the 
implementation of operational expenditure defined in that article. 

3.11. 

Title VII: Article 43 (Committee procedures) 

to 

the  previous  Articles.  Moreover, 

Article  43  devoted  to  committee  procedures  has  been  adapted  in  line  with  the 
proposed  amendments 
the  European 
Ombudsman, designated by the Council in accordance with Article 286 of the Union 
Treaty  to  supervise  the  Community  institutions  and  organisations  as  regards 
protection  of  individuals  in  relation  to  personal  data  processing  pending  the 
designation of an authority created expressly for the purpose, has now been replaced 
by the European Data Protection Supervisor since Regulation (EC) 45/2001 entered 
into force. Article 43(5) is amended accordingly. 

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2006/0290 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Council Regulation (EC) No 515/97 on mutual assistance between the 
administrative authorities of the Member States and cooperation between the latter and the 
Commission to ensure the correct application of the law on customs and agricultural 
matters 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Articles 135 
and 280 thereof, 

Having regard to the proposal from the Commission11. 

Having regard to the opinion of the Economic and Social Committee12, 

Having regard to the opinion of the Committee of the Regions13, 

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

Whereas: 

(1) 

(2) 

Council Regulation (EC) No 515/9714 improved the earlier legal mechanism in particular 
by  allowing  information  to  be  stored  in  the  Community  database  Customs  Information 
System (CIS).  

However,  experience  gained  since  Regulation  (EC)  No  515/97  entered  into  force  has 
shown  that  the  use  of  the  CIS  for  the  sole  purposes  of  sighting  and  reporting,  discreet 
surveillance  or  specific  checks  does  not  make  it  possible  to  fully  achieve  the  system’s 
objective,  which  is  to  assist  in  preventing,  investigating  and  prosecuting  operations  that 
are in breach of customs and agricultural legislation.  

(3) 

In addition to the current defects of Regulation (EC) No 515/97, the changes introduced 
when  the  European  Union  was  enlarged  to  25  Member  States  impose  the  need  to 

11 
12 
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14 

OJ C […], […], p.[…] 
OJ C […], […], p.[…] 
OJ C […], […], p.[…] 
OJ L 82, 22.3.1997, p. 1; Regulation amended by Council Regulation (EC) No 807/2003 of 14 April 2003 
(OJ L 122, 16.5.2003). 

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(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

reconsider Community customs cooperation in a broader framework and with modernised 
mechanisms. 

Article  1  of  Commission  Decision  1999/352/EC,  ECSC,  Euratom  of  28  April  1999 
establishing the European Anti-Fraud Office (OLAF)15 and the Convention on the use of 
information  technology  for  customs  purposes16,  established  by  Council  Act  of  26  July 
199517, modified the general framework for cooperation between the Member States and 
the  Commission  as  regards  preventing,  investigating  and  prosecuting  offences  against 
Community legislation. 

The  results  of  strategic  analysis  should  help  those  responsible  at  the  highest  level  to 
determine projects, objectives and policies for combating fraud, to plan activities and to 
deploy the resources needed to achieve the operational objectives laid down. 

The result of an operational analysis concerning the activities, resources and intentions of 
certain  persons  or  companies  that  do  not  comply  with  the  legislation  should  help  the 
investigation  services  take  the  appropriate  measures  in  specific  cases  to  achieve  the 
objectives laid down as regards fraud prevention. 

Under  the  current  mechanism,  personal  data  entered  by  a  Member  State  can  be  copied 
from CIS into other data-processing systems only with the prior authorisation of the CIS 
partner which entered them and subject to the conditions imposed by it in accordance with 
Article  30(1).  The  amendment  of  the  Regulation  is  designed  to  derogate  from  this 
principle of prior authorisation solely where the data are to be processed by the competent 
authorities charged with risk management with a view to targeting controls on movements 
of goods. 

The  current  mechanism  needs  to  be  supplemented  by  a  legal  framework  establishing  a 
Customs  Files  Identification  Database  covering  past  and  current  files.  The  creation  of 
such  a  database  follows  up  the  intergovernmental  customs  cooperation  initiative  which 
led to the adoption of the Council Act of 8 May 2003 drawing up the Protocol amending, 
as  regards the  creation of  a  customs  files identification  database,  the  Convention  on  the 
use of information technology for customs purposes18. 

This  Regulation  should  also  apply,  without  prejudice  to  the  provisions  of  Council 
Regulation (EC) No 1798/2003 of 7 October 2003 concerning administrative cooperation 
in  the  field  of  VAT19,  to  all  Community  provisions  relating  to  revenue  from  the 
application of a uniform rate valid for all the Member States to the harmonised basis of 
assessment for value added tax regarding imports and exports, and the national provisions 
implementing them. 

15 
16 
17 
18 
19 

OJ L 136, 31.5.1999, p. 20. 
OJ C 316, 27.11.1995, p. 34. 
OJ C 316, 27.11.1995, p. 33. 
OJ C 139, 13.6.2003, p. 1. 
OJ L 264, 15.10.2003, p. 1. Regulation as amended by Regulation (EC) 885/2004 (OJ L 168, 1.5.2004). 

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(10) 

In addition, it is necessary to ensure greater complementarity with action in the context of 
intergovernmental  customs  cooperation  and  of  cooperation  with  other  European  Union 
bodies and agencies and other international or regional organisations. Such action follows 
on  from  Council  Resolution  of  2  October  2003  concerning  a  strategy  for  customs 
cooperation20  and  the  Council  Decision  of  6  December  2001  extending  the  mandate  of 
Europol to the fight against the serious forms of international crime listed in the Annex to 
the Europol Convention21. 

(11)  The  conditions  should  be  created  under  Regulation  (EC)  No  515/97  for 

the 
implementation  of  joint  customs  operations  in  the  Community  context.  The  Committee 
provided  for  by  Article  43  of  Regulation  (EC)  No  515/97  should  be  empowered  to 
determine the mandate for Community joint customs operations. 

(12)  A permanent infrastructure must be created within the Commission so that joint customs 
operations  can  be  conducted  throughout  the  calendar  year  and  representatives  of  the 
Member  States  and,  if  necessary,  liaison  officers  from  third  countries  or  European  or 
international  organisations  and  agencies,  in  particular  Europol  and  the  World  Customs 
Organisation (WCO) and Interpol, can be hosted for the time needed to carry out one or 
more individual operations. 

(13)  The  Member  States  must  have  the  possibility  of  re-using  this  infrastructure  for  joint 
customs operations organised by way of customs cooperation as provided for by Articles 
29 and 30 of the Treaty on European Union, without prejudice to the role of Europol. In 
this case, the joint customs operations should be conducted under the mandate determined 
by the relevant Council working party as regards customs cooperation under Title VI of 
the Treaty on European Union. 

(14) 

In addition, the development of new markets, the increasing internationalisation of trade 
and  its  rapid  expansion,  combined  with  the  acceleration  in  the  carriage  of  goods,  mean 
that the customs administrations should keep up with the movement so as not to harm the 
development of the European economy. To that end, the Commission presented proposals 
back in November 2005 to  modernise customs  procedures and create the legal basis for 
computer  systems  making  it  possible  to  achieve  full  electronic  customs  clearance 
throughout the European Union (COM(2005) 608 and 609). 

(15)  The  long-term  objective  is  that  all  operators  should  be  able  to  provide  all  necessary 
documentation  in  advance  and  to  fully  computerise  their  connections  with  the  customs 
authorities. Meanwhile, the current situation will continue to exist with various levels of 
development of national computer systems, and anti-fraud mechanisms must be improved 
since deflections of trade can still occur. 

(16) 

In  terms  of  fraud  prevention,  it  is  therefore  necessary,  together  with  the  reform  and 
modernisation  of  customs  systems,  to  seek  information  at  the  furthest  point  upstream 
possible.  Moreover,  to  help  the  competent  authorities  of  the  Member  States  detect 

20 
21 

OJ C 247, 15.10.2003, p. 1. 
OJ C 362, 18.12.2001, p. 1. 

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12 

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consignments  of  goods,  including  containers  and/or  means  of  transport,  that  may  be  in 
breach  of  customs  or  agricultural  legislation,  it  is  worthwhile  pooling  in  a  European 
central  data  directory  data  from  the  principal  service  suppliers  worldwide,  public  or 
private, that are active in the international carriage of goods and containers. 

(17)  The  protection  of  natural  persons  with  regard  to  the  processing  of  personal  data  is 
governed by European Parliament and Council Directive 95/46/EC of 24 October 1995 on 
the protection of individuals with regard to the processing of personal data and on the free 
movement of such data22 and by European Parliament and Council Directive 2002/58/EC 
of 12 July 2002 concerning the processing of personal data and the protection of privacy 
the  electronic  communications  sector  (Directive  on  privacy  and  electronic 
in 
communications)23 and repealing European Parliament and Council Directive 97/66/EC of 
15  December  1997  concerning  the  processing  of  personal  data  and  the  protection  of 
privacy  in  the  telecommunications  sector24,  which  are  fully  applicable  to  information 
society services. These Directives already establish a Community legal framework in the 
field of personal data and therefore it is not necessary to cover the issue in this Regulation 
in  order  to  ensure  the  smooth  functioning  of  the  internal  market,  in  particular  the  free 
movement  of  personal  data  between  Member  States.  This  Regulation  must  be 
implemented  and  applied  in  conformity  with  the  data  protection  rules,  in  particular  as 
regards the exchange and storage of information in support of action to prevent and detect 
fraud. 

(18)  Given that Directive 95/46/EC has been transposed in the Member States since Regulation 
(EC)  No  515/97  was  adopted  and  given  that  the  Commission  has  established  an 
independent  authority  to  ensure  that  freedoms  and  fundamental  rights  of  persons  are 
respected  by  Community  institutions  and  bodies  in  the  processing  of  personal  data  in 
accordance  with  Regulation  (EC)  No  45/2001,  the  data  protection  control  measures 
should be aligned and the reference to the European Ombudsman should be replaced by a 
reference to the European Data Protection Supervisor, without prejudice to the powers of 
the Ombudsman. 

(19)  Regulation (EC) No 515/97 should be amended accordingly. 

(20)  Since the objectives of the proposed action, namely the coordination of the fight against 
fraud  and  any  other  illegal  activity  to  the  detriment  of  the  Community’s  financial 
interests,  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  in 
Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in 
that  Article,  this  Regulation  does  not  go  beyond  what  is  required  to  achieve  those 
objectives. 

22 
23 
24 

OJ L 281, 28.11.1995, p. 31. 
OJ L 201, 31.7.2002, p. 37. 
OJ L 24, 30.1.1998, p. 1. 

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13 

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(21)  This  Regulation  respects  fundamental  rights  and  observes  the  principles  recognised  in 
particular  by  the  Charter  of  Fundamental  Rights  of  the  European  Union25.  In  particular, 
this Regulation aims to ensure full respect for the right to the protection of personal data 
(Article 8 of the Charter of Fundamental Rights of the European Union), 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Regulation (EC) No 515/97 is amended as follows: 

1) The first indent of Article 2(1) is replaced by the following: 

–  “customs legislation”: 

(a)  the  body  of  Community  provisions  and  associated  implementing  provisions 
governing  the  import,  export,  transit  and  presence  of  goods  traded  between  Member 
States and third countries, and between Member States in the case of goods that do not 
have  Community  status within  the meaning  of  Article  23(2)  of  the  Treaty  establishing 
the  European  Community  or  goods  subject  to  additional  controls  or  investigations  for 
the purpose of establishing their Community status; 

(b) the body of Community provisions governing income from application of a uniform 
rate  valid  for  all  the  Member  States  to  the  harmonised  basis  of  assessment  for  value 
added  tax  as  regards  national  imports  and  exports,  and  associated  implementing 
provisions. 

2) The following is added at the end of Article 2(1): 

–  "operational analysis": 

analysis of operations which are or appear to be in breach of customs and agricultural legislation, 
involving the following stages in turn: 

–  the collection of information, including personal data; 

–  evaluation of the reliability of the information source and the information itself; 

–  research,  methodical  presentation  and  interpretation  of  links  between  these  items  of 

information or between them and other significant data; 

–  the  formulation  of  observations,  hypotheses  or  recommendations  directly  usable  by  the 
competent authorities and by the Commission to detect other operations in breach of customs 
and  agricultural  regulations  and/or  to  identify  with  precision  the  natural  or  legal  person(s) 
implicated in such operations; 

25 

OJ C 364, 18.12.2000, p. 1. 

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–  "strategic analysis": 

research  and  presentation  of  the  general  trends  in  irregularities  and  fraud  in  customs  and 
agricultural  matters  through  an  evaluation  of  the  threat,  scale  and  impact  of  certain  types  of 
operation in breach of  customs and  agricultural legislation, with  a view  to subsequently setting 
priorities, gaining a better picture of the phenomenon or threat, reorienting action to prevent and 
detect fraud and reviewing departmental organisation. This purpose shall be achieved on the basis 
exclusively of data from which personal information has been removed. 

3) The following paragraph is added to Article 15:  

“2.  The  competent  authorities  of  each  Member  State  may  also  communicate  information 
concerning operations which are or appear to be in breach of customs or agricultural legislation, 
progressively or at regular intervals, in a structured or unstructured format." 

4) Article 18 is amended as follows: 

(a) The first indent of paragraph 1 is replaced by the following: 

"- when they have, or might have, ramifications in other Member States or in third countries, or"; 

(b) The following paragraph 7 is added: 

"7. Without prejudice to the provisions of the Community Customs Code relating to the 
establishment of a common framework for risk management, the data exchanged between the 
Commission and the Member States pursuant to Articles 17 and 18 may be stored and used for 
the purpose of strategic and operational analysis. Where these data comprise personal data, the 
individual measures for the protection of natural persons in relation to personal data processing 
referred to in Title VI of this Regulation shall apply." 

5) The following Articles 18a and 18b are added to Title III: 

"Article 18a 

1. To help the relevant authorities referred to in Article 1(1) detect movements of goods that are 
the object of operations in potential breach of customs and agricultural legislation and means of 
transport, including containers, used for that purpose, the Commission shall establish and manage 
a  directory  of  data  received  from  public  or  private  service  providers  active  in  the  international 
logistical chain or in the carriage of goods. 

2. In managing that directory, the Commission is empowered: 

(a)  to  access  or  extract,  with  the  consent  of  the  rights  holder,  all  or  a  substantial  part  of  the 
contents of the data, by any means or in any form, and re-use data in compliance with legislation 
applicable  to  intellectual  property  rights  in  the  Member  State  or  in  the  country  where  the 
operating headquarters of the service providers is established; in appropriate cases, the terms and 
procedures for data access shall be governed by a contract between the Commission, acting  on 
behalf of the Community, and the service provider; 

EN 

15 

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(b) to compare and contrast data that are accessible in or extracted from the directory, to index 
them, to enrich them from other data sources and to analyse them in compliance with Regulation 
(EC) No 45/2001; 

(c)  to  make  the  data  in  this  directory  available  to  the  relevant  authorities  referred  to  in  Article 
1(1), for the sole purpose of  achieving the  objectives of this Regulation and in full compliance 
with national provisions implementing Directive 95/46/EC. 

3. The data referred to in this Article concern in particular the movements of containers and/or 
means of transport and goods and persons concerned with these movements. These include: 

(a) for movements of containers, the following data: 

•  number of container; 

•  container loading status; 

•  date of movement; 

•  type of movement (loaded, unloaded, transhipped, entered, left, etc.); 

•  name of vessel or registration of means of transport; 

•  number of voyage/journey; 

•  place; 

•  freight bill or other transport document; 

(b) for movements of means of transport: 

•  name of vessel or registration of means of transport; 

•  freight bill or other transport document; 

•  number of container; 

•  weight of load; 

•  description and/or coding of goods; 

•  reservation number; 

•  number of seals; 

•  place of first loading; 

•  place of final unloading; 

EN 

16 

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•  place of transhipment; 

•  expected date of arrival at place of final unloading; 

(c) for natural or legal persons involved in the movements to which points (a) and (b) apply, the 
personal  data  referred  to  in  this  Article  shall  comprise  no  more  than  the  name,  maiden  name, 
forenames, aliases, date and place of birth, nationality, sex and address of the owners, shippers, 
consignees,  transit  agents,  carriers  and  other  intermediaries  or  persons  involved  in  the 
international logistical chain and carriage of goods. 

4. Only designated analysts in Commission departments shall be empowered to process personal 
data to which points 2(b) and 2(c) apply. 

Personal data which are not necessary to achieve the aim in view shall be immediately deleted or 
shall have identifying factors removed. In any  event, they may be stored for no  more than one 
year. 

Article 18b 

Wherever the Commission is in a position to make expertise, technical or logistical assistance, a 
training  or  communication  activity  or  any  other  operational  support  available  to  the  Member 
States  for  the  attainment  of  the  objectives  of  this  Regulation,  Member  States  shall  ask  the 
Commission to use, as far as possible, its platform of services, notably within the framework of 
the customs cooperation provided for by Title VI of the Treaty on European Union." 

(6) Article 19 is replaced by the following: 

"Article 19 

Provided that the third country concerned has legally committed itself to providing the assistance 
necessary to assemble all the evidence of the irregular character of operations which appear to be 
in breach of customs or agricultural legislation or to determine the extent of the operations which 
have  been  found  to  be  in  breach  of  such  legislation,  information  obtained  pursuant  to  this 
Regulation may be communicated to it: 

–  by  the  Commission  or  by  the  Member  State  concerned,  subject,  in  appropriate  cases,  to  the 

prior agreement of the competent authorities of the Member State which provided it; or 

–  by the Commission or the Member State concerned within the framework of a joint action if 
information is the result of a data analysis provided by more than one Member State, subject 
to the prior agreement of the competent authorities of the Member States which provided it. 

These communications shall be made in compliance with their domestic provisions applicable to 
the transfer of personal data to third countries. 

In all cases, appropriate steps shall be taken in the third country concerned to ensure a degree of 
protection equivalent to that laid down by Article 45(1) and (2). 

7) In Article 7(2), point (d) is deleted. 

EN 

17 

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8) Article 23 is amended as follows: 

(a) Paragraph 2 is replaced by the following: 

"2. The aim of the CIS, in accordance with the provisions of this Regulation, shall be to assist in 
preventing,  investigating  and  prosecuting  operations  which  are  in  breach  of  customs  or 
agricultural legislation by making information available more rapidly and thereby increasing the 
effectiveness of the cooperation and control procedures of the competent authorities referred to in 
this Regulation." 

(b) In paragraph 3, "in Article K.1(8)" is replaced by: "in Articles 29 and 30". 

(c) Paragraph 5 is deleted. 

9) The following points (g) and (h) are added to Article 24: 

"(g) goods detained, seized or confiscated; 

(h)  cash  as  defined  in  Article  2  of  Parliament  and  Council  Regulation  (EC)  No  1889/200526 
detained, seized or confiscated." 

(10) Article 25 is replaced by the following: 

"Article 25 

1. The items to be included in the CIS relating to each of categories (a) to (h) in Article 24 shall 
be determined in accordance with the procedure provided for in Article 43(2) to the extent that 
this  is  necessary  to  achieve  the  aim  of  the  System.  Personal  data  may  under  no  circumstances 
appear in category (e). 

In categories (a) to (d) the items of information to be included in respect of personal data shall 
comprise no more than: 

(a) name, maiden name, forenames and aliases; 

(b) date and place of birth; 

(c) nationality; 

(d) sex; 

(e) number and place and date of issue of the identity document; 

(f) address; 

(g) any particular objective and permanent physical characteristics; 

26 

OJ L 309, 25.11.2005, p. 9 

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18 

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(h) reason for data entry; 

(i) suggested action; 

(j) a warning code indicating any history of being armed, violent or escaping; 

(k) registration number of the means of transport. 

2.  Regarding  the  category  referred  to  in  Article  24,  point  (f),  the  items  of  information  to  be 
included  in  respect  of  personal  data  shall  comprise  no  more  than  the  experts'  names  and 
forenames. 

3. Regarding the category referred to in Article 24, points (g) and (h), the items of information to 
be included in respect of personal data shall comprise no more than: 

(a) name, maiden name, forenames and aliases;  

(b) date and place of birth;  

(c) nationality;  

(d) sex;  

(e) address. 

In  all  cases,  personal  data  revealing  racial  or  ethnic  origin,  political  opinions,  religious  or 
philosophical  beliefs,  trade  union  membership  and  data  concerning  the  health  or  sex  life  of  an 
individual shall not be included.” 

11) Article 27 is replaced by the following: 

"Article 27 

1. Personal data which are included in the categories referred to in Article 24 shall be included in 
the  CIS  solely  for  the  purposes  of  the  following  suggested  actions:  sighting  and  reporting, 
discreet surveillance, specific checks or operational analysis. 

2. Personal data which are included in the categories referred to in Article 24 may be included in 
the CIS only if, mainly on the basis of prior illegal activities or of information provided by way 
of  spontaneous  assistance,  there  is  real  evidence  that  the  person  in  question  has  carried  out,  is 
carrying  out  or  is  about  to  carry  out  operations  in  breach  of  customs  or  agricultural  legislation 
which are of individual interest at the Community level." 

12) Article 34(3) is replaced by the following: 

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19 

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"Article 34 

3.  To  ensure  the  correct  application  of  the  data  protection  provisions  of  this  Regulation,  each 
Member  State  and  the  Commission  shall  regard  the  CIS  as  a  personal  data  processing  system 
which is subject to: 

- national provisions implementing Directive 95/46/EC; 

- Regulation (EC) No 45/2001; 

- any more stringent provisions of this Regulation." 

(13) Article 35 is replaced by the following: 

"Article 35 

1.  Subject  to  Article  30(1),  CIS  partners  shall  be  prohibited  from  using  personal  data  from  the 
CIS other than for the purpose stated in Article 23(2). 

2.  Data  may  be  duplicated  only  for  technical  purposes,  provided  that  such  duplication  is 
necessary for searching by the authorities referred to in Article 29. 

3. Personal data included in CIS by a Member State or the Commission may not be copied in data 
processing  systems  for  which  the Member  States  or the  Commission  are  responsible,  except  in 
systems of risk management used to direct national customs controls or in an operational analysis 
system used to direct coordination actions at Community level. 

In this case, only the analysts designated by the national authorities of  each Member State and 
those  designated  by  Commission  departments  shall  be  empowered  to  process  personal  data 
obtained from the CIS within the framework either of a risk management system used to direct 
customs controls or of an operational and/or strategic analysis system used to direct coordination 
actions at Community level. 

Each Member State shall send the Commission a list of the risk management departments whose 
analysts are authorised to extract and process personal data entered in the CIS. The Commission 
shall inform the other Member States accordingly. It shall also provide all the Member States 
with the corresponding information regarding its own departments responsible for operational 
and/or strategic analysis. 

The list of national authorities and Commission departments thus designated shall be published 
for information by the Commission in the Official Journal of the European Communities. 

Personal  data  extracted  from  the  CIS  may  be  stored  for  no  more  than  one  year.  Personal  data 
which  are  not  necessary  for  the  continuation  of  the  analysis  shall  be  immediately  deleted  or 
identifying factors shall be removed." 

14) The last sentence of Article 36(2) is replaced by the following: 

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20 

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"In any event, access shall be denied to any person whose data are or are not processed during the 
period  in  which  actions  are  carried  out  for  the  purposes  of  sighting  and  reporting  or  discreet 
surveillance and during the period in which the operational analysis of the data or investigation is 
ongoing." 

15) Article 37 is amended as follows: 

(a) Paragraph 2 is replaced by the following: 

"2.  Any  person  may  ask  any  national  supervisory  authority  provided  for  by  Article  28  of 
Directive 95/46/EC or the European Data Protection Supervisor provided for by Article 41(2) of 
Regulation (EC) No 45/2001, depending whether the data were included in the CIS by a Member 
State or the Commission, to have access to the personal data concerning him in order to check 
that  they  are  accurate  and  what  use  has  been  or  is  being  made  of  them.  This  right  shall  be 
governed  by  the  laws,  regulations  and  procedures  of  the  Member  State  in  which  the  request  is 
made  or  by  Regulation  (EC)  No  45/2001,  as  the  case  may  be.  If  the  data  were  included  by 
another Member State or by the Commission, they shall be checked in close cooperation with the 
national supervisory authority of that other Member State or with the European Data Protection 
Supervisor." 

(b) Paragraph 4 is deleted. 

16) Article 38(1) is replaced by the following: 

"1. All appropriate technical and organisational measures necessary to maintain security shall be 
taken: 

(a) by the Member States and the Commission, each insofar as it concerns them, in respect of the 
terminals of the CIS located on their respective territories and in the Commission's offices; 

(b) by the Committee referred to in Article 43 in respect of the CIS and the terminals located on 
the  same  premises  as  the  CIS  and  used  for  technical  purposes  and  the  checks  required  by 
paragraph 3; 

(c) the Commission for the Community elements of the common communication network." 

17) The following Title is inserted: 

“TITLE Va 

CUSTOMS FILES IDENTIFICATION DATABASE  

Chapter 1 

Establishment of a customs files identification database 

Article 41a 

1.  The  CIS  shall  also  include  a  specific  database  called  the  “Customs  files  identification 
database" ("FIDE”). Subject to the provisions of this Title, all the provisions of this Regulation 

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relating  to  the  CIS  shall  also  apply  to  the  FIDE,  and  any  reference  to  the  CIS  includes  that 
database. 

2. The objective of the FIDE shall be to help to prevent, facilitate and accelerate the detection and 
prosecution of operations in breach of customs and agricultural legislation. 

3. The purpose of the FIDE shall be to allow the Commission, when it opens a coordination file 
within the meaning of Article 18 or prepares a Community mission in a third country within the 
meaning  of  Article  20,  and  the  competent  authorities  of  a  Member  State  designated  as  regards 
investigations in accordance with Article 29, when they open an investigation file or investigate 
one  or  more  persons  or  companies,  to  identify  the  competent  authorities  of  the  other  Member 
States  or  the  Commission  departments  which  are  or  have  been  investigating  the  persons  or 
companies  concerned,  in  order  to  attain  the  objectives  specified  in  paragraph  2  by  means  of 
information on the existence of investigation files. 

4. If the Member State or the Commission making a search in the FIDE needs fuller information 
on the investigation files on persons or companies, it shall ask for the assistance of the supplier 
Member State on the basis of this Regulation.  

5.  The  customs  authorities  of  the  Member  States  may  use  the  FIDE  within  the  framework  of 
customs cooperation provided for by Title VI of the Treaty on European Union. In such a case, 
the Commission shall ensure the technical management of the database. 

Chapter 2 

Operation and use of the FIDE 

Article 41b 

1. The competent authorities shall enter data from investigation files in the FIDE for the purposes 
defined in Article 41a(3). The data shall cover only the following categories: 

(a) persons and companies which are or have been the subject of an investigation by the relevant 
service of a Member State, and 

– are suspected of committing, of having committed, of participating or of having participated in 
an operation in breach of customs or agricultural legislation; or 

– have been the subject of an finding relating to one of these operations; or 

– have been the subject of an administrative or judicial penalty for one of these operations; 

(b) the field concerned by the investigation file; 

(c) the name, nationality and details of the processing  department in the Member  State and the 
file number. 

The  data  referred  to in  points  (a),  (b)  and  (c)  shall  be  introduced  separately  for  each  person  or 
company. The creation of links between these data shall not be allowed. 

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2. The personal data referred to in paragraph 1(i) shall consist only of the following: 

(a) for persons: name, maiden name, forename and alias, date and place of birth, nationality and 
sex; 

(b) for companies: business name, name used by the company in its activity, premises and VAT 
identifier. 

3. Data shall be entered for a limited period in accordance with Article 41d. 

Article 41c 

1.  The  introduction  and  consultation  of  data  in  the  FIDE  shall  be  reserved  exclusively  for  the 
authorities referred to in Article 41a. 

2. Any consultation of the FIDE must specify the following personal data: 

(a) for persons: the forename and/or name and/or maiden name and/or alias and/or date of birth; 

(b)  for  companies:  the business  name,  the  name  used  by  the  company  in  its  activity  and/or the 
VAT identifier. 

Chapter 3 

Storage of data 

Article 41d 

1. The data storage period shall depend on the laws, regulations and procedures of the Member 
State supplying them. The following are the maximum periods, calculated from the date of entry 
of the data in the investigation file, which may not be exceeded: 

(a) data concerning current investigation files may not be stored for more than three years without 
any irregular operation being observed; data must be deleted before that time-limit if one year has 
elapsed since the last observation; 

(b) data concerning investigations in which an irregular operation has been established but which 
have  not  yet  given  rise  to  a  conviction  or  an  order  to  pay  a  criminal  fine  or  an  administrative 
penalty may not be stored for more than six years; 

(c)  data  concerning  investigations  which  have  given  rise  to  a  conviction  or  an  order  to  pay  a 
criminal fine or an administrative penalty may not be stored for more than ten years. 

2. At all stages of an investigation file as referred to in paragraph 1(a), (b) and (c), as soon as a 
person  to  whom  Article  41b  applies  is  cleared  of  suspicion  under  the  laws,  regulations  and 
procedures  of  the  supplier  Member  State,  data  concerning  that  person  shall  immediately  be 
deleted. 

EN 

23 

   EN 

 
3. The FIDE shall delete the data automatically as soon as the maximum storage period provided 
for in paragraph 1 has elapsed. In any event, the combined periods referred to in paragraph 1 may 
not exceed ten years." 

18) Title VI is replaced by the following: 

“Title VI 

DATA PROTECTION 

Article 42 

1. When processing personal data under this Regulation, the Commission and the Member States 
shall ensure strict compliance with Community and national data protection provisions, in 
particular those of Directive 95/46/EC and Regulation (EC) No 45/2001. 
The European Data Protection Supervisor shall be consulted before the implementing measures 
provided for by this Regulation are adopted. 

2. The provisions applying to the automatic exchange and processing of data shall apply mutatis 
mutandis to non-automatic exchange and processing of data.” 

19) The following Title VIa is inserted: 

“TITLE VIa 

FINANCING 

Article 42a 

1. This Regulation is the basic act on which the financing of the following expenditure is based: 

(a) all costs of installing and maintaining the permanent technical infrastructure making available 
to  the  Member  States  the  logistical,  office  automation  and  IT  resources  to  coordinate  joint 
customs operations, in particular special surveillance operations provided for by Article 7; 

(b) the reimbursement of transport, accommodation and daily allowance costs of representatives 
of  the  Member  States  taking  part  in  the  Community  missions  provided  for  by  Article  20,  joint 
customs  operations  organised  by  or  jointly  with  the  Commission  and  training  courses,  ad  hoc 
meetings  and  preparatory  meetings  for  administrative  investigations  or  operational  actions 
conducted by the Member States, where they are organised by or jointly with the Commission; 

Where  the  permanent  technical  infrastructure  referred  to  at  (a)  is  used  for  the  purposes  of  the 
customs  cooperation  provided  for  by  Title  VI  of  the  Treaty  on  European  Union,  the  transport, 
accommodation costs and the daily allowances of the representatives of the Member States shall 
be borne by the Member States; 

(c) expenditure related to the acquisition, study, development and maintenance of the computer 
infrastructure (hardware) and the software and dedicated network connections for preventing and 
combating fraud and to the related production, support and training services; 

EN 

24 

   EN 

 
(d)  expenditure  related  to  the  provision  of  information  and  expenditure  on  related  actions 
allowing access to information, data and data sources for the purposes of fraud prevention in the 
field of the protection of the Community’s financial or other interests. 

(e)  expenditure  related  to  use  of  the  Customs  Information  System  provided  by  the  instruments 
adopted under Title VI of the Treaty on European Union and in particular the Convention on the 
use of information technology in customs matters established by Council Act of 26 July 199527, 
insofar  as  these  instruments  provide  that  this  expenditure  shall  be  borne  by  the  Community 
budget. 

2.  The  Commission,  after  consulting  the  committee  provided  for  by  Article  43,  may  decide  to 
establish  or  acquire  such  other  communication  and  information  exchange  systems  as  are 
considered necessary. 

3. Expenditure related to the acquisition, study, development and maintenance of the Community 
components  of  the  common  communication  network  used  by  the  systems  referred  to  in  the 
paragraph 1(c) shall also be borne by the Community budget. The Commission shall conclude the 
necessary  contracts  on  behalf  of  the  Community  to  ensure  the  operational  nature  of  these 
components. 

4. Without prejudice to the expenses related to the operation of the CIS and the amounts provided 
for by way of compensation by Article 40, the Member States and the Commission shall waive 
all claims for reimbursement of expenditure related to the supply of information or of documents 
or  to  the  implementation  of  an  administrative  investigation  or  of  any  other  operational  action 
pursuant  to  this  Regulation  which  are  carried  out  at  the  request  of  a  Member  State  or  the 
Commission, except as regards the allowances (if any) paid to experts." 

20) Article 43 is amended as follows: 

(a) Paragraph 4 is replaced by the following: 

“ 4. The committee shall examine all matters relating to the application of this Regulation which 
may be raised by its chairman, either on his own initiative or at the request of the representative 
of a Member State, in particular concerning: 

- the general working of the mutual assistance arrangements provided for in this Regulation; 

- the adoption of practical arrangements for forwarding the information referred to in Articles 15 
to 17; 

- the information sent to the Commission pursuant to Articles 17 and 18 to ascertain if anything 
can be learnt from it, to decide on the measures required to put an end to practices found to be in 
breach  of  customs  or  agricultural legislation  and,  where  appropriate, to  suggest amendments  to 
existing Community provisions or the drafting of additional ones; 

27 

OJ C 316, 27.11.1995. 

EN 

25 

   EN 

 
                                                 
-  the  organisation  of  joint  customs  operations,  in  particular  special  surveillance  operations, 
provided for by Article 7; 

-  the  Community  position  in  committees  and  working  parties  established  by  or  under 
international agreements concerning mutual administrative assistance in customs matters; 

-  the  preparation  of  investigations  carried  out  by  the  Member  States  and  coordinated  by  the 
Commission and Community missions as provided for by Article 20; 

-  measures  taken  to  safeguard  the  confidentiality  of  information,  in  particular  personal  data, 
exchanged under this Regulation, other than that provided for by Title V; 

-  the  implementation  and  proper  operation  of  the  CIS  and  all  the  technical  and  operational 
measures required to ensure the security of the system; 

- the need to store information in the CIS; 

- the measures taken to safeguard the confidentiality of information entered in the CIS under this 
Regulation,  particularly  personal  data,  and  to  ensure  compliance  with  the  obligations  of  those 
responsible for processing; 

- the measures adopted pursuant to Article 38 (2).”; 

(b) In the third sentence of paragraph 5, "the Ombudsman" is replaced by "the European 

Data Protection Supervisor provided for by Article 41(2) of Regulation (EC) No 45/2001". 

21) In Articles 44 and 45(2), "in Title V on the CIS" is replaced by: "in Titles V and Va". 

22) Article 53(2) is deleted. 

Article 2 

This  Regulation  shall  enter  into  force  on  the  third  day  following  its  publication  in  the  Official 
Journal of the European Communities. 

It shall apply from … 

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

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President   

EN 

26 

   EN 

 
 
LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  amending  Council 
Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative 
authorities  of  the  Member  States  and  cooperation  between  the  latter  and  the  Commission  to 
ensure the correct application of the law on customs and agricultural matters. 

2 

ABM / ABB FRAMEWORK 

Policy Area(s) concerned and associated Activity/Activities: 

24.02 Anti-fraud 

3 

BUDGET LINES 

3.1. 

Budget lines (operational lines and related technical and administrative assistance 
lines (ex-BA lines)) including headings: 

24.0203 AFIS 

3.2. Duration of the action and of the financial impact: 

Indefinite from date of entry into force. 

3.3. Budgetary characteristics (add rows if necessary): 

Budget 
heading 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

24.0203 

NC 

DA 

None 

None 

None 

Subheading 
1a 

EN 

27 

   EN 

 
4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

Summary of commitment appropriations (CA) and payment appropriations (PA) 

EUR million (to 3 decimal places) 

Section 
No 

2007 

2008 

2009 

2010 

2011 

Type of expenditure 

Operational expenditure28 

Total 

2012-
2013 

Commitment 
appropriations (CA) 

8.1 

a 

5,750 

6,000 

6,000 

6,500 

6,500 

14,000  44,750 

appropriations 

Payment 
(PA) 
Administrative expenditure within reference amount29 

4,900 

5,100 

b 

5,300 

5,500 

5,700 

18,250  44,750 

Technical 
and 
administrative  assistance 
– ATA (NDA) 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT 

Commitment 
Appropriations 

Payment 
Appropriations 

a+c  5,750 

b+c  4,900 

6,000 

6,000 

6,500 

6,500 

14,000  44,750 

5,100 

5,300 

5,500 

5,700 

18,250  44,750 

Administrative expenditure not included in reference amount30 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

Administrative  costs,  other 
than  human  resources  and 
not 
associated 
included in reference amount 
(NDA) 

costs, 

8.2.5 

d 

0,659 

0,659 

0,659 

0,659 

0,659 

1,318 

4,613 

8.2.6 

e 

0,850 

0,850 

0,850 

0,850 

0,850 

1,700 

5,950 

28 
29 
30 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within article xx 01 04 of Title xx. 
Expenditure within chapter xx 01 other than articles xx 01 04 or xx 01 05. 

EN 

28 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
  
  
  
  
  
  
 
 
 
 
 
                                                 
Total indicative financial cost of intervention 

TOTAL  CA 
cost 
of 
Resources 

including 
Human 

TOTAL  PA,  including 
cost of human resources 

Co-financing details 

a+c
+d+
e 

b+c
+d+
e 

7,259 

7,509 

7,509 

8,009 

8,009 

17,018 

55,313

6,409 

6,609 

6,809 

7,009 

7,209 

21,268 

55,313

If the proposal involves co-financing by Member States, or other bodies (please specify which), 
an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in  the  table  below  (additional 
lines may be added if different bodies are foreseen for the provision of the co-financing): 

EUR million (to 3 decimal places) 

Co-financing body 

2007 

2008

2009 

2010 

2011 

Total 

2012-
2013 

…………………… 

f 

TOTAL  CA  including 
co-financing 

a+c+d
+e+f 

4.1.2.  Compatibility with financial programming 

X 

Proposal is compatible with existing financial programming. 

(cid:133) 

(cid:133) 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial 
perspective. 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 
Agreement31 (i.e. flexibility instrument or revision of the financial perspective). 

Financial impact on revenue 

X 

Proposal has no financial impact on revenue 

(cid:133) 

Financial impact - the effect on revenue is as follows: 

Note: All details and observations relating to the method of calculating the effect on 
revenue should be shown in a separate annex. 

31 

See points 19 and 24 of the Interinstitutional agreement. 

EN 

29 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Budget 
heading 

Revenue 

Prior to 
action 
[Year n-
1] 

Situation following action 

[Yea
r n] 

[n+1] [n+2] [n+3

[n+4]  [n+5]

] 

32 

EUR million (to one decimal place) 

a) Revenue in absolute terms   

b) Change in revenue 

 Δ 

(Please specify each revenue budget line involved, adding the appropriate number of 
rows to the table if there is an effect on more than one budget line.) 

4.2. 

Human  Resources  FTE  (including  officials,  temporary  and  external  staff)  -  see 
detail under point 8.2.1. 

Annual requirements 

2007 

2008 

2009 

2010 

2011 

2012-
2013 

Total 
number 
human resources 

of 

6,1 

6,1 

6,1 

6,1 

6,1 

6,1 

5. 

CHARACTERISTICS AND OBJECTIVES 

Details of the context of the proposal are required in the Explanatory Memorandum. This 
section  of  the  Legislative  Financial  Statement  should  include  the  following  specific 
complementary information: 

5.1. 

Need to be met in the short or long term 

AFIS's technical architecture (hardware and software) needs to be updated. 

A  customs  files  identification  database  (FIDE)  enabling  the  competent  departments  to  inform 
each other of files on investigations, whether under way or closed, without giving further details 
of their content or outcome needs to be developed and launched to complete the existing systems 
for exchanging and storing data (AFIS/CIS). 

There  is  a  need  to  develop  a  common  interface  for  users  of  the  AFIS/CIS  applications  and 
modules for mutual assistance communications (e-MA communication), user rights management 

32 

Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years. 

EN 

30 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(URT), cooperation (Virtual OCU), structured and unstructured exchanges (AFIS Mailing), data 
import/export functionalities, notification of seizures of goods and analysis of CIS data.  

A system needs to be developed for accessing information, data and data sources for the purposes 
of fraud prevention in the field of the protection of the Community’s financial and other interests. 

5.2. 

Value-added of Community involvement and coherence of the proposal with other 
financial instruments and possible synergy 

Value added by the Community intervention 

In the fight against fraud affecting the European Union budget and other forms of trafficking, the 
lack  of  compatibility  and  interoperability  of  the  IT  architectures  of  the  national  competent 
authorities  impeded  the  efficient  functioning  of  the  mechanisms  for  administrative  cooperation 
and mutual assistance.  

It was therefore important to find a common denominator for the national systems. To this end, a 
single technical infrastructure, the Anti-Fraud Information System (AFIS), was created to serve 
as the basis for various Community anti-fraud computer applications.  

These  computer  applications,  which  are  based  on  the  law  on  customs  and  agricultural  matters, 
thus provide a common interface with the national systems, making them easily accessible by the 
user authorities in the Member States. 

Through these sectoral rules, this infrastructure is designed to assist the competent authorities in 
preventing, detecting and prosecuting operations which contravene the customs and agricultural 
regulations  by  means  of  more  rapid  dissemination  of  information,  leading  to  more  effective 
cooperation  and  monitoring  procedures  and  better  sharing  of  information  between  the  national 
authorities and also between the authorities and the European Anti-Fraud Office (OLAF). 

Coherence of the proposal with other financial instruments and possible synergy 

All the appropriations entered in Article 24.0203 "Anti-fraud information system (AFIS)" of the 
EU budget are intended to finance the development and maintenance of AFIS's infrastructure, its 
use and the related production services.  

5.3 

Objectives, expected results and related indicators of the proposal in the context of 
the ABM framework 

The objective is develop and roll out a new AFIS infrastructure combining new Internet-oriented 
hardware with new software applications. 

Output indicators: 

–  The  new  AFIS  portal  and  the  associated  management  tools,  e.g.  User  Registration  Tool 

(URT), are launched (objective achieved: yes/no). 

EN 

31 

   EN 

 
–  The  following  new  software  applications  are  developed  and  launched  (objective  achieved: 

yes/no): 

–  non-structured data exchange (AFIS mailing) 

–  structured data exchange (MARINFO, YACHTINFO, CIGINFO, e-MA) 

–  cooperation tools (Virtual OCU : CONSUR, MARSUR, VIASUR) 

–  data storage (FIDE and CIS web) (objective achieved: yes/no). 

–  Updated  versions  are  launched  of  the  following  software  applications  (objective  achieved: 

yes/no): 

–  the Mutual Information System (MIS) 

–  the Electronic Communication Registry (ECR). 

–  The  anti-fraud customs  operational analysis system (COAS) is  developed and launched, and 
the Customs Information System's remit is extended to controlling cash entering and leaving 
the EU (objective achieved: yes/no). 

–  AFIS's  infrastructure  and  software  applications  undergo  corrective  and  evolutionary 

maintenance (number of incidents and requests for changes). 

–  The groups of users of external databases are assessed (number of notifications). 

Impact indicators: 

–  Cooperation within the network of AFIS users improves (number of messages exchanged or 

stored). 

–  The new infrastructure meets the requirements of users in the Member States (an application 

permits user satisfaction to be gauged). 

–  The added value of an approach based on EU-level intelligence is demonstrated. 

5.4.  Method of Implementation (indicative) 

Show below the method(s)33 chosen for the implementation of the action. 

(cid:133) Centralised management 

X  Directly by the Commission 

(cid:133) Indirectly by delegation to: 

33 

If  more  than  one  method  is  indicated  please  provide  additional  details  in  the  “Remarks”  section  of  this 
point. 

EN 

32 

   EN 

 
                                                 
(cid:133)  Executive Agencies 

(cid:133)  bodies  set  up  by  the  Communities  as  referred  to  in  Article 185  of 
the Financial Regulation 

(cid:133)  national public-sector bodies/bodies with public-service mission 

(cid:133) Shared or decentralised management 

(cid:133)  With Member States 

(cid:133)  With third countries 

(cid:133) Joint management with international organisations (please specify) 

Remarks: 

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

Starting  from  the  date  of  this  Regulation's  entry  into  force,  the  Commission  will  report  every 
three years on the Regulation's application to the European Parliament, the Court of Auditors and 
the Council. 

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

The Commission's 2004 annual report on the protection of the Communities' financial interests 
focused heavily on the implementation of mutual administrative assistance in customs matters by 
the  Member  States  and  the  Commission  in  the  period  2002-2004.  The  proposed  amendment  is 
intended to take account of this evaluation. 

6.2.2.  Measures  taken  following  an  intermediate/ex-post  evaluation  (lessons  learned  from 

similar experiences in the past) 

If  necessary,  the  Committee  will  use  the  "comitology"  procedure  to  adopt  a  regulation  laying 
down the relevant implementing procedures. 

6.2.3.  Terms and frequency of future evaluation 

Starting from the date of the Regulation's entry into force, the Commission will report every three 
years on the Regulation's application to the European Parliament, the Court of Auditors and the 
Council. 

EN 

33 

   EN 

 
 
 
 
7. 

ANTI-FRAUD MEASURES 

In order to protect the Communities' financial interests against fraud and other irregularities, the 
Commission  may  carry  out  on-the-spot  checks  and  inspections  under  this  Programme  in 
accordance  with  Council  Regulation  (Euratom,  EC)  No  2185/9634.  Where  necessary, 
investigations shall be conducted by the European Anti-Fraud Office (OLAF) and these shall be 
governed by Regulation (EC) No 1073/1999 of the European Parliament and of the Council35. 

The Commission will conduct regular document-based and on-the-spot checks. 

34 
35 

OJ L 292, 15.11.1996, p. 2. 
OJ L 136, 31.05.1999, p. 1. 

EN 

34 

   EN 

 
                                                 
8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

(Headings 
of 
Objectives,  actions 
and outputs should 
be provided) 

Typ
e of 
outp
ut 

Av. 
cost 

2007 

2008 

2009 

2010 

2011 

2012-2013 

TOTAL 

of 

No 
outputs 

Tota
l 
cost 

of 

No 
outputs 

Tota
l 
cost 

of 

No 
outputs 

Tota
l 
cost 

of 

No 
outputs 

Tota
l 
cost 

of 

No 
outputs 

Tota
l 
cost 

of 

No 
outputs 

Tota
l 
cost 

of 

No 
outputs 

Tota
l 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL 
OBJECTIVE  No 136 
and 
Development 
management  of  the 
technical 
infrastructure  of  the 
Anti-Fraud 
Information  System 
(AFIS) 

Action 1 Feasibility 
studies, 
development, 
launch 
and 
maintenance  of  the 
technical 
AFIS 
infrastructure 
(hardware 
software) 

and 

study 
Feasibility 
and  development  of 
AFIS  infrastructure, 
including 
acquisition 

of 

1,85
0 

2,00
0 

2,00
0 

2,15
0 

2,15
0 

4,60
0 

14,7
50 

36 

As described under Section 5.3. 

EN 

35 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
communications 
systems  

and 
Launch 
maintenance 
of 
AFIS  infrastructure, 
support 
including 
and 
for 
users37|  

training 

TOTAL COST 

3,90
0 

5,75
0 

4,00
0 

6,00
0 

4,00
0 

6,00
0 

4,35
0 

6,50
0 

4,35
0 

6,50
0 

9,40
0 

14,0
00 

30,0
00 

44,7
50 

For  information,  the  below  table  sets  out  the  sums  allocated  to  DG OLAF  under  the  Commission  proposal  for  a  Decision  of  the 
European  Parliament  and  of  the  Council  establishing  an  action  programme  for  customs  in  the  Community  (Customs  2013) 
(COM(2006) 201 final of 17 May 2006) to cover expenditure arising from the use of the common communications network/common 
systems interface (CCN/CSI) for AFIS applications: 

Operational 
objective 

2008 

2009 

2010 

2011 

2012 

2013 

EUR 2.65 million  EUR 3.05 million 

EUR 
million 

3.05 

EUR 
million 

3.05 

3.05 

EUR 
million 

EUR 
million 

3.4 

of 

the 

Use 
CCN/CSI 
communications 
network  for  AFIS 
software 
applications 

37 

EN 

This  is  additional  to  the  expenditure  arising  from  the  use  of  the  common  communications  network/common  systems  interface  (CCN/CSI),  which  is 
already  covered  by  the  Commission  Proposal  for  a  Decision  of  the  European  Parliament  and  of  the  Council  establishing  an  action  programme  for 
customs in the Community (Customs 2013) (COM(2006) final, 17.5.2006). 

36 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2. 

Administrative expenditure 

8.2.1  Number and type of human resources 

Types of post 

Staff to be assigned to management of the action using existing and/or additional 
resources (number of posts/FTEs) 

2007 

2008 

2009 

2010 

2011 

2012-2013 

2,1A 

2,1A 

2,1A 

2,1A 

2,1A 

2,1A 

3B 
1C 

3B 
1C 

3B 
1C 

3B 
1C 

3B 
1C 

3B 
1C 

Officials or 
temporary 
staff38 
(24 02 03) 

financed39 
Staff 
Article XX 01 02 

A*/
AD 

B*, 
C*/
AST 

by 

Other  staff  financed40 
by Article XX 01 04/05 

TOTAL 

6,1 

6,1 

6,1 

6,1 

6,1 

6,1 

8.2.2.  Description of tasks deriving from the action 

Management of AFIS IT projects, in particular by acting as an interface between users ("Business 
owner") and outside contractors. 

8.2.3. 

Sources of human resources (staff covered by the Staff Regulations) 

(When more than one source is stated, please indicate the number of posts originating from each 
of the sources) 

(cid:59) 

(cid:133) 

(cid:133) 

(cid:133) 

Posts  currently allocated  to the  management  of  the  programme  to  be  replaced  or 
extended 

Posts pre-allocated within the APS/PDB exercise for year n 

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 
(internal redeployment) 

38 
39 
40 

Cost of which is NOT covered by the reference amount. 
Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. 

EN 

37 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:133) 

Posts  required  for  year  n  although  not  foreseen  in  the  APS/PDB  exercise  of  the 
year in question 

8.2.4.  Other administrative expenditure included in reference amount 

(XX 01 04/05 – Administrative management expenditure) 

EUR million (to 3 decimal places) 

2007 

2008 

2009 

2010 

2011 

TOTAL 

2012-2013 

Budget heading 

(No and title) 

Technical 

1. 
and 
administrative 
assistance 
(including related staff costs) 

 Executive agencies41 

Other 
administrative assistance. 

technical 

and 

intra muros 

extra muros 

Total 
administrative assistance. 

technical 

and 

8.2.5.  Financial  cost  of  human  resources  and  associated  costs  not  included  in  reference 

amount 

Type of human resources 

2007 

2008 

2009 

2010 

2011 

2012-2013 

EUR million (to 3 decimal places) 

Officials  and  temporary  staff  (XX  01 
01) 

Staff  financed  by  Art  XX  01  02 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

Total cost of human resources and 
associated costs (NOT included in 
reference amount) 

0,659 

0,659 

0,659 

0,659 

0,659 

1,318 

0,659 

0,659 

0,659 

0,659 

0,659 

1,318 

41 

Reference  should  be  made  to  the  specific  legislative  financial  statement  for  the  Executive  Agency(ies) 
concerned. 

EN 

38 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Calculation – Officials and Temporary agents 

Reference should be made to Point 8.2.1, if applicable 

6,1 x108 000 = EUR 658 800 

Calculation – Staff financed by Article XX 01 02 

Reference should be made to Point 8.2.1, if applicable 

8.2.6.  Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

2007 

2008 

2009 

2010  2011 

2012-
2013 

TOTAL 

 XX 01 02 11 01 – Missions 

 XX 01 02 11 02 - Meetings and conferences 

 24 01 06 0001 02 11 03 - Committees42 

0,120 

0,120 

0,120 

0,120 

0,120 

0,240 

0,840 

XX 01 02 11 04 - Studies & consultations 

XX 01 02 11 05 - Information systems 

2.  Total  other  management  expenditure 

(XX 01 02 11) 

3. Other expenditure of an administrative 
nature  (specify  including  reference  to 
budget line) 24 01 06 00 02 01 Controls, 
studies,  analyses  and  activities  specific 
to the European Anti-Fraud Office 

Total  administrative  expenditure,  other 
than  human  resources  and  associated 
costs 
reference 
included 
amount) 

(NOT 

in 

0,600 

0,600 

0,600 

0,600 

0,600 

1,200 

4,200 

0,720 

0,720 

0,720 

0,720 

0,720 

1,440 

5,040 

Mutual  Assistance  Committee  referred  to  in  Article  43  of  Regulation  (EC)  No  515/97  of 
13 March 1997 (application of Articles 5 and 6 of Decision 1999/468/EC). 

Calculation – Other administrative expenditure not included in reference amount 

On the basis of execution in 2004 and 2005 and plans for 2006. 

42 

Specify the type of committee and the group to which it belongs. 

EN 

39 

   EN