Proposal for a Council Decision on the establishment of the European Criminal Records Information System (ECRIS) in application of Article 11 of Framework Decision 2008/XX/JHA
Date: 2008-05-27
Institutions: European Commission
Subjects: EU Member State, European judicial area, area of freedom, security and justice, criminal record, exchange of information, judicial cooperation in criminal matters in the EU

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 27.5.2008 
COM(2008) 332 final 

2008/0101 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the establishment of the European Criminal Records Information System (ECRIS) in 
application of Article 11 of Framework Decision 2008/XX/JHA 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1. CONTEXT OF THE PROPOSAL 

110 

Grounds for and objectives of the proposal 

The  need  to  improve  the  quality  of  information  exchanged  on  convictions  was 
prioritised in the European Council Declaration on Combating Terrorism of 25 and 26 
March  2004  and  was  reiterated  in  the  Hague  Programme,  adopted  by  the  European 
Council on 4 and 5 November 2004. These objectives are reflected in the action plan 
jointly adopted by the Commission and the Council on 2 and 3 June 2005 with a view 
to carrying out the Hague Programme.  

As a response to the expectations expressed at the Council meeting (Justice and Home 
Affairs)  on  14  April  2005,  following  the  publication  in  January  2005  of  the  White 
Paper on exchanges of information on convictions and the effect of such convictions in 
the European Union and the subsequent general discussion thereof, the Council in June 
2007 has reached a political agreement on the Framework Decision on the organisation 
and  content  of  the  exchange  of  information  extracted  from  criminal  records  between 
Member  States  2008/XXX/JHA  (hereinafter 
the  "Framework  Decision").  The 
Framework Decision requires further measures for its implementation, in particular as 
regards the setting up of a computerised system of exchange of information. 

The purpose of this decision is to implement Article 11 of the Framework Decision. 

120 

General context 

Information  on  convictions  is  currently  exchanged  according  to  the  European 
Convention  on  Mutual  Assistance  in  Criminal  Matters  of  1959  (Council  of  Europe 
Convention,  hereinafter  the  "1959  Convention").  This  system  presents  important 
shortcomings,  which  were  analysed  in  the  White  Paper.  The  result  is  that  national 
courts often pass sentences on the sole basis of the past convictions featuring in their 
national register, without any absolutely no knowledge of convictions in other Member 
States. 

At  the  Council  meeting  of  14  April  2005,  Member  States  decided  to  maintain  the 
principle  of  centralisation  of  information  in  the  Member  State  of  nationality  of  the 
person,  but  agreed  that  the  system  should  be  improved  in  order  to  ensure  that 
information is completed and transmitted in an electronic way. 

130 

Existing provisions in the area of the proposal 

On 21 November 2005 the Council adopted a first proposal from the Commission for a 
Council  Decision  on  the  exchange  of  information  extracted  from  criminal  records, 
whose  purpose  is  to  improve  the  system  of  the  1959  Convention  in  the  short  term, 
chiefly by speeding up transmission (Council Decision 2005/876/JHA).  

In  June  2007  the  Council  reached  a  political  agreement  on  the  Framework  Decision 
which this Decision seeks to complete. The main purposes of the Framework Decision 
are  to  ensure  that  a  Member  State  is  able  to  respond  properly  and  fully  to  requests 
made to it regarding the criminal records of its nationals, and to lay down the basis for 
a computerised conviction-information exchange system. This system shall be built and 
developed  to  enable  the  exchange  of  criminal  records  information  in  a  uniform, 
electronic and easily machine-translatable form. 

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This proposal shall implement Article 11 of the Framework Decision. 

140 

Consistency with the other policies and objectives of the Union 

This  Decision  respects  fundamental  rights.  It  contains  several  provisions  designed  to 
ensure a high and satisfactory level of protection for personal data transmitted by the 
convicting Member State to the Member State of the person's nationality (Article 3(2) 
and 3(3)). They supplement the provisions of the Framework Decision which limit the 
use that the requesting Member State can make of information for which it has asked 
(Article 9). 

2. CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

Consultation of interested parties 

211 

Consultation methods, main sectors targeted and general profile of respondents 

Two studies were undertaken before the Framework Decision, and much consultation 
and  collection  of  expertise  has  been  carried  out  in  preparation  of  the  Framework 
Decision1. Detailed questionnaires on how national criminal records work were sent to 
Member  States  in  April  2004;  the  replies  were  collated  and  analysed  in  the  White 
Paper. 

Furthermore an extensive study on national criminal records systems in the European 
Union, Bulgaria and Romania was carried out in 2006 with the objective of supporting 
the  Commission's  decision  making  concerning  criminal  records  by  depicting  the 
current situation in the relevant states, proposing alternatives for the development of a 
common format for the exchange of information on criminal records and outlining the 
most feasible and appropriate solution in detail. 

The  main  inspiration  for  this  proposal  comes  from  the  pilot  project  ("Network  of 
Judicial  Registers"  (NJR))  launched  by  Member  States.  The  participating  Member 
States2  have  developed  a  secure  electronic  communication  between  their  respective 
judicial registers and since 2007, 6 out of 12 current members of the project have been 
exchanging information in this form. 

The Commission has also organised a specific expert meeting to prepare this proposal 
and  has  received  contributions  from  several  Member  States.  EUROJUST  was  also 
consulted. 

212 

Summary of responses and how they have been taken into account 

The results of the consultations and recommendations made by the studies were taken 
into account in preparation of this proposal. 

Collection and use of expertise 

229 

There was no need for external expertise. 

1 

2 

Two  studies  on  criminal  records,  inter  alia,  were  carried  out  in  2001  and  2002  by  the  Institute  of 
Advanced  Legal  Studies  (ISLA)  (Falcone  Programme  (2000/FAL/168))  and  the  Institute  for 
International Research on Criminal Policy (IRCP) (Grotius Programme (2001/GRP/024). 
In March 2008 BE, CZ, DE, ES, FR, IT, LU, SK, SI, PL, PT, UK participated to the pilot project. BE, 
CZ, DE, ES, FR, LU exchanged information electronically. 

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230 

Impact assessment 

This proposal simply implements certain aspects of the Framework Decision. 

Therefore it was not necessary to carry out an impact assessment. 

3. LEGAL ELEMENTS OF THE PROPOSAL 

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Summary of the proposed action 

The proposal seeks to implement Article 11 of the Framework Decision. It proposes to 
develop  a  computerised  conviction  -  information  exchange  system  between  Member 
States by establishing the European Criminal Records Information System (ECRIS). 

The proposal sets up elements of a standardised format for the electronic exchange of 
information extracted from criminal records, in particular as concerns information on 
the  offence  giving  rise  to  the  conviction  and  information  on  the  content  of  the 
conviction,  as  well  as  other  general  and  technical  implementation  aspects  of  the 
information exchange. 

310 

Legal basis 

The  legal  basis  for  this  proposal  is  Article  31  of  the  Treaty  on  European  Union,  as 
amended by the Nice Treaty, and Article 34(2) (c). 

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Subsidiarity principle 

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The  subsidiarity  principle  applies  insofar  as  the  proposal  does  not  fall  under  the 
exclusive competence of the Community. 

This proposal shall set up common technical elements and standards of a computerised 
system,  the  ECRIS,  as  well  as  other  general  and  technical  implementation  aspects 
related  to  organising  and  facilitating  exchanges  of  criminal  records  information.  This 
objective could be better achieved by an EU action. 

The setting up of common technical standards for the computerised data transmission 
between Member States cannot be carried out adequately by the Member States nor can 
the central support and the help desk be organised individually. It requires coordinated 
action by the European Union. 

As the Framework Decision states it is left to Member States to decide at which stage 
of proceedings and in what form the information on convictions should be collected, as 
well as to decide how to store the collected information. Each Member State keeps the 
full  responsibility  to  handle  its  own  criminal  records  system  with  the  view  to 
participating  in  ECRIS.  The  exchange  of  information  on  criminal  records  remains 
under the full responsibility of the Member States. 

The proposal therefore complies with the subsidiarity principle. 

Proportionality principle 

This proposal implements certain aspects of the Framework Decision, which respects 
the  proportionality  principle.  The  decision  provides  for  the  minimum  basis  to  allow 
electronic  interconnection  between  national  criminal  records  and  to  allow  automatic 

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341 

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translation to take place. 

Choice of instruments 

Proposed instruments: Decision. 

Other means would not be adequate for the following reason: 

The  proposal  aims  to  establish  the  ECRIS  system.  This  action  entails  certain  basic 
elements  and  standards  of  a  computerised  data  exchange  system,  including  a 
standardised format for the electronic exchange of information extracted from criminal 
records,  as  well  as  other  general  and  technical  implementation  aspects  related  to  the 
organizing  and  facilitating  exchanges  of  information.  These  detailed  specifications 
require the use of a Council Decision. 

4. BUDGETARY IMPLICATION 

401 

The implementation and operation of the ECRIS will have budgetary implications, but 
these costs, to a large extent, will be covered by the specific program "criminal justice" 
as part of "Fundamental Rights and Justice" Framework Programme3. 

5. ADDITIONAL INFORMATION 

Simulation, pilot phase and transitory period 

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Information  is  currently  exchanged  between  some  Member  States  participating  in  a 
pilot  project  in  an  electronic  way.  This  proposal  is  very  much  inspired  by  the  pilot 
project, in particular as concerns the tables of offences and sanctions. 

Moreover, as provided by the Framework Decision, Member States will have to decide 
themselves  whether  to  join  the  interconnection  according  to  their  own  state  of 
development. As a result the system will grow progressively. 

Simplification 

The proposal provides for simplification of legislation, simplification of administrative 
procedures  for  public  authorities  (EU  or  national),  in  particular  as  it  will  allow 
automatic  translation  of  the  information  avoiding  costly  and  lengthy  manual 
translation. 

Moreover the setting up of an electronic exchange system will speed up and make the 
exchange of information systematic replacing lengthy and uncertain paper exchange. 

Review/revision/sunset clause 

The  proposal  provides  for  a  regular  report  to  be  sent  to  Council  and  European 
Parliament. 

Detailed explanation of the proposal 

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OJ L58, 24.02.2007 

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This section gives a brief overview of those main articles of the proposal which have 
not been described above. 

Article 3 - European Criminal Records Information System 

This Article lays down rules concerning the technical architecture, operation and use of 
ECRIS,  as  well  as  defining  the  responsibilities,  including  financial  responsibilities, 
stemming from its functioning.  

ECRIS  is  a  system  based  on  decentralised  information  technology  architecture.  The 
criminal records data will be stored solely in databases operated by Member States, and 
there  will  be  no  direct  online  access  to  criminal  records  databases  of  other  Member 
States. 

The S-TESTA network was chosen by the pilot project as a common communication 
infrastructure  between  national  criminal  records  databases.  This  choice  will  be 
confirmed  in  the  first  stage  of  the  project.  A  common  set  of  protocols  allowing  the 
exchange  of  information  between  national  criminal  records  databases  will  be 
determined  in  accordance  with  the  Comitology  procedure,  taking  into  consideration 
achievements  of  the  pilot  project.  In  order  to  implement  this  set  of  protocols,  the 
Commission may provide software allowing Member States to connect their registers. 
Member  States  will  decide  whether  to  use  this  software  or  to  rely  on  their  own 
interconnection software implementing the common set of protocols. 

Member  States  bear  the  responsibility  for  the  operation  of  national  criminal  records 
databases and for the efficient performance of exchanges involving their participation. 
The expenditure concerning the communication infrastructure should be covered by the 
general  budget  of  the  European  Union  and  existing  European  Union  financial 
programmes can be used to support ECRIS specifically. 

Article  4,  Annexes  A  and  B  -  Format  of  transmission  of  information,  Table  of 
'Offences categories' and Table of 'Sanctions categories' 

The  present  Decision  creates  a  standardised  European  format  of  transmission  of 
information  on  convictions,  allowing  information  to  be  exchanged  in  a  uniform, 
electronic and easily computer translatable way. This Article establishes an obligation 
for  Member  States  to  refer  to  the  codes  of  categories  of  offences  and  sanctions 
provided  for  in  two  reference  tables  of  "Offences  categories"  in  Annex  A  and 
"Sanctions  categories"  in  Annex  B  when  notifying  other  Member  States  about 
convictions  or  when  replying  to  their  requests  for  information  on  convictions. 
Transmitting this information, Member States will have to indicate an appropriate sub-
category  code  of  the  reference  table  of  offences  or  sanctions  respectively  for  each 
offence and each sanction. If it is not possible to classify an offence or sanction under 
any of the existing sub-categories, they should indicate an appropriate "open category" 
code.  Additionally,  in  case  of  relevance  for  a  certain  conviction  of  the  additional 
parameters  relating  to  the  offence  or  sanction,  included  in  both  reference  tables,  the 
indication of an appropriate letter code for each parameter will be required. 

The  categories  of  offences  should  be  interpreted  in  the  light  of  existing  harmonised 
common definitions, both on the European and international level. 

The  content  of  the  tables  derives  from  the  analysis  of  the  needs  of  all  27  Member 
States  by  considering  mainly  the  Pilot  Project  categorisation  and  the  results  of  the 
clustering  exercise  of  various  national  offences  and  sanctions.  Comments  made  by 
some  delegations  following  the  12  November  2007  expert  meeting  have  also  been 

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taken into consideration in this respect.  

Article 5 - Information on national convictions, sanctions and measures 

This Article requires that Member States enter their national offences and sanctions in 
each category of the table in Annex A or Annex B respectively. In order to ensure the 
mutual understanding and transparency of the common categorisation, they shall also 
send a short description of national penalties and measures, and, where necessary for 
distinguishing  between  some  problematic  offences,  a  short  description  of  the 
constitutive  elements  of  these  national  offences.  A  list  of  national  criminal  courts 
should also be provided with the aim of allowing an automatic translation of names of 
these courts. This Article links the timing for submission of the listed information with 
the moment of notifying the Council and the Commission by Member States pursuant 
to  Article  11(5)  of  the  Framework  Decision  about  their  readiness  to  use  the 
standardised  format  and  to  transmit  it  electronically  to  other  Member  States.  The 
relevant updates will have to be conveyed regularly. The information will be accessible 
to national judicial authorities through any available electronic channels to ensure full 
transparency and mutual understanding. 

Article 6 - 7 - Committee, Committee procedure and the implementing measures 

Article 7 sets up a committee which will assist the Commission in developing ECRIS.  

Article 6 provides that the reference tables of categories of offences and sanctions, as 
well the technical standards used for the exchange of information will require constant 
revision and regular updates. It also envisages the adoption of rules on statistics as well 
as  the  adoption  of  a  manual  setting  out  the  detailed  rules  for  the  exchange  of 
information  in  order  to  ensure  that  national  users  of  ECRIS  share  the  common 
understanding  of  various  notions  and  procedures.  This  manual  should  address  in 
particular  modalities  of  identification  of  offenders,  common  understanding  of  the 
categories  of  offences  and  sanctions  listed  in  Annexes  A  and  B,  explanation  of 
problematic  national  offences  and  sanctions,  as  well  as  the  procedures  governing  the 
exchange of information. 

Accordingly,  Article  6  vests  the  Commission  assisted  by  a  Committee  with  the 
implementing powers with respect to all such aspects of the operation and development 
of ECRIS.  

Article  7  defines  the  procedure  for  the  adoption  of  measures  necessary  for  the 
implementation  of  this  Decision  by  analogy  to  the  regulatory  procedure  under 
Community law. 

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2008/0101 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the establishment of the European Criminal Records Information System (ECRIS) in 
application of Article 11 of Framework Decision 2008/XX/JHA 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty on European Union, and in particular Articles 31 and 34(2) (c) 
thereof, 
Having regard to the proposal from the Commission4, 
Having regard to the opinion of the European Parliament5, 

Having  regard  to  Article  11  (3)  of  the  Council  Framework  Decision  2008/XX/JHA  on  the 
organisation  and  content  of  the  exchange  of  information  extracted  from  criminal  records 
between Member States6, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

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Article  29  of  the  Treaty  on  European  Union  states  that  the  Union's  objective  is  to 
provide citizens with a high level of safety in the area of freedom, security and justice. 
This objective presupposes the systematic exchange between the competent authorities 
of the Member States of information extracted from national criminal records in a way 
that would guarantee their common understanding and efficiency of such exchange.  

The  need  to  improve  the  exchange  of  information  on  criminal  convictions  was 
prioritised in the European Council Declaration on Combating Terrorism of 25 and 26 
March  2004  and  was  subsequently  reiterated  in  the  Hague  Programme7  and  in  the 
Action  Plan8  on  its  implementation.  Furthermore,  computerised  interconnection  of 
criminal  records  at  EU  level  was  recognised  as  a  political  priority  by  the  European 
Council in its Conclusions of 21 and 22 June 2007.  

The  electronic  interconnection  of  criminal  records  is  part  of  the  E-Justice  project, 
which was acknowledged as a priority by the European Council several times in 2007. 

Information  on  convictions  imposed  on  nationals  by  other  Member  States  does  not 
circulate  efficiently  on  the  current  basis  of  the  Council  of  Europe  Convention  on 
mutual legal assistance in criminal matters of 1959. Therefore, there is a need for more 
efficient and accessible procedures of exchange of such information at EU level. 

A  pilot  project  is  currently  being  developed  with  a  view  to  interconnecting  the 
criminal records. Its achievements constitute a valuable basis for the further work on 
computerised exchange of information at the European level. 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ L […], […], p. […]. 
OJ C 53, 03.03.2005, p.1. 
OJ C 198, 12.8.2005, p. 1. 

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(6) 

(7) 

(8) 

This Decision aims to implement Article 11 of Framework Decision 2008/XX/JHA in 
order  to  build  and  develop  a  computerised  conviction-information  exchange  system 
between  Member  States.  Such  system  should  allow  the  Member  State  receiving 
information  on  conviction  to  understand  it  easily.  Therefore,  a  standardised  format 
allowing 
in  a  uniform,  electronic  and  easily 
computer-translatable way and any other ways of organising and facilitating electronic 
exchanges  of  information  on  convictions  between  national  authorities  of  Member 
States should be set up. 

to  be  exchanged 

information 

The categories of data to be entered into the system, the purposes for which the data is 
to be entered, the criteria for its entry, the authorities permitted to access the data, and 
some  specific  rules  on  protection  of  personal  data  are  defined  in  the  Framework 
Decision 2008/XX/JHA. 

The reference tables of categories of offences and categories of sanctions provided for 
in the Annexes should facilitate the automatic translation and should enable the mutual 
understanding of the information transmitted by using a system of codes. The content 
of  the  tables  is  the  result  of  the  analysis  of  the  needs  of  all  27  Member  States.  That 
analysis  took  into  account  the  Pilot  Project  categorisation  and  the  results  of  the 
clustering exercise of various national offences and sanctions. Moreover, in case of the 
table  of  offences,  it  also  took  into  consideration  the  existing  harmonised  common 
definitions on the European and international level as well as the Eurojust and Europol 
data models. The categories of offences should be interpreted in the light of existing 
harmonised common definitions, both on the European and international level. 

(9) 

In  order  to  ensure  the  mutual  understanding  and  transparency  of  the  common 
categorisation,  each  Member  State  should  submit  the  list  of  national  offences  and 
sanctions falling in each category referred to in the respective table, as well as the list 
of national criminal courts. Such information should be accessible to national judicial 
authorities in particular through any available electronic channels.  

(10)  The  European  Criminal  Records  Information  System  (ECRIS)  is  a  system  based  on 
decentralised information technology architecture. The criminal records data should be 
stored  solely  in  databases  operated  by  Member  States,  and  there  should  be  no  direct 
online  access  to  criminal  records  databases  of  other  Member  States.  Member  States 
should bear the responsibility for the operation of national criminal records databases 
and  for  the  efficient  exchanges  of  information  with  their  participation.  The  common 
communication  infrastructure  should  be  initially  the  S-TESTA  network.  All  the 
expenditure concerning the common communication infrastructure should be covered 
by the general budget of the European Union. A common set of protocols allowing the 
exchange  of  information  between  various  criminal  records  databases  should  be 
determined  in  accordance  with  the  Comitology  procedure,  taking  into  consideration 
the achievements of the Pilot Project.  

(11) 

In  order  to  accelerate  the  development  of  ECRIS,  the  Commission  intends  to 
undertake  a  number  of  technical  measures  to  assist  Member  States  in  preparing  the 
technical 
their  criminal  records  databases.  The 
Commission  may  provide  appropriate  software  allowing  Member  States  for  this 
connection,  which  they  may  choose  to  apply  instead  of  their  own  interconnection 
software implementing the common set of protocols. 

infrastructure  for  connecting 

(12)  Since the objective of this Decision is not to harmonise national systems of criminal 
records there is no obligation for a Member State of conviction to change its internal 
system of criminal records as regards the use of information for domestic purposes. 

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(13)  Both  reference  tables  of  categories  of  offences  and  sanctions,  as  well  the  technical 
standards  used  for  the  exchange  of  information  should  require  constant  revision  and 
regular updates. Implementing powers in this respect were therefore delegated to the 
Commission  assisted  by  a  Committee.  The  regulatory  procedure  under  Community 
law  should  apply  mutatis  mutandis  for  the  adoption  of  measures  necessary  for  the 
implementation of this Decision. 

(14)  Framework  Decision  2008/XX/JHA  on  the  protection  of  personal  data  processed  in 
the framework of police and judicial co-operation in criminal matters9 should apply in 
the context the computerised exchange of information extracted from criminal records 
of Member States. 

(15)  Since the objective of the proposed action, namely the development of a system for the 
computerised  transmission  of  information  on  convictions  between  Member  States, 
cannot  be  adequately  achieved  by  the  Member  States  unilaterally, and can therefore, 
by  reason  of  a  necessity  for  a  coordinated  action  in  the  European  Union,  be  better 
achieved  at  the  level  of  the  European  Union,  the  Council  may  adopt  measures  in 
accordance with the principle of subsidiarity referred to in Article 2 of the EU Treaty 
and  set  out  in  Article  5  of  the  EC  Treaty  .  In  accordance  with  the  principle  of 
proportionality, as set out in the latter Article, this Decision does not go beyond what 
is necessary in order to achieve that objective. 

(16)  This  Decision  respects  fundamental  rights  and  observes  the  principles  recognised  in 

particular by the Charter of Fundamental Rights of the European Union, 

HAS DECIDED AS FOLLOWS:  

Article 1 
Subject-matter 

This  Decision  establishes  the  European  Criminal  Records  Information  System  (ECRIS).  It 
also sets up the elements of a standardised format for the electronic exchange of information 
extracted from national criminal records, in particular as regards information on the offence 
giving rise to the conviction and information on the content of the conviction, as well as other 
general  and  technical  implementation  aspects  related  to  the  organising  and  facilitating 
exchanges of information.  

Article 2 
Definitions 

For  the  purpose  of  this  Decision,  the  definitions  laid  down  in  Framework  Decision 
2008/XX/JHA shall apply. 

Article 3 
European Criminal Records Information System (ECRIS)  

1. 

ECRIS shall be based on decentralised information technology architecture and shall 
consist of:  

(a) 

the criminal records database in each Member State; 

(b) 

a common communication infrastructure that provides an encrypted network; 

9 

OJ L […], […], p. […]. 

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2. 

3. 

4. 

5. 

6. 

1. 

2. 

(c) 

interconnection software built in compliance with the common set of protocols 
allowing  the  exchange  of  information  between  various  criminal  records 
databases. 

The 
interconnection  software  and  databases  storing,  sending  and  receiving 
information extracted from criminal records shall operate under the responsibility of 
the Member States. No criminal records data shall be stored centrally. All criminal 
records data shall be stored in databases operated by Member States.  

Central  authorities  of  the  Member  States  referred  to  in  Article  3  of  Framework 
Decision  2008/XXX/JHA  shall  not  have  direct  online  access  to  criminal  records 
databases  of  other  Member  States.  Best  available  techniques  identified  together  by 
Member  States  with  the  support  of  the  Commission  shall  be  taken  to  ensure  the 
confidentiality and integrity of criminal records data sent to other Member States. 

Common  communication  infrastructure  shall  be  based  on  the  Trans  European 
Services  for  Telematics  between  Administrations  (S-TESTA)  communications 
network and further developments thereof or any alternative secure network operated 
by the Commission. 

In  order  to  ensure  efficient  operation  of  ECRIS,  the  Commission  shall  provide 
general support and monitoring services. 

Notwithstanding the possibility of using the EU financial programmes in accordance 
with the applicable rules, each Member State and the Commission shall bear its own 
costs  arising  from  the  implementation,  administration,  use  and  maintenance  of  the 
ECRIS components referred to in paragraph 1. 

Article 4 
Format of transmission of information  

When  transmitting  the  information  under  Article  4(2)-(4)  and  Article  7  of 
Framework Decision 2008/XXX/JHA, relating to the name or legal classification of 
the  offence  and  to  the  applicable  legal  provision,  Member  States  shall  refer  to  the 
corresponding  code  in  the  table  of  offences  in  Annex  A,  including  the  parameters 
relating to the degree of completion and level of participation and, where applicable, 
the existence of total or partial exemption from criminal liability.  

When  transmitting  the  information  under  Article  4(2)-(4)  and  Article  7  of 
Framework  Decision  2008/XXX/JHA,  relating  to  the  contents  of  the  conviction, 
including the sentence as well as any supplementary penalties, security measures and 
subsequent  decisions  modifying  the  enforcement  of  the  sentence,  Member  States 
shall refer to the corresponding code in the table of sanctions and measures in Annex 
B. 

Article 5 
Information on national convictions, sanctions and measures  

1. 

The notification referred to in Article 11(5) of Framework Decision 2008/XXX/JHA 
shall be accompanied by: 

(a) 

the list of national offences in each of the categories referred to in the table of 
offences in Annex A. The list shall include the name or legal classification of 
the offence and reference to the applicable legal provision. It may also include 
a short description of the constitutive elements of the offence; 

EN 

11 

   EN 

(b) 

the list and description of types of sentences, possible supplementary penalties, 
the 
security  measures  and  possible  subsequent  decisions  modifying 
enforcement  of  the  sentence  as  defined  in  national  law,  in  each  of  the 
categories referred to in the table of sanctions and measures in Annex B;  

(c) 

the list of national criminal courts.  

1. 

2. 

3. 

Such  notifications  accompanied  by  the  information  referred  to  in  paragraph  1  shall 
be also transmitted to the Commission. 

The  lists  and  descriptions  referred  to  in  paragraph  1  shall  be  regularly  updated  by 
Member States. Updated information shall be sent to the Commission. 

The Commission shall make the information referred to in paragraph 1 accessible to 
national judicial authorities, in particular by using any available electronic channels.  

Article 6 
Implementing measures 

The  following  implementing  measures  shall  be  adopted  in  accordance  with  the  procedure 

referred to in Article 7: 

(a) 

any  measures  necessary  for  the  technical  development  and  operation  of  ECRIS, 
concerning in particular: 

(i)  technical  specifications  of  the  exchange,  including  security  requirements,  in 

particular the common set of protocols; 

(ii)  procedures  verifying  the  conformity  of  the  software  applications  with  the 

technical specifications; 

(iii) issues related to the common communication infrastructure; 

(b) 

(c) 

a  manual  setting  out  the  procedure  for  the  exchange  of  information,  addressing  in 
particular  the  modalities  of  identification  of  offenders,  as  well  as  the  common 
understanding of the categories of offences and sanctions listed in Annexes A and B; 

rules  on  statistics  required  for  the  monitoring  of  ECRIS  and,  where  necessary,  any 
other  statistics  relating  to  the  exchange  of  information  extracted  from  criminal 
records, and in particular their type and frequency; 

(d) 

any modifications of Annexes A and B. 

Article 7 

Committee procedure  

1. 

2. 

3. 

Where  reference  is  made  to  this  Article,  the  Commission  shall  be  assisted  by  a 
regulatory committee composed of representatives of the Member States and chaired 
by a representative of the Commission (the "Committee"). 

The Committee shall adopt its rules of procedure. 

The representative of the Commission  shall submit to the Committee a draft of the 
measures to be taken. The Committee shall deliver its opinion on the draft within a 
time limit which the chairman may lay down according to the urgency of the matter. 
The opinion shall be delivered by the majority laid down in Article 205(2) and (4) of 
the Treaty establishing the European Community, in the case of decisions which the 

EN 

12 

   EN 

Council  is  required  to  adopt  on  a  proposal  from  the  Commission.  The  votes  of  the 
representatives of the Member States within the Committee shall be weighted in the 
manner set out in that Article. The chairman shall not vote. 

The Commission shall adopt the measures envisaged if they are in accordance with 
the opinion of the Committee. 

If the measures envisaged are not in accordance with the opinion of the Committee, 
or  if  no  opinion  is  delivered,  the  Commission  shall  without  delay  submit  to  the 
Council  a  proposal  relating  to  the  measures  to  be  taken  and  shall  inform  the 
European Parliament thereof. 

The Council may act by qualified majority on the proposal, within three months from 
the date of referral to the Council. 

4. 

5. 

6. 

If  within  that  period  the  Council  has  indicated  by  qualified  majority  that  it  opposes  the 
proposal,  the  Commission  shall  re-examine  it.  It  may  submit  an  amended  proposal  to  the 
Council, re-submit its proposal or present a legislative proposal on the basis of the Treaty. 

If, on the expiry of that period, the Council has neither adopted the proposed implementing 
act  nor  indicated  its  opposition  to  the  proposal  for  implementing  measures,  the  proposed 
implementing act shall be adopted by the Commission. 

Article 8 
Report 

1. 

2. 

1. 

2. 

The Commission services shall regularly publish a report concerning the exchange of 
information  extracted  from  criminal  records  between  Member  States  based  in 
particular on the statistics collected by the system, and for the first time, a year after 
submitting  the  report  referred  to  in  Article  15  (3)  of  Framework  Decision 
2008/XX/JHA. 

The Member States shall provide the Commission with the information necessary to 
draft the report referred to in paragraph 1. 

Article 9 
Implementation and time limits 

Member States shall adopt the measures necessary to comply with the provisions of 
this Decision within the time limit specified in Article 11 (6) of Framework Decision 
2008/XX/JHA. 

Member States shall use the format specified in Article 4 and comply with the ways 
of  organising  and  facilitating  exchanges  of  information  laid  down  in  this  Decision 
from the date referred to in Article 11(5) of Framework Decision 2008/XX/JHA. 

Article 10 
Date of effect 

This  decision  shall  take  effect  on  the  day  of  its  publication  in  the  Official  Journal  of  the 
European Union. 

EN 

13 

   EN 

Done at Brussels, […] 

For the Council 

The President 
[…] 

EN 

14 

   EN 

 
 
ANNEX A 
Common table of offences categories  

Parameters 

Level of 
completion:  

Level of 
participation:  

 Completed act 

 Attempt  

 Main perpetrator  

 Aider and abettor 

 Instigator 

Exemption from 
criminal 
liability: 

 Insanity 
accountability 

or 

diminished 

Ø

A

Ø

H

I 

S 

Code 

CATEGORIES AND SUB-CATEGORIES OF OFFENCES 

0100  00 
open 
category 

CRIMES WITHIN THE JURISDICTION OF THE INTERNATIONAL CRIMINAL COURT 

0101 00  Genocide 

0102 00  Crimes against humanity 

0103 00  War crimes 

0200  00 
open 
category 

PARTICIPATION IN A CRIMINAL ORGANISATION  

0201 00  Directing a criminal organisation 

0202 00  Knowingly taking part in the criminal activities of a criminal organisation 

0203 00  Knowingly taking part in the non-criminal activities of a criminal organisation 

TERRORISM 

0300  00 
open 
category 

0301 00  Directing a terrorist group 

EN 

15 

   EN 

 
 
 
 
0302 00  Knowingly participating in the activities of a terrorist group 

0303 00  Offences linked to terrorist activities10 

0304 00 

Financing of terrorism 

0305 00  Terrorist offences11 

0400  00 
open 
category 

0401 00 

TRAFFICKING IN HUMAN BEINGS  

For the purposes of labour or services exploitation 

040200 

For  the  purposes  of  the  exploitation  of  the  prostitution  of  others  or  other  forms  of  sexual 
exploitation 

0403 00 

0404 00 

For the purposes of organ or human tissue removal 

For the purpose of slavery, practices similar to slavery or servitude 

0405 00 

For other purposes 

0406 00 

For the purposes of labour or services exploitation of a minor  

0407 00 

For  the  purposes  of  the  exploitation  of  the  prostitution  of  minors  or  other  forms  of  their  sexual 
exploitation  

0408 00 

0409 00 

0500  00 
open 
category 

For the purposes of organ or human tissue removal of a minor 

For the purpose of slavery, practices similar to slavery or servitude of a minor 

FIREARMS, THEIR PARTS AND COMPONENTS, AMMUNITION AND EXPLOSIVES 

0501 00 

Illicit manufacturing  

0502 00 

Illicit trafficking at national level 

0503 00 

Illicit exportation or importation  

10 

11 

See the proposal for a Council Framework Decision amending Council Framework Decision of 13 June 
2002 on combating terrorism (2002/475/JHA). 
See  the  Council  Framework  Decision  of  13  June  2002  on  combating  terrorism  (2002/475/JHA)  and 
Council of Europe Convention on the Prevention of Terrorism of 16 May 2005 

EN 

16 

   EN 

                                                 
0504 00  Unauthorised possession or use 

0600  00 
open 
category  

HARM TO THE ENVIRONMENT 

0601 00  Destroying or damaging protected fauna and flora species 

0602 00  Unlawful discharges of polluting substances or ionising radiation into air, soil or water  

0603 00  Offences related to waste, including hazardous waste 

0604 00  Offences related to illicit trafficking in protected fauna and flora species or parts thereof 

0605 00  Offences related to illicit trafficking in hormonal substances and other growth promoters 

0606 00  Offences related to illicit trafficking in nuclear materials or other hazardous radioactive substances 

0607 00  Unlawful trading in ozone-depleting substances 

0608 00  Unintentional environmental offences 

0700  00 
open 
category 

OFFENCES  RELATED  TO  DRUGS  OR  PRECURSORS,  AND  OTHER  OFFENCES 
AGAINST PUBLIC HEALTH  

0701 00  Offences related to illicit trafficking in narcotic drugs, psychotropic substances and precursors not 

exclusively for own personal consumption  

0702 00 

Illicit consumption of drugs and their acquisition, possession, manufacture or production exclusively 
for own personal consumption 

0703 00  Aiding or inciting others to use narcotic drugs or psychotropic substances illicitly 

0704 00  Non- drug related offences against public health other than environmental offences 

CRIMES AGAINST THE PERSON 

0800  00 
open 
category  

0801 00 

Intentional killing 

0802 00  Aggravated cases of intentional killing 

0803 00  Unintentional killing (manslaughter ) 

0804 00 

Infanticide 

EN 

17 

   EN 

0805 00 

Illegal abortion  

0806 00  Causing death at the request of a victim 

0807 00  Offences related to committing suicide 

0808 00 

0809 00 

0810 00 

0811 00 

Violence causing death 

Causing grievous bodily injury, disfigurement or permanent disability 

Unintentionally causing grievous bodily injury, disfigurement or permanent disability 

Causing minor bodily injury 

0812 00  Unintentionally causing minor bodily injury 

0813 00  Exposing to danger of loss of life or grievous bodily injury 

0814 00  Torture 

0815 00 

Failure to offer aid or assistance 

0816 00 

0817 00 

0900  00 
open 
category  

Offences related to organ or tissue removal without authorisation or consent 

Offences related to illicit trading in human organs and tissue 

OFFENCES  AGAINST  PERSONAL  LIBERTY  ,  DIGNITY  AND  OTHER  PROTECTED 
INTERESTS, INCLUDING RACISM AND XENOPHOBIA  

0901 00  Kidnapping, illegal restraint 

0902 00  Unlawful arrest or detention by public authority 

0903 00  Hostage-taking 

0904 00  Unlawful seizure of an aircraft or ship 

0905 00 

Insults, slander, defamation 

0906 00  Threats  

0907 00  Duress, pressure, harassment or aggression of a psychological or emotional nature 

EN 

18 

   EN 

0908 00  Extortion 

0909 00  Aggravated extortion 

0910 00 

Invasion of privacy and offences against protection of personal data 

0911 00 

Illegal interception of data or communication 

0912 00  Discrimination on grounds of gender, race, sexual orientation, religion or ethnic origin 

0913 00 

Incitement to public racial discrimination 

0914 00 

Incitement to racial hatred 

SEXUAL OFFENCES  

1000  00 
open 
category 

1001 00  Rape  

1002 00  Aggravated rape12 other than rape of a minor 

1003 00 

Sexual assault 

1004 00 

Procuring for prostitution or sexual act 

1005 00 

Indecent exposure 

1006 00 

Sexual harassment 

1007 00 

Soliciting by a prostitute 

1008 00 

Incest 

1009 00 

 Sexual exploitation of children13 

1010 00  Offences related to indecent images of minors 

1011 00  Rape of a minor14 

12 
13 
14 

For example rape with particular cruelty. 
Other than incestuous.  
Other than incestuous. 

EN 

19 

   EN 

                                                 
1012 00 

Sexual assault of a minor15 

OFFENCES AGAINST THE FAMILY LAW 

1100  00 
open 
category  

1101 00  Domestic violence 

1102 00  Bigamy 

1103 00  Evading the alimony or maintenance obligation 

1104 00  Neglect or desertion of a minor or a disabled person 

1105 00 

Failure to comply with an order to produce a minor or removal of a minor 

1200  00 
open 
category 

OFFENCES  AGAINST  THE  STATE,  PUBLIC  ORDER,  COURSE  OF  JUSTICE  OR 
PUBLIC OFFICIALS 

1201 00  Espionage 

1202 00  High treason 

1203 00  Offences related to elections and referendum 

1204 00  Attempt against life or health of the head of State 

1205 00 

Insult of the State, nation or State symbols 

1206 00 

Insult or resistance to a representative of public authority 

1207 00  Extortion, duress, pressure towards a representative of public authority 

1208 00  Assault on a representative of public authority 

1209 00 

1210 00 

1211 00 

Public order offences, breach of the public peace 

Violence during sports events 

Abuse of alcohol or drugs 

15 

Other than incestuous. 

EN 

20 

   EN 

                                                 
1212 00 

1213 00 

1300  00 
open 
category 

Obstructing or perverting the course of justice, making false allegations, perjury 

Unlawful impersonation of a person or an authority 

OFFENCES AGAINST PUBLIC PROPERTY OR PUBLIC INTERESTS  

1301 00  Tax offences 

1302 00  Customs offences 

1303 00 

Public, social security or family benefit fraud 

1304 00 

Fraud affecting European benefits or allowances 

1305 00  Offences related to illegal gambling 

1306 00  Obstructing of public tender procedures 

1307 00  Active or passive corruption of a civil servant, a person holding public office 

1308 00  Embezzlement, misappropriation or other diversion of property by a public official 

1309 00  Abuse of a function 

ECONOMIC AND TRADE RELATED OFFENCES  

1400  00 
open 
category  

1401 00  Bankruptcy 

1402 00  Embezzlement, concealment of assets or unlawful increase in a company's liabilities 

1403 00 

Fraudulent insolvency 

1404 00  Violation of competition rules 

1405 00  Abuse of trust 

1406 00 

1407 00 

Laundering of the proceeds from crime 

Active or passive corruption in the private sector 

EN 

21 

   EN 

1408 00 

Fraud in the private sector16 

1409 00  Counterfeiting and piracy of industrial or intellectual property products  

1410 00  Revealing a secret or breaching an obligation of secrecy 

1411 00 

'Insider trading' 

OFFENCES AGAINST PROPERTY 

1500  00 
open 
category  

1501 00  Theft 

1502 00  Aggravated theft 

1503 00  Theft after breaking into premises 

1504 00  Theft with violence 

1505 00  Armed robbery 

1506 00  Theft committed by an organised gang 

1507 00 

1508 00 

1509 00 

Shoplifting 

Unlawful appropriation 

Unlawful appropriation or diversion of energy 

1510 00 

Fraud including swindling 

1511 00 

 Trafficking in stolen vehicles 

1512 00 

1513 00 

1600  00 
open 
category  

Dealing in stolen goods, other than vehicles 

Illicit trafficking in cultural goods including antiques and works of art  

CAUSING DAMAGE TO GOODS  

16 

For example: credit or insurance fraud. 

EN 

22 

   EN 

                                                 
1601 00  Criminal damage 

1602 00  Unlawful destruction of property  

1603 00 

Sabotage 

1604 00  Arson 

1605 00  Aggravated arson 

1606 00 

Intentional destruction of property by fire raising 

1607 00  Unintentional destruction of property by fire-raising 

OFFENCES AGAINST INFORMATION SYSTEMS  

1700  00 
open 
category  

1701 00 

Illegal access to information systems 

1702 00 

Illegal system interference  

1703 00 

Illegal data interference  

1704 00 

Production, possession or trafficking in computer devices or data enabling commitment of computer 
related offences 

FORGERY OF MEANS OF PAYMENT 

1800  00 
open 
category 

1801 00  Counterfeiting or forging currency including the Euro 

1802 00  Counterfeiting of non cash means of payment 

1803 00  Counterfeiting or forging public fiduciary documents 

1804 00 

Putting  into  circulation/  using  counterfeited  or  forged  currency,  non-cash  means  of  payment  or 
public fiduciary documents 

1805 00 

1900  00 
open 
category  

1901 00 

Possession of a device for the counterfeiting or forgery of currency or public fiduciary documents 

FALSIFICATION  OF  PUBLIC  OR  ADMINISTRATIVE  DOCUMENTS  OR 
FALSIFICATION OF A DOCUMENT BY A CIVIL SERVANT OR PUBLIC AUTHORITY 

Falsification of a public or administrative document by a private individual 

EN 

23 

   EN 

1902 00 

Falsification of a document by a civil servant or a public authority 

1903 00 

Supply  or  acquisition  of  a  forged  public  or  administrative  document;  supply  or  acquisition  of  a 
forged document by a civil servant or a public authority 

1904 00  Using forged public or administrative documents 

1905 00 

Possession of a device for the falsification of public or administrative documents 

2000  00 
open 
category  

2001 00 

2002 00 

2003 00 

2004 00 

OFFENCES AGAINST TRAFFIC REGULATIONS 

Dangerous driving  

Driving over the speed limit 

Driving under the influence of alcohol or narcotic drugs 

Driving without a licence or while disqualified  

2005 00  Driving without seat belts or child seat 

2006 00 

Failure to stop after a road accident 

2007 00  Avoiding a road check 

2008 00  Offences related to road transport, including breaches of regulations pertaining to driving hours and 

rest periods and regulations on hazardous goods 

OFFENCES AGAINST LABOUR LAW  

2100  00 
open 
category  

2101 00  Unlawful employment of an EU national 

2102 00  Unlawful employment of a third country national 

2103 00  Offences relating to remuneration including social security contributions 

2104 00  Offences relating to working conditions, health and safety at work 

2105 00  Offences relating to access to or exercise of a professional activity 

2106 00  Offences relating to working hours and rest time 

EN 

24 

   EN 

2107 00 

2200  00 
open 
category 

Other offences against rights of the employees, including the right to form and join trade unions 

OFFENCES AGAINST THE MIGRATION LAW 

2201 00  Unauthorised entry or residence 

2202 00 

Facilitation of unauthorised entry and residence 

OFFENCES AGAINST MILITARY OBLIGATIONS 

OTHER OFFENCES 

2300  00 
open 
category 

2400  00 
open 
category  

EN 

25 

   EN 

 
ANNEX B  
Common table of sanctions categories 

Code 

CATEGORIES AND SUB-CATEGORIES OF SANCTIONS 

1000 

open 
category 

1001 

1002 

1003 

2000 
open 
category 

2001 

2002 

2003 

2004 

2005 

2006 

2007 

3000 
open 
category 

3001 

3002 

3003 

3004 

3005 

3006 

DEPRIVATION OF FREEDOM 

Imprisonment for adults  

Imprisonment for minors 

Life imprisonment 

RESTRICTION OF PERSONAL FREEDOM 

Prohibition to frequent some places 

Restriction to travel abroad 

Prohibition to stay in some places 

Prohibition from entry to a mass event 

Prohibition to enter in contact with certain persons through whatever means 

Placement under electronic surveillance17 

Obligation to stay in a place 

PROHIBITION OF A SPECIFIC RIGHT OR CAPACITY 

Disqualification from function 

Loss / suspension of capacity to hold or to be appointed to public office 

Loss / suspension of the right to vote or to be elected 

Incapacity to contract with public administration 

Ineligibility to obtain public subsidies 

Cancellation of the driving licence18 

17 
18 

Fixed or mobile placement. 
Reapplication in order to obtain a new driving licence is necessary. 

EN 

26 

   EN 

 
                                                 
3007 

3008 

3009 

3010 

3011 

3012 

3013 

3014 

3015 

3016 

3017 

3018 

3019 

4000 
open 
category 

4001 

4002 

5000 
open 
category 

5001 

5002 

5003 

5004 

5005 

5006 

Suspension of driving licence 

Prohibition to drive certain vehicles 

Loss / suspension of the parental authority 

Loss / suspension of right to be an expert in court proceedings / witness under oath / juror 

Loss / suspension of right to be a legal guardian19 

Loss / suspension of right of decoration or title 

Prohibition to exercise professional, commercial or social activity 

Prohibition from working or activity with minors 

Obligation to close an establishment 

Prohibition to hold or to carry weapons 

Withdrawal of a hunting / fishing license 

Prohibition to issue cheques or to use payment / credit cards 

Prohibition to keep animals 

PROHIBITION OR EXPULSION FROM TERRITORY 

Prohibition from national territory 

Expulsion from national territory 

PERSONAL OBLIGATION 

Submission to medical treatment 

Submission to a social-educational program 

Obligation to be under the care / control of the family 

Educational measures for minors 

Socio-judicial probation 

Obligation of training/working 

19 

Legal guardian for a person who is legally incompetent or for a minor. 

EN 

27 

   EN 

                                                 
Obligation to provide judicial authorities with specific information 

Obligation to publish the judgment 

PENALTY ON PERSONAL PROPERTY 

Confiscation 

Demolition 

Restoration 

PLACING IN AN INSTITUTION 

Placing in a psychiatric institution 

Placing in a detoxification institution 

Placing in an educational institution for adults 

Placing in an educational institution for minors 

FINANCIAL PENALTY 

5007 

5008 

6000 
open 
category 

6001 

6002 

6003 

7000 
open 
category 

7001 

7002 

7003 

7004 

8000 
open 
category 

8001 

Fine 

8002 

8003 

9000 
open 
category 

Day-fine20 

Fine for the benefit of a special recipient21 

WORKING PENALTY 

9001 

Community service or work 

1000 
open 
category 

MILITARY PENALTY 

1001 

Loss of military rank22 

20 
21 
22 

Fine expressed in daily-units. 
E.g. : for an institution, association, foundation or a victim. 
Military demotion. 

EN 

28 

   EN 

                                                 
1002 

1003 

1100 
open 
category 

1200 
open 
category 

Expulsion from professional military service 

Military imprisonment 

EXEMPTION/ DEFERMENT OF SENTENCE/ PENALTY, WARNING 

OTHER SANCTIONS 

Parameters 

ø 

m 

Penalty 

Measure 

a 

b 

c 

d 

e 

f 

g 

h 

i 

j 

Suspended penalty/ measure23 

Partially suspended penalty/ measure24 

Suspended penalty/ measure with probation/ supervision25 

Partially 
supervision26 

suspended  penalty/  measure  with  probation/ 

Conversion of penalty/ measure 

Alternative  penalty/  measure  imposed  initially  in  case  of  non- 
respect of the principal penalty 

Revocation of suspended penalty/ measure 

Subsequent formation of an overall penalty27  

Interruption  of  enforcement/  postponement  of  the  penalty/ 
measure28 

Remission of the penalty 

23 
24 
25 
26 
27 

28 

The enforcement of penalty can be avoided. 
The enforcement of penalty can be avoided. 
The enforcement of penalty can be avoided. 
The enforcement of penalty can be avoided. 
Situation where a single aggregated penalty covers several criminal acts which have given raise to one 
or several previous judicial decisions. 
The enforcement of penalty cannot be avoided. 

EN 

29 

   EN 

 
 
 
                                                 
k 

l 

n 

o 

p 

q 

Remission of the suspended penalty 

End of penalty 

Pardon 

Amnesty 

Release  on  parole  (liberation  of  a  person  before  end  of  the 
sentence under certain conditions) 

Rehabilitation  (deletion  of  penalty  in  the  criminal  record  for 
purposes other than judicial proceedings) 

EN 

30 

   EN 

LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Council  Decision  on  the  establishment  of  the  European  Criminal  Records 
Information  System  (ECRIS)  in  application  of  Article  11  of  Framework  Decision 
2008/XX/JHA 

2. 

ABM / ABB FRAMEWORK 

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

Justice in criminal and civil matters – 18.06 – 

3. 

3.1. 

BUDGET LINES 

Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines (ex- B..A lines)) including headings: 

18.0606 – Criminal justice 

3.2. 

Duration of the action and of the financial impact: 

2009 – 2013 

3.3. 

Budgetary characteristics: 

Budget 
line 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from  applicant 
countries 

in 

Heading 
financial 
perspective 

Comp 

Non-
diff29 

NO 

NO 

YES/NO 

No 3a 

29 

Non-differentiated appropriations hereafter referred to as NDA. 

EN 

31 

   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) 

Expenditure type 

Section 
no. 

Operational expenditure30 

Commitment Appropriations 
(CA) 

8.1. 

Payment 
(PA) 

Appropriations 

a 

b 

2009 

2010 

2011 

2012 

2013 

2014r 

Total 

0,593  1,204 

0,914 

0,914 

0,914 

0,914 

5,451 

0,300  1,000 

1,100 

1,000 

1,000 

1,051 

5,451 

Administrative expenditure within reference amount31 

Technical  &  administrative 
assistance (NDA) 

8.2.4. 

c 

TOTAL REFERENCE AMOUNT 

Commitment 
Appropriations 

a+c  0,593  1,204 

0,914 

0,914 

0,914 

0,914 

5,451 

Payment Appropriations 

b+c

0,300  1,000 

1,100 

1,000 

1,000 

1,051 

5,451 

Administrative expenditure not included in reference amount32 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

8.2.5. 

d 

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

costs, 

8.2.6. 

e 

0,585  0,585 

0,293 

0,293 

0,293 

0,293 

2,342 

0,094  0,094 

0,062 

0,062 

0,062 

0,062 

0,436 

30 
31 
32 

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 

32 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Total indicative financial cost of intervention 

TOTAL CA including cost 
of Human Resources 

TOTAL  PA  including  cost 
of Human Resources 

a+c
+d
+e 

b+c
+d
+e 

1,272  1,883 

1,269 

1,269 

1,269 

1,269 

8,229 

0,979  1,679 

1,455 

1,355 

1,355 

1,406 

8,229 

Co-financing details 

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) 

Year 
n 

n + 1

n + 2

n + 3

n + 4 

n + 5 
and 
later 

Total 

- 

- 

- 

- 

- 

- 

- 

Co-financing body 

TOTAL  CA  including  co-
financing 

f 

a+c
+d
+e
+f 

4.1.2.  Compatibility with Financial Programming 

(cid:59) 

(cid:133) 

(cid:133) 

Proposal is compatible with existing financial programming. 

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

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 
Agreement33 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3.  Financial impact on Revenue 

(cid:59) 

(cid:133) 

Proposal has no financial implications on revenue 

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

EUR million (to one decimal place) 

Prior  to

Situation following action 

33 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

33 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Budget line 

Revenue 

action  
[Year 
n-1] 

[Yea
r n] 

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

] 

[n+4] [n+5]

34

a) Revenue in absolute terms 

b) Change in revenue 

 ∆ 

4.2. 

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

Annual requirements 

2009 

2010 

2011 

2012 

2013 

2014 
and 
later 

Total  number  of  human 
resources 

5,0 

5,0 

2,5 

2,5 

2,5 

2,5 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Needs to be met in the short or long term 

The main objective need to be met as soon as possible is to improve the quality of 
information exchanged on convictions between Member States. To achieve this the 
Council  adopted  the  Framework  Decision  on  the  organisation  and  content  of  the 
exchange  of  information  extracted  from  criminal  records  between  Member  States 
200XXX/JHA ( the “Framework Decision”). 

5.2. 

Added-value  of  Community  involvement  and  consistency  of  the  proposal  with 
other financial instruments and possible synergy 

This proposal implements Article 11 of the Framework Decision by establishing the 
European  Criminal  Records  Information  System  (ECRIS).  It  sets  up  common 
technical  elements  and  standards  of  a  computerised  system,  the  ECRIS,  as  well  as 
other  general  and  technical  implementation  aspects  relating  to  organising  and 
facilitating  exchanges  of  criminal  records  information.  These  objectives  could  be 
achieved by Community involvement. 

The  setting  up  of  common  technical  standards  for  computerised  data  transmission 
between  Member  States  and  delivery  of  central  monitoring  and  support  cannot 
beachieved  adequately  by  Member  States.  It  requires  coordinated  activities  of  the 
Community. 

5.3. 

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

(1) 

establishing ECRIS to enable interconnection between all 27 Member States 
national criminal records databases; 

(2)  monitoring the ECRIS and providing support to the Member States; 

(3)  maintaining and enhancing ECRIS. 

34 

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

EN 

34 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
5.4.  Method of Implementation (indicative) 

(cid:59)  Centralised Management 

(cid:59) 

(cid:133) 

directly by the Commission 

indirectly by delegation to: 

(cid:133) 

(cid:133) 

executive Agencies 

bodies set up by the Communities as referred to in Article 185 of 
the Financial Regulation 

(cid:133) 

national public sector bodies/bodies with a 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) 

Relevant comments: 

ECRIS  is  technically  based  on  a  decentralised  architecture,  including  the  national 
criminal  records  databases  in  the  Member  States,  a  common  communication 
infrastructure  that  provides  an  encrypted  network,  and  interconnection  software. 
Therefore the Commission will introduce different types of action: 

–  action grants, i. e. co-financing of national and trans-national projects; 

–  public procurement contracts to be undertaken. 

EN 

35 

   EN 

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

ECRIS  operates  on  a  decentralised  basis.  Certain  processes  are  carried  out  only  by 
Member States, but according to Article 3 (5) of this Decision the Commission has 
the obligation to monitor ECRIS. To fulfil this obligation the Commission receives 
the necessary data and statistics. 

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

Most of the technical measures established by this proposal are already subject to a 
pilot  project  ("NJR")  successfully  run  by  certain  Member  States.  Taking  that  into 
account, no further ex-ante evaluation is planned. 

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

similar experiences in the past) 

Pursuant  to  Article 6  of  this  proposal,  the  implementing  measures  concerning  the 
exchange  of  information  extracted  from  criminal  records  between  Member  States 
shall be adopted in a regulatory procedure. The main role in this procedure is played 
by  a  special  Committee  chaired  by  the  Commission.  This  Committee  is  under  an 
obligation to take account of previous experiences. 

6.2.3.  Terms and frequency of future evaluation 

Pursuant to Article 8 of this proposal, the Commission is obliged to publish regularly 
a  report  concerning  the  exchange  of  information  extracted  from  criminal  records 
between Member States. 

7. 

ANTI-FRAUD MEASURES  

Standard  anti-fraud  provisions  will  be  included  in  grant  agreements.  Community 
legislation provides that an anti fraud-proofing opinion should not be inserted. 

EN 

36 

   EN 

8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

Type 
output 

of 

Av. 
cost 

2009 

2010 

2011 

2012 

2013 

2014 

TOTAL 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

of 

(Headings 
Objectives, 
actions 
and 
outputs  should 
be provided) 

Establishing 
ECRIS 

Action 

Art. 5 (2)35 

Art. 5 (3) 

Art. 5 (4) 

man day 

0,0003 

60 

0,018 

12 

0,004 

12 

0,004 

12 

0,004 

12 

0,004 

12 

0,004 

120 

0,036 

Art. 3 (4) 

Sub-total  

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

- 

0,036 

35 

Art. 5 (2) 
Art. 5 (3) 
Art. 5 (4) 
Art. 3 (4) 
Art. 3 (5) 

collect notifications 
collect national lists 
compile and publish national lists 
operate TESTA network 
monitor and support. 

EN 

37 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Monitoring  and 
support ECRIS 

Action 

Art. 3 (5) 

Sub-total 

TOTAL COST 

man 
(supp. team) 

day

flat  
(ref. 
implemtation) 

0,0005 

150 

0,075 

400 

0,200 

220 

0,110 

220 

0,110 

220 

0,110 

220 

0,110 

1430 

0,715 

0,5000 

0 36 

0,000 

1 

0,500 

1 

0,500 

1 

0,500 

1 

0,500 

1 

0,500 

5 

2,500 

flat  
(studies, 
translation) 

not 
defined 

0,500 

0,500 

0,300 

0,300 

0,300 

0,300 

2,200 

0,593 

1,204 

0,914 

0,914 

0,914 

0,914 

5,415 

5,451 

36 

First year is already covered by another budget. 

EN 

38 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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) 

2009 

2010 

2011 

2012 

2013 

2014 

Officials 
temporary 
staff37 
01 01) 

or 

A*/AD 

4,0 

(XX 

B*, 
C*/AST 

1,0 

4,0 

1,0 

2,0 

0,5 

2,0 

0,5 

2,0 

0,5 

2,0 

0,5 

Staff  financed38  by  Art. 
XX 01 02 

Other staff39 financed by 
Art. XX 01 04/05 

TOTAL 

5,0 

5,0 

2,5 

2,5 

2,5 

2,5 

8.2.2.  Description of tasks deriving from the action 

One  AD1  official  devoting  50%  of  his  time  coordinating  the  project  including  all 
legal, technical and organisational measures to implement the Framework Decision, 
in particular this proposal 
One full time AD2 official dealing with all legal aspects of this proposal 
One  full  time  AD3  official  managing  the  information  technology  project  to 
implement this proposal from a technical point of view 
One  AD4  official  devoting  50%  of  his  time  supporting  all  technical  and  financial 
aspectsof the implementing project 
One  full  time  AD5  official  supporting  all  technical  and  legal  aspects  of  the 
implementing project 
One full time AST1 official supporting the implementing project as a secretary 

These  human  resources  will  probably  be  needed  during  the  first  2  years.  The  need 
will decrease afterwards. 

8.2.3. 

Sources of human resources (statutory) 

(cid:59) 

(cid:133) 

(cid:133) 

(cid:59) 

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) 

37 
38 
39 

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 

39 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:133) 

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

EN 

40 

   EN 

 
8.2.4.  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

Budget line 

(number and heading) 

EUR million (to 3 decimal places) 

Year 
n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5  

and 
later 

TOTAL 

Technical 

1 
and 
assistance (including related staff costs) 

administrative 

Executive agencies40 

Other 
assistance 

technical 

and 

administrative 

- intra muros  

- extra muros 

Total 
assistance 

technical  and  administrative 

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

amount 

EUR million (to 3 decimal places) 

Type of human resources 

2009 

2010 

2011 

2012 

2013 

2014 
and later 

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 in reference 
amount) 

0,585 

0,585 

0,293 

0,293 

0,293 

0,293 

0,585 

0,585 

0,293 

0,293 

0,293 

0,293 

Calculation– Officials and Temporary agents 

Calculation– Staff financed under Article XX 01 02 

40 

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

EN 

41 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.6. Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places)

2009 

2010 

2011 

2012 

2013 

2014 
and 
later 

TOTAL 

XX 01 02 11 01 – Missions 

0,003 

0,006 

0,006 

0,006 

0,006 

0,006 

0,033 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees41 

0,094 

0,094 

0,062 

0,062 

0,062 

0,062 

0,436 

XX 01 02 11 04 – Studies & consultations 

XX 01 02 11 05 - Information systems 

2 Total other management expenditure 
(XX 01 02 11) 

expenditure 

3  Other 
an 
administrative  nature  (specify  including 
reference to budget line) 

of 

administrative 
expenditure, 
than  human  resources  and 
in 

Total 
other 
associated  costs  (NOT 
reference amount) 

included 

0,097 

0,100 

0,068 

0,068 

0,068 

0,068 

0,469 

Calculation - Other administrative expenditure not included in reference amount 

41 

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

EN 

42 

   EN