Amended Proposal for a regulation (eu) no …/… of the European Parliament and of the Council on establishing an Agency for the operational management of large-scale IT systems in the area of freedom, security and justice (presented by the Commission pursuant to Article 293(2) of the Treaty on the Functioning of the European Union)
Date: 2010-03-19
Institutions: European Commission
Subjects: EU office or agency, EU visa policy, Schengen Information System, area of freedom, security and justice, information system, management, powers of the institutions (EU)

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EUROPEAN COMMISSION 

Brussels, 19.3.2010 
COM(2010)93 final 

2009/0089/P (COD) 

Amended Proposal for a 

REGULATION (EU) No …/… OF THE EUROPEAN PARLIAMENT AND OF THE 
COUNCIL 

on establishing an Agency for the operational management of large-scale IT systems in 
the area of freedom, security and justice  

(presented by the Commission pursuant to Article 293(2) of the Treaty on the Functioning of 
the European Union)  

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

1.1. 

Grounds for and objectives of the proposal 

On  24  June  2009,  the  Commission  adopted  a  legislative  proposal  package  to  establish  an 
Agency  responsible  for  the  operational  management  of  large-scale  information  technology 
("IT") systems in the area of freedom, security and justice.  

The  legislative  package  initially  consisted  of  two  proposals:  A  proposal  for  a  Regulation 
establishing the Agency, and a proposal for a Council Decision conferring upon the Agency 
established by this Regulation tasks regarding the operational management of SIS II and VIS 
in application of Title VI of the EU Treaty. The proposed Regulation covered the SIS II, VIS 
and EURODAC to the extent they were governed by the EC Treaty. The proposed Decision 
covered the SIS II and VIS to the extent they were governed by the EU Treaty.  

Upon  entry  into  force  of  the  Lisbon  Treaty  on  1  December  2009,  the  former  distinction 
between  EC  Treaty  and  EU  Treaty  legal  bases  in  the  area  of  freedom,  security  and  justice 
disappeared.  Moreover,  as  notified  to  the  European  Parliament  and  to  the  Council  by  the 
Communication  COM(2009)665  of  2  December  2009,  the  proposal  for  a  Council  Decision 
lapsed and was formally withdrawn.  

Therefore,  the  above  mentioned  legal  texts  need  to  be  merged  into  this  single  amended 
proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council,  which  takes  into 
account  the  changes  resulting  from  the  entry  into  force  of  the  Lisbon  Treaty  and  which 
contains the substantive provisions initially proposed as a Council Decision.  

The  Agency  will  be  responsible  for  the  long-term  operational  management  of  the  second-
generation  Schengen  Information  System  (SIS  II),  the  Visa  Information  System  (VIS)  and 
EURODAC.  This  proposal  for  a  Regulation  also  aims  to  lay  down  the  framework  for  the 
development and the operational management by the Agency of other large-scale IT systems 
in  application  of  Title  V  of  the  Treaty  on  the  Functioning  of  the  European  Union  and 
potentially  for  other  large-scale  IT  systems  in  the  area  of  freedom,  security  and  justice. 
However,  any  such  integration  of  further  systems  will  require  a  specific  mandate  by  the 
legislator not given by this proposal. 

In order to identify the best solution for the long-term operational management of SIS II, VIS 
and  also  EURODAC,  the  Commission  has  conducted  an  Impact  Assessment.1  In  joint 
statements accompanying the SIS II and VIS legal instruments2, the Council and the European 

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Commission  Staff  Working  Document,  Accompanying  document  to  the  Proposal  for  a  Regulation  of 
the European Parliament and of the Council establishing an Agency for the operational management of 
large-scale IT systems in the area of freedom, security and justice and Proposal for a Council Decision 
conferring upon the Agency established by Regulation XX tasks regarding the operational management 
of SIS II and VIS in application of Title VI of the EU Treaty, COM (2009) 293 final. 
Regulation (EC) No 1987/2006 of the European Parliament and of the Council of 20 December 2006 on 
the establishment, operation and use of the Second Generation Schengen Information System (SIS II), 
OJ L 381, 28.12.2006, p. 4. 

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Parliament invited the Commission, following an Impact Assessment containing a substantive 
analysis  of  alternatives,  from  the  financial,  operational  and  organisational  perspective,  to 
present  the  necessary  legislative  proposals  entrusting  an  agency  with  the  long  term 
operational  management  of  SIS  II  and  VIS.  After  the  analysis  of  different  options,  a  new 
Regulatory Agency was found to be the most feasible alternative for carrying out the tasks of 
a "Management Authority" for these systems in the long term. 

The Agency's core task will be to fulfil the operational management tasks for SIS II, VIS and 
EURODAC,  keeping  the  systems  functioning  24  hours  a  day,  seven  days  a  week,  thus 
ensuring a continuous, uninterrupted flow of data exchange. Beyond these operational tasks, 
the  corresponding  responsibilities  for  adopting  security  measures,  reporting,  publishing, 
monitoring,  information,  organising  specific  VIS  and  SIS  II  related  trainings,  implementing 
pilot  schemes  upon  specific  and  precise  request  of  the  Commission  and  monitoring  of 
research will be assigned to the Agency. Combining the systems in a joint Agency will make 
it  possible  to  exploit  synergies  and  share  facilities  and  staff.  The  Agency's  governance 
structure  reflects  the  existing  variable  geometry  which  denotes  a  heterogeneous  group  of 
participating  countries  (EU  Member  States  with  different  levels  of  participation  in  the 
information systems and associated countries). 

This  proposal  does  not  impact  on  the  financial  framework  for  2007-2013.  The  legislative 
financial statement annexed to this proposal is mainly founded on estimates and figures from 
the impact assessment conducted in 2007. This legislative financial statement is also based on 
the assumption that this proposal will be adopted in 2010 in order for the Agency to be legally 
established in 2011 and become a fully fledged Agency able to take over all the tasks related 
to  the  operational  management  of  SIS  II,  VIS  and  EURODAC  and  other  large-scale  IT 
systems in 2012. In the joint statement accompanying the SIS II and VIS legal instruments the 
European Parliament and the Council committed themselves to dealing with the proposals on 
the long term operational management of SIS II and VIS as quickly as possible and to having 
them adopted in time to allow the Agency to take up fully its activities before the end of a five 
year period following the entry into force of the SIS II and VIS legal instruments. 

Finally, the Council should bear in mind the implications linked to the choice of the location 
of the Agency. 

1.2. 

General context 

Article 67 of the Treaty on the Functioning of the European Union (referred to hereinafter as 
"TFEU")  provides  that  the  Union  shall  ensure  the  absence  of  internal  border  controls  for 
persons  and  shall  frame  a  common  policy  on  asylum,  immigration  and  external  control.  In 

Regulation (EC) No 1986/2006 of the European Parliament and of the Council of 20 December 2006 
regarding the access to the Second Generation Schengen Information System (SIS II) by the services in 
the Member States responsible for issuing vehicle registration certificates, OJ L 381, 28.12.2006, p. 1. 
Council Decision 2007/533/JHA of 12 June 2007 on the establishment, operation and use of the second 
generation Schengen Information System (SIS II), OJ L 205, 7.8.2007, p. 63. 
Regulation (EC) No 767/2008 of the European Parliament and of the Council of 9 July 2008 concerning 
the  Visa  Information  System  (VIS)  and  the  exchange  of  data  between  Member  States  on  short-stay 
visas (VIS Regulation), OJ L 218, 13.8.2008, p. 60. 
Council  Decision  2008/633/JHA  of  23  June  2008  concerning  access  for  consultation  of  the  Visa 
Information System (VIS) by designated authorities of Member States and by Europol for the purposes 
of  the  prevention,  detection  and  investigation  of  terrorist  offences  and  of  other  serious  criminal 
offences, OJ L218, 13.8.2008, p. 129. 

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that  respect  Article  77  of  the  TFEU  requires  the  adoption  of  measures  concerning  the 
common policy on visas, the checks to which persons crossing external borders are subject, 
the conditions under which nationals of third countries shall have the freedom to travel within 
the  Union,  measures  necessary  for  the  gradual  establishment  of  an  integrated  management 
system  for  external  borders,  and  the  absence  of  any  control  on  persons,  whatever  their 
nationality when crossing internal borders.  

In this context,  o the  basis of  the Schengen Convention3, the Schengen Information System 
(SIS)  was  established  to  maintain  public  policy  and  public  security,  including  national 
security.  The  second-generation  Schengen  Information  System  (SIS  II)  was  established  by 
Regulation  (EC)  No  1987/2006  of  the  European  Parliament  and  of  the  Council  of  20 
December 2006 and Council Decision 2007/533/JHA of 12 June 2007 on the establishment, 
operation and use of the second-generation Schengen Information System (SIS II)4. Its aim is 
to  contribute  to  ensuring  a  high  level  of  security  within  the  area  of  freedom,  security  and 
justice of the European Union, including the maintenance of public security and public policy 
and the safeguarding of security in the territories of the Member States. 

The Visa Information System (VIS) was established by Regulation (EC) No 767/2008 of the 
European  Parliament  and  of  the  Council  of  9  July  2008  concerning  the  Visa  Information 
System  (VIS)  and  the  exchange  of  data  between  Member  States  on  short-stay  visas  (VIS 
Regulation)5.  VIS  will  enable  consulates  and  other  competent  authorities  of  the  Member 
States  to  exchange  visa  information  for  the  purposes  of  facilitating  the  visa  application 
procedure,  preventing  'visa  shopping',  contributing  to  the  fight  against  fraud,  facilitating 
checks  at  external  border  crossing  points  and  within  the  Member  States,  assisting  in  the 
identification of third country nationals, facilitating the application of the Dublin Regulation 
and  contributing  to  the  prevention  of  threats  to  the  internal  security  of  any  of  the  Member 
States. 

EURODAC,  a  Union-wide  information  technology  system,  was  created  to  facilitate  the 
application of the Dublin Convention,6 which aimed to establish a mechanism for determining 
responsibility  for  asylum  applications  lodged  in  one  of  the  EU  Member  States.  The 
Convention was replaced by a Union law instrument, Council Regulation (EC) No 343/2003 
of  18  February  2003  establishing  the  criteria  and  mechanisms  for  determining  the  Member 
State responsible for examining an asylum application lodged in one of the Member States by 
a third-country national (ie. the Dublin Regulation)7. 

The legal frameworks of SIS II, VIS and EURODAC are characterized by variable geometry. 
On  the  one  hand,  Ireland  and  the  United  Kingdom  participate  in  EURODAC  but  are  only 
partly involved in SIS II, and do not participate in VIS, while Denmark is involved in all three 
systems on a different legal basis. On the other hand, a number of non-EU countries, namely 
Iceland,  Norway,  Switzerland  and  Liechtenstein,  are  or  will  be  associated  with  the 
implementation,  application  and  development  of  the  Schengen  acquis,  and  therefore 
participate both in SIS II and VIS. 

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Convention implementing the Schengen Agreement of 14 June 1985 between the Governments of the 
States of the Benelux Economic Union, the Federal Republic of Germany and the French Republic on 
the gradual abolition of checks at their common borders, OJ L 239, 22.9.2000, p. 19. 
OJ L 381, 28.12.2006, p. 4. and OJ L 205, 7.8.2007, p. 63. 
OJ L 218, 13.8.2008, p. 60. 
OJ C 254, 19.8.1997, p. 1. 
OJ L 50, 25.2.2003, p. 1. 

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1.3. 

Existing provisions in the area covered by the proposal 

Owing  to  the  former  cross-pillar  elements  of  the  SIS  II,  the  legal  framework  of  SIS  II  is 
composed of first pillar Regulations and Decisions and third pillar Decisions. Although this 
distinction  disappeared  upon  entry  into  force  of  the  Lisbon  Treaty  on  1  December  2009, 
existing instruments still reflect the former pillar structure: 

•  Council Regulation (EC) No 2424/2001 of 6 December 2001 on the development 

of the second-generation Schengen Information System (SIS II);8 

•  Council Decision 2001/886/JHA of 6 December 2001 on the development of the 

second-generation Schengen Information System (SIS II);9 

•  Regulation (EC) No 1987/2006 of the European Parliament and of the Council of 
20  December  2006  on  the  establishment,  operation  and  use  of  the  second-
generation Schengen Information System (SIS II);10 

•  Regulation (EC) No 1986/2006 of the European Parliament and of the Council of 
20  December  2006  regarding  the  access  to  the  second-generation  Schengen 
Information System (SIS II) by the services in the Member States responsible for 
issuing vehicle registration certificates;11 

•  Council Decision 2007/533/JHA of 12 June 2007 on the establishment, operation 

and use of the second-generation Schengen Information System (SIS II);12  

•  Commission Decisions 2007/170/EC and 2007/171/EC of 16 March 2007 laying 

down the network requirements for the Schengen Information System II13; 

•  Council  Regulation  (EC)  No 189/2008  of  18  February  2008  on  the  tests  of  the 

second-generation Schengen Information System (SIS II)14; 

•  Council  Decision  2008/173/EC  of  18  February  2008  on  the  tests  of  the  second-

generation Schengen Information System (SIS II)15; 

•  Commission  Decisions  2008/333/EC  and  334/2008/JHA  of  4  March  2008 
adopting the  SIRENE Manual and other implementing measures for the second-
generation Schengen Information System (SIS II)16; 

•  Council  Regulation  (EC)  No  1104/2008  of  24  October  2008  on  migration  from 
the  Schengen  Information  System  (SIS  1+)  to  the  second-generation  Schengen 
Information System (SIS II)17; 

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OJ L 328, 13.12.2001, p. 4. 
OJ L 328, 13.12.2001, p. 1. 
OJ L 381, 28.12.2006, p. 4. 
OJ L 381, 28.12.2006, p. 1.  
OJ L 205, 7.8.2007, p. 63.  
OJ L 79, 20.3.2007, p. 20. 
OJ L 57, 1.3.2008, p. 1. 
OJ L 57, 1.3.2008, p. 14. 
OJ L 123, 8.5.2008, p. 1. 
OJ L 299, 8.11.2008, p. 1. 

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•  Council  Decision  2008/839/JHA  of  24  October  2008  on  migration  from  the 
Schengen  Information  System  (SIS  1+)  to  the  second-generation  Schengen 
Information System (SIS II)18.  

As opposed to the SIS II, VIS was established under the former first pillar. However, a VIS 
third pillar instrument was adopted to allow designated law enforcement authorities to access 
the system for consultation regarding the commitment of certain offences. The following legal 
instruments are relevant for VIS:  

•  Council Decision 2004/512/EC of 8 June 2004 establishing the Visa Information 
System  (VIS)19  constitutes  the  legal  basis  for  including  in  the  general  budget  of 
the  European  Union  of  the  necessary  appropriations  for  the  development  of  the 
VIS;  

•  Commission Decision 2006/752/EC of 3 November 2006 establishing the sites for 

the Visa Information System during the development phase20; 

•  Commission  Decision  2006/648/EC  of  22  September  2006  laying  down  the 
technical  specifications  on  the  standards  for  biometric  features  related  to  the 
development of the Visa Information System21; 

•  Commission  Decision  2008/602/EC  of  17  June  2008  laying  down  the  physical 
architecture and requirements of the national interfaces and of the communication 
infrastructure  between  the  central  VIS  and  the  national  interfaces  for  the 
development phase;22  

•  Regulation (EC) No 767/2008 of the European Parliament and of the Council of 9 
July  2008  concerning  the  Visa  Information  System  (VIS)  and  the  exchange  of 
data between Member States on short-stay visas (VIS Regulation);23 

•  Council  Decision  2008/633/JHA  of  23  June  2008  concerning  access  for 
consultation  of  the  Visa  Information  System  (VIS)  by  designated  authorities  of 
Member States and by Europol for the purposes of the prevention, detection and 
investigation of terrorist offences and of other serious criminal offences.24 

EURODAC was established under the former first pillar: 

•  Council  Regulation  (EC)  No  2725/2000  of  11  December  2000  concerning  the 
establishment  of  "Eurodac"  for  the  comparison  of  fingerprints  for  the  effective 
application of the Dublin Convention25;  

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OJ L 299, 8.11.2008, p. 43. 
OJ L 213, 15.6.2004, p. 5. 
OJ L 305, 4.11.2006, p. 13. 
OJ L 267, 27.9.2006, p. 41. 
OJ L 194, 23.7.2008, p. 3. 
OJ L 218, 13.8.2008, p. 60.  
OJ L218, 13.8.2008, p. 129. 
OJ  L  316,  15.12.2000,  p. 1. A  recast  version has  been  submitted  to  the  European  Parliament  and  the 
Council COM (2008) 825 final 

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•  Council Regulation (EC) No 407/2002 of 28 February 2002 laying down certain 
rules to implement Regulation (EC) No 2725/2000 concerning the establishment 
of "Eurodac" for the comparison of fingerprints for the effective application of the 
Dublin Convention26.  

1.4. 

Consistency with other policies and objectives of the European Union 

The  proposal  is  consistent  with  existing  policies  and  objectives  of  the  European  Union,  in 
particular the objective to create an area of freedom, security and justice.  

2. 

CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

2.1. 

Collection and use of expertise, consultation of interested parties 

The  Impact  Assessment  report  is  based  on  a  preparatory  study,  carried  out  by  an  external 
contractor27.  Twenty  seven  interviews  were  conducted  in  the  framework  of  the  study, 
involving representatives from the EU Member States, Norway, the European Parliament, the 
Commission,  the  European  Data  Protection  Supervisor,  the  Schengen  Joint  Supervisory 
Authority,  the  European  Environmental  Agency,  the  European  Agency  for  the  Management 
of  Operational  Cooperation  at  the  External  Borders  (FRONTEX),  Europol,  the  Strasbourg 
C.SIS  site  responsible  for  the  operational  management  of  SIS  1+  and  industry  experts. 
Furthermore,  an  Inter-Service  Steering  Group,  composed  of  the  relevant  Commission 
Directorates General was set up to support the impact assessment process. 

2.2. 

Impact assessment 

Following a pre-screening process, five possible options to achieve the objective of long-term 
operational management of SIS II, VIS and EURODAC were retained and further analysed. 

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Option  1  -  baseline:  the  operational  management  solution  for  SIS  II  and  VIS 
identified  for  the  transitional  period  (the  Commission  entrusting  the  operational 
management tasks to Member States' authorities) would be continued as a permanent 
solution.  Currently,  EURODAC  is  managed  by  the  Commission  and  this  solution 
would also be maintained. 

Option  2  -  baseline+  under  which  the  Commission  would  entrust  the  operational 
management  tasks  related  to  SIS  II,  VIS  and  EURODAC  to  Member  States' 
authorities. 

Option 3 - a new Regulatory Agency that would assume responsibility for the long-
term operational management of SIS II, VIS and EURODAC. 

Option 4 - FRONTEX would manage the three systems, which would entail changes 
to both its basic act and its management structure. 

OJ L 62, 5.3.2002, p. 1. 
Assessment of options for the long-term management of the second- generation Schengen Information 
System (SIS II), the Visa Information System (VIS) and EURODAC and other large-scale IT systems 
in the area of Justice, Freedom and Security, Final report, 15 October 2007, RAND Europe. 

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– 

Option  5  -  EUROPOL  would  manage  SIS  II,  whereas  the  Commission  would 
manage VIS and EURODAC. This option was considered while negotiations on the 
conversion  of  the  current  Europol  Convention  into  a  Community  act  were  still 
ongoing. 

As  a  result  of  a  comparative  analysis,  the  new  Regulatory  Agency  option,  which  aims  to 
create  a  joint  operational  management  structure  for  SIS  II,  VIS  and  EURODAC  scored 
highest. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

Summary of the proposed action 

This proposal aims to establish an Agency responsible for the operational management of SIS 
II, VIS, EURODAC and other large-scale IT systems in application of Title V of the Treaty 
on the Functioning of the European Union. 

Entrusting an Agency with the operational management of large-scale IT systems in the area 
of  freedom,  security  and  justice  does  not  affect  the  specific  rules  governing  the  purpose, 
access rights, security measures and further data protection requirements applicable to those 
systems. 

The  regulatory  Agency  shall  be  established  as  a  Union  body,  having  legal  personality.  The 
first tasks to be conferred on the Agency are operational, that is to say, ensuring the overall 
management  of  the  information  systems  and  the  operation  of  the  systems.  It  would  thus 
become  a  "centre  of  excellence"  with  specialised  operational  staff.  A  dedicated,  specialised 
organisation would also ensure the highest level of efficiency and responsiveness, also for the 
development and operational management of other potential systems in the area of freedom, 
security and justice. 

The  Agency  shall  be  responsible  for  the  tasks  relating  to  the  Communication  Infrastructure 
which are referred to in Articles 15(2) of the SIS II Regulation and Decision and Article 26(2) 
of the VIS Regulation and Article [5(2)…] of the Regulation (EC) XX/2010 concerning the 
establishment of "Eurodac" for the comparison of fingerprints for the effective application of 
Regulation  (EC)  No  […/…]28.  In  addition,  the  Agency  shall  perform  tasks  related  to  the 
training  of  experts  on  VIS  and  SIS  II  including  training  related  to  the  exchange  of 
supplementary information, as well as monitoring of research activities and implementation of 
pilot schemes upon specific and precise request of the Commission. 

The Agency could also potentially be responsible for developing and managing other large-
scale  IT  systems  in  the  area  of  freedom,  security  and  justice.  This  would  be  subject  to 
legislative instruments establishing such systems that in turn would provide the Agency with 
the respective competences. 

The  main  body  governing  the  Agency  shall  be  a  Management  Board  with  an  adequate 
representation  of  the  Member  States  and  the  Commission.  The  representation  of  Member 
States  should  reflect  each  Member  State's  Treaty  rights  and  obligations.  The  countries 

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Commission  proposal  submitted  to  the  European  Parliament  and  the  Council,  COM(2009)  342  final 
(Recast version) 

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associated with the implementation, application and development of the Schengen acquis and 
the EURODAC related measures shall also participate in the Agency. 

3.2. 

Legal basis 

This  amended  proposal  for  a  Regulation  is  based  on  Articles  77(2)(a)  and  (b),  78(2)(e), 
79(2)(c), 74, 82(1)(d) and 87(2)(a) of the Treaty on the Functioning of the European Union. 

Article 74 of the TFEU, provides for the adoption of appropriate measures to encourage and 
strengthen  administrative  cooperation  between  the  relevant  departments  of  Member  States' 
administrations. This constitutes an appropriate legal basis since the Agency will facilitate the 
communication  and  cooperation  between  the  relevant  departments  of  the  Member  States' 
administrations in the areas mentioned above. 

The  operational  management  tasks  to  be  entrusted  to  the  Agency  shall  support  the  policy 
aspects  underlying  the  SIS  II  and  VIS  Regulations.  In  accordance  with  Articles  77(2)(b), 
79(2)(c) of the TFEU, which provide an appropriate legal basis for SIS II -related tasks of the 
Agency,  the  Agencyshall  technically  cover  matters  related  to  checks  on  persons  at  external 
borders  as  well  as  measures  in  the  area  of  illegal  immigration  and  illegal  residence, 
respectively.  As  for  VIS  matters,  the  Agency's  activities  shall  technically  support  the 
procedures  for  issuing  visas  by  Member  States;  it  is  therefore  founded  on  77(2)(a)  of  the 
TFEU. 

Regarding  EURODAC  matters,  the  operational  management  tasks  to  be  entrusted  to  the 
Agency shall technically support the determination of which Member State is responsible for 
considering an application for asylum submitted by a national of a third country in one of the 
Member States (78(2)(e) of the TFEU). 

Article 82(1)(d) of the TFEU provides for the adoption of measures to facilitate cooperation 
between judicial or equivalent authorities of the Member States in relation to proceedings in 
criminal matter and the enforcement of decisions. In addition, Article 87(2)(a) of the TFEU 
provides  that  for  the  purpose  of  establishing  police  cooperation  involving  Member  States 
competent  authorities,  measures  concerning  the  collection,  storage,  processing,  analysis  and 
exchange of relevant information hall be adopted. These provisions constitute an appropriate 
legal basis for conferring upon the Agency tasks in this area.  

Measures  referred  to  in  Articles  77(2)(a)  and  (b),  78(2)(e),  79(2)(c),  82(1)(d)  and  87(2)(a) 
TFEU, shall be adopted in accordance with the ordinary legislative procedure. Therefore, the 
ordinary legislative procedure applies to the adoption of the Regulation as an integral whole. 

3.3. 

Variable geometry  

As the legal basis for this proposal for a Regulation is to be found in Title V of the Treaty on 
the Functioning of the European Union, it is affected by the variable geometry arising from 
the Protocols on the positions of the United Kingdom, Ireland and Denmark. This proposal for 
a Regulation builds upon the Schengen acquis and the provisions of the EURODAC related 
measures.  Therefore  the  following  consequences  in  relation  to  the  various  protocols  and 
association agreements have to be considered. 

Denmark: 

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Under the Protocol on the position of Denmark, annexed to the TEU and the TFEU, Denmark 
does not take part in the adoption by the Council of the measures pursuant to Title V of the 
TFEU, with the exception of "measures determining the third countries whose nationals must 
be  in  possession  of  a  visa  when  crossing  the  external  borders  of  the  Member  States,  or 
measures relating to a uniform format for visas". This proposal builds on the Schengen acquis 
and  Article  4  of  the  Protocol  applies.  In  accordance  with  Article  4  of  the  said  Protocol, 
Denmark  decided  to  implement  Regulation  (EC)  No  1987/2006  and  Regulation  (EC)  No 
767/2008 in national law. 

As far as it concerns EURODAC, in accordance with Articles 1 and 2 of the Protocol on the 
position of Denmark attached to the Treaties, Denmark does not take part in the adoption of 
this  Regulation  and  is  not  bound  by  it  nor  subject  to  its  application.  However,  Denmark 
applies  the  current  EURODAC  Regulation,  following  an  international  agreement29  that  it 
concluded with the EC in 2006. 

United Kingdom and Ireland:  

To the extent it relates to SIS II as governed by Regulation (EC) No 1987/2006 and VIS, this 
proposal builds on the provisions of the Schengen acquis, in which the United Kingdom and 
Ireland do not participate, in accordance with Council Decision 2000/365/EC of 29 May 2000 
concerning the request of the United Kingdom of Great Britain and Northern Ireland to take 
part in some of the provisions of the Schengen acquis and Council Decision 2002/192/EC of 
28  February  2002  concerning  Ireland's  request  to  take  part  in  some  of  the  provisions  of  the 
Schengen acquis. Therefore, to the extent it relates to SIS II as governed by Regulation (EC) 
No 1987/2006 and VIS, the United Kingdom and Ireland are not bound by this Regulation or 
subject to its application. 

The  United  Kingdom  and  Ireland  are  bound  by  the  EURODAC  Regulation  (EC)  No 
2725/2000 following their notice of their wish to take part in the adoption and application of 
that  Regulation  based  on  the  Protocol  on  the  position  of  the  United  Kingdom  and  Ireland 
attached to the Treaties. The position of these Member States with regard to the EURODAC 
Regulation does not affect their possible participation regarding this proposal. 

Norway and Iceland:  

As regards Norway and Iceland, this proposal constitutes a development of the provisions of 
the Schengen acquis within the meaning of the Agreement concluded by the Council of the 
European  Union  and  the  Republic  of  Iceland  and  the  Kingdom  of  Norway  concerning  the 
association of those two States with the implementation, application and development of the 
Schengen acquis30. 

In  parallel  to  the  association  of  several  non-EU  Member  States  to  the  Schengen  acquis,  the 
former  Community  (now  the  Union)  concluded,  or  is  in  the  process  of  doing  so,  several 

29 

30 

Agreement  between  the  European  Community  and  the  Kingdom  of  Denmark  on  the  criteria  and 
mechanisms  for  establishing  the  State  responsible  for  examining  a  request  for  asylum  lodged  in 
Denmark  or  any  other  Member  State  of  the  European  Union  and  "Eurodac"  for  the  comparison  of 
fingerprints for the effective application of the Dublin Convention, O.J. L66, 8.3.2006, p. 38.  
OJ L 176, 10.7.1999, p. 36. 

EN 

10 

   EN 

 
                                                 
agreements  associating  these  countries  also  to  the  EURODAC  related  measures.  The 
agreement associating Iceland and Norway was concluded in 200131. 

Switzerland: 

As  regards  Switzerland,  this  proposal  constitutes  a  development  of  the  provisions  of  the 
Schengen acquis within the meaning of the Agreement concluded by the European Union, the 
European  Community  and  the  Swiss  Confederation  on  the  latter's  association  with  the 
implementation, application and development of the Schengen acquis32. 

As  regards  the  EURODAC  related  measures,  the  agreement  associating  Switzerland  was 
concluded on 28 February 2008 and is applicable as of 12 December 200833. 

Liechtenstein: 

As  regards  Liechtenstein,  this  proposal  constitutes  a  development  of  the  provisions  of  the 
Schengen  acquis  within  the  meaning  of  the  Protocol  between  the  European  Union,  the 
European  Community,  the  Swiss  Confederation  and  the  Principality  of  Liechtenstein  on  the 
accession of the Principality of Liechtenstein to the Agreement between the European Union, 
the  European  Community  and  the  Swiss  Confederation  on  the  Swiss  Confederation's 
association  with  the  implementation,  application  and  development  of  the  Schengen  acquis 
which  falls  within  the  area  referred  to  in  Article  1,  point  A,  B  and  G  of  Council  Decision 
1999/437/EC read in conjunction with Article 3 of Council Decision 2008/261/EC34. 

As  regards  the  EURODAC  related  measures,  the  agreement  associating  Liechtenstein  was 
signed on 28 February 2008 and is subject to conclusion at a later stage35. 

Common provisions for the countries associated with the EURODAC related measures: 

In accordance with the three above-cited agreements, the associated countries shall accept the 
EURODAC related measures and its development without exception. They do not take part in 
the  adoption  of  any  acts  amending  or  building  upon  the  EURODAC  related  measures 
(including therefore this proposal) but have to notify to the Commission within a given time-
frame of their decision whether or not to accept the content of that act, once approved by the 
Council and the European Parliament. In case Norway, Iceland, Switzerland or Liechtenstein 
do  not  accept  an  act  amending  or  building  upon  the  EURODAC  related  measures,  the 
respective  agreements  will  be  terminated,  unless  the  Joint/Mixed  Committee  established  by 
the agreements decides otherwise by unanimity. 

31 

32 
33 

34 
35 

Agreement between the European Community and the Republic of Iceland and the Kingdom of Norway 
concerning the criteria and mechanisms for establishing the State responsible for examining a request 
for asylum lodged in a Member State or in Iceland or Norway, OJ L 93, 3.4.2001, p. 40-47. 
OJ L 53, 27.2.2008, p. 52 
Council Decision of 28 January 2008 on the conclusion on behalf of the European Community of the 
Agreement between the European Community and the Swiss Confederation concerning the criteria and 
mechanisms  for  establishing  the  State  responsible  for  examining  a  request  for  asylum  lodged  in  a 
Member State or in Switzerland, OJ L 53, 27.2.2008, p. 3.  
OJ L 83, 26.3.2008, p. 3. 
Protocol  between  the  European  Community,  the  Swiss  Confederation  and  the  Principality  of 
Liechtenstein  on  the  accession  of  the  Principality  of  Liechtenstein  to  the  Agreement  between  the 
European  Community  and  the  Swiss  Confederation  concerning  the  criteria  and  mechanisms  for 
establishing the State responsible for examining a request for asylum lodged in a the Member State or in 
Switzerland, OJ … 

EN 

11 

   EN 

 
                                                 
In  order  to  create  rights  and  obligations  between  Denmark  –  which  as  explained  above  has 
been associated to the EURODAC related measures via an international agreement – and the 
associated  countries  mentioned  above,  two  other  instruments  have  been  concluded  between 
the former Community (now the Union) and the associated countries.36 

3.4. 

Subsidiarity principle 

The proposal respects the principle of subsidiarity, as the objective of the proposed action, the 
conferring  of  the  operational  management  of  Central  SIS  II,  Central  VIS  and  the  National 
Interfaces,  Central  EURODAC,  as  well  as  certain  aspects  of  their  communication 
infrastructure, on an Agency, cannot be achieved by the Member States individually. 

3.5. 

Proportionality principle 

The Agency, financed from the EU budget, would be given the competences to manage only 
the central parts of SIS II, central parts of VIS and the national interfaces, the central part of 
EURODAC,  as  well  as  certain  aspects  of  the  communication  infrastructure,  without  having 
responsibility  for  the  data  entered  in  the  systems.  Member  States  are  competent  for  their 
national systems. Therefore, the Agency's competences are kept to the minimum necessary for 
supporting  effective,  secure  and  continuous  data  exchange  between  the  Member  States. 
Setting up a dedicated structure is considered proportionate to the legitimate interests of users 
and the high-security, high-availability and mission-critical nature of the systems. 

3.6. 

Choice of instruments 

A Regulation of the European Parliament and of the Council based on Articles 77(2)(a) and 
(b),  78(2)(e),  79(2)(c),  74,  82(1)(d)  and  87(2)(a)  of  the  TFEU  is  the  most  appropriate 
instrument for establishing a body under Title V of the TFEU. 

4. 

BUDGETARY IMPLICATION 

The Agency will be funded by the general budget of the European Union. The corresponding 
financial statement was annexed to the original proposal package of 24 June 2009 and is not 
being modified.  

5. 

ADDITIONAL INFORMATION 

5.1. 

Simplification 

The  proposal  provides  for  simplification  of  legislation  by  establishing  a  single  operational 
management structure for several IT-systems in the area of freedom, security and justice. 

36 

Protocol between the European Community, Switzerland and Liechtenstein to the Agreement between 
the  European  Community  and  the  Swiss  Confederation  concerning  the  criteria  and  mechanisms  for 
establishing  the  State  responsible  for  examining  a  request  for  asylum  lodged  in  a  member  State,  in 
Switzerland  or  in  Liechtenstein  OJ….  and  Protocol  to  the  Agreement  between  the  European 
Community,  the  Republic  of  Iceland  and  the  Kingdom  of  Norway  concerning  the  criteria  and 
mechanisms  for  establishing  the  State  responsible  for  examining  a  request  for  asylum  lodged  in  a 
Member State or in Iceland or Norway OJ L 57, 28.2.2006, p.16. 

EN 

12 

   EN 

 
                                                 
5.2. 

Evaluation  

Article 27 of the proposed Regulation includes an evaluation clause. 

EN 

13 

   EN 

 
2009/0089/P (COD) 

Amended Proposal for a 

REGULATION (EU) No …/… OF THE EUROPEAN PARLIAMENT AND OF THE 
COUNCIL 

establishing an Agency for the operational management of large-scale IT systems in the 
area of freedom, security and justice  

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union  and  in  particular 
Articles 77(2)(a) and (b), 78(2)(e), 79(2)(c), 74, 82(1)(d) and 87(2)(a) thereof, 

Having regard to the proposal from the European Commission37, 

After transmission of the proposal to the national parliaments38, 

Having consulted the European Data Protection Supervisor39, 

Acting in accordance with the ordinary legislative procedure40, 

Whereas: 

(1) 

37 
38 
39 
40 

41 
42 

The  second-generation  Schengen  Information  System  (SIS  II)  was  established  by 
Regulation  (EC)  No  1987/2006  of  the  European  Parliament  and  of  the  Council  of 
20 December 2006  on  the  establishment,  operation  and  use  of  the  second-generation 
Schengen Information System (SIS II)41 and by Council Decision 2007/533/JHA of 12 
June 2007 on the establishment, operation and use of the second-generation Schengen 
Information System (SIS II)42. In accordance with Regulation (EC) No 1987/2006 and 
Decision  2007/533/JHA  the  Commission  is  to  be  responsible,  during  a  transitional 
period,  for  the  operational  management  of  Central  SIS  II.  After  that  transitional 
period, a Management Authority is to be responsible for the operational management 
of Central SIS II and certain aspects of the communication infrastructure. 

OJ… 

OJ… 
Opinion  of  the  European  Parliament  of  xxx  and  Council  Decision  of  xxx  (not  yet  published  in  the 
Official Journal). 
OJ L 381, 28. 12. 2006, p. 4.  
OJ L 205, 7. 8. 2007, p. 63. 

EN 

14 

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(2) 

(3) 

The  Visa  Information  System  (VIS)  was  established  by  Council  Decision 
2004/512/EC  of  8  June  2004  establishing  the  Visa  Information  System  (VIS)43.  In 
accordance with Regulation (EC) No 767/2008 of the European Parliament and of the 
Council  concerning  the  Visa  Information  System  (VIS)  and  the  exchange  of  data 
between Member States on short-stay visas (VIS Regulation)44 the Commission is to 
be  responsible,  during  a  transitional  period,  for  the  operational  management  of  VIS. 
After  that  transitional  period  a  Management  Authority  is  to  be  responsible  for  the 
operational management of the Central VIS, the national interfaces and certain aspects 
of the communication infrastructure. 

EURODAC  was  established  by  Council  Regulation  (EC)  No  2725/2000  of  11 
December  2000  concerning  the  establishment  of  "Eurodac"  for  the  comparison  of 
fingerprints  for  the  effective  application  of  the  Dublin  Convention45.  In  accordance 
with  Regulation  (EC)  XX/2009  concerning  the  establishment  of  "Eurodac"  for  the 
comparison of fingerprints for the effective application of Regulation (EC) No […/…] 
the Commission is to be responsible, during a transitional period, for the operational 
management of EURODAC. After that transitional period a Management Authority is 
to  be  responsible  for  the  operational  management  of  the  Central  System  and  certain 
aspects of the communication infrastructure. 

(4) 

In order to ensure the operational management of SIS II, VIS and EURODAC after the 
transitional  period  and  potentially  of  other  information  technology  ("IT")  systems  in 
the  area  of  freedom,  security  and  justice,  it  is  necessary  to  establish  a  Management 
Authority.  

(5)  With  a  view  to  achieving  synergies,  it  is  necessary  to  provide  for  the  operational 
management  of  these  systems  in  one  entity,  benefiting  from  economies  of  scale, 
creating critical mass and ensuring the highest possible utilisation rate of capital and 
human resources. 

(6) 

(7) 

Since  the  Management  Authority  should  have  legal,  administrative  and  financial 
autonomy  it  should  be  established  in  the  form  of  a  regulatory  agency  having  legal 
personality. 

Consequently, the tasks of the Management Authority set out in Regulation (EC) No 
1987/2006,  in  Regulation  (EC)  No  767/2008  and  in  Regulation  (EC)  XX/2009 
concerning the establishment of "Eurodac" for the comparison of fingerprints for the 
effective  application  of  Regulation  (EC)  No  […/…]  should  be  exercised  by  the 
Agency. These tasks comprise further technical development.  

(8) 

In addition, the Agency should organize specific VIS and SIS II related training. 

(9) 

Furthermore,  the  Agency  may  also  be  made  responsible  for  the  preparation, 
development and operational management of additional large-scale IT systems on the 
basis of a relevant legislative instrument in application of Title V of the Treaty on the 
Functioning of the European Union. In addition, the Agency should be responsible for 
monitoring of research and for pilot schemes for large-scale IT systems in application 

43 
44 
45 

OJ L 213, 15. 6. 2004, p. 5. 
OJ L 218, 13.8.2008, p. 60.  
OJ L 316, 15.12.2000, p. 1. 

EN 

15 

   EN 

 
                                                 
of Title V of the Treaty on the Functioning of the European Union, upon specific and 
precise request of the Commission. 

(10)  Entrusting  an  Agency  with  the  operational  management  of  large-scale  IT  systems  in 
the area of freedom, security and justice does not affect the specific rules applicable to 
those  systems.  In  particular,  the  specific  rules  governing  the  purpose,  access  rights, 
security measures and further data protection requirements for each of the systems the 
operational management of which the Agency is entrusted with, are fully applicable. 

(11)  The Member States and the Commission should be represented within a Management 
Board,  in  order  to  effectively  control  the  functions  of  the  Agency.  The  Management 
Board should be entrusted with the necessary powers, in particular to adopt the annual 
work  programme,  carry  out  its  functions  related  to  the  Agency's  budget,  adopt  the 
financial rules applicable to the Agency, appoint the Executive Director and establish 
procedures for taking decisions related to the operational tasks of the Agency by the 
Executive Director. 

(12) 

In  order  to  guarantee  its  full  autonomy  and  independence,  the  Agency  should  be 
granted an autonomous budget with revenue from the general budget of the European 
Union.  The  Union  budgetary  procedure  should  be  applicable  as  far  as  the  Union 
contribution and any other subsidies chargeable to the general budget of the European 
Union are concerned. The auditing of accounts should be undertaken by the Court of 
Auditors. 

(13)  Within the framework of their respective competences, the Agency should cooperate 
with other agencies of the European Union, especially agencies established in the area 
of freedom, security and justice. 

(14)  When ensuring the operational management of IT systems, the Agency should follow 
European  and  international  standards  taking  into  account  the  highest  professional 
requirements. 

(15)  Regulation  (EC)  No  45/2001  of  the  European  Parliament  and  of  the  Council  of  18 
December  2000  on  the  protection  of  individuals  with  regard  to  the  processing  of 
personal data by the Community institutions and bodies and on the free movement of 
such data46 applies to the processing of personal data by the Agency. This Regulation 
provides, inter alia, that the European Data Protection Supervisor shall have the power 
to obtain from the Agency access to all information necessary for his or her enquiries. 

(16) 

In  order  to  ensure  the  transparent  operation  of  the  Agency,  Regulation  (EC)  No 
1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding 
public  access  to  European  Parliament,  Council  and  Commission  documents47  should 
apply to the Agency. 

(17)  Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 
May  1999  concerning  investigations  conducted  by  the  European  Anti-Fraud  Office 
(OLAF)48 should apply to the Agency, which should accede to the Inter-institutional 

46 
47 
48 

OJ L 8, 12.1.2001, p. 1. 
OJL 145, 31.5.2001, p. 43. 
OJ L 136, 31.5.1999, p. 1. 

EN 

16 

   EN 

 
                                                 
Agreement  of  25  May  1999  between  the  European  Parliament,  the  Council  of  the 
European  Union  and  the  Commission  of  the  European  Communities  concerning 
internal investigations by the European Anti-Fraud Office (OLAF)49. 

(18) 

In order to ensure open and transparent employment conditions and equal treatment of 
staff,  the  Staff  Regulations  of  Officials  of  the  European  Communities  and  the 
Conditions  of  Employment  of  Other  Servants  of  the  European  Communities  ("the 
Staff  Regulations")  should  apply  to  the  staff  and  to  the  Executive  Director  of  the 
Agency,  including  the  rules  of  professional  secrecy  or  other  equivalent  duties  of 
confidentiality. 

(19)  The Agency is a body set up by the Union in the sense of Article 185(1) of Council 
Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation 
applicable to the general budget of the European Communities50 and should adopt its 
financial rules accordingly. 

(20)  Commission  Regulation  (EC,  Euratom)  No  2343/2002  of  19  November  2002  on  the 
framework  Financial  Regulation  for  the  bodies  referred  to  in  Article  185  of  Council 
Regulation (EC, Euratom) No 1605/2002 on the Financial Regulation applicable to the 
general budget of the European Communities51 should apply to the Agency. 

(21)  Since the objectives of the proposed action, namely the creation of an Agency at the 
level  of  the  European  Union,  responsible  for  the  operational  management  of  large-
scale  IT  systems  in  the  area  of  freedom,  security  and  justice  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  Union  level,  the  Union  may  adopt  measures  in 
accordance with the principle of subsidiarity, as set out in Article 5 of the Treaty on 
European Union. In accordance with the principle of proportionality, as set out in that 
Article,  this  Regulation  does  not  go  beyond  what  is  necessary  to  achieve  those 
objectives. 

(22)  This Regulation respects fundamental rights and observes the principles recognised by 
Article  6(2)  of  the  Treaty  on  European  Union  and  reflected  in  the  Charter  of 
Fundamental Rights of the European Union. 

(23) 

Insofar  as  it  relates  to  SIS  II  and  VIS,  in  accordance  with  Articles  1  and  2  of  the 
Protocol on the Position of Denmark annexed to the Treaty on European Union and to 
the Treaty on the Functioning of the European Union Denmark is not taking part in the 
adoption of this Regulation and is not bound by it or subject to its application. Given 
that this Regulation builds upon the Schengen acquis under the provisions of Title V 
of  Part  Three  of  the  Treaty  on  the  Functioning  of  the  European  Union  Denmark 
should, in accordance with Article 4 of the said Protocol, decide within a period of six 
months after the date of adoption of this Regulation whether it will implement it in its 
national law or not. In accordance with Article 5 of the former Protocol on the Position 
of Denmark annexed to the Treaty on European Union and to the Treaty establishing 
the  European  Community,  Denmark  decided  to  implement  Regulation  (EC)  No 
1987/2006  and  Regulation  (EC)  No  767/2008  in  national  law.  On  the  basis  of  the 

49 
50 
51 

OJ L 136, 31.5.1999, p. 15. 
OJ L 248, 16.9.2002, p. 1. 
OJ L 357, 31.12.2002, p. 72. 

EN 

17 

   EN 

 
                                                 
(24) 

Agreement  between  the  European  Community  and  the  Kingdom  of  Denmark  on  the 
criteria and mechanisms for establishing the State responsible for examining a request 
for asylum lodged in Denmark or any other Member State of the European Union and 
"Eurodac"  for  the  comparison  of  fingerprints  for  the  effective  application  of  the 
Dublin  Convention52,  Denmark  has  implemented  Council  Regulation  (EC)  No 
2725/2000 in national law. 

Insofar  as  it  relates  to  SIS  II  as  governed  by  Regulation  (EC)  No  1987/2006  and  to 
VIS, this Regulation constitutes a development of provisions of the Schengen acquis 
in which the United Kingdom does not take part, in accordance with Council Decision 
2000/365/EC of 29 May 2000 concerning the request of the United Kingdom of Great 
Britain  and  Northern  Ireland  to  take  part  in  some  of  the  provisions  of  the  Schengen 
acquis53.  The  United  Kingdom  is  therefore  not  taking  part  in  its  adoption  and  is  not 
bound  by  it  or  subject  to  its  application  to  the  extent  that  its  measures  develop 
provisions  of  the  Schengen  acquis  insofar  as  they  relate  to  SIS  II  as  governed  by 
Regulation (EC) No 1987/2006 and to VIS. In accordance with Articles 1 and 2 of the 
Protocol on the position of the United Kingdom and Ireland in respect of the area of 
freedom,  security  and  justice  annexed  to  the  Treaty  on  European  Union  and  to  the 
Treaty on the Functioning of the European Union, and without prejudice to Article 4 
of  the  said  Protocol,  the  United  Kingdom  is  not  taking  part  in  the  adoption  of  this 
Regulation  and  is  not  bound  by  it  or  subject  to  its  application  to  the  extent  that  its 
measures  do  not  develop  provisions  of  the  Schengen  acquis  insofar  as  they  relate  to 
SIS  II  as  governed  by  Regulation  (EC)  No  1987/2006  and  to  VIS.  However,  the 
United Kingdom is taking part in this Regulation insofar as its provisions relate to SIS 
II as governed by Council Decision 2007/533/JHA, in accordance with Article 8(2) of 
Council Decision 2000/365/EC of 29 May 2000, concerning the request of the United 
Kingdom of Great Britain and Northern Ireland to take part in some of the provisions 
of the Schengen acquis. Furthermore, by letter of 23 September 2009 to the President 
of the Council, the United Kingdom notified its intention to take part in the adoption 
of this Regulation, in accordance with Article 3 of the Protocol on the position of the 
United Kingdom and Ireland annexed to the Treaty on European Union and the Treaty 
Establishing  the  European  Community.  Insofar  as  this  Regulation  does  not  relate  to 
SIS II as governed by Regulation (EC) No 1987/2006 and to VIS, the United Kingdom 
therefore takes part in its adoption, is bound by it and subject to its application. 

(25) 

Insofar  as  it  relates  to  SIS  II  as  governed  by  Regulation  (EC)  No  1987/2006  and  to 
VIS, this Regulation constitutes a development of provisions of the Schengen acquis 
in which Ireland does not take part, in accordance with Council Decision 2002/192/EC 
of  28  February  2002  concerning  Ireland’s  request  to  take  part  in  some  of  the 
provisions of the Schengen acquis54. Ireland is therefore not taking part in its adoption 
and  is  not  bound  by  it  or  subject  to  its  application  to  the  extent  that  its  measures 
develop provisions of the Schengen acquis insofar as they relate to SIS II as governed 
by Regulation (EC) No 1987/2006 and to VIS. In accordance with Articles 1 and 2 of 
the Protocol on the position of the United Kingdom and Ireland in respect of the area 
of freedom, security and justice annexed to the Treaty on European Union and to the 
Treaty on the Functioning of the European Union, and without prejudice to Article 4 

52 
53 
54 

O.J. L66, 8.3.2006, p. 38. 
OJ L 131, 1.6.2000, p. 43. 
OJ L 64, 7.3.2002, p. 20. 

EN 

18 

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of the said Protocol, Ireland is not taking part in the adoption of this Regulation and is 
not  bound  by  it  or  subject  to  its  application  to  the  extent  that  its  measures  do  not 
develop provisions of the Schengen acquis insofar as they relate to SIS II as governed 
by Regulation (EC) No 1987/2006 and to VIS. However, Ireland is taking part in this 
Regulation insofar as its provisions relate to SIS II as governed by Council Decision 
2007/533/JHA,  in accordance with Article 6(2) of Council Decision  2002/192/EC of 
28 February 2002 concerning Ireland's request to take part in some of the provisions of 
the Schengen acquis. 

(26)  As regards Iceland and Norway, this Regulation constitutes, insofar as it relates to SIS 
II  and  VIS,  a  development  of  the  Schengen  acquis  within  the  meaning  of  the 
Agreement concluded by the Council of the EU and the Republic of Iceland and the 
Kingdom  of  Norway  concerning  the  association  of  those  two  States  with  the 
implementation,  application  and  development  of  the  Schengen  acquis55,  which  falls 
within  the  area  referred  to  in  Article  1,  points  A,  B  and  G  of  Council  Decision 
1999/437/EC  of  17  May  1999  on  certain  arrangements  for  the  application  of  that 
Agreement56.  As  regards  EURODAC,  this  Regulation  constitutes  a  new  measure 
related  to  EURODAC  within  the  meaning  of  the  Agreement  between  the  European 
Community and the Republic of Iceland and the Kingdom of Norway concerning the 
criteria and mechanisms for establishing the State responsible for examining a request 
for asylum lodged in a Member State or in Iceland or Norway. Consequently, subject 
to  their  decision  to  implement  it  in  their  internal  legal  order,  delegations  of  the 
Republic  of  Iceland  and  the  Kingdom  of  Norway  should  participate  in  the 
Management Board of the Agency, albeit without voting rights. In order to determine 
the further modalities allowing for the participation of the Republic of Iceland and the 
Kingdom  of  Norway  in  the  Agency's  activities,  a  further  arrangement  should  be 
concluded between the Union and these States. 

(27)  As regards Switzerland, this Regulation constitutes, insofar as it relates to SIS II and 
VIS, a  development of the provisions of  the Schengen acquis within the meaning of 
the Agreement between the European Union, the European Community and the Swiss 
Confederation  on  the  Swiss  Confederation's  association  with  the  implementation, 
application  and  development  of  the  Schengen  acquis57,  which  fall  within  the  area 
referred  to  in  Article  1,  points  A,  B  and  G  of  Decision  1999/437/EC  read  in 
conjunction  with  Article  3  of  Council  Decision  2008/146/EC  on  the  conclusion,  on 
behalf  of  the  European  Community,  of  the  Agreement.  As  regards  EURODAC,  this 
Regulation constitutes a new measure related to EURODAC within the meaning of the 
the  Swiss  Confederation 
Agreement  between 
concerning  the  criteria  and  mechanisms  for  establishing  the  State  responsible  for 
examining  a  request  for  asylum  lodged  in  a  Member  State  or  in  Switzerland. 
Consequently, subject to its decision to implement it in their internal legal order, the 
delegation of the Swiss Confederation should participate in the Management Board of 
the Agency, albeit without voting rights. In order to determine the further modalities 
allowing for the participation of the Swiss Confederation in the Agency's activities, a 
further  arrangement  should  be  concluded  between  the  Union  and  the  Swiss 
Confederation. 

the  European  Community  and 

55 
56 
57 

OJ L 176, 10.7.1999, p. 36. 
OJ L 176, 10.7.1999, p. 31. 
OJ L 53, 27.2.2008, p. 52. 

EN 

19 

   EN 

 
                                                 
(28)  As regards Liechtenstein, this Regulation constitutes, insofar as it relates to SIS II and 
VIS, a development of the provisions  of  the Schengen acquis within the meaning of 
the  Protocol  between  the  European  Union,  the  European  Community,  the  Swiss 
Confederation and the Principality of Liechtenstein on the accession of the Principality 
of  Liechtenstein  to  the  Agreement  between  the  European  Union,  the  European 
Community  and  the  Swiss  Confederation  on  the  Swiss  Confederation’s  association 
with the implementation, application and development of the Schengen acquis which 
fall  within  the  area  referred  to  in  Article  1,  points  A,  B  and  G  of  Council  Decision 
1999/437/EC of 17 May 1999 read in conjunction with Article 3 of Council Decision 
2008/261/EC58.  As  regards  EURODAC,  this  Regulation  constitutes  a  new  measure 
related  to  EURODAC  within  the  meaning  of  the  Protocol  between  the  European 
Community,  the  Swiss  Confederation  and  the  Principality  of  Liechtenstein  on  the 
accession of the Principality of Liechtenstein to the Agreement between the European 
Community and the Swiss Confederation concerning the criteria and mechanisms for 
establishing  the  State  responsible  for  examining  a  request  for  asylum  lodged  in  a 
Member State or in Switzerland59. Consequently, the delegation of the Principality of 
Liechtenstein  should  participate  in  the  Management  Board  of  the  Agency,  albeit 
without  voting  rights.  In  order  to  determine  the  further  modalities  allowing  for  the 
participation  of  the  Principality  of  Liechtenstein  in  the  Agency's  activities,  a  further 
arrangement  should  be  concluded  between  the  Union  and  the  Principality  of 
Liechtenstein. 

HAVE ADOPTED THIS REGULATION: 

CHAPTER I  

SUBJECT MATTER 

Article 1 

Establishment of the Agency 

A European Agency ("the Agency") for the operational management of the second-generation 
Schengen Information System (SIS II), the Visa Information System (VIS), EURODAC and 
for  developing  and  managing  other  large-scale  information  technology  ("IT")  systems,  in 
application  of  Title  V  of  the  Treaty  on  the  Functioning  of  the  European  Union  is  hereby 
established. 

CHAPTER II 

TASKS  

Article 2 

Tasks related to SIS II 

58 
59 

OJ L 83, 26.3.2008, p. 3. 
OJ… 

EN 

20 

   EN 

 
                                                 
The  Agency  shall  perform  the  tasks  conferred on  the  Management  Authority  by  Regulation 
(EC) No. 1987/2006 and Council Decision 2007/533/JHA, organize common training for staff 
involved  in  the  exchange  of  supplementary  information,  in  accordance  with  the  SIRENE 
Manual  and  perform  tasks  related  to  the  training  of  experts  on  SIS  II  as  provided  for  in 
Council Regulation No. XXX on the establishment of an evaluation mechanism to verify the 
application of the Schengen acquis60.  

Article 3 

Tasks related to VIS 

The  Agency  shall  perform  the  tasks  conferred  on  the  Management  Authority  by  Regulation 
(EC) No 767/2008 and Council Decision 2008/633/JHA,and perform tasks related to training 
on the use of VIS. 

Article 4  

Tasks related to EURODAC 

The  Agency  shall  perform  the  tasks  conferred  on  the  Management  Authority  by  Regulation 
(EC) XX/2009 concerning the establishment of "Eurodac" for the comparison of fingerprints 
for the effective application of Regulation (EC) No […/…]. 

Article 5 

Monitoring of research 

The Agency shall monitor the developments in research relevant for the operational 
management  of  SIS  II,  VIS,  EURODAC  and  other  large-scale  IT  systems  in 
application of Title V of the Treaty on the Functioning of the European Union. 

The  Agency  shall  on  a  regular  basis  keep  the  Commission  informed  on  the 
developments referred to in paragraph 1. 

Article 6 

Pilot Schemes 

Upon  specific  and  precise  request  of  the  Commission,  the  Agency  shall  implement 
pilot schemes for the development and/or the operational management of large-scale 
IT  systems,  in  application  of  Title  V  of  the  Treaty  on  the  Functioning  of  the 
European Union.  

Financial appropriations for pilot schemes as requested by the Commission shall be 
two  successive  financial  years. 
entered 

the  budget  for  no  more 

than 

in 

1. 

2. 

1. 

2. 

60 

OJ… 

EN 

21 

   EN 

 
 
                                                 
CHAPTER III 

STRUCTURE AND ORGANISATION 

Article 7 

Legal status  

1. 

2. 

3. 

4. 

The Agency shall be a Union body and shall have legal personality. 

In  each  of  the  Member  States,  the  Agency  shall  enjoy  the  most  extensive  legal 
capacity  accorded  to  legal  persons  under  national  legislation.  It  may,  in  particular, 
acquire or dispose of movable and immovable property and may be a party to legal 
proceedings. It shall also be empowered to conclude a Headquarters Agreement with 
its host Member State.  

The Agency shall be represented by its Executive Director. 

The seat of the Agency shall be [...] 

Article 8 

Structure 

The Agency's administrative and management structure shall comprise: 

(a) 

a Management Board; 

(b) 

an Executive Director; 

(c) 

Advisory Groups. 

Article 9 

Powers of the Management Board 

1. 

In order to ensure that the Agency carries out its tasks, the Management Board shall 
in particular: 

(a) 

(b) 

(c) 

(d) 

appoint, and if relevant, dismiss the Executive Director, in accordance 
with Article 15; 

exercise disciplinary authority over the Executive Director; 

establish the Agency's organisational structure after consultation of the 
Commission;  

establish the rules of procedure of the Agency after consultation of the 
Commission; 

EN 

22 

   EN 

 
 
(e) 

(f) 

(g) 

(h) 

(i) 

(j) 

(k) 

(l) 

establish  the  rules  governing  the  use  of  languages  by  the  Agency  in 
accordance with Article 22 of this Regulation; 

approve  the  Headquarters  Agreement  to  be  signed  by  the  Executive 
Director  with  the  host  Member  State  following  a  proposal  by  the 
Executive Director; 

in agreement with the Commission, adopt the necessary implementing 
measures referred to in Article 110 of the Staff Regulations; 

adopt  the  multi-annual  staff  policy  plan  and  submit  it  by  31  March 
each year at the latest to the Commission and the budgetary authority;  

before 30 September each year, and after receiving the opinion of the 
Commission, adopt by a two-thirds majority of its members with the 
right  to  vote,  and  in  accordance  with  the  annual  Union  budgetary 
procedure and the Union legislative programme in areas of Title V of 
the  Treaty  on  the  Functioning  of  the  European  Union,  the  Agency’s 
annual  work  programme  for  the  coming  year;  and  ensure  that  the 
adopted  work  programme  is  forwarded  to  the  European  Parliament, 
the Council and the Commission and published; 

before 31 March each year, adopt the Agency's annual activity report 
for  the  previous  year  and  transmit  it  by  15  June  at  the  latest  to  the 
European  Parliament,  the  Council,  the  Commission,  the  European 
Economic  and  Social  Committee  and  the  Court  of  Auditors;  the 
annual activity report shall be published; 

carry out its functions relating to the Agency's budget, pursuant to the 
provisions of Articles 28, 29(6) and 30 of this Regulation;  

adopt the financial rules applicable to the Agency in accordance with 
Article 30 of this Regulation; 

(m) 

appoint  an  Agency  staff  member  as  accounting  officer  who  shall  be 
functionally independent in the performance of his/her duties; 

(n) 

(o) 

(p) 

(q) 

adopt the necessary security measures, including a security plan; 

appoint  an  Agency  staff  member  as  a  Data  Protection  Officer  in 
accordance with Regulation (EC) No 45/2001; 

adopt, within 6 months after the date of application of this Regulation, 
the  practical  arrangements  for  implementing  Regulation  (EC)  No 
1049/2001; 

adopt  the  reports  on  the  technical  functioning  of  SIS  II  pursuant  to 
Article 50(4) of Regulation (EC) No 1987/2006 and  Article 66(4) of 
Decision 2007/533/JHA respectively, of VIS pursuant to Article 50(3) 
of Regulation (EC) No 767/2008 and 17(3) of Decision 2008/633/JHA 
and  of  EURODAC  pursuant  to  Article  [28]  of  Regulation  (EC) 
the 
XX/2009  concerning 

the  establishment  of  "Eurodac"  for 

EN 

23 

   EN 

 
(r) 

(s) 

(t) 

comparison of fingerprints for the effective application of Regulation 
(EC) No […/…] ; 

make comments on the European Data Protection Supervisor's report 
about the audit pursuant to Article 45 of Regulation (EC) 1987/2006 
and Article 42(2) of Regulation (EC) No 767/2008 and decide on the 
follow-up of the audit; 

publish  statistics  related  to  SIS  II  pursuant  to  Article  50(3)  of 
Regulation  (EC)  No  1987/2006  and  Article  66(3)  of  Decision 
2007/533/JHA respectively;  

ensure  the  annual  publication  of  the  list  of  competent  authorities 
authorised  to  directly  search  the  data  contained  in  SIS  II  pursuant  to 
Article 31(8)  of  Regulation (EC) No 1987/2006  and Article 46(8) of 
Decision 2007/533/JHA, together with the list of N.SIS II Offices and 
SIRENE Bureaux as referred to in Article 7(3) of Regulation (EC) No 
1987/2006 and Article 7(3) of Decision 2007/533/JHA respectively;  

(u) 

perform  any  other  tasks  conferred  on  it  in  accordance  with  this 
Regulation. 

2. 

The  Management  Board  may  advise  the  Executive  Director  on  any  matter  strictly 
related to the development or operational management of the IT systems.  

Article 10 

Composition of the Management Board 

1. 

2. 

3. 

4. 

5. 

The  Management  Board  shall  be  composed  of  one  representative  of  each  Member 
State and two representatives of the Commission. 

Each Member State shall appoint a member of the Management Board as well as an 
alternate.  The  Commission  shall  appoint  two  members  and  their  alternates.  The 
alternates shall represent the members in their absence. They shall be members with 
voting rights. 

The members of the Management Board shall be appointed on the basis of their high 
level  relevant  experience  and  expertise  in  the  field  of  large-scale  IT  systems  in  the 
area of freedom, security and justice. 

The term of office of the members shall be four years. It may be renewed once. Upon 
expiry  of  their  term  of  office  or  in  the  event  of  their  resignation,  members  shall 
remain in office until their appointments are renewed or until they are replaced. 

Countries  associated  with  the  implementation,  application  and  development  of  the 
Schengen  acquis  and  the  EURODAC  related  measures  shall  participate  in  the 
Agency.  They  shall  each  appoint  one  representative  and  an  alternate  to  the 
Management Board who shall be members without voting rights. 

EN 

24 

   EN 

 
Article 11 

Chairmanship of the Management Board 

The Management Board shall elect a Chairperson from among its members. 

The term of office of the Chairperson shall be four years and may be renewed once. 
His/her term of office shall expire earlier if his/her membership of the Management 
Board ceases. 

The  Chairperson  may  only  be  appointed  from  among  those  members  who  are 
appointed  by  Member  States  that  participate  fully  in  the  adoption  of  the  legal 
instruments governing all the systems managed by the Agency. 

Article 12 

Meetings of the Management Board 

The  meetings  of  the  Management  Board  shall  be  convened  at  the  initiative  of  its 
Chairperson or at the request of at least a third of its members or at the request of the 
Commission.  The  Management  Board  shall  hold  at  least  two  ordinary  meetings  a 
year.  

The Executive Director of the Agency shall take part in the meetings.  

The  members  of  the  Management  Board  may  be  assisted  by  experts  who  are 
members of the Advisory Groups.  

Europol  and  Eurojust  shall  be  granted  observer  status  at  the  meetings  of  the 
Management Board when a question concerning SIS II, in relation to the application 
of Council Decision 2007/533/JHA, is on the agenda. Europol shall also be granted 
observer  status  at  the  meetings  of  the  Management  Board  when  a  question 
concerning VIS, in relation to the application of Council Decision 2008/633/JHA, is 
on the agenda.  

The  Management  Board  may  invite  any  other  person,  whose  opinion  may  be  of 
interest, to attend its meetings as an observer. 

The secretariat for the Management Board shall be provided by the Agency. 

Article 13 

Voting 

Without prejudice to paragraph 4 of this Article as well as Article 9(1) (i), decisions 
of the Management Board shall be taken by a simple majority of its members with a 
right to vote.  

Without  prejudice  to  paragraph  3  of  this  Article,  each  member  in  the  Management 
Board shall have one vote. 

1. 

2. 

3. 

1. 

2. 

3. 

4. 

5. 

6. 

1. 

2. 

EN 

25 

   EN 

 
 
3. 

4. 

5. 

6. 

1. 

2. 

3. 

4. 

5. 

Each member appointed by a Member State which participates in the adoption of any 
legal  instrument  governing  an  IT  system  managed  by  the  Agency  may  vote  on  a 
question which concerns that IT system.  

In case of disagreement among members over whether or not a specific IT system is 
affected  by  a  vote,  members  shall  decide  by  a  two-thirds  majority,  that  it  is  not 
affected. 

The Executive Director of the Agency shall not vote.  

More detailed voting arrangements shall be established in the rules of procedure of 
the Agency, in particular, the conditions under which a member may act on behalf of 
another member as well as any quorum requirements, where appropriate. 

Article 14 

Functions and powers of the Executive Director 

The Agency shall be managed and represented by its Executive Director. 

The  Executive  Director  shall  be  independent  in  the  performance  of  his/her  duties. 
Without  prejudice  to  the  respective  competences  of  the  Commission  and  the 
Management  Board,  the  Executive  Director  shall  neither  seek  nor  take  instructions 
from any government or from any other body. 

to  Article  9, 

Without  prejudice 
the  Executive  Director  shall  assume  full 
responsibility  for  the  tasks  entrusted  to  the  Agency  and  shall  be  subject  to  the 
procedure  for  annual  discharge  by  the  European  Parliament  for  the  implementation 
of the budget. 

The  European  Parliament  or  the  Council  may  invite  the  Executive  Director  of  the 
Agency to report on the implementation of his/her tasks. 

The Executive Director shall in particular: 

(a) 

(b) 

(c) 

(d) 

(e) 

ensure the Agency's day-to-day administration; 

take any action necessary to ensure the Agency’s operation in accordance with 
this Regulation; 

prepare  and  implement  the  procedures,  decisions,  strategies,  programmes  and 
activities adopted by the Management Board, within the limits specified by this 
Regulation, its implementing rules and any applicable law; 

establish  and  implement  an  effective  system  enabling  regular  monitoring  and 
evaluations of the IT systems, including statistics, and of the Agency; 

participate,  without  the  right  to  vote,  in  the  meetings  of  the  Management 
Board; 

EN 

26 

   EN 

 
(f) 

(g) 

exercise in respect to the Agency's staff the powers laid down in Article 17 (2) 
and manage staff matters; 

to  Article  17  of 

without  prejudice 
the  Staff  Regulations,  establish 
confidentiality requirements to comply with Article 17 of Regulation (EC) No 
1987/2006,  Article  17  of  Decision  2007/533/JHA  and  Article  26(9)  of 
Regulation  (EC)  No  767/2008  respectively  and  Article  [4(6)]  of  Regulation 
(EC) XX/2009 concerning the establishment of 'Eurodac' for the comparison of 
fingerprints for the effective application of Regulation (EC) No […/…]; 

(h) 

negotiate  and,  after  approval  by  the  Management  Board,  sign  a  Headquarters 
Agreement with the Government of the host Member State. 

6. 

The  Executive  Director  shall  submit  to  the  Management  Board  for  adoption  the 
drafts for: 

(a) 

(b) 

(c) 

the Agency's annual work programme and its annual activity report, after prior 
consultation of the Advisory Groups ; 

the financial rules applicable to the Agency;  

the budget for the coming year; 

(d) 

the multi-annual Staff Policy Plan; 

(e) 

(f) 

(g) 

(h) 

(i) 

the terms of reference for the evaluation referred to in Article 27; 

the practical arrangements for implementing Regulation (EC) No 1049/2001; 

the necessary security measures including a security plan; 

reports  on  the  technical  functioning  of  each  IT  system  referred  to  in  Article 
9(1)(q) of this Regulation, on the basis of the results from the monitoring and 
evaluation; 

annual  publication  of  the  list  of  competent  authorities  authorised  to  directly 
search the data contained in SIS II, including the list of  N.SIS II Offices and 
SIRENE Bureaux, referred to in Article 9(1)(t) of this Regulation. 

7. 

The  Executive  Director  shall  perform  any  other  tasks  conferred  on  him/her  in 
accordance with this Regulation.  

Article 15 

Appointment of the Executive Director 

The Executive Director of the Agency shall be appointed by the Management Board, 
from a list of candidates proposed by the Commission, for a period of five years.  

Before  appointment,  the  candidate  selected  by  the  Management  Board  may  be 
invited  to  make  a  statement  before  the  competent  committee(s)  of  the  European 
Parliament and answer questions from its/their members.  

27 

   EN 

1. 

2. 

EN 

 
3. 

4. 

5. 

6. 

7. 

1. 

2. 

3. 

In  the  course  of  the  nine  months  preceding  the  end  of  the  five-year  period,  the 
Commission shall undertake an evaluation. In the evaluation, the Commission shall 
assess in particular:  

(a) 

(b) 

the results achieved in the first term of office and the way they were achieved; 

the Agency's duties and requirements in the coming years. 

The  Management  Board,  acting  on  a  proposal  from  the  Commission,  taking  into 
account the evaluation report, and only in those cases where it can be justified by the 
duties and requirement of the Agency, may extend the term of office of the Executive 
Director once for not more than three years. 

The Management Board shall inform the European Parliament about its intention to 
extend the Executive Director's term of office. Within a month before the extension 
of his/her term of office, the Executive Director may be invited to make a statement 
before  the  competent  committee(s)  of  the  Parliament  and  answer  questions  from 
its/their members. 

The  Executive  Director  shall  be  accountable  to  the  Management  Board  for  his/her 
activities. 

The Executive Director may be dismissed by the Management Board.  

Article 16 

Advisory Groups 

The  following  Advisory  Groups  shall  provide  the  Management  Board  with  the 
expertise related to the respective IT systems and, in particular, in the context of the 
preparation of the annual work program and the annual activity report: 

(a) 

SIS II Advisory Group; 

(b) 

VIS Advisory Group; 

(c) 

EURODAC Advisory Group; 

(d) 

any  other  Advisory  Group  related  to  a  large-scale  IT  system 
developed or managed by the Agency. 

Each  Member  State,  each  country  associated  with  the  implementation,  application 
and  development  of  the  Schengen  acquis  and  the  EURODAC  related  measures  as 
well as the Commission shall appoint one member to each of the Advisory Groups 
for a three-year term, which may be renewed. 

Europol  and  Eurojust  may  each  appoint  a  representative  to  the  SIS  II  Advisory 
Group. Europol may appoint a representative to the VIS Advisory Group. 

EN 

28 

   EN 

 
4. 

5. 

6. 

7. 

Members of the Management Board shall not be members of the Advisory Groups. 
The Agency's Executive Director or his/her representative shall be entitled to attend 
all the meetings of the Advisory Groups as observers.  

The  procedures  for  the  operation  and  cooperation  of  the  Advisory  Groups  shall  be 
laid down in the Agency's rules of procedure. 

When  preparing  an  opinion,  each  Advisory  Group  shall  do  its  best  to  reach  a 
consensus.  If  such  a  consensus  cannot  be  reached,  the  opinion  shall  consist  of  the 
position of the majority of members, including its grounds. The minority position(s), 
including their grounds, shall also be recorded. Article 13(3) shall apply accordingly. 
The  members  representing  the  countries  associated  with  the  implementation, 
application  and  development  of  the  Schengen  acquis  and  the  EURODAC  related 
measures shall be allowed to express opinions which are not taken into account in the 
calculation of the majority required. 

Each  Member  State,  each  country  associated  with  the  implementation,  application 
and development of the Schengen acquis and the EURODAC related measures shall 
facilitate the activities of the Advisory Groups.  

8. 

For the chairmanship, Article 11 shall apply mutatis mutandis. 

CHAPTER IV 

OPERATION 

Article 17  

Staff  

1. 

2. 

3. 

4. 

The  Staff  Regulations  of  Officials  and  the  Conditions  of  Employment  of  Other 
Servants of the European Communities and the rules adopted jointly by the European 
Union institutions for the purpose of applying these Staff Regulations and Conditions 
of  Employment  shall  apply  to  the  Staff  of  the  Agency,  including  the  Executive 
Director.  

The powers conferred on the Appointing Authority by the Staff Regulations and on 
the  authority  entitled  to  conclude  contracts  by  the  Conditions  of  Employment  of 
Other Servants shall be exercised by the Agency in respect of its own staff. 

Without  prejudice  to  Article  17  of  the  Staff  Regulations,  the  Agency  shall  apply 
appropriate rules of professional secrecy or other equivalent duties of confidentiality. 

The  Management  Board  shall,  in  agreement  with  the  Commission,  adopt  the 
necessary implementing measures referred to in Article 110 of the Staff Regulations. 

Article 18 

Public interest 

29 

EN 

   EN 

 
The  members  of  the  Management  Board,  the  Executive  Director  and  the  members  of  the 
Advisory  Groups  shall  undertake  to  act  in  the  public  interest.  For  this  purpose,  they  shall 
make, annually and in writing, a statement of commitment. 

Article 19 

Headquarters Agreement 

The necessary arrangements concerning the accommodation to be provided for the Agency in 
the  host  Member  State  and  the  facilities  to  be  made  available  by  that  State,  as  well  as  the 
specific  rules  applicable  in  the  Agency's  host  Member  State  to  the  Executive  Director,  the 
members of the Management Board, staff of the Agency and members of their families shall 
be laid down in a Headquarters Agreement between the Agency and the host Member State 
concluded after obtaining the approval of the Management Board. The Agency's host Member 
State should provide the best possible conditions to ensure proper functioning of the Agency, 
including multilingual, European-oriented schooling and appropriate transport connections. 

Article 20 

Privileges and immunities 

The  Protocol  on  the  Privileges  and  Immunities  of  the  European  Union  shall  apply  to  the 
Agency. 

Article 21 

Liability 

1. 

2. 

3. 

4. 

5. 

The contractual liability of the Agency shall be governed by the law applicable to the 
contract in question. 

The Court of Justice of the European Union shall have jurisdiction to give judgment 
pursuant to any arbitration clause contained in a contract concluded by the Agency. 

In  the  case  of  non-contractual  liability,  the  Agency  shall,  in  accordance  with  the 
general  principles  common  to  the  laws  of  the  Member  States,  make  good  any 
damage  caused  by  its  departments  or  by  its  servants  in  the  performance  of  their 
duties. 

The  Court  of  Justice  of  the  European  Union  shall  have  jurisdiction  in  disputes 
relating to compensation for the damage referred to in paragraph 3. 

The personal liability of the Agency's servants towards the Agency shall be governed 
by the provisions laid down in the Staff Regulations. 

Article 22 

Linguistic regime 

30 

EN 

   EN 

 
1. 

2. 

3. 

4. 

1. 

2. 

3. 

1. 

2. 

The  provisions  laid  down  in  Regulation  No  1  of  15  April  1958  determining  the 
language  to  be  used  in  the  European  Economic  Community61,  shall  apply  to  the 
Agency. 

Without  prejudice  to  decisions  taken  pursuant  to  Article  342  of  the  Treaty  on  the 
Functioning  of  the  European  Union,  the  annual  work  programme  and  the  annual 
activity report referred to in Article 9 (1)(i) and (j), shall be produced in all official 
languages of the Union. 

The translation services necessary for the activities of the Agency shall be provided 
by the Translation Centre for the Bodies of the European Union. 

The  Management  Board  shall  establish  the  practical  arrangements  for  the 
implementation of the language regime. 

Article 23 

Access to documents 

Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 
May 2001 regarding public access to European Parliament, Council and Commission 
documents62 shall apply to documents held by the Agency. 

The Management Board shall, within 6 months after the date of applicability of this 
Regulation, adopt the practical arrangements for implementing Regulation (EC) No 
1049/2001. 

Decisions  taken  by  the  Agency  pursuant  to  Article  8  of  Regulation  (EC)  No 
1049/2001 may give rise to the lodging of a complaint to the European Ombudsman 
or form the subject of an action before the Court of Justice of the European Union, 
under  the  conditions  laid  down  in  Articles  228  and  263  of  the  Treaty  on  the 
Functioning of the European Union respectively. 

Article 24  

Information and communication  

The Agency may communicate on its own initiative in the fields within its mission. It 
shall ensure in particular that, in addition to the publication specified in Article 9(1) 
(i),(j),(s),(t), Article 27(3) and Article 29(8), the public and any interested party are 
rapidly given objective, reliable and easily understandable information with regard to 
its work. 

The Management Board shall lay down the practical arrangements for the application 
of paragraph 1. 

61 
62 

OJ 17, 6.10.1958, p. 385. 
OJ L 145, 31.5.2001, p. 43. 

EN 

31 

   EN 

 
                                                 
Article 25 

Data protection 

1. 

2. 

The  information  processed  by  the  Agency  in  accordance  with  this  Regulation  shall 
be  subject  to  Regulation  (EC)  No  45/2001  of  the  European  Parliament  and  of  the 
Council  of  18  December  2000  on  the  protection  of  individuals  with  regard  to  the 
processing of personal data by the Community institutions and bodies and on the free 
movement of such data63. 

The  Management  Board  shall  establish  measures  for  the  application  of  Regulation 
(EC)  No  45/2001  by  the  Agency,  including  those  concerning  the  Data  Protection 
Officer of the Agency.  

Security rules on the protection of classified information and non-classified sensitive 
information 

Article 26 

1. 

2. 

1. 

2. 

3. 

The  Agency  shall  apply  the  security  principles  contained  in  Commission  Decision 
2001/844/EC, ECSC, Euratom of 29 November 2001 amending its internal rules of 
procedure64. This shall cover, inter alia, provisions for the exchange, processing and 
storage of classified information. 

The Agency shall also apply the security principles relating to the processing of non-
classified  sensitive  information  as  adopted  and  implemented  by  the  European 
Commission. 

Article 27 

Evaluation 

Within three years from the date of the Agency having taken up its responsibilities, 
and  every  five  years  thereafter,  the  Management  Board  shall  commission  an 
independent external evaluation of the implementation of this Regulation on the basis 
of  terms  of  reference  issued  by  the  Management  Board  after  consultation  with  the 
Commission.  

The evaluation shall assess the utility, relevance and effectiveness of the Agency and 
its  working  practices.  The  evaluation  shall  take  into  account  the  views  of 
stakeholders, at both European and national level. 

The  Management  Board  shall  receive  the  evaluation  and  issue  recommendations 
regarding  changes  to  this  Regulation,  the  Agency  and  its  working  practices  to  the 
Commission,  which  shall  forward  them,  together  with  its  own  opinion  as  well  as 
appropriate  proposals,  to  the  Council  and  the  European  Parliament.  An  action  plan 

63 
64 

OJ L 8, 12.1.2001, p. 1.  
OJ L 317, 03.12.2001, p. 1.  

EN 

32 

   EN 

 
                                                 
with  a  timetable  shall  be  included,  if  appropriate.  Both  the  evaluation  and  the 
recommendations shall be made public. 

CHAPTER V 

FINANCIAL PROVISIONS 

Article 28 

Budget 

1. 

The revenue of the Agency shall consist, without prejudice to other types of income, 
of: 

(a) 

(b) 

a subsidy from the Union entered in the general budget of the European Union 
(Commission section) ; 

a  contribution  from  the  countries  associated  with  the  implementation, 
application  and  development  of  the  Schengen  acquis  and  the  EURODAC 
related measures; 

(c) 

any financial contribution from the Member States. 

The  expenditure  of  the  Agency  shall  include,  inter  alia,  staff  remuneration, 
administrative  and  infrastructure  expenses,  operating  costs  and  expenditure  relating 
to  contracts  or  agreements  concluded  by  the  Agency.  Each  year  the  Executive 
Director  shall  draw  up  a  draft  statement  of  estimates  of  the  Agency's  revenue  and 
expenditure  for  the  following  financial  year,  together  with  the  establishment  plan, 
and shall transmit it to the Management Board.  

Revenue and expenditure of the Agency shall be in balance.  

The Management Board, on the basis of a draft drawn up by the Executive Director, 
shall  adopt  a  draft  statement  of  estimates  of  the  revenue  and  expenditure  of  the 
Agency for the following financial year.  

The  draft  statement  of  estimates  of  the  Agency's  revenue  and  expenditure  and  the 
general guidelines underlying that estimate, shall be transmitted by the Management 
Board  to  the  Commission  and  to  the  countries  associated  with  the  implementation, 
application  and  development  of  the  Schengen  acquis  and  the  EURODAC  related 
measures by 10 February each year and the final statement of estimates by 31 March.  

By  31  March  each  year  at  the  latest,  the  Management  Board  shall  submit  to  the 
Commission and to the budgetary authority : 

(a) 

its draft work programme; 

(b) 

its  updated  multi-annual  Staff  Policy  Plan,  established  in  line  with  the 
guidelines set by the Commission; 

2. 

3. 

4. 

5. 

6. 

EN 

33 

   EN 

 
(c) 

(d) 

information on the number of officials, temporary and contract staff as defined 
in  the  Staff  Regulation  for  the  years  n-1  and  n  as  well  as  an  estimate  for  the 
year n+1; 

information on contributions in kind granted by the host Member State to the 
Agency; 

(e) 

an estimate of the balance of the outturn account for the year n-1. 

The  statement  of  estimates  shall  be  forwarded  by  the  Commission  to  the  European 
Parliament and the Council (referred to as the budgetary authority) together with the 
preliminary draft general budget of the European Union. 

On  the  basis  of  the  statement  of  estimates,  the  Commission  shall  enter  in  the 
preliminary  draft  general  budget  of  the  European  Union  the  estimates  it  deems 
necessary for the establishment plan and the amount of the subsidy to be charged to 
the general budget, which it shall place before the budgetary authority in accordance 
with Article 314 of the Treaty on the Functioning of the European Union. 

The  budgetary  authority  shall  authorise  the  appropriations  for  the  subsidy  to  the 
Agency. The budgetary authority shall adopt the establishment plan for the Agency. 

The  Agency's  budget  shall  be  adopted  by  the  Management  Board.  It  shall  become 
final  following  the  final  adoption  of  the  general  budget  of  the  European  Union. 
Where appropriate, it shall be adjusted accordingly. 

Any  modification  to  the  budget,  including  the  establishment  plan,  shall  follow  the 
same procedure. 

The Management Board shall, as soon as possible, notify the budgetary authority of 
its  intention  to  implement  any  project,  which  may  have  significant  financial 
implications  for  the  funding  of  its  budget,  in  particular  any  projects  relating  to 
property such as the rental or purchase of buildings. It shall inform the Commission 
thereof as well as the countries associated with the implementation, application and 
development of the Schengen acquis and the EURODAC related measures. If either 
branch  of  the  budgetary  authority  intends  to  issue  an  opinion,  it  shall  within  two 
weeks after receipt of the information on the project, notify the Management Board 
of  its  intention  to  issue  such  an  opinion.  Failing  a  reply,  the  Agency  may  proceed 
with the planned operation. 

Article 29 

Implementation of the budget 

The Agency’s budget shall be implemented by its Executive Director. 

The  Executive  Director  shall  forward  annually  to  the  budgetary  authority  any 
information relevant to the outcome of the evaluation procedures.  

The Agency's Accounting Officer shall send to the Commission's Accounting Officer 
and  the  Court  of  Auditors  by  no  later  than  1  March  of  the  following  year  its 

7. 

8. 

9. 

10. 

11. 

12. 

1. 

2. 

3. 

EN 

34 

   EN 

 
together  with 

provisional  accounts, 
the  report  on  budgetary  and  financial 
management during the year. The Commission’s accounting officer shall consolidate 
the  provisional  accounts  of  the  institutions  and  decentralised  bodies  in  accordance 
with Article 128 of Regulation (EC, Euratom) No 1605/200265. 

The Agency’s accounting officer shall also send to the European Parliament and the 
Council, by 31 March of the following year at the latest, the report on budgetary and 
financial management. 

On  receipt  of  the  Court  of  Auditors’  observations  on  the  Agency’s  provisional 
accounts,  pursuant  to  Article  129  of  Regulation  (EC,  Euratom)  No  1605/2002,  the 
Executive  Director  shall  draw  up  the  Agency’s  final  accounts  under  his/her  own 
responsibility and forward them to the Management Board for an opinion. 

The Management Board shall deliver an opinion on the Agency’s final accounts. 

By  1  July  of  the  following  year  at  the  latest,  the  Executive  Director  shall  send  the 
final  accounts,  together  with  the  opinion  of  the  Management  Board,  to  the 
Commission's  Accounting  Officer,  the  Court  of  Auditors,  the  European  Parliament 
and  the  Council  as  well  as  the  countries  associated  with  the  implementation, 
application  and  development  of  the  Schengen  acquis  and  the  EURODAC  related 
measures. 

The final accounts shall be published. 

The Executive Director shall send the Court of Auditors a reply to its observations by 
30  September  at  the  latest.  He/she  shall  also  send  this  reply  to  the  Management 
Board. 

The  Executive  Director  shall  submit  to  the  European  Parliament,  at  the  latter's 
request,  all  information  necessary  for  the  smooth  application  of  the  discharge 
procedure  for  the  financial  year  in  question,  as  laid  down  in  Article  146(3)  of 
Regulation (EC, Euratom) No 1605/2002. 

The  European  Parliament,  on  a  recommendation  from  the  Council  acting  by  a 
qualified  majority,  shall,  before  15  May  of  year  n  + 2,  give  a  discharge  to  the 
Executive Director in respect of the implementation of the budget for year n. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

11. 

Article 30 

Financial rules 

The financial rules applicable to the Agency shall be adopted by the Management Board after 
consultation  of  the  Commission.  They  may  not  depart  from  Commission  Regulation  (EC, 
Euratom) No 2343/200266 of 19 November 2002 unless such departure is specifically required 
for the Agency's operation and the Commission has given its prior consent. 

65 
66 

OJ L 248, 16.9.2002, p. 1. 
OJ L 357, 31.12.2002, p. 72. 

EN 

35 

   EN 

 
                                                 
Article 31 

Combating fraud 

1. 

2. 

3. 

In order to combat fraud, corruption and other unlawful activities the provisions of 
Regulation (EC) No 1073/199967 shall apply. 

The  Agency  shall  accede  to  the  Inter-institutional  Agreement  concerning  internal 
investigations  by  the  European  Anti-fraud  Office  (OLAF)  and  shall  issue,  without 
delay, the appropriate provisions applicable to all the employees of the Agency. 

The decisions concerning funding and the implementing agreements and instruments 
resulting  from  them  shall  explicitly  stipulate  that  the  Court  of  Auditors  and  OLAF 
may carry out, if necessary, on-the-spot checks among the recipients of the Agency’s 
funding and the agents responsible for allocating it. 

67 

OJ L 136, 31.5.1999, p.1. 

EN 

36 

   EN 

 
                                                 
CHAPTER VI 

FINAL PROVISIONS 

Article 32 

Preparatory actions  

1. 

2. 

3. 

The  Commission  shall  be  responsible  for  the  establishment  and  initial  operation  of 
the Agency until the latter has the operational capacity to implement its own budget.  

For  that  purpose,  until  such  time  as  the  Executive  Director  takes  up  his/her  duties 
following his/her appointment by the Management Board in accordance with article 
15  of  this  Regulation,  the  Commission  may  assign  a  limited  number  of  officials 
including one to fulfil the functions of the Executive Director, on an interim basis.  

The  interim  Executive  Director  may  authorise  all  payments  covered  by  credits 
provided in the Budget of the Agency, once approved by the Management Board and 
may  conclude  contracts,  including  staff  contracts  following  the  adoption  of  the 
Agency's establishment plan.  

Article 33 

Participation by Countries associated with the implementation, application and 
development of the Schengen acquis and the EURODAC related measures 

Under the relevant provisions of their association agreements, arrangements shall be made in 
order to specify, inter alia, the nature and extent of, and the detailed rules for, the participation 
by  countries  associated  with  the  implementation,  application  and  development  of  the 
Schengen acquis and the EURODAC related measures in the work of the Agency, including 
provisions on financial contributions and staff. 

Article 34 

Entry into force and applicability  

1. 

2. 

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

The Agency shall take up its responsibilities set out in Articles 2 to 6 from 1 January 
2012. 

This Regulation shall be binding in its entirety and directly applicable in the Member States in 
accordance with the Treaties. 

EN 

37 

   EN 

 
 
Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

EN 

38 

   EN 

 
LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL 

Proposal for a Regulation of the European Parliament and of the Council establishing 
an Agency for the operational management of large-scale IT systems in the area of 
freedom, security and justice 

2. 

ABM / ABB FRAMEWORK 

Policy Area: Area of freedom, security and justice (title 18) 

Activities:  

Solidarity  –  External  borders,  visa  policy  and  free  movement  of  people  (chapter 
18.02) 

3. 

BUDGET LINES 

3.1. 

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

Financial framework 2007-2013: Heading 3 A 

Under Chapter 18.02: Solidarity — External borders, visa policy and free movement 
of  people  creation  of  the  appropriate  structure  for  the  Agency  for  the  operational 
management of large-scale IT systems in the area of freedom, security and justice i.e: 

– 

– 

– 

creation  of  an  article  18  02  XX  -  entitled  "Agency  for  the  operational 
management  of  large-scale  IT  systems  in  the  area  of  freedom,  security 
and justice" 

creation of an item 18 02 XX XX – entitled "Agency for the operational 
management  of  large-scale  IT  systems  in  the  area  of  freedom,  security 
and justice" – Subsidy under Titles 1 and 2 

creation of an item 18 02 XX XX – entitled "Agency for the operational 
management  of  large-scale  IT  systems  in  the  area  of  freedom,  security 
and justice" – Subsidy under Title 3 

The choice of article and items, under Chapter 18 02, will be determined under the 
budget procedure for 2011. 

3.2. 

Duration of the action and of the financial impact: 

It is envisaged that the Agency will be legally established in 2011 and become a fully 
fledged Agency able to take over all the tasks related to the operational management 
of SIS II, VIS and EURODAC and other large scale IT systems in 2012. Preparatory 
work for this purpose will be undertaken as of 2010 and will be funded on the basis 

EN 

39 

   EN 

 
of  the  existing  legal  basis:  Regulation  (EC)  No  1987/2006  for  SIS  II68,  Regulation 
(EC)  No  767/2008  for  VIS69,  and  Regulation  (EC)  XX/2010  concerning  the 
establishment  of  "Eurodac"  for  the  comparison  of  fingerprints  for  the  effective 
application of Regulation (EC) No […/…] for EURODAC.  

3.3. 

Budgetary characteristics: 

Budget 
line 

See  Point 
3.1 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

Diff70 

Non-
comp 

YES 

NO 

NO 

3A 

4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

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

EUR million (to 1 decimal place ) 

Expenditure type 

Section 
no. 

Year 
2010 

2011

2012

2013

n+4 

n + 5 
and 
later 

Total 

Operational expenditure71 

Commitment Appropriations 
(CA) 

8.1. 

Payment 
(PA) 

Appropriations 

a 

b 

0.000 

13.7 

54.5 

39.4 

0.000 

13.7 

54.5 

39.4 

107.6 

107.6 

Administrative expenditure within reference amount72 

Technical  &  administrative 
assistance (NDA) 

8.2.4. 

c 

TOTAL REFERENCE AMOUNT 

0.000 

0.000 

0.000 

0.000 

0.000 

68 

69 

70 
71 
72 

Regulation (EC) No 1987/2006 of the European Parliament and the Council of 20 December 2006 on 
the establishment, operation and use of the second generation Schengen Information System (SIS II), 
OJ L 381, 28.12.2006, p. 4. 
Regulation (EC) No 767/2008 of the European Parliament and the Council of 9 July 2008 concerning 
the  Visa  Information  System  (VIS)  and  the  exchange  of  data  between  Member  States  on  short-stay 
visas (VIS Regulation), OJ L 218, 13.8.2008, p. 60. 
Differentiated appropriations 
Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within article xx 01 04 of Title xx. 

EN 

40 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Commitment 
Appropriations 

Payment Appropriations 

0.000 

13.7 

54.5 

39.4 

0.000 

13.7 

54.5 

39.4 

a+
c 

b+
c 

Administrative expenditure not included in reference amount73 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

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

costs, 

8.2.5. 

d 

8.2.6. 

e 

1.2 

1.5 

 0.9 

0.6 

0.3 

0.3 

0.3 

0.3 

Total indicative financial cost of intervention 

TOTAL CA including cost 
of Human Resources 

TOTAL  PA  including  cost 
of Human Resources 

1.5  

15.5 

55.7 

40.3 

1.5  

15.5 

55.7 

40.3 

a+c
+d
+e 

b+c
+d
+e 

107.6 

107.6 

4.2 

1.2 

113 

113 

Co-financing details 

In addition to the EU budget line, the Agency will benefit from a co-financing from 
the countries associated with the implementation, application and development of the 
Schengen acquis and the EURODAC related measures in line with Article 28.1.b of 
this Regulation. 

4.1.2.  Compatibility with Financial Programming 

X 

(cid:133) 

(cid:133) 

Proposal  is  compatible  with  existing  financial  programming.  The  necessary 
appropriations  to  cover  the  activities  of  the  Agency  will  come  from  the 
appropriations currently foreseen in the Financial  Programming 2011-2013 in 
the  budget  lines  18  02  04  "Schengen  Information  System  (SIS  II)",  18  02  05 
"Visa Information System (VIS)" and 18 03 11 "EURODAC". 

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

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 
Agreement74 (i.e. flexibility instrument or revision of the financial perspective). 

73 
74 

Expenditure within chapter xx 01 other than articles xx 01 04 or xx 01 05. 
See points 19 and 24 of the Interinstitutional agreement. 

EN 

41 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
4.1.3.  Financial impact on Revenue 

X 

Proposal has no financial implications on revenue  

(cid:133) 

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

Budget line 

Revenue 

EUR million (to one decimal place) 

Situation following action 

[Yea
r n] 

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

] 

[n+4] [n+5]

75

Prior to
action 
[Year 
n-1] 

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 

Year 
2010 

2011 

2012 

2013 

n + 4 

Total number of human resources 

10 

12 

7 

5 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

In the short term there is a necessity to carry out several preparatory and start-up activities for 
the  Agency  to  become  fully  operational.  This  work  potentially  includes  carrying  out 
feasibility studies on potential sites, acquiring new sites to host the systems, construction or 
adaptation works, relocating the systems, recruiting and training of staff and ensuring that the 
Agency has all the necessary equipment, resources and procedures in place.  

In the long term, the Agency will provide an effective management solution for SIS II, VIS, 
EURODAC and other large-scale IT systems in the area of freedom, security and justice.  

There is a need to set up an Agency that would meet the following key requirements: 

– 

Effective  and  secure  operation  and  management  of  the  systems, 
guaranteeing  adequate  quality  of  service  for  users  of  these  systems, 
continuity  and  uninterrupted  service,  data  security  and  integrity  and 
compliance with data protection rules;  

75 

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

EN 

42 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
– 

– 

– 

Provision  of  an  adequate  governance  structure  addressing 
the 
requirements  of  EU  institutions,  participating  Member  States  and  other 
stakeholders.  The  structure  should  accommodate 
the  multi-pillar 
elements of the legal bases of these systems;  

Sound  continuous,  efficient  and  accountable  financial  management  of 
these IT systems, optimising possible synergies and economies of scale, 
creating  critical  mass,  ensuring  the  highest  possible  utilisation  rate  of 
capital and human resources and increasing productivity of staff; 

Effective  organisation,  optimising  the  use  of  human  resources  and 
productivity. 

5.2. 

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

This  proposal  will  provide  a  long  term  solution  for  managing  SIS  II,  VIS,  EURODAC  and 
other large-scale IT systems in the area of freedom, security and justice, optimising synergies 
and ensuring economies of scale. 

5.3. 

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

The objective of this proposal is, first of all, to establish an Agency responsible for the long-
term operational management of SIS II, VIS and EURODAC.  

In addition, the Agency should be given a responsibility for the operational  management of 
other large-scale IT systems in the area of freedom, security and justice.  

The indicators would be the statistics associated with the hits recorded for the various alerts 
(system by system).  

5.4.  Method of Implementation (indicative) 

X 

Centralised Management 

(cid:133) 

(cid:133) 

directly by the Commission 

indirectly by delegation to: 

(cid:133) 

executive Agencies 

X 

bodies set up by the Union as referred to in art. 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 

EN 

43 

   EN 

 
6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

The  Executive  Director  will  be  responsible  for  establishing  and  implementing  effective 
monitoring and evaluation of the Agency's performance. The Executive Director will prepare 
an annual report on the activities of the Agency which will compare, in particular, the results 
achieved  with  the  objectives  of  the  annual  work  programme.  This  report,  following 
consultation  of  the  Advisory  Groups  and  adoption  by  the  Management  Board,  will  be 
forwarded  by  15  June  of  the  subsequent  year  at  the  latest  to  the  European  Parliament,  the 
Council,  the  Commission,  the  European  Economic  and  Social  Committee  and  the  Court  of 
Auditors. The first report will be delivered in 2013 and published. 

Each year the Agency shall publish statistics showing the number of records per category of 
alert, the number of hits per category of alert and how many times the SIS II was accessed, in 
total and for each Member State.  

Within two years from the date of the Agency having taken up its responsibilities, and every 
two years thereafter, the Agency shall submit to the European Parliament and the Council a 
report  on  the  technical  functioning  of  the  Central  SIS  II  system  and  the  Communication 
Infrastructure,  including  the  security  thereof  and  the  bilateral  and  multilateral  exchange  of 
supplementary information between Member States.  

Within two years from the date of the Agency having taken up its responsibilities, and every 
two years thereafter, the Agency shall submit to the European Parliament, the Council and the 
Commission a report on the technical functioning of VIS, including the security thereof.  

As  far  as  EURODAC  is  concerned,  the  Agency  should,  every  two  years,  submit  to  the 
European Parliament, the Council and the Commission a report on the technical functioning 
of  the  Central  System,  including  the  security  thereof  as  well  as  an  annual  report  on  the 
activities of the Central System.  

Within three years from the date of the Agency having taken up its responsibilities, and every 
five  years  thereafter,  the  Management  Board  shall  commission  an  independent  external 
evaluation  on  the  implementation  of  this  Regulation.  The  evaluation  shall  examine  how 
effectively the Agency fulfils its mission. It shall also assess the impact of the Agency and its 
working  practices.  The  evaluation  shall  take  into  account  the  views  of  stakeholders,  at  both 
European  and  national  level.  The  Management Board  shall  receive  the  evaluation  and  issue 
recommendations  to  the  Commission  regarding  changes  to  this  Regulation,  the  Agency  and 
its working practices. The Commission shall forward these recommendations together with its 
own opinion as well as appropriate proposals, to the Council and the European Parliament. An 
action  plan  with  a  timetable  shall  be  included,  if  appropriate.  Both  the  evaluation  and  the 
recommendations shall be made public. 

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

The ex-ante evaluation has been included in the impact assessment. 

EN 

44 

   EN 

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

similar experiences in the past) 

The establishment of a Regulatory Agency to manage SIS II, VIS and EURODAC is a new 
and  innovative  approach  to  exchanging  information.  Consequently  there  is  no  previous 
comparable experience to draw direct lessons from.  

However,  best  practices  from  setting  up  other  Union  agencies  have  been  duly  taken  into 
account. 

6.2.3.  Terms and frequency of future evaluation 

Within three years from the date on which the Agency takes up its responsibilities, and every 
five  years  thereafter,  the  Management  Board  shall  commission  an  independent  external 
evaluation on the implementation of this Regulation. 

7. 

ANTI-FRAUD MEASURES  

In  order  to  combat  fraud,  corruption  and  other  unlawful  activities,  the  provisions  of 
Regulation (EC) No 1073/1999 shall apply without restriction to this Agency. 

The  Agency  shall  accede  to  the  Inter  institutional  Agreement  of  25  May  1999  concerning 
internal  investigations  by  OLAF  and  shall  issue,  without  delay,  the  appropriate  provisions 
applicable to its entire staff. 

The decisions concerning funding and the implementing agreements and instruments resulting 
from  them  shall  explicitly  stipulate  that  the  Court  of  Auditors  and  OLAF  may  carry  out,  if 
necessary,  on  the  spot  checks  of  the  recipients  of  the  Agency's  funding  and  the  agents 
responsible for allocating it. 

EN 

45 

   EN 

 
8. 

DETAILS OF RESOURCES76 

8.1. 

Objectives of the proposal in terms of their financial cost  

Commitment appropriations in EUR million (to 1 decimal place) 

Type of 
output 

Av. 
cost 

Year 2010 

Year 2011 

Year 2012 

Year 2013 

Year n+4 

Year n+5 and 
later 

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 

0.0 

0.4 

0.3 

0.0 

0.0 

9.2 

14.0 

14.6 

0.7 

37.8 

of 

(Headings 
Objectives, 
and 
actions 
outputs should be 
provided) 

OPERATIONAL 
OBJECTIVE No.1 

Ensuring  effective 
operational 
of 
management 
SIS  II,  VIS  and 
EURODAC. 

Action  1  Start  of 
operations 

training- 

Initial 
(equipment, 
trainers,  facilities) 
Output 1 

Agency 
Output 2 

staff-

76 

The figures are principally based on the impact assessment 

EN 

46 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Acquiring  the  site 
- Output 3 

the 
Moving 
systems- Output 4 

Action 
Operational 
management 
the systems 

2 

of 

Ensuring 
daily 
operations  of  the 
systems77  -  Output 
1 

and 

Software 
hardware 
refreshments  and 
developments 
in 
system 
functionality 
Output 2 

– 

Development  and 
operation 
of 
biometric 
features78-Output 3 

External assistance 
for 
project 
IT 
management- 
Output 4 

0.0 

1.3 

11.3 

0.0 

0.0 

0.0 

0.8 

0.0 

0.0 

0.0 

0.0 

0.0 

3.2 

4.4 

3.2 

4.4 

0.0 

0.0 

5.0 

5.0 

0.0 

0.0 

2.0 

2.0 

12.6 

0.8 

6.4 

8.8 

10.0 

4.0 

77 
78 

The costs include: running costs, energy, security control, insurance.  
Estimated figures that will need adjustment.  

EN 

47 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
0.0 

10.9 

41.0 

29.2 

81.1 

Sub-total 
Objective 1 

OPERATIONAL 
OBJECTIVE  No.2 
Ensuring  effective 
administration 

Action 
1 
Meetings  of  the 
Management 
Board 
Advisory 
groups79 

and 

Organisation 
of 
meetings-  Output 
1 

Action 
Translation  

2 

of 
reports, 

Translation 
studies, 
working 
documents, 

80

-  Output 

leaflets
1 

0.0 

0.2 

0.5 

0.5 

0.0 

0.1 

0.1 

0.1 

1.2 

0.3 

0.5 

Action 3 Travel 

Missions, 
representation- 
Output 1 

0.0 

0.1 

0.2 

0.2 

79 

80 

EN 

This appropriation is intended to cover the operating expenses including travel and subsistence expenses and interpretation costs (2 meetings for the Management Board, 6 
meetings of the Advisory groups per year). 
The translation work will mainly be carried out by the Translation Centre for the bodies of the EU in Luxembourg. 

48 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Action 4 Training 

Equipment, 
trainers,  facilities- 
Output 1 

Training  -  SIS  II, 
SIRENE,  VIS 
- 
Output 2 

5 

– 
Action 
Monitoring  and 
evaluations 

Statistics,  studies, 
evaluations- 
Output 1 (sites etc) 

Action 
6 
Information 
campaign 

– 

Publications, 
leaflets,  website, 
cooperation  with 
national 
supervisory 
authorities  and  the 
European 
Data 
Protection 
Supervisor- 
Output 1 

Sub-total 
Objective 2 

OPERATIONAL 
OBJECTIVE  No.3 
Development 
of 
new systems 

0.0 

0.0 

0.2 

0.1 

0.3 

0.2 

0.3 

0.2 

0.0 

0.3 

0.3 

0.2 

0.0 

0.0 

0.6 

0.0 

0.8 

0.5 

0.8 

0.6 

0.0 

 1.0 

 2.2 

1.5 

 4.7 

EN 

49 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Action 
Feasibility 
studies81  

1 

Studies  and  pilot 
schemes Output 1  

Sub-total 
Objective 3 

Total 
overheads 

without 

Overheads (15%) 

TOTAL COST 

0.0 

0.0 

4.2 

3.6  

0.0 

 0.0 

0.0 

0.0 

0.0 

4.2 

3.6 

11.9 

 1.8 

47.4 

7.1 

34.3 

5.1 

13.7 

54.5 

39.4 

7.8 

7.8 

93.6 

14 

107.6 

81 

EN 

This figure includes feasibility studies and pilot schemes to be carried out in accordance with Article 5 and 6 respectively of this Regulation.  

50 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2. 

Administrative Expenditure 

There  are  two  types  of  administrative  expenditures:  the  first  is  earmarked  for  the 
Commission and the second one is earmarked for the Agency.  

The administrative expenditure earmarked for the Commission is linked to the proposal for a 
Regulation establishing an Agency for the operational management of large-scale IT systems 
in the area of freedom, security and justice. 

It  does  not  include  administrative  expenditure  already  covered  by  existing  legislative 
instruments  related  to  the  development  and  operational  management  by  the  Commission  of 
SIS II, VIS and EURODAC which are listed in point 1.3 of the Explanatory Memorandum.  

Regarding EURODAC, the Commission currently ensures the operational management of the 
system. Once the operational management of EURODAC has been taken over by the Agency 
as  of  2012,  4  officials  and  temporary  agents  and  1  external  agent  currently  in  Brussels 
dedicated to the remote operational management of EURODAC will become "freed" and will 
be redeployed to other Commission priorities. 

Currently around 20 officials and 25 external staff (contractual agents and seconded national 
experts)  are  assigned  to  the  development  and  preparation  of  operations  of  SIS  II  and  VIS. 
Once  the  development  of  these  systems  is  completed,  these  resources  will  be  redeployed  in 
accordance with the Commission's annual policy strategy and management procedures, taking 
into account a necessary phase-out period. 

Furthermore, the administrative expenditure does not include the development and operational 
management  by  the  Agency  of  other IT  systems  than  SIS  II,  VIS  and  EURODAC,  on  the 
basis of future relevant legislative instruments yet to be proposed or adopted. 

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) 

Year 
2010 

Year 
2011 

Year 
2012 

Year 
2013 

Year n+4  Year n+5 

7 

5 

4.5 

2.5 

3.5 

1.5 

Officials or 
temporary 
staff82 (XX 01 
01) 

A*/AD 

B*, 
C*/AST 

6 

4 

Staff  financed83  by  art. 
XX 01 02 

Other  staff84  financed by 
art. XX 01 04/05 

82 
83 
84 

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 

51 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL 

10 

12 

7 

5 

8.2.2.  Description of tasks deriving from the action 

Preparatory activities related to entrusting the Agency with the long-term operational 
management of SIS II, VIS and EURODAC then coordination and follow-up of the 
Agency by the Commission.  

8.2.3. 

Sources of human resources (statutory) 

(cid:133) 

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

(cid:133) 

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

X 

X 

(cid:133) 

Posts to be requested in the next APS/PDB procedure 

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

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

The  needs  for  human  and  administrative  resources  shall  be  covered  within  the 
allocation  that  can  be  granted  to  the  Directorate  General  in  charge  in  the 
framework  of  the  annual  allocation  procedure  in  the  light  of  budgetary 
constraints. 

Number of human resources in the agency (start-up and operational phase) 

The information below is indicative. It will be detailed at a later stage once the final 
tasks and needs of the Agency as regards the human and administrative resources are 
known. 

Year 

Staff to be recruited gradually 

2011 1st semester 

2011 2nd semester 

2012  

2013  

TOTAL 

15 

60 

40 

5 

120 

External recruitment will be managed by the Agency.  

The  staff  in  the  Agency  will  comprise  both  operational  and  administrative  staff 
giving a total of 120 people. This is an estimate of the human resources needed based 
on updated figures from the impact assessment. 

EN 

52 

 
 
 
An  estimated  75  persons  are  needed  for  the  operational  management  of  the  SIS  II  and  VIS 
(including  the  biometric  capacity).  The  remaining  45  persons  would  be  allocated  to  the 
operational management of EURODAC and all administrative tasks within the Agency. This 
figure also takes into account responsibilities allocated to the agency related to the monitoring 
of  research,  the  implementation  of  pilot  schemes  upon  specific  and  precise  request  of  the 
Commission as well as the assistance to Advisory Groups.  

Description of tasks deriving from the action (start-up and operational phase) 

Ensuring the operational management of SIS II, VIS, EURODAC, ensuring training 
on  VIS  and  SIS  II  including  training  related  to  the  exchange  of  supplementary 
information,  monitoring  of  research  activities  and  implementation  of  pilot  schemes 
upon specific and precise request of the Commission. 

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 1 decimal place) 

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 agencies85 

N/A 

N/A 

N/A 

N/A 

Other 

technical 

and 

administrative 

assistance 

N/A 

N/A 

N/A 

N/A 

- intra muros  

- extra muros 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

Total  Technical  and  administrative 
assistance 

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

amount 

EUR million (to 1 decimal place) 

Type of human resources 

Year 
2010 

Year 
2011 

Year 
2012 

Year 
2013 

Year 
n+4 

Year 
n+5 

and later 

85 

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

EN 

53 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 1.2 

 1.5 

 0.9 

 0.6 

Officials  and  temporary  staff 
(18 01 01) 

Staff  financed  by  Art  XX  01 
02  (auxiliary,  END,  contract 
staff, etc.)86 

(specify budget line) 

cost 

of  Human 
Total 
Resources  and  associated 
costs 
in  reference 
amount) 

(NOT 

 1.2 

 1.5 

 0.9 

 0.6 

This is the cost of the staff devoted to preparing, evaluating, controlling and coordinating the 
Agency within the Commission.  

Calculation– Officials and temporary staff - average annual cost: 122000 EUR /per capita  

8.2.6. Other administrative expenditure not included in reference amount 

EUR million (to 1 decimal place)

Year 
2010 

Year 
2011 

Year 
2012 

Year 
2013 

Year 
n+5 

Year 
n+6 

and 
later 

TOTAL 

18 01 02 11 01 – Missions 

0.3 

0.3 

0.3 

0.3 

1.2 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees87  

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 

administrative 
including reference to budget line) 

nature 

of 

an 
(specify 

expenditure, 
than  human  resources  and 
in 

Total  Administrative 
other 
associated  costs  (NOT 
reference amount) 

included 

0.3 

0.3 

0.3 

0.3 

1.2 

86 
87 

At this stage, no need for external staff (auxiliary, END, contract staff, etc.) has been identified. 
Specify the type of committee and the group to which it belongs. 

EN 

54 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Calculation - Other administrative expenditure not included in reference amount 

Missions  include  visits  to  the  Member  States  that  host  the  systems  and  to  the 
headquarters  of  the  Agency  including  participation  in  the  meetings  of  the 
Management Board and Advisory Groups. 

The  needs  for  human  and  administrative  resources  shall  be  covered  within  the 
allocation that can be granted to the Directorate General in charge in the framework 
of the annual allocation procedure in the light of budgetary constraints. 

EN 

55