Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing, as part of the Internal Security Fund, the instrument for financial support for police cooperation, preventing and combating crime, and crisis management
Date: 2011-11-15
Institutions: European Commission
Subjects: EU police cooperation, EU programme, budget appropriation, civil defence, computer crime, distribution of EU funding, fight against crime, fund (EU), judicial cooperation in criminal matters in the EU, organised crime, terrorism

EUROPEAN COMMISSION 

Brussels, 15.11.2011 
COM(2011) 753 final 

2011/0368 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing, as part of the Internal Security Fund, the instrument for financial support 
for police cooperation, preventing and combating crime, and crisis management 

{SEC(2011) 1358 final} 
{SEC(2011) 1359 final} 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

The policies relating to the area of Freedom, Security and Justice have been steadily growing 
in  importance  over  the  last  years.  These  policies are  at  the  heart  of  the  European  project  to 
create  an  area  without  internal  borders  where  EU  citizens  and  third-country  nationals  may 
enter,  circulate,  live  and  work,  bringing  new  ideas,  capital,  knowledge  and  innovation  or 
filling gaps in the national labour markets, confident that their rights are fully respected and 
their security assured. The growing importance of home affairs policies has been confirmed 
by the 2009 Stockholm Programme1, and it is also one of the areas which have seen important 
changes under the Lisbon Treaty.  

In the field of Internal Security, key documents such as the Commission's Communication on 
the Internal Security Strategy2 have provided clear guidance on the direction of activities in 
the  years  to  come.  Internal  security  is  an  area  where  the  Union  will  be  facing  important 
challenges.  Terrorism  and  organised  crime,  drug  trafficking,  corruption,  cyber  crime, 
trafficking in human beings and arms will continue to pose serious threats. Aggregate levels 
of crime are anticipated to remain stable but the nature of crime is expected to change with 
criminals using new technologies to commit crimes. Cross-border and organised crime can be 
expected to increase and become more sophisticated and international in nature. Some types 
of  crime  such  as  fraud,  money  laundering  and  cybercrime,  are  expected  to  grow.  Further 
actions  will  also  have  to  be  taken  to  protect  Union  critical  infrastructure  more  effectively 
notably against terrorist attacks and develop an integrated Union approach to risk and crisis 
management.  To  tackle  all  these  future  challenges,  enhanced  actions  at  Union  level  are 
essential  to  succeed  in  protecting  the  citizens  from  increasingly  trans-national  threats  and 
support the operational work carried out by Member States' competent authorities, including 
through adequate Union funding. In this context the Stockholm Programme explicitly called 
for the creation of a Fund to support the implementation of the Internal Security Strategy and 
a  coherent  and  comprehensive  approach  to  law  enforcement  cooperation,  including  the 
management of the Union's external borders.  

Against this  background, in  its  proposal of 29 June 2011 on the next multi-annual financial 
framework  for  the  period  2014-20203,  the  Commission  suggested  to  set  up  an  Internal 
Security Fund, as part of a simplified two-Fund structure for future expenditure in the home 
affairs area which also includes an Asylum and Migration Fund. The Internal Security Fund 
will  have  a  global  budget  of  EUR  4,648  million  (in  current  prices)  to  support  the 
implementation of the five strategic objectives set by the Internal Security Strategy: disrupting 
international  crime  networks;  preventing  terrorism  and  addressing  radicalisation  and 
recruitment;  raising  the  levels  of  security  for  citizens  and  businesses  in  cyberspace; 
strengthening  security  through  border  management;  and  increasing  Europe's  resilience  to 
crises and disasters. 

Due to the different Treaty bases for the broad range of strategic objectives to be covered, it is 
not legally possible to establish the Internal Security Fund as a single financial instrument. It 

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OJ C 115 of 4.5.2010, p. 1. 
COM (2010) 673 final. 
COM (2011) 500 final. 

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is  therefore  proposed  to  establish  the  Fund  as  a  comprehensive  financing  framework, 
comprising  two  sector-specific  proposals  –  of  which  this  is  one  –,  complemented  by  a 
horizontal instrument laying down common provisions. . 

The legal architecture is explained in more detail under section 3. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENT 

In  accordance  with  the  greater  emphasis  placed  on  evaluation  as  a  tool  to  inform  policy 
making, this proposal is informed by evaluation results, stakeholder consultation and impact 
assessment. 

Work on the preparation of the future financial instruments for home affairs started in 2010 
and continued into  2011. As part of this preparatory work, an evaluation/impact assessment 
study was launched in December 2010 with the aid of an external contractor. This study was 
completed  in  July  2011  and  brought  together  available  evaluation  results  for  the  existing 
financial  instruments  and  informed  the  problems,  objectives  and  policy  options,  including 
their  likely  impact,  examined  in  the  impact  assessment.  Building  upon  this  study,  the 
Commission  prepared  an  impact  assessment  report  on  which  the  Impact  Assessment  Board 
delivered its opinion on 9 September 2011.  

In  accordance  with  the  greater  emphasis  placed  on  evaluation  as  a  tool  to  inform  policy 
making, this legislative proposal took also full account of the formal mid-term evaluation of 
the General Programme Security and Safeguarding Liberties4, covering the implementation of 
the  ISEC  (Prevention  of  and  Fight  against  Crime)  and  CIPS  (Prevention,  Preparedness  and 
Consequence  Management  of  Terrorism  and  other  Security-related  risks)  programmes 
between  2007  and  2009.  In  its  report  of  16  June  2011,  the  Commission  assessed  the 
quantitative and qualitative aspects of the implementation of the Programmes and the results 
obtained,  including  an  accurate  mapping  of  the  programme  activities,  analysis  of  the 
performance  of  the  projects  financed,  and  a  review  of  the  instruments  and  implementation 
mechanisms in order to identify possible corrective measures. 

The results of a dedicated on-line public consultation on the future of home affairs funding5, 
which  ran  from  5  January  to  20  March  2011  and  was  open  to  stakeholders  from  within  the 
Union and from third countries, have all been taken into consideration in the preparation of 
this  proposal.  A  total  of  115  responses  were  received  from  individuals  and  on  behalf  of 
organisations, including 8 position papers. Respondents  from all Member States contributed 
to the consultation as well as respondents in some third countries.  

In  April  2011  the  conference  "The  future  of  EU  funding  for  Home  Affairs:  A  fresh  look" 
brought  together  key  stakeholders  (Member  States,  international  organisations,  civil  society 
organisations etc) and gave them the opportunity to share their views on the future of Union 
funding for home affairs. The conference was also an occasion to validate the outcome of the 
stock taking and the public consultation.  

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COM(2011)318 final of 16 June 2011: Communication on the mid-term evaluation of the Framework 
Programme "Security and Safeguarding Liberties" (2007-2013). 
The consultation documents and report on the results of the consultation are available on the DG Home 
Affairs website: http://ec.europa.eu/home-affairs/news/consulting_public/consulting_0020_en.htm  

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The  future  of  EU  funding  for  home  affairs  was  raised  and  discussed  with  institutional 
stakeholders  on  numerous  occasions,  including  at  an  informal  lunch  discussion  during  the 
JHA Council on 21 January 2011, an informal breakfast with the political coordinators of the 
European Parliament on 26 January 2011, at the hearing of Commissioner Malmström before 
the  Parliament's  SURE  Committee  on  10  March  2011  and  during  an  exchange  of  views 
between the Director-General of DG Home Affairs and the Parliament's LIBE Committee on 
17 March 2011.  

Specific expert advice on the future financial instruments in the area of Internal Security was 
provided through discussions that took place at the COSI meeting on 5 October 2010 where a 
preliminary  exchange  of  views  was  made  with  representatives  of  the  Member  States  and 
representatives  of  agencies  (Eurojust,  Europol,  CEPOL  and  Frontex)  and  during  the  EOS 
Conference on Industry and Security on 9 February 2011. Moreover, technical aspects linked 
to the implementation of the future financial instrument in the area of Internal Security were 
also discussed with Member States' experts at the meetings on 15 February and 18 July 2011 
of  the  two  committees  for  the  General  Programme  on  Security  and  Safeguarding  Liberties 
(ISEC and CIPS). 

These  consultations,  conferences  and  expert  discussions  confirmed  that  there  is  an  overall 
consensus  among  key  stakeholders  on  the  need  to  broaden  the  scope  of  action  for  Union 
funding  in  the  field  of  internal  security,  including  as  regards  its  external  dimension,  and  a 
need to work towards more simplification in the delivery mechanisms and greater flexibility, 
notably to respond to emergencies. In order to add value, Union spending should reflect better 
Union  level  priorities  and  strategic  commitments  and  should  support  the  implementation  of 
the Union's home affairs acquis. In the area of internal security, stakeholders considered that 
the broad thematic priorities have already been fixed by the 2009 Stockholm Programme and 
the 2010 Internal Security Strategy. A future funding mechanism should therefore be defined 
comprehensively, comprising law enforcement, border guards and customs communities. The 
need to make greater use of relevant Union agencies, such as Europol and Frontex was also 
considered important. There was broad support to reduce the number of financial instruments 
to  a  two-Fund  structure  on  the  condition  that  this  leads  to  simplification.  Stakeholders  also 
agreed on the need for a flexible emergency response mechanism. Shared management with a 
move to multi-annual programming was generally seen as the appropriate management mode 
for home affairs spending. Non-governmental organisations, however, were of the view that 
direct management should also be continued. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

The right to act derives from Article 3(2) of the Treaty on European Union which states that 
"the  Union  shall  offer  its  citizens  an  area  of  freedom,  security  and  justice  without  internal 
frontiers, in which the free movement of persons is ensured in conjunction with appropriate 
measures  with  respect  to  external  border  controls,  asylum,  immigration  and  the  prevention 
and combating of crime". 

Union action is justified on the grounds of the objectives laid out in Article 67 of the Treaty 
on  the  Functioning  of  the  Union  (TFEU),  hereafter  "the  Treaty",  setting  out  the  means  to 
constitute an area of freedom, security and justice.  

The  Regulation  is  based  on  multiple  legal  bases  in  Title  V  of  the  Treaty  in  the  area  of 
freedom,  security  and  justice  (Articles  82(1),  84  and  87(2)  TFEU).  These  articles  constitute 

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compatible  legal  bases  in  the  light  of  the  legal  particularities  that  apply  to  decision-making 
under this Title.  

Due  to  different  voting  rules  in  the  Council  stemming  from  variable  geometry  pursuant  to 
Protocols 19 (on the Schengen acquis), 21 (the position of the UK and Ireland in respect of 
the  area  of  Freedom,  Security  and  Justice)  and  22  (the  position  of  Denmark,  including  in 
relation  to  Title  V,  part  three  of  the  Treaty)  it  is  not  legally  possible  to  draw  up  one  single 
comprehensive legislative proposal for an Internal Security Fund, despite the coherence of the 
policy objectives to be addressed. 

The  Internal  Security  Fund  is  therefore  created  as  a  comprehensive  financing  framework 
which is composed of two separate acts, setting up the different components of the Fund and 
laying down the objectives, the eligible actions and the envelopes of each component: 

• 

• 

A Regulation setting up, as part of the Fund, the component for police co-operation, 
preventing and combating crime, and crisis management; 

A  Regulation  setting  up,  as  part  of  the  Fund,  the  border  management  and  common 
visa policy component. 

Within  the  comprehensive  framework  of  the  Internal  Security  Fund,  this  Regulation  shall 
provide  financial  support  to  police  cooperation,  exchange  and  access  to  information,  crime 
prevention and the fight against cross-border as well as serious and organised crime, including 
terrorism, the protection of people and critical infrastructure against security-related incidents 
and the effective management of security-related risks and crisis, taking into account common 
Union  policies  (strategies,  programmes  and  action  plans),  legislation,  practical  co-operation 
and threat and risk assessments. Consequently, the two programmes which currently provide 
financial  support  for  this  policy  area  (ISEC,  CIPS)  should  be  repealed  with  effect  from  1 
January  2014,  subject  to  transitional  rules.  As  far  as  the  CIPS  programme  is  concerned 
(Council  Decision  2007/124/EC,  EURATOM),  this  is  not  possible  within  the  framework  of 
this  Regulation  but  requires  a  separate  legal  act,  due  to  the  different  voting  rules  under  its 
double legal base (EC/Euratom).  

Overall, this is an area where there is a clear added value in Union interventions compared to 
Member States acting alone. The European Union is in a better position than Member States 
to address cross-border situations and to provide a platform for common approaches, financial 
support provided under this Regulation contributes in particular to strengthening national and 
European  capabilities  as  well  as  cross-border  cooperation  and  coordination,  facilitated  and 
secure  communication,  networking,  mutual  trust  and  the  exchange  of  information  and  best 
practices.  However,  it  is  fully  acknowledged  that  interventions  should  take  place  at  an 
appropriate level and the role  of the Union should not go beyond what is necessary. As the 
Budget Review has highlighted, the "EU budget should be used to finance EU public goods, 
actions  that  Member  States  and  regions  cannot  finance  themselves,  or  where  it  can  secure 
better results".6 

6 

"The EU Budget Review", COM (2010) 700, 19.10.2010. 

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4. 

BUDGETARY IMPLICATION  

The Commission's proposal for the next multi-annual framework includes a proposal of EUR 
4.648  million  (in  current  prices)  for  the  Internal  Security  Fund  for  the  period  2014-2020. 
Within  this  global  envelope,  the  resources  indicatively  available  for  the  implementation  of 
this  Specific  Regulation  amount  to  EUR  1,128  million.  Indicatively,  50%  of  this  amount 
(EUR 564 million) should be used for national programmes of Member States while the other 
50%  (EUR  564  million)  should  be  centrally  managed  to  fund  Union  actions,  emergency 
actions and technical assistance. 

Internal Security Fund  

including new IT systems 

- Police cooperation instrument 

- Border instrument 

EUR million 

4,648

1,128

3,520

5. 

• 

MAIN ELEMENTS OF THE PROPOSAL 

Clear focus on strategic priorities 

In order to ensure that a sufficient and demonstrable impact can be achieved, this regulation 
proposes  for  the  period  2014-2020  to  concentrate  Union  financial  support  on  five  key 
strategic priorities (as identified by the Union's Internal security strategy):  

– 

– 

– 

– 

– 

preventing and fighting against cross-border, serious and organised crime;  

raising the levels of security for citizens and business in cyberspace;  

preventing terrorism and addressing radicalisation and recruitment; 

raising capabilities to protect critical infrastructure in all economic sectors; and 

increasing Europe's resilience to crisis and disaster.  

These strategic priorities, which are laid down in more detail in the annex to this Regulation, 
have  to  be  taken  into  account  by  Member  States  when  drafting  their  multi-annual  national 
programmes. They can be amended at any time in a simplified procedure through delegated 
act  in  the  event  of  newly  emerging  risks  or  threats.  Moreover,  to  provide  additional 
incentives, the EU co-financing rate for national measures implementing any of these Union 
strategic priorities can be increased up to 90%, in accordance with the Horizontal Regulation, 
instead of 75%.  

The  concrete  measures  supported  by  this  Regulation  cover  primarily  actions  strengthening 
Member States operational capacities, such as joint cross-border operations, exchange of best 
practices, testing and validating of new methodologies and technologies (to close the gap to 

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Union  funded  security  research),  the  acquisition  of  technical  equipment  and  infrastructures, 
training and exchange of staff, analytical activities such as risk and threat assessments as well 
as networking.  

To use more effectively the competence and expertise of relevant Union agencies in the home 
affairs  field,  the  Commission  also  envisages  to  make  use  of  the  possibility  offered  by  the 
Financial  Regulation7  to  entrust,  within  the  resources  available  under  this  regulation,  the 
implementation of specific tasks to such agencies in the framework of their missions and in 
complementary  with  their  work  programmes.  For  the  tasks  covered  by  this  Instrument  this 
concerns in particular the European Police Office (Europol), e.g. for the organisation of joint 
investigation teams or a Prüm helpdesk function, and the European Training College (Cepol), 
e.g.  for  the  development  and  implementation  of  European  Training  schemes,  common 
thematic  curricula  and  modules  including  for  staff  from  law  enforcement  authorities  from 
appropriate third-countries. 

• 

Distribution of available resources  

The total amount for this Instrument for the period 2014-2020 consists of two parts: the Union 
budget (EUR 1,128 million in current prices) and the – not yet known – contributions by the 
countries  associated  with the implementation, application  and  development of the Schengen 
acquis  (Norway,  Iceland,  Switzerland,  Liechtenstein),  which  shall  participate  in  this 
Instrument.  From  the  Member  States,  Denmark  will  not  participate  in  this  Regulation  and 
Ireland and the UK may opt-in to it, in accordance with their respective Protocols.  

The total amount of EUR 1,128 million is evenly divided (50/50 ratio): Member States will 
obtain  an  indicative  amount  of  EUR  564  million  (in  current  prices)  for  their  national 
programmes (shared management) and for Union actions, emergency assistance and technical 
assistance,  the  Commission  will  implement  the  same  indicative  amount  under  direct  and 
indirect management.  

The criteria chosen for the allocation of available funds to Member States relate to the main 
goods that Member States have to protect: their population, their territory, persons and cargo 
processed  through  their  air  and  seaports  and  European  critical  infrastructure  designated  in 
accordance  with  Union  law.  As,  in  this  context,  account  has  also  been  taken  of  Member 
States' different financial capacities, their Gross Domestic Product (in inverse proportion) has 
been added as a fifth allocation criteria.  

• 

Emergency assistance and actions in or in relation to third-countries  

Specific  provisions  are  introduced  in  this  regulation  and  in  the  Horizontal  Regulation  to 
enable  the  Union  to  take  rapid  and  effective  actions  in  the  event  of  any  security-related 
incident or newly emerging threat which has or may have a significant adverse impact on the 
security  of  people  in  one  or  more  Member  States  (emergency  situation).  Such  emergency 
assistance is always decided upon by the Commission but can also be proposed by Member 
States,  Union  Agencies,  International  Organisations  or  the  Article  71  committee  (COSI) 
represented  by  the  Member  State  holding  the  Presidency  of  the  Council.  Emergency 

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Commission proposal – Regulation on the financial rules applicable to the annual budget of the Union 
(COM  (2010)  815  final  of  22.12.2010).  This  proposal  constitutes  a  formal  withdrawal  by  the 
Commission of the previous legislative proposals COM (2010) 71 final and COM (2010) 260 final. 

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assistance is not limited to the Union and may also include measures in or in relation to third-
countries.  

Generally the list of actions in or in relation to third-countries eligible under this Regulation 
focuses  on  short-term  operational  actions  having  a  direct  impact  on  the  Union's  internal 
security,  such  as  joint  cross-border  operations,  the  acquisition  of  technical  equipment, 
exchange  and  training  measures,  threat  and  risk  assessments  as  well  as  funding  support  to 
awareness-raising  and  communication  activities.  Actions  in  third-countries  are  primarily 
implemented by the  Commission  through direct or indirect management in accordance with 
the  Financial  Regulation.  Such  actions  shall  not  be  directly  development  oriented  and  shall 
complement, as appropriate, the financial assistance provided through the Union's external aid 
instruments,  which  remain  the  main  source  of  funding  to  help  third-countries  build  their 
relevant  capacities.  In  implementing  such  actions,  full  coherence  will  be  sought  with  the 
principles and general objectives of the Union's external action and foreign policy related to 
the  country  or  region  in  question.  Complementarity  will  be  ensured  through  enhanced 
coordination with the European External Action Service and relevant Commission services. 

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2011/0368 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing, as part of the Internal Security Fund, the instrument for financial support 
for police cooperation, preventing and combating crime, and crisis management 

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 82(1), 84 and 87(2) thereof, 

Having regard to the proposal from the European Commission8, 

After transmission of the draft legislative act to the national Parliaments, 

Having regard to the opinion of the European Economic and Social Committee9, 

Having regard to the opinion of the Committee of the Regions10, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

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The Union's objective of ensuring a high level of security within an area of Freedom, 
Security  and  Justice  (Article  67(3)  of  the  Treaty  on  the  Functioning  of  the  Union) 
should be achieved, inter alia, through measures to prevent and combat crime as well 
as  through  measures  for  coordination  and  cooperation  between  law  enforcement 
authorities of Member States and with relevant third-countries. 

To achieve this objective, enhanced actions at Union level should be taken to protect 
people  and  goods  from  increasingly  transnational  threats  and  to  support  the  work 
carried out by Member States' competent authorities. Terrorism and organised crime, 
drug trafficking, corruption, cyber crime, trafficking in human beings and arms, inter 
alia, continue to challenge the internal security of the Union. 

The  Internal  Security  Strategy  for  the  European  Union,  adopted  by  the  Council  in 
February  201011,  constitutes  a  shared  agenda  for  tackling  these  common  security 
challenges.  The  Commission's  Communication  of  November  2010  "The  EU  Internal 
Security  Strategy  in  Action"12  translates  the  strategy's  principles  and  guidelines  into 

OJ C … 
OJ C … 
OJ C … 
Council doc. 7120/10. 
COM (2010) 673 final. 

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(4) 

(5) 

(6) 

(7) 

(8) 

concrete actions by identifying five strategic objectives: to disrupt international crime 
networks,  to  prevent  terrorism  and  address  radicalisation  and  recruitment,  to  raise 
levels  of  security  for  citizens  and  businesses  in  cyberspace,  to  strengthen  security 
through border management and to increase Europe's resilience to crises and disasters. 

Solidarity  among  Member  States,  clarity  about  the  division  of  tasks,  respect  for 
fundamental  rights  and  the  rule  of  law  as  well  as  a  strong  focus  on  the  global 
perspective  and  the  inextricable  link  with  external  security  should  be  key  principles 
guiding the implementation of the Internal Security Strategy. 

To promote the implementation of the Internal Security Strategy and to ensure that it 
becomes  an  operational  reality,  Member  States  should  be  provided  with  adequate 
Union financial support by setting up an Internal Security Fund. 

Due to the legal particularities applicable to Title V of the Treaty, it is not possible to 
establish the Internal Security Fund as a single financial instrument.  

The  Fund  should  therefore  be  established  as  a  comprehensive  framework  for  EU 
financial support in the field of internal security comprising the instrument established 
by this Regulation as well as the Instrument set up by Regulation (EU) No XXX/2012 
establishing, as part of the Internal Security Fund, the instrument for financial support 
for  external  borders  and  visa13.  The  comprehensive  framework  should  be 
complemented  by  Regulation  (EU)  No  XXX/201214  laying  down  general  provisions 
on  the  Asylum  and  Migration  Fund  and  on  the  instrument  for  financial  support  for 
police cooperation, preventing and combating crime, and crisis management. 

The  global  resources  for  this  Regulation  and  for  Regulation  (EU)  No  XXX/2012 
establishing, as part of the Internal Security Fund, the instrument for financial support 
for  external  borders  and  visa  should  jointly  establish  the  financial  envelope  for  the 
entire  duration  of  the  Fund,  which  should  constitute  the  prime  reference  for  the 
budgetary  authority  during  the  annual  budgetary  procedure  in  accordance  with  Point 
17 of the Inter-institutional Agreement.  

(9)  Within  the  comprehensive  framework  of  the  Internal  Security  Fund,  the  financial 
assistance provided under this Instrument should support police cooperation, exchange 
of and access to information, crime prevention, the fight against cross-border, serious 
and  organised  crime  including  terrorism,  the  protection  of  people  and  critical 
infrastructure  against  security  related  incidents  and  the  effective  management  of 
security  related  risks  and  crisis,  taking  into  account  common  policies  (strategies, 
programmes and action plans), legislation and practical co-operation. 

(10)  Financial  assistance  in  these  areas  should  in  particular  support  actions  promoting 
cross-border joint operations, access to and exchange of information, exchange of best 
practices,  facilitated  and  secure  communication  and  coordination,  training  and 
exchange  of  staff,  analytical,  monitoring  and  evaluation  activities,  comprehensive 
threat and risk assessments, awareness raising activities, testing and validation of new 
technology,  forensic  science  research  and  the  acquisition  of  technical  interoperable 
equipment.  

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OJ L …. 
OJ L …. 

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(11)  Measures in and in relation to third countries supported through this Instrument should 
be  taken  in  synergy  and  coherence  with  other  actions  outside  the  Union  supported 
through  Union  external  assistance  instruments,  both  geographic  and  thematic.  In 
particular,  in  implementing  such  actions  full  coherence  should  be  sought  with  the 
principles  and  general  objectives  of  the  Union  external  action  and  foreign  policy 
related  to  the  country  or  region  in  question.  They  should  not  be  intended  to  support 
actions directly development-oriented and they should complement, when appropriate, 
the financial assistance provided through external aid instruments. Coherence will also 
be  sought  with  the  Union  humanitarian  policy,  in  particular  as  regards  the 
implementation of emergency measures. 

(12)  This  Instrument  should  be  implemented  in  full  respect  with  the  rights  and  principles 

enshrined in the Charter of Fundamental Rights of the European Union. 

(13)  To ensure a uniform implementation of the Internal Security Fund, the Union budget 
allocated to this financial instrument should be implemented by shared management, 
with  the  exception  of  actions  of  particular  interest  to  the  Union  (Union  actions), 
emergency  assistance  and  technical  assistance,  which  are  implemented  in  direct  and 
indirect management. 

(14)  The  resources  allocated  to  Member  States  for  implementation  through  their  national 
programmes should be distributed on the basis of clear and objective criteria relating 
to the public goods to be protected by Member States and the degree of their financial 
capacity to ensure a high level of internal security, such as the size of their population, 
their  territorial  size,  the  number  of  passengers  and  cargo  processed  through 
international air and seaports, the number of European critical infrastructure and their 
gross domestic product. 

(15)  To  reinforce  solidarity  and  responsibility  sharing  for  common  Union  policies, 
strategies and programmes, Member States should be encouraged to use the part of the 
global resources available for the national programmes to address the strategic Union 
priorities  set  out  in  the  annex  to  this  Regulation.  For  projects  addressing  these 
priorities,  the  Union  contribution  to  their  total  eligible  cost  should  be  increased  to 
90%, in accordance with Regulation (EU) No XXX/2012 [Horizontal Regulation]. 

(16)  The ceiling for resources which remain at the disposal of the Union should be equal to 
the  resources  allocated  to  Member  States  for  the  implementation  of  their  national 
programmes. This will ensure that the Union is able, in a given budget year, to support 
actions  which  are  of  particular  interest  to  the  Union,  such  as  studies,  testing  and 
validation  of  new  technologies,  transnational  projects,  networking  and  exchange  of 
best  practices,  monitoring  of  the  implementation  of  relevant  Union  law  and  Union 
policies and actions in relation to and in third-countries. The actions supported should 
be  in  line  with  the  priorities  identified  in  relevant  Union  strategies,  programmes, 
action plans and risk and threat assessments. 

(17)  To  strengthen  the  EU's  capacity  to  react  immediately  to  security-related  incidents  or 
newly  emerging  threats  for  the  Union,  it  should  be  possible  to  provide  emergency 
assistance,  in  accordance  with  the  rapid  response  mechanism  set  out  in  Regulation 
(EU) No XXX/2012 [Horizontal Regulation].  

EN 

11 

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(18)  Funding  from  the  Union  budget  should  concentrate  on  activities  where  the  Union 
intervention can bring additional value compared to action of Member States alone. As 
the Union is in a better position than Member States to address cross-border situations 
and to provide a platform for common approaches, activities eligible for support under 
this  Regulation  should  contribute  in  particular  to  strengthening  national  and  Union 
capabilities as well as cross-border cooperation and coordination, networking, mutual 
trust and the exchange of information and best practices. 

(19) 

(20) 

In order to supplement or amend provisions in this Instrument regarding the definition 
of strategic Union priorities, the power to adopt acts in accordance with Article 290 of 
the  Treaty  on  the  Functioning  of  the  European  Union  should  be  delegated  to  the 
Commission  which  should  carry  out  appropriate  consultations  during  its  preparatory 
work,  including  at  expert  level.  The  Commission,  when  preparing  and  drawing-up 
delegated  acts,  should  ensure  a  simultaneous,  timely  and  appropriate  transmission  of 
relevant documents to the European Parliament and Council. 

In order to ensure a uniform, efficient and timely application of the provisions of this 
Regulation,  implementing  powers  should  be  conferred  on  the  Commission.  Those 
powers should be exercised in accordance with Regulation (EU) No 182/2011 of the 
European  Parliament  and  of  the  Council  of  16  February  2011  laying  down  the  rules 
and  general  principles  concerning  mechanisms  for  control  by  Member  States  of  the 
Commission exercise of implementing powers. 

(21)  Council Decision 2007/125/JHA of 12 February 2007 establishing for the period 2007 
to 2013, as part of the General Programme on Security and Safeguarding Liberties, the 
Specific  Programme  'Prevention  of  and  Fight  against  Crime'15  should  be  repealed, 
subject to the transitional provisions set out in this Regulation. 

(22)  Since  the  objectives  of  this  Regulation,  namely  strengthening  coordination  and 
cooperation  between  law  enforcement  authorities,  preventing  and  combating  crime, 
protecting  people  and  critical  infrastructure  against  security  related  incidents  and 
enhancing the capacity of Member States and the Union to manage effectively security 
related risks and crisis, cannot be sufficiently achieved by the Member States and can 
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 in order to achieve that objective. 

(23)  As  regards  Iceland  and  Norway,  this  Regulation  constitutes  a  development  of  the 
Schengen  acquis  which  falls  within  the  areas  referred  to  in  Article  1,  Point  H  of 
Council  Decision  1999/437/EC  of  17  May  1999  on  certain  arrangements  for  the 
application of the Agreement concluded by the Council of the European Union and the 
Republic of Iceland and the Kingdom of Norway concerning the association of those 
two  States  with  the  implementation,  application  and  development  of  the  Schengen 
acquis16. 

15 
16 

OJ L 58 of 24.2.2007, p. 7. 
OJ L 176 of 10.7.1999, p. 31. 

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(25)  As regards Switzerland, this Regulation constitutes a development of provisions of the 
Schengen acquis within the meaning of the Agreement between the European Union, 
the European Community and the Swiss Confederation on the latter's association with 
the  implementation,  application  and  development  of  the  Schengen  acquis  which  fall 
within the area referred to in Article 1, Point H of Council 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 Agreement17. 

(26)  As regards Liechtenstein, this Regulation 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 fall within the area referred to in Article 1, 
Point  H  of  Council  Decision  1999/437/EC  read  in  conjunction  with  Article  3  of 
Council  Decision  2011/349/EU  on  the  conclusion,  on  behalf  of  the  Union,  of  the 
Protocol18. 

(27) 

(28) 

(29) 

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.  

In  accordance  with  Article  3  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 that Protocol, Ireland [is not taking part in 
the adoption of this Regulation and is not bound by it or subject to its application / has 
notified its wish to take part in the adoption and application of this Regulation].  

In  accordance  with  Article  3  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 that 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 / has notified its wish to take part in the adoption and application of this 
Regulation], 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Purpose and scope  

17 
18 

OJ L 53 of 27.2.2008, p. 1. 
OJ L 160 of 18.6.2011, p. 1. 

EN 

13 

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1. 
This Regulation establishes the instrument for financial support for police cooperation, 
preventing  and  combating  crime,  and  crisis  management  (hereinafter  referred  to  as  'the 
Instrument'), as part of the Internal Security Fund (hereinafter referred to as 'the Fund').  

Jointly  with  Regulation  (EU)  No  XXX/2012  establishing,  as  part  of  the  Internal  Security 
Fund,  the  instrument  for  financial  support  for  external  borders  and  visa,  this  Regulation 
establishes  for  the  period  from  1  January  2014  to  31  December  2020  the  Internal  Security 
Fund.  

2. 

This Regulation lays down  

(a) 

the  objectives,  eligible  actions  and  strategic  priorities  for  financial  support  to 
be provided under the Instrument;  

(b) 

the general framework for the implementation of eligible actions; 

(c) 

the resources made available under the Instrument from 1 January 2014 to 31 
December 2020 and their distribution. 

This Regulation provides for the application of the rules set out in Regulation (EU) No 

3. 
XXX/2012 [Horizontal Regulation]. 

4. 
The Instrument shall not apply to matters that are covered by the Justice programme, 
as  set  out  in  Regulation  (EU)  No  XXX/201219.  However  this  Instrument  may  cover  actions 
which  aim  at  encouraging  cooperation  between  judicial  authorities  and  law  enforcement 
authorities. 

Article 2 

Definitions 

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

(a) 

(b) 

(c) 

'police  cooperation'  means  the  specific  measures  and  types  of  cooperation  as 
defined in Article 87 of the Treaty on the Functioning of the European Union.  

'exchange  of  and  access  to  information'  means  the  collection,  storage, 
processing, analysis and exchange of information relevant to law enforcement 
investigation,  and 
authorities 
prosecution  of  criminal  offences,  in  particular  cross-border,  serious  and 
organised crimes. 

the  prevention,  detection, 

in  relation 

to 

'crime prevention' means all measures that are intended to reduce or otherwise 
contribute  to  reducing  crime  and  citizens'  feeling  of  insecurity,  as  defined  in 
Council Decision 2009/902/JHA of 30 November 2009 setting-up a European 
Crime Prevention Network (EUPCN)20. 

19 
20 

OJ L … 
OJ L 321 of 8.12.2009, p. 44. 

EN 

14 

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(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

'organised crime' means a punishable conduct committed by a structured group 
of three or more persons, existing for a period of time and acting in concert in 
order to obtain, directly or indirectly, a financial or other material benefit. 

'terrorism'  means  any  of  the  intentional  acts  and  offences  as  defined  in 
Framework Decision 2002/475/JHA of 13 June 2002 on combating terrorism21, 
as amended by Framework Decision 2008/919/JHA of 28 November 200822. 

'risk  and  crisis  management'  means  any  measure  relating  to  the  assessment, 
prevention, preparedness and consequence management of terrorism and other 
security-related risks. 

'prevention  and  preparedness'  means  any  measure  aimed  at  preventing  and/or 
reducing  risks  linked  to  possible  terrorist  attacks  or  other  security  related 
incidents. 

'consequence management' means the effective coordination of measures taken 
in order to react to and to reduce the impact of the effects of a terrorist attack or 
any other security related incident in order to ensure an effective coordination 
of actions at national and/or EU level. 

'critical  infrastructure'  means  any  physical  resources,  services,  information 
technology facilities, networks and infrastructure assets which, if disrupted or 
destroyed, would have a serious impact on critical societal functions, including 
the  supply  chain,  health,  safety,  security,  economic  or  social  well-being  of 
people or of the functioning of the Union or its Member States. 

(j) 

'emergency  situation'  means  any  security-related  incident  or  newly  emerging 
threat  which  has  or  may  have  a  significant  adverse  impact  on  the  security  of 
people in one or more Member States. 

Article 3 

Objectives 

The general objective of the Instrument shall be to contribute to ensuring a high level 

1. 
of security in the European Union. 

2. 
Within the general objective set out in paragraph 1, the Instrument – in line with the 
priorities  identified  in  relevant  Union  strategies,  programmes,  threat  and  risk  assessments  –
shall contribute to the following specific objectives: 

(a) 
preventing  and  combating  cross-border,  serious  and  organised  crime  including 
terrorism, and reinforcing coordination and cooperation between law enforcement authorities 
of Member States and with relevant third-countries. 

21 
22 

OJ L 64 of 22.6.2002, p. 3. 
OJ L 330 of 9.12.2008, p. 21. 

EN 

15 

   EN 

 
                                                 
The achievement of this objective shall be measured against indicators such as, inter alia, the 
number  of  cross-border-joint  operations  and  the  number  of  best  practice  documents  and 
events organised. 

enhancing  the  capacity  of  Member  States  and  the  Union  for  managing  effectively 
(b) 
security-related  risks  and  crisis,  and  preparing  for  and  protecting  people  and  critical 
infrastructure against terrorist attacks and other security related incidents.  

The achievement of this objective shall be measured against indicators such as, inter alia, the 
number  of  tools  put  in  place  and/or  further  upgraded  to  facilitate  the  protection  of  critical 
infrastructure by Member States in all sectors of the economy and the number of threat and 
risk assessments produced at the level of the Union. 

To  achieve  these  objectives,  the  Instrument  shall  contribute  to  the  following 

3. 
operational objectives by promoting and developing:  

(a)  measures  (methodologies,  tools,  structures)  strengthening  Member  States' 
capability  to  prevent  and  combat  cross-border,  serious  and  organised  crime 
including  terrorism,  in  particular  through  public-private  partnerships,  the 
exchange  of  information  and  best  practices,  access  to  data,  interoperable 
technologies, 
public 
communication and awareness raising. 

criminology, 

comparable 

statistics, 

applied 

(b) 

administrative and operational coordination, cooperation, mutual understanding 
and  the  exchange  of  information  among  Member  States'  law  enforcement 
authorities,  other  national  authorities,  relevant  Union  bodies  and,  where 
appropriate, with third-countries. 

(c) 

training  schemes  in  implementation  of  European  training  policies,  including 
through  specific  Union  law  enforcement  exchange  programmes,  in  order  to 
foster a genuine European judicial and law enforcement culture. 

(d)  measures  and  best  practices  for  the  protection  and  support  of  witnesses  and 

victims of crime. 

(e)  measures  strengthening  Member  States'  administrative  and  operational 
capability  to  protect  critical  infrastructure  in  all  sectors  of  economic  activity, 
including  through  public-private  partnerships  and  improved  coordination, 
cooperation, exchange and dissemination of know how and experience within 
the Union and with relevant third-countries. 

(f) 

secure  links  and  effective  coordination  between  existing  sector-specific  early 
warning  and  crisis  cooperation  actors  at  Union  and  national  level,  including 
situation centres in order to enable the quick production of comprehensive and 
accurate overviews in crisis situations, coordinate response measures and share 
open, privileged and classified information. 

(g)  measures 

(methodologies, 

the 
administrative and operational capacity of the Member States and the Union to 
develop  comprehensive  threat  and  risk  assessments  in  order  to  enable  the 
Union  to  develop  integrated  approaches  based  on  common  and  shared 

strengthening 

structures) 

tools 

and 

EN 

16 

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appreciations  in  crisis  situations  and  to  enhance  mutual  understanding  of 
Member States' and partner countries' various definitions of threat levels. 

The  Instrument  shall  also  contribute  to  the  financing  of  technical  assistance  at  the 

4. 
initiative of the Member States and the Commission.  

Article 4 

Eligible actions  

1. 
Within the objectives defined in Article 3, and in the light of the agreed conclusions of 
the  policy  dialogue  as  provided  for  in  Article  13  of  Regulation  (EU)  No  XXX/2012 
[Horizontal  Regulation],  this  Instrument  shall  support  actions  in  Member  States,  and  in 
particular the following:  

(a) 

improving  police  cooperation  and  coordination  between 

law 
actions 
enforcement authorities, including joint investigation teams and any other form 
of cross-border joint operation, the access to and exchange of information and 
interoperable technologies; 

(b)  networking, mutual confidence, understanding and learning, the identification, 
exchange  and  dissemination  of  know-how,  experience  and  good  practices, 
information  sharing,  shared  situation  awareness  and  foresight,  contingency 
planning and interoperability; 

(c) 

analytical,  monitoring  and  evaluation  activities,  including  studies  and  threat, 
risk and impact assessments; 

(d) 

awareness raising, dissemination and communication activities;  

(e) 

acquisition  and/or  further  upgrading  of  technical  equipment,  secure  facilities, 
infrastructures, related buildings and systems, especially ICT systems and their 
components,  including  for  the  purpose  of  European  cooperation  on  cyber 
crime, notably with the European Cybercrime Centre;  

(f) 

exchange,  training  and  education  of  staff  and  experts  of  relevant  authorities, 
including language training and joint exercises or programmes; 

(g)  measures  deploying,  transferring,  testing  and  validating  new  methodology  or 
technology,  including  pilot  projects  and  follow-up  measures  to  Union  funded 
security research projects. 

Within the objectives referred to in Article 3, the Instrument shall also support actions 

2. 
in relation to and in third-countries, and in particular the following: 

(a) 

improving  police  cooperation  and  coordination  between 

law 
actions 
enforcement authorities, including joint investigation teams and any other form 
of cross-border joint operation, the access to and exchange of information and 
interoperable technologies; 

EN 

17 

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(b)  networking, mutual confidence, understanding and learning, the identification, 
exchange  and  dissemination  of  know-how,  experience  and  good  practices, 
information  sharing,  shared  situation  awareness  and  foresight,  contingency 
planning and interoperability; 

(c) 

(d) 

acquisition  and/or  further  upgrading  of  technical  equipment,  including  ICT 
systems and their components;  

exchange,  training  and  education  of  staff  and  experts  of  relevant  authorities, 
including language training; 

(e) 

awareness raising, dissemination and communication activities 

(f) 

threat, risk and impact assessments; 

(g) 

studies and pilot projects. 

Article 5 

Global resources and implementation  

The  global  resources  for  the  implementation  of  this  Regulation  shall  be  EUR  1,128 

1. 
million. 

The  annual  appropriations  shall  be  authorised  by  the  budgetary  authority  within  the 

2. 
limits of the Financial Framework. 

3. 

The global resources shall be implemented through the following means: 

(a) 

national programmes, in accordance with Article 6; 

(b)  Union actions, in accordance with Article 7; 

(c) 

technical assistance, in accordance with Article 8; 

(d) 

emergency assistance, in accordance with Article 9; 

4. 
The  budget  allocated  under  the  Instrument  shall  be  implemented  under  shared 
management in accordance with Article 55(1)(b) of Regulation (EU) No XXXX/2012 [New 
Financial Regulation]23, with the exception of the Union actions referred to in Article 7, the 
technical  assistance  referred  to  in  Article  8(1)  and  the  emergency  assistance  referred  to  in 
Article 9. 

5. 

The global resources shall be used indicatively as follows: 

(a)  EUR 564 million for the national programmes of Member States; 

(b)  EUR  564  million  for  Union  actions,  emergency  assistance  and  technical 

assistance at the initiative of the Commission. 

23 

OJ L …. 

EN 

18 

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6. 
Jointly  with  the  global  resources  established  for  Regulation  (EU)  No  XXX/2012 
establishing,  as  part  of  the  Internal  Security  Fund,  the  instrument  for  financial  support  for 
external borders and visa, the global resources available for this Regulation as established in 
paragraph 1 constitute the financial envelope for the Internal Security Fund and serve as the 
prime reference for the budgetary authority during the annual budgetary procedure within the 
meaning  of  Point  17  of  the  Inter-institutional  Agreement  between  the  European  Parliament, 
the Council and the Commission on cooperation in budgetary matters and on sound financial 
management.24  

The countries associated with the implementation, application and development of the 

7. 
Schengen acquis shall participate in the Instrument, in accordance with this Regulation. 

Arrangements shall be concluded on the financial contributions by these countries to 
8. 
the  Instrument  and  the  supplementary  rules  necessary  for  such  participation,  including 
provisions ensuring the protection of the Union's financial interests and the power of audit of 
the Court of Auditors. 

The  financial  contributions  from  these  countries  shall  be  added  to  the  global  resources 
available from the Union budget referred to in paragraph 1.  

Article 6 

National Programmes 

1. 
The  national  programme  to  be  prepared  under  the  Instrument  and  the  one  to  be 
prepared under Regulation (EU) No XXX/2012 establishing, as part of the Internal Security 
Fund,  the  instrument  for  financial  support  for  external  borders  and  visa  shall  be  drawn  up 
jointly by Member States and proposed to the Commission as one single national programme 
for  the  Fund,  in  accordance  with  Article  14  of  Regulation  (EU)  No  XXX/2012  [Horizontal 
Regulation].  

2. 
Under  the  national  programmes  to  be  examined  and  approved  by  the  Commission 
pursuant  to  Article  14  of  Regulation  (EU)  No  XXX/2012  [Horizontal  Regulation],  Member 
States shall focus on projects addressing the strategic Union priorities listed in the annex to 
this Regulation.  

3. 
The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article  11  to  amend  the  annex  referred  to  in  paragraph  2  by  amending,  adding  or  deleting 
strategic Union priorities. 

Article 7 

Union actions  

At the  Commission’s initiative, this  Instrument  may be  used to  finance transnational 
1. 
actions or actions of particular interest to the Union (‘Union actions’) concerning the general, 
specific and operational objectives set out in Article 3.  

24 

COM(2011)403 final. 

EN 

19 

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2. 
To be eligible for funding, Union actions shall be in line with the priorities identified 
in  relevant  Union  strategies,  programmes,  threat  and  risk  assessments,  and  support  in 
particular: 

(a) 

(b) 

(c) 

preparatory, monitoring, administrative and technical support, development of 
an  evaluation  mechanism  required  to  implement  the  policies  on  police 
cooperation, preventing and combating crime, and crisis management; 

transnational  projects  involving  two  or  more  Member  States  or  at  least  one 
Member State and one third-country;  

analytical,  monitoring  and  evaluation  activities,  including  threat,  risk  and 
impact assessments and projects monitoring the implementation of Union law 
and Union policy objectives in the Member States;  

(d)  projects  promoting  networking,  mutual  confidence,  understanding  and 
learning,  identification  and  dissemination  of  good  practices  and  innovative 
approaches at Union level, training and exchange programmes; 

(e) 

(f) 

projects  supporting  the  development  of  methodological,  notably  statistical, 
tools and methods and common indicators; 

the  acquisition  and/or  further  upgrading  of  technical  equipment,  secure 
facilities, infrastructures, related buildings and systems, especially ICT systems 
and their components at the Union level, including for the purpose of European 
cooperation on cyber crime, notably a European Cybercrime Centre;  

(g)  projects  enhancing  awareness  of  Union  policies  and  objectives  among 
stakeholders and the general public, including corporate communication on the 
political priorities of the Union;  

(h)  particularly innovative projects developing new methods and/or deploying new 
technologies  with  a  potential  for  transferability  to  other  Member  States,
 especially  projects  aiming  at  testing  and  validating  the  outcome  of  Union 
funded security research projects; 

(i) 

studies and pilot projects; 

(j) 

actions in relation to and in third-countries, as referred to in Article 4(2). 

Union actions shall be implemented in accordance with Article 7 of Regulation (EU) 

3. 
No XXX/2012 [Horizontal Regulation].  

Article 8 

Technical assistance  

1. 
At the initiative of and/or on behalf of the Commission, the Instrument may contribute 
up  to  EUR  800,000  annually  for  technical  assistance  to  the  Internal  Security  Fund,  in 
accordance with Article 10 of Regulation (EU) No XXX/2012 [Horizontal Regulation]. 

EN 

20 

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2. 
At  the  initiative  of  a  Member  State,  the  Instrument  may  contribute  up  to  5%  of  the 
total  amount  allocated  to  the  Member  State  to  technical  assistance  under  the  national 
programme,  in  accordance  with  Article  20  of  Regulation  (EU)  No  XXX/2012  [Horizontal 
Regulation].  

Article 9 

Emergency assistance 

This Instrument shall provide financial assistance to address urgent and specific needs 

1. 
in the event of an emergency situation, as defined in point (j) of Article 2. 

Emergency  assistance  shall  be  implemented  in  accordance  with  the  mechanism  laid 

2. 
down in Article 8 of Regulation (EU) No XXX/2012 [Horizontal Regulation].  

Article 10 

Resources for eligible actions in the Member States 

1. 

EUR 564 million shall be allocated to the Member States indicatively as follows:  

(a) 

30% in proportion of the size of their total population; 

(b)  10% in proportion to the size of their territory; 

(c) 

10% in proportion to the number of passengers and the tons of cargo processed 
through their international air and sea ports; 

(d)  10% in proportion to the number of European Critical Infrastructure designated 

in accordance with Directive 2008/114/EC; 

(e) 

40% in inverse proportion to their Gross Domestic Product (purchasing power 
standard per inhabitant). 

2. 
The reference figures for the data referred to in paragraph 1 shall be the latest statistics 
produced by the Commission (Eurostat), on the basis of data provided by Member States in 
accordance  with  Union  law,  as  well  as  data  provided  to  the  Commission  by  the  Member 
States in accordance with Directive 2008/114/EC. The reference date is 30 June 2013. 

Article 11 

Exercise of the delegation 

The  power  to  adopt  delegated  acts  is  conferred  on  the  Commission  subject  to  the 

1. 
conditions laid down in this Article. 

2. 
The  delegation  of  powers  referred  to  in  this  Regulation  shall  be  conferred  on  the 
Commission  for  a  period  of  7  years  from  [date  of  entry  into  force  of  this  Regulation].  The 
delegation of power shall be tacitly extended for periods of an identical duration, unless the 

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European Parliament or the Council opposes such extension not later than three months before 
the end of each period. 

3. 
The delegation of powers referred to in this Regulation may be revoked at any time by 
the European Parliament or by the Council. A decision of revocation shall put an end to the 
delegation  of  the  power  specified  in  that  decision.  It  shall  take  effect  the  day  following  the 
publication  of  the  decision  in  the  Official  Journal  of  the  European  Union  or  at  a  later  date 
specified therein. It shall not affect the validity of any delegated acts already in force. 

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to 

4. 
the European Parliament and to the Council. 

A  delegated  act  adopted  pursuant  to  this  Regulation  shall  enter  into  force  only  if  no 
5. 
objection  has  been  expressed  either  by  the  European  Parliament  or  the  Council  within  a 
period of 2 months of notification of that act to the European Parliament and the Council or if, 
before the expiry of that period, the European Parliament and the Council have both informed 
the Commission that they will not object. That period shall be extended  by  2  months at the 
initiative of the European Parliament or the Council. 

Article 12 

Committee procedure 

1. 
The Commission shall be assisted by the common committee 'Asylum, Migration and 
Security'  established  by  Article  55(1)  of  Regulation  (EU)  No  XXX/2012  [Horizontal 
Regulation].  

Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 

2. 
shall apply. 

Article 13 

Applicability of Regulation (EU) No XXX/2012 

The provisions of Regulation (EU) No XXX/2012 [Horizontal Regulation]shall apply 

to the Instrument. 

Article 14 

Repeal 

Council Decision 2007/125/JHA is repealed with effect from 1 January 2014. 

Article 15 

Transitional provisions 

1. 
This Regulation shall not affect the continuation or modification, including the total or 
partial cancellation of the projects until their closure or the financial assistance approved by 

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the  Commission  on  the  basis  of  Council  Decision  2007/125/JHA,  or  any  other  legislation 
applying to that assistance on 31 December 2013. 

2. 
When adopting decisions on co-financing under the Instrument, the Commission shall 
take  account  of  measures  adopted  on  the  basis  of  Council  Decision  2007/125/JHA  before 
[date  of  publication  in  the  Official  Journal]  which  have  financial  repercussions  during  the 
period covered by that co-financing. 

Sums  committed  for  co-financing  approved  by  the  Commission  between  1  January 
3. 
2011 and 31 December 2013 for which the documents required for closure of the operations 
have not been sent to the Commission by the deadline for submitting the final report shall be 
automatically  decommitted  by  the  Commission  by  31  December  2017,  giving  rise  to  the 
repayment of amounts unduly paid. 

Amounts  relating  to  operations  which  have  been  suspended  due  to  legal  proceedings  or 
administrative appeals having suspensory effect shall be disregarded in calculating the amount 
to be automatically decommitted. 

4. 
Member States shall submit to the Commission by 30 June 2015 an evaluation report 
on the results and impacts of actions co-financed by Council Decision 2007/125/JHA for the 
period 2011 to 2013. 

5. 
The  Commission  shall  submit  to  the  European  Parliament  and  the  Council,  by  31 
December 2015, a report on the results achieved and on qualitative and quantitative aspects of 
implementation of Council Decision 2007/125/JHA for the period 2011 to 2013. 

Article 16 

Review 

On  the  basis  of  a  proposal  from  the  Commission,  the  European  Parliament  and  the 

Council shall review this Regulation by 30 June 2020 at the latest. 

Article 17 

Entry into force and application 

This Regulation shall enter into force on the […] day following its publication in the 

Official Journal of the European Union. 

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

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

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ANNEX 

List of Strategic Union Priorities (Article 6 (2))  

• 

• 

• 

• 

• 

Measures  preventing  and  fighting  cross-border,  serious  and  organised  crime,  in 
particular drug trafficking, trafficking in human beings, sexual exploitation of children and 
projects  identifying  and  dismantling  criminal  networks,  protecting  the  economy  against 
criminal infiltration and reducing financial incentives by seizing, freezing and confiscating 
criminal assets. 

Measures  raising  the  levels  of  security  for  citizens  and  business  in  cyberspace,  in 
particular  projects  building  capacities  in  law  enforcement  and  the  judiciary,  projects 
ensuring  work  with  industry  to  empower  and  protect  citizens,  and  projects  improving 
capabilities for dealing with cyber attacks. 

Measures  preventing  terrorism  and  addressing  radicalisation  and  recruitment,  in 
particular  projects  empowering  communities  to  develop  local  approaches  and  prevention 
policies, projects enabling competent authorities to cut off terrorists from access to funding 
and materials and follow their transactions, projects protecting the transport of passengers 
and cargo, and projects enhancing the security of explosives and CBRN materials. 

Measures  designed  to  raise  Member  States'  administrative  and  operational  capability  to 
protect  critical  infrastructure  in  all  economic  sectors  including  those  covered  by 
Directive 2008/114, in particular projects promoting public-private partnerships in order to 
build trust and facilitate cooperation, coordination, contingency planning and the exchange 
and dissemination of information and good practices among public and private actors. 

Measures  increasing  Europe's  resilience  to  crisis  and  disaster,  in  particular  projects 
promoting the development of a coherent Union policy on risk management linking threat 
and  risk  assessments  to  decision  making,  as  well  as  projects  supporting  an  effective  and 
coordinated  response  to  crisis  linking  up  existing  (sector-specific)  capabilities,  expertise 
and situation awareness centres, including those for health, civil protection and terrorism. 

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LEGISLATIVE FINANCIAL STATEMENT  

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

1.2.  Policy area(s) concerned in the ABM/ABB structure 

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management method(s) envisaged  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1.  Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party participation in financing  

3.3.  Estimated impact on revenue 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Communication "Building an open and secure Europe: the home affairs budget for 2014-2020"; 

Proposal for a Regulation laying down general provisions on the Asylum and Migration Fund and on 
the instrument for financial support for police cooperation, preventing and combating crime, and crisis 
management; 

Proposal  for  a  Regulation  establishing  the  instrument  for  financial  support  for  police  cooperation, 
preventing and combating crime, and crisis management; 

Proposal  for  a  Regulation  establishing,  as  part  of  the  Internal  Security  Fund,  the  instrument  for 
financial support for external borders and visa. 

1.2. 

Policy area(s) concerned in the ABM/ABB structure25  

Currently Heading 3, Title 18 – Home Affairs 

Future Multiannual Financial Perspectives: Heading 3 (Security and citizenship) – "Internal security" 

Nature of the proposal/initiative  

(cid:59) The proposal/initiative relates to a new action (home affairs funding for the period 2014-2020) 

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action26  

(cid:133) The proposal/initiative relates to the extension of an existing action  

(cid:133) The proposal/initiative relates to an action redirected towards a new action  

1.3. 

Objectives 

1.3.1.  The Commission's multiannual strategic objective(s) targeted by the proposal/initiative  

The final aim of home affairs policies is to create an area without internal borders where EU citizens 
and third-country nationals may enter, circulate, live and work, bringing new ideas, capital, knowledge 
and  innovation  or  filling  gaps  in  the  national  labour  markets,  confident  that  their  rights  are  fully 
respected  and  their  security  assured.  Cooperation  with  non-EU  countries  and  international 
organisations is crucial to achieving this goal. 

25 
26 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

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The  growing  importance  of  home  affairs  policies  has  been  confirmed  by  the  Stockholm  Programme 
and its Action Plan, the implementation of which is a strategic priority for the Union and covers areas 
such  as  migration  (legal  migration  and  integration;  asylum;  irregular  migration  and  return),  security 
(prevention of and fight against terrorism and organised crime; police cooperation) and management of 
the  external  borders  (including  visa  policy),  as  well  as  the  external  dimension  of  these  policies.  The 
Lisbon Treaty also enables the Union to demonstrate greater ambition in responding to the day-to-day 
concerns  of  citizens  in  the  area  of  freedom,  security  and  justice.  Home  affairs  policy  priorities,  in 
particular  the  integration  of  third-country  nationals,  should  also  be  seen  in  the  context  of  the  seven 
flagship  initiatives  presented  in  the  Europe  2020  Strategy  which  aim  to  help  the  EU  overcome  the 
current financial and economic crisis and achieve smart, sustainable and inclusive growth.  

The Internal Security Fund will provide the financial assistance needed to turn the Union's home affairs 
objectives into tangible results. 

1.3.2. 

Specific objective(s) and ABM/ABB activity(ies) concerned  

INTERNAL SECURITY FUND 

Instrument for financial support for police cooperation, preventing and combating crime, and crisis 
management 

In  line  with  the  priorities  identified  in  relevant  Union  strategies,  programmes,  threat  and  risk 
assessments, the Instrument will contribute to the following specific objectives 

preventing  and  combating  cross-border,  serious  and  organised  crime  including  terrorism,  and 
(a) 
reinforcing coordination and cooperation between law enforcement authorities of Member States and 
with relevant third-countries; 

(c) 
enhancing  the  capacity  of  Member  States  and  the  Union  for  managing  effectively  security-
related  risks  and  crisis,  and  preparing  for  and  protecting  people  and  critical  infrastructure  against 
terrorist attacks and other security related incidents.  

Current ABB activities concerned: 18.05 

Instrument for financial support for external borders and visa 

In line with the priorities identified in relevant EU strategies, programmes, threat and risk assessments, 
the Instrument will contribute to the following specific objectives 

supporting a common visa policy to facilitate legitimate travel, ensure equal treatment of third 

(a) 
country nationals and tackle irregular migration; 

(b) 
supporting borders management, to ensure, on one hand, a high level of protection of external 
borders  and,  on  the  other  hand,  the  smooth  crossing  of  the  external  borders  in  conformity  with  the 
Schengen acquis. 

Current ABB activity concerned: 18.02 (as far as External Borders Fund is concerned). 

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1.3.3.  Expected result(s) and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

The effects of the proposal on beneficiaries/target groups are described in more detail in Section 4.1.2 
of the Impact Assessment. 

In general, simplification introduced at all levels of the funding process and in each management mode 
will have a clear beneficial effect on the processes under which financial support will be managed.  

Police cooperation, preventing and combating crime, and crisis management  

The main beneficiaries of the financial support will be the Member States and their law enforcement 
authorities as well as any other authority specialised in the protection of critical infrastructure and the 
management  of  crisis,  but  also  relevant  International  and  Non-Governmental  Organisations,  where 
appropriate (e.g. in the field of crime prevention, anti-radicalisation and anti-trafficking policies).  

The target group benefitting from the changes will be the whole population. 

The  main  achievements  will  be  1)  an  enhanced  administrative  and  operational  capability  of  Member 
States  to  detect  and  successfully  prosecute  cross-border,  serious  and  organised  crime,  including 
terrorism  in  order  to  reduce  the  security-related  threats  emanating  from  such  crime,  and  2)  stronger 
European  resilience  to  crisis  and  disaster  owing  to  a  more  coherent  EU  policy  on  risk  management 
linking  threat  and  risk  assessments  to  policy  making  on  the  one  hand  and  a  more  effective  and  co-
ordinated  EU  response  to  crisis  linking  up  existing  capabilities  and  expertise  on  the  other  hand.  An 
important  achievement  will  also  be  improved  capabilities  of  Member  States  to  prevent,  prepare  and 
protect  people  and  critical  infrastructure  against  terrorist  attacks  and  other  serious  security-related 
threats.  

External borders and visa 

The main beneficiaries of the financial support for borders and visa will be the services implementing 
the EU acquis,  the  Schengen Borders  Code and the Visa Code in the Member States: border guards, 
police  and  consular  services.  The  target  group  benefitting  from  the  changes  will  be  travellers  -  all 
persons crossing external borders into the EU. The outcomes will include the enhanced capabilities of 
these  services  (1)  to  carry  out  border  surveillance  and  liaise  with  other  law  enforcement  services, 
within  the  framework  of  the  European  surveillance  system  (EUROSUR);  (2)  to  manage  migration 
flows at consular posts (visa applications) and (3) to improve the handling of passenger flows at border 
crossing points, ensuring on the one hand, a high and uniform level of protection, in co-operation with 
other law enforcement services, and, on the other, the smooth crossing in conformity with the acquis 
and the principles of respectful treatment and dignity. An important specific outcome will be the setting 
up of two new EU IT systems on the movement of third-country nationals across borders (an EU entry 
exit system and an EU registered travellers programme). 

1.3.4. 

Indicators of results and impact 

Specify the indicators for monitoring implementation of the proposal/initiative. 

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Due  to  the  necessity  to  conduct  a  policy  dialogue  before  defining  the  national  programmes,  it  is  not 
possible  to  establish  at  this  stage  the  definitive  set  of  indicators  that  will  be  used  to  measure 
achievement of the above-mentioned specific objectives. However  

- with regard to police cooperation and the prevention and combating of crime, indicators would 
include  the  number  of  cross-border-joint  operations  and  the  number  of  best  practice  documents  and 
events organised. Indicators for crisis management and the protection of critical infrastructure would 
include the number of tools put in place and/or further upgraded to facilitate the protection of critical 
infrastructure  by  Member  States  in  all  sectors  of  the  economy  and  the  number  of  threat  and  risk 
assessments produced at the level of the Union.  

-  in  the  area  of  borders  and  visa  indicators  would  include  the  number  of  consular  posts  equipped, 
secured and/or enhanced to ensure the efficient processing of visa applications and provide quality of 
service to visa applicants, and the development of equipment for border control and the apprehensions 
of irregular third-country nationals at the external border in correspondence with the risk of the relevant 
section  of  the  external  border.  Impact  indicators  will  measure  the  increase  in  border  security,  visa 
issuing capacity and the capacity to handle safely and smoothly the traffic of travellers across borders.  

1.4. 

Grounds for the proposal/initiative  

1.4.1.  Requirement(s) to be met in the short or long term 

The EU will continue to face important challenges in the home affairs area in the period 2014-2020.  

Ensuring a safe and secure environment is necessary and beneficial to the economic, cultural and social 
growth of the EU. The EU has a decisive role to play, whether it is by addressing the threats of serious 
and  organized  crime,  cybercrime  and  terrorism,  and  by  ensuring  the  management  of  EU's  external 
borders or by responding swiftly to emerging crises caused by man-made or natural disasters. In the era 
of  globalisation,  where  threats  are  growing  and  increasingly  have  a  transnational  dimension,  no 
Member State can respond effectively on its own. A coherent and comprehensive European answer is 
needed to ensure that law enforcement authorities can work effectively across borders and jurisdictions.  

Cooperation with non-EU countries and international organisations is crucial to achieving these goals. 
Recent  events  in  Northern  Africa  have  demonstrated  how  important  it  is  for  the  EU  to  have  a 
comprehensive  and  coordinated  approach  to  migration,  borders  and  security.  The  increasingly 
important  external  dimension  of  the  EU's  home  affairs  policies  must  therefore  be  reinforced,  in  full 
coherence with the Union's foreign policy. 

1.4.2.  Added value of EU involvement 

The management of migration flows and security threats present challenges which cannot be dealt with 
by the Member States acting alone. These are areas where there is obvious added value in mobilising 
the EU budget.  

Some Member States bear a heavy burden due to their specific geographic situation and the length of 
the external borders of the Union that they have to manage. The abolition of internal border controls 
must  be  accompanied  by  common  measures  for  the  effective  control  and  surveillance  of  the  Union's 
external  borders.  The  principle  of  solidarity  and  the  fair  sharing  of  responsibilities  between  Member 
States is therefore at the heart of the common policies  on asylum, immigration and external borders. 

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The EU budget provides the means to address the financial implications of this principle. In the area of 
security,  serious  and  organised  crime,  terrorism  and  other  security-related  threats  are  increasingly 
cross-border  in  nature.  Transnational  co-operation  and  coordination  between  law  enforcement 
authorities is essential to successfully prevent and fight these crimes, for example through the exchange 
of  information,  joint  investigations,  interoperable  technologies  and  common  threat  and  risk 
assessments.  

Dealing with migration flows, the management of the EU's external borders and the security of the EU 
requires  substantial  resources  and  capabilities  from  the  Member  States.  Improved  operational  co-
operation  and  coordination  involving  the  pooling  of  resources  in  areas  like  training  and  equipment 
creates  economies  of  scale  and  synergies  thereby  ensuring  a  more  efficient  use  of  public  funds  and 
reinforcing solidarity, mutual trust and responsibility sharing for common EU policies among Member 
States.  This  is  particularly  relevant  in  the  area  of  security,  where  financial  support  for  all  forms  of 
cross-border joint operation is essential to enhance cooperation between police, customs, border guards 
and judicial authorities.  

In relation to the external dimension of home affairs, it is clear that the adoption of measures and the 
pooling of resources at EU level will increase significantly the EU leverage necessary to convince third 
countries to engage with the EU on those migration and security related issues which are primarily in 
the interest of the EU and the Member States. 

The  EU's  right  to  act  in  the  home  affairs  area  derives  from  Title  V  "Area  of  Freedom,  Security  and 
Justice" of the Treaty on the Functioning of the European Union (TFEU), in particular Articles 77(2), 
78(2),  79(2)  and  (4),  82(1),  84  and  87(2)  TFEU.  Cooperation  with  third  countries  and  international 
organisations  is  covered  by  Article  212(3)  TFEU.  The  proposals  respect  the  principle  of  subsidiarity 
because  the  majority  of  funding  will  be  implemented  in  accordance  with  the  principle  of  shared 
management and respecting the institutional competencies of the Member States.  

1.4.3.  Lessons learned from similar experiences in the past 

Although  the  current  home  affairs  financial  instruments  are  generally  considered  to  achieve  their 
objectives and function effectively, the lessons learned from the mid-term review and the stakeholder 
consultation are that there is a need to: 

–  Simplify  and  streamline  the  future  home  affairs  instruments  by  reducing  the  number  of  financial 
programmes to two through the creation of an Asylum and Migration Fund and an Internal Security 
Fund. This will allow the EU to make a more strategic use of its instruments so that they are more 
responsive to the EU's political priorities and needs;  

–  Strengthen the role of the EU as a global player, by including an external dimension component in 
the future Funds to reinforce the EU's leverage in respect of the external policy dimension of home 
affairs policies; 

–  Give  preference  to  shared  management  rather  than  centralised  management  where  possible  to 

remove unnecessary bureaucratic burdens;  

–  Establish  a  more  results-oriented  approach  to  shared  management  by  moving  to  multiannual 
programming  with  a  senior-level  policy  dialogue  will  ensure  that  the  Member  States'  national 
programmes  are  fully  aligned  with  EU  policy  objectives  and  priorities  and  focus  on  achieving 
results; 

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–  Improve centralised management to provide a range of tools for policy-driven activities, including 
support for transnational actions, particularly innovative actions and actions in and related to third 
countries (external dimension), as well as emergency actions, studies and events; 

–  Establish  a  common  regulatory  framework  with  a  shared  set  of  rules  on  programming,  reporting, 
financial  management  and  controls  which  is  as  similar  as  possible  to  that  of  the  other  EU  Funds 
managed in the shared management mode in order to generate a better understanding of the rules by 
all stakeholders and to ensure a high degree of coherence and consistency; 

–  Provide for a quick and effective response in case of emergencies, designing the Funds so that the 

EU can react appropriately in fast evolving situations; 

–  Enhance the role of the home affairs agencies to foster practical cooperation between Member States 
and  by  entrusting  them  with  the  implementation  of  specific  actions,  whilst  ensuring  appropriate 
political control over the agencies' activities. 

More  details  can  be  found  in  the  impact  assessment  and  the  explanatory  memoranda  of  each 
Regulation.  

1.4.4.  Coherence and possible synergy with other relevant instruments 

A number of other EU instruments will provide support to activities which are complementary to the 
activities that will be financed under the Internal Security Fund: 

The dividing line between the Internal Security Fund and the Civil Protection Financial Instrument will 
remain  as  described  in  Article  3  of  the  current  CIPS  programme:  natural  disasters  as  well  as 
unintentional  man-made  disasters  are  for  civil  protection  (accidents),  whereas  intentional,  man-made 
disasters are security-relevant and will therefore for covered by the Internal Security Fund.  

Terrorist attacks or other security-related incidents will remain outside the scope of the EU Solidarity 
Fund.  The  precise  scope  and  extent  to  which  Article  222  TFEU  (solidarity  clause)  might  support 
Member States that are the object of a terrorist attack or the victim of natural and man-made disaster, is 
also not clear as this requires the formal adoption of implementing arrangements which have not even 
been proposed yet. Emergency funding possibilities in case of a major terrorist attack or other security-
relevant incidents will therefore be supported by the Internal Security Fund.  

The gap between security research under the Horizon 2020 Programme and the practical application of 
the  results  of  such  research  will  be  closed  because  the  Internal  Security  Fund  will  foresee  specific 
objectives and eligible actions to allow for the funding of testing and validating of scientific research 
results ('prototypes') with a view to their serial application in practice ('pre-commercial procurement').  

The future Justice Programme will be closely linked and complementary to the Internal Security Fund, 
especially  its  criminal  justice  component  but  is  more  focussed  on  judicial  cooperation,  procedural 
harmonisation and mutual recognition which in practice prevent substantial overlaps. 

The external dimension components of the Internal Security Fund will support actions in and in relation 
to third countries which cater primarily for EU interests and objectives, have a direct impact in the EU 
and  its  Member  States  and  ensure  continuity  with  activities  implemented  in  the  territory  of  the  EU. 
This  funding  will  be  designed  and  implemented  in  coherence  with  EU  external  action  and  foreign 

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policy.  It  is  not  intended  to  support  actions  which  are  development  oriented  and  will  complement, 
when  appropriate,  the  financial  assistance  provided  through  external  aid  instruments.  In  this  context, 
the successor to the Thematic Programme Migration & Asylum and the Instrument for Stability will be 
of particular interest for the home affairs area. While external aid instruments either support beneficiary 
countries’  development  needs  or  support  general  EU  political  interests  with  strategic  partners,  home 
affairs  funds  will  support  specific  actions  in  third  countries  in  the  interest  of  EU  internal  security 
objectives. They will therefore fill a specific gap and will contribute to completing the toolbox at the 
disposal of the EU.  

1.5. 

Duration and financial impact 

(cid:59) Proposal/initiative of limited duration  

–  (cid:59)  Proposal/initiative in effect from 01/01/2014 to 31/12/2020 

–  (cid:59)  Financial impact from 2014 to 2023 

(cid:133) Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY, 

–  followed by full-scale operation. 

1.6.  Management mode(s) envisaged27  

(cid:59)Centralised direct management by the Commission  

(cid:59) Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:59)  executive agencies  

–  (cid:59)  bodies set up by the Communities28  

–  (cid:59)  national public-sector bodies/bodies with public-service mission  

–  (cid:133)  persons entrusted with the implementation of specific actions pursuant to Title V of the Treaty 
on European Union and identified in the relevant basic act within the meaning of Article 49 of the 
Financial Regulation  

(cid:59) Shared management with the Member States  

(cid:59)Decentralised management with third countries  

(cid:59) Joint management with international organisations (to be specified) 

If more than one management mode is indicated, please provide details in the "Comments" section. 

27 

28 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the  BudgWeb  site: 
http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

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Comments: 

The  proposals  will  be  mainly  implemented  through  shared  management,  with  multi-annual  national 
programmes.  

The  objectives  to  be  achieved  under  the  national  programmes  will  be  complemented  by  "Union 
actions" and a rapid response mechanism to deal with emergency situations. These will mainly take the 
form of grants and procurement under centralised direct management and will include actions in and in 
relation to third countries.  

All  possible  means  will  be  used  to  avoid  fragmentation  by  concentrating  resources  on  achieving  a 
limited number of EU objectives and using the expertise of key stakeholders, where appropriate, on the 
basis of partnership agreements and framework agreements. 

Technical  assistance  at  the  initiative  of  the  Commission  will  be  implemented  by  centralised  direct 
management. 

The  countries  associated  with  the  application,  implementation  and  the  development  of  the  Schengen 
acquis  will  also  participate  in  the  two  instruments  of  the  Internal  Security  Fund  which  constitute  a 
development of the Schengen acquis (the instruments on borders and visa and police co-operation) as if 
they are Member States, in light of the Schengen Association Agreements. They will participate in the 
instruments in accordance with the provisions of the Regulation, implementing their own multi-annual 
national  programmes  and  have  the  possibility  to  apply  for  funding  under  the  Union  actions  etc.  As 
under the External Borders Fund, specific arrangements will be concluded to specify the supplementary 
rules necessary for their participation (rules deriving from the Financial Regulation, its Implementing 
Rules and the Treaties, including the power of audit of the Court of Auditors). Since these States will 
contribute to the EU budget for the two instruments in proportion to their GDP, the arrangements will 
also determine the contributions to be received from these States as part of the responsibility-sharing on 
the Schengen governance, and this regardless of the size of their allocations under the instruments. To 
date, the associated States are Norway, Iceland, Switzerland and Liechtenstein. 

EN 

33 

   EN 

 
2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

For  shared  management,  a  coherent  and  efficient  reporting,  monitoring  and  evaluation  framework  is 
proposed.  For  each  national  programme,  Member  States  will  be  requested  to  set  up  a  Monitoring 
Committee to which the Commission may participate. 

On an annual basis Member States will report on the implementation of the multiannual programme. 
These reports are a precondition for annual payments. To feed into the mid term review process, they 
will  be  requested  in  2017  to  provide  additional  information  on  the  progress  made  in  achieving  the 
objectives.  A  similar  exercise  will  be  undertaken  in  2019,  to  allow,  where  appropriate,  adjustments 
during the last financial year (2020). 

Supporting the development of an evaluation-based culture in the area of home affairs, the Funds will 
have  a  common  evaluation  and  monitoring  framework  with  broad  policy  related  indicators  which 
underline the result-oriented approach of the Funds and the essential role they could play in the policy 
mix to achieve the objective of creating an area of freedom, security and justice. These indicators relate 
to the impact the Funds could make: the development of a common culture of border security, police 
cooperation  and  crisis  management;  effective  management  of  migration  flows  into  the  EU;  fair  and 
equal  treatment  of  third-country  nationals;  solidarity  and  co-operation  between  Member  States  in 
addressing migration and internal security issues and a common EU approach on both migration and 
security towards third countries. 

To  ensure  adequate  application  of  the  principles  on  evaluation,  and  bearing  in  mind  the  practical 
experience  with  evaluation  in  Member  States  under  the  current  EU  funding  on  home  affairs,  the 
Commission  and  the  Member  States  will  work  together  to  develop  the  common  evaluation  and 
monitoring framework, inter alia by defining templates and common output and result indicators. 

All measures will be established at the beginning of the programming period, thus enabling Member 
States  to  set  up  their  reporting  and  evaluation  systems  on  the  basis  of  the  agreed  principles  and 
requirements.  

To  reduce  administrative  burden  and  ensure  synergies  between  reporting  and  evaluation,  the 
information  required  for  evaluation  reports  will  build  on  and  complete  the  information  provided  by 
Member States in the annual implementation reports of the national programmes.  

In 2018, the Commission will also submit a report on the mid term review carried out of the national 
programmes. 

More globally, the Commission will submit an intermediate report on the implementation of the Funds 
by 30.06.2018 and an ex-post evaluation report by 30.06.2024, covering the whole implementation (i.e. 
not only national programmes under shared management). 

EN 

34 

   EN 

 
2.2.  Management and control system  

2.2.1.  Risk(s) identified  

DG HOME has not been facing important risks of errors in its spending programmes. This is confirmed 
by the recurrent absence of significant findings in the annual reports of the Court of Auditors as well as 
by the absence of residual error rate above 2% in the past years in DG HOME (and former DG JLS) 
annual activity reports. 

In shared management, the general risks in relation to the implementation of the current programmes 
fall mainly into three categories: 

–  Risk of inefficient or insufficiently targeted use of funds; 

–  Errors derived from the complexity of rules and weaknesses in management and control systems; 

–  Inefficient use of administrative resources (limited proportionality of requirements); 

Specific elements concerning the system of the 4 Funds under the General Programme "Solidarity and 
Management of Migration Flows" are also worth mentioning. 

–  The system of annual programmes ensures that final payments are made regularly based on certified 
and audited expenditure. However, the eligibility period of the annual programmes is disconnected 
from the EU financial year and the chain of assurance is therefore not totally satisfactory, despite a 
very heavy system. 

–  Detailed eligibility rules are set by the Commission. This ensures in principle the homogeneity of 
the expenditure financed. However it also creates unnecessary workload for national authorities and 
the Commission and increases the risk of errors from beneficiaries and/or Member States due to the 
misinterpretations of EU rules. 

–  The  current  management  and  control  systems  are  very  close  to  those  under  the  Structural  Funds. 
However, they present slight differences, notably in the chain of responsibilities between certifying 
authorities and Audit Authorities. This creates confusion in the Member States, in particular when 
authorities are acting in the 2 types of Funds. It also increases the risk of errors and requires more 
intense monitoring. 

These elements will be changed significantly in this proposal: 

–  The management and control systems will follow the general requirements set in the CSF Funds and 
will fully comply with the new requirements of the new Financial Regulation: the 3 authorities will 
be replaced by 2 authorities (Responsible Authority and Audit Authority) whose roles are clarified 
in view of providing better assurance.  

–  Multi-annual  programming  coupled  with  annual  clearance  based  on  the  payments  made  by  the 
Responsible Authority will align the eligibility periods with the annual accounts of the Commission, 
without increasing the administrative burden compared to the current system. 

–  On  the  spot  checks  will  be  carried  out  as  part  of  the  1st  level  controls,  i.e.  by  the  Responsible 

Authority and will support its annual management declaration of assurance. 

EN 

35 

   EN 

 
–  Clarification and simplification of the eligibility rules as well as their harmonisation with other EU 
financial  support  instruments will reduce mistakes  made by  beneficiaries  who  use assistance from 
different  sources.  These  eligibility  rules  will  be  set  at  national  level,  except  for  some  basic 
principles, similar to those used for the CSF Funds. 

–  The use of simplified costs options is encouraged, especially for small grants. 

In centralised management, the main risks are the following: 

–  Risk  of  weak  correspondence  between  the  projects  received  and  the  political  priorities  of  DG 

HOME; 

–  Risk of poor quality of selected projects and poor technical implementation of the project, reducing 
the  programmes'  impact;  due  to  inadequate  selection  procedures,  lack  of  expertise  or  insufficient 
monitoring; 

–  Risk  of  inefficient  or  non-economic  use  of  funds  awarded,  both  for  grants  (complexity  of 
reimbursing  actual  eligible  costs  coupled  with  limited  possibilities  to  check  eligible  costs  at  the 
desk)  and  for  procurement  (sometimes  limited  number  of  economic  providers  with  the  required 
specialist knowledge entailing insufficient possibilities to compare price offers); 

–  Risk relating to the capacity of (especially) smaller organisations to effectively control expenditure 

as well as to ensure the transparency of operations carried out. 

–  Reputational  risk  for  the  Commission,  if  fraud  or  criminal  activities  are  discovered;  only  partial 
assurance  can  be  drawn  from  the  third  parties'  internal  control  systems  due  to  the  rather  large 
number  of  heterogeneous  contractors  and  beneficiaries,  each  operating  their  own  control  system, 
often rather small in size. 

Most of these risks are expected to be reduced thanks to a better targeting of proposals and the use of 
simplified elements included in the new Financial Regulation. 

2.2.2.  Control method(s) envisaged  

Shared management: 

At Member State level, the proposed architecture of the management and control systems represents 
an evolution of the set-up in place in 2007-2013 and preserves most of the functions carried out in the 
current period including administrative and on-the spot verifications, audits of management and control 
systems and project audits. The  sequence of these functions is nevertheless changed to render on-the 
spot checks a clear responsibility of the Responsible Authority as part and parcel of the preparation for 
the annual clearance of account exercise. 

In  order  to  reinforce  accountability,  Responsible  Authorities  would  be  accredited  by  a  national 
accrediting body in charge of their ongoing supervision. The reduction of the number of authorities – 
no  more  Certifying  Authority  and  reduction  of  the  number  of  Funds  –  is  expected  to  reduce  the 
administrative  burden  and  enhance  the  possibility  for  building  stronger  administrative  capacity,  but 
also permit a clearer division of responsibilities. 

EN 

36 

   EN 

 
To  date  no  reliable  estimation  is  available  regarding  the  cost  of  controls  of  the  shared  management 
Funds in the Home Affairs area. The only estimation available is related to the ERDF and the Cohesion 
Fund  where  the  costs  of  tasks  related  to  controls  (at  national  level  excluding  the  costs  of  the 
Commission)  are  estimated  around  2%  of  the  total  funding  administered  in  the  period  2007-2013. 
These costs are related to the following areas of control: 1% is derived from national coordination and 
programme preparation, 82% relate to programme management, 4% to certification and 13% to audit.  

The following proposals will increase the costs of control: 

–  the creation and functioning of an accrediting body and in general the change of system; 

–  the submission of a management declaration accompanying the annual accounts;  

–  the on-the-spot checks to be made by the Responsible Authority; 

–  the need for additional audit activity by the Audit Authorities to audit the management declaration.  

There are however also proposals which will reduce the costs of control:  

–  Certifying Authority will cease to exist. Although their functions will be partially transferred to the 
Responsible  Authority,  this  will  allow  the  Member  State  to  save  a  substantial  part  of  the  costs 
relating  to  certification  due  to  better  administrative  efficiency,  reduced  need  for  coordination  and 
reduction of the scope of audits; 

–  The controls to be performed by the Audit Authority will be more oriented towards re-performing (a 
sample  of)  the  1st  level  administrative  and  on-the  spot  controls  carried  out  by  the  Responsible 
Authority.  This  will  speed  up  the  adversarial  procedure  and  ensure  that  all  necessary  controls  are 
carried out before the submission of the annual accounts; 

–  The  use  of  simplified  costs  will  reduce  administrative  costs  and  burdens  at  all  levels,  for  both 

administrations and beneficiaries; 

–  Annual closure, and the limitation of the period for conformity clearance to 36 months will reduce 
of  the  period  of  retention  of  documents  for  control  purposes  for  public  administrations  and 
beneficiaries; 

–  The setting-up of electronic communication flows between the Commission and the Member States 

will be mandatory. 

To  these  must  be  added  the  elements  of  simplification  listed  under  §2.2.1  above  that  will  also 
contribute to the reduction of administrative burden for beneficiaries and thus represent a simultaneous 
reduction of risks of error and of administrative burden.  

Therefore, overall it is expected that these proposals will lead to a redistribution of control costs rather 
than  an  increase  or  a  reduction.  It  is  however  anticipated  that  this  redistribution  of  costs  (across 
functions  and  due  to  the  proportionate  control  arrangements,  also  across  Member  States  and 
programmes)  will  enable  a  more  effective  mitigation  of  risks  and  a  better  and  quicker  chain  of 
assurance. 

EN 

37 

   EN 

 
At Commission level, the cost of management and controls for shared management is not expected to 
decrease  in  the  first  half  of the  programming  period.  This  is  firstly  the  case  because  the  amount  and 
policy areas concerned by shared management will expand compared to the current period. Therefore 
maintaining the same resources will already require gains in efficiency. In addition, the first years will 
be characterised by the conjunction of many important tasks to carry out: closure of programmes 2007-
2013 (last closure reports due by 31 March 2016), policy dialogiues and approval of the multi-annual 
national programmes 2014-2020, the setting-up of the new clearance of accounts system. In the second 
half  of  the  period  the  potential  resources  available  will  be  used  to  improve  the  evaluation  and 
monitoring. 

Centralised management 

As regards centralised management, the Commission will continue to apply its current control system 
that  is  composed  of  the  following  building  blocks:  supervision  of  operations  by  the  operational 
directorates, the ex-ante control by the Budget and Control Unit, the Internal Procurement Committee 
(JPS/HPC),  the  ex-post  controls  for  grants  or  the  audits  from  the  Internal  Audit  Capacity  and/or  the 
Internal  Audit  Service.  The  ex-post  control  sector  applies  a  "detection  strategy"  aimed  at  detecting  a 
maximum of anomalies in view of recovering undue payments. Based on this strategy, the audits are 
carried out on a sample of projects selected almost entirely on the basis of a risk analysis.  

Thanks to this combination of ex-ante and ex-post controls as well as desk checks and on-site audits, in 
the  past  years  the  quantifiable  average  residual  error  rate  was  lower  than  2%.  Therefore,  the  internal 
control system as well as its cost is deemed adequate in DG HOME to achieve the objective of a low 
error rate. 

However,  within  this  framework,  DG  HOME  will  continue  to  explore  possibilities  to  enhance  the 
management and to increase simplification. In particular, all simplified options made available in the 
new Financial Regulation will be used as much as possible as it is expected that they will contribute to 
the reduction of administrative burden for beneficiaries and thus represent a simultaneous reduction of 
risks of error and of administrative burden for the Commission. 

New strands 

The  proposals  foresee  new  strands  for  EU  funding  in  the  home  affairs  area,  e.g.  a  better  use  of  the 
expertise existing in the EU agencies, the development of the external dimension and the strengthening 
of the emergency mechanisms. 
These will require new management and control methods for DG Home. 
The  amounts  that  will  be  devoted  to  these  new  strands  are  not  fixed  yet,  but  they  are  unlikely  to  be 
significant compared to the overall home affairs budget. However, it will be very important to set up 
the internal means and working arrangements to implement these new tasks as early as possible within 
the period, in full respect of the principles of sound financial management.  

The  analysis  above  shows  clearly  that,  despite  all  simplifications  introduced,  the  level  of  human 
resources required to implement the increased budget of DG HOME will have to be reinforced. 
The  human  resources  required  will  be  met  by  staff  from  the  DG  that  are  already  assigned  to 
management of the action and/or have been redeployed within the DG, together if necessary with any 
additional allocation which may be granted to the managing DG under the annual allocation and in the 
light of budgetary constraints 

EN 

38 

   EN 

 
 
 
 
 
2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

In  addition  to  the  application  of  all  regulatory  control  mechanisms,  DG  HOME  will  devise  an  anti-
fraud strategy in line with the Commission's new anti-fraud strategy (CAFS) adopted on 24 June 2011 
in order to ensure inter alia that its internal anti-fraud related controls are fully aligned with the CAFS 
and  that  its  fraud  risk  management  approach  is  geared  to  identify  fraud  risk  areas  and  adequate 
responses.  Where  necessary,  networking  groups  and  adequate  IT  tools  dedicated  to  analysing  fraud 
cases related to the Funds will be set up. 

As regards shared management, the CAFS identifies clearly the need for the Commission proposals for 
2014-2020 regulations to request Member States to put in place fraud prevention measures which are 
effective  and  proportionate  to  the  identified  fraud  risks.  The  current  proposal  includes  in  Article  5  a 
clear requirement for the Member States to prevent, detect and correct irregularities and to report to the 
Commission.  Further  details  as  regards  these  obligations  will  be  part  of  the  detailed  rules  on  the 
functions of the Responsible Authority as foreseen in Article 24(5)(c).  

In  addition,  the  re-use  of  funds  coming  from  financial  correction  based  on  commission  or  Court  of 
Auditors findings has been clearly indicated in Article 41. 

EN 

39 

   EN 

 
3. 

3.1. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 
financial 
framework 

Number 

Budget line 

Type of  
expenditure

Diff. (29) 

Contribution  

from 
EFTA30 
countries 

from 
candidate 
countries31 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

3  

Diff 

NO 

NO 

NO 

NO 

•  New budget lines requested  

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 
financial 
framework 

Number  
Heading 3 

Budget line 

Type of 
expenditure

Contribution  

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

3 

3 

3 

3 

18 01 04 bb - Internal Security Fund – 
Police & Crime - Technical assistance 

Non 
Diff 

NO 

NO 

18 02 bb - Internal Security Fund - 
Police & Crime 

Diff 

NO 

NO 

YES 

YES 

18 01 04 cc - Internal Security Fund – 
Borders & Visas - Technical 
assistance 

Non 
Diff 

NO 

NO 

YES 

18 02 cc - Internal Security Fund - 
Borders & Visas 

Diff 

NO 

NO 

YES 

NO 

NO 

NO 

NO 

Contributions from third Countries concern both components of the Internal Security Fund. 

The criteria and the method to calculate these contributions are to be negotiated between the EU and 
the  Associated  States  on  the  basis  of  a  separate  procedure.  Assuming  percentages  similar  to  those 
currently  used  under  the  EBF,  the  Associated  States  would  be  called  upon  to  contribute  with  about 

29 
30 
31 

Diff. = Differentiated appropriations / Non-Diff. = Non-differentiated appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

EN 

40 

   EN 

 
 
 
  
                                                 
EUR 210 million  to  the  Borders  and  Visa  component  and  with  about  EUR 50 million  to  the  Police 
cooperation component.  

EN 

41 

   EN 

 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

Number 3  Security and Citizenship 

EUR million (to 3 decimal places) 

DG HOME 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

After 2020 

TOT

(cid:121) Operational appropriations (current prices)  

18 02 bb  
Internal  Security  Fund  –  Police 
and Crime 

18 02 cc  
Internal Security Fund - Borders & 
Visas 

Commitments 

Payments 

Commitments 

Payments 

(1a) 

(2a) 

(1a) 

(2a) 

Appropriations of an administrative nature financed 
from the envelope for specific programmes32  

18 01 04 bb 
Internal Security Fund– Police and 
Crime 

18 01 04 cc 
Internal Security Fund - Borders & 
Visas 

135.076 
15.714 

143.047 
43.881 

151.283 
71.419 

159.791 
111.709 

168.578 
147.854 

177.653 
156.248 

187.022 
164.918 

422.310 
59.999 

447.186 
120.794 

472.886 
223.204 

499.435 
350.813 

526.856 
461.098 

555.173 
487.256 

584.412 
514.275 

1,12

410.707 

1,12

- 

3,50

1,290.818 

3,50

0.800 

0.800 

0.800 

0.800 

0.800 

0.800 

0.800 

1.700 

1.700 

1.700 

1.700 

1.700 

1.700 

1.700 

32 

EN 

Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct 
research. 

42 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL appropriations 
for DG HOME 

Commitments 

Payments 

=1+1
a +3 

=2+2
a 

+3 

559,886 

592,733 

626,669 

661,726 

697,934 

735,326 

773,934 

4.64

78,213 

167,174 

297,123 

465,023 

611,452 

646,004 

681,693 

1.701,525 

4.64

EN 

43 

E

 
  
 
 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

As there are common elements in the implementation of the Asylum and Migration Fund and the Internal Security Fund such as a policy dialogue with 
each Member States and given that the internal organisation of DG HOME in order to ensure the management of the new Funds (as well as the closure 
of the programmes currently managed) may evolve, it is not possible to split the Administrative expenditure between the Asylum and Migration Fund 
and the Internal Security Fund. 

Therefore the figures related to Heading 5 below correspond to the total administrative expenditure deemed necessary to ensure management of both 
Funds by DG and there is no total of appropriations.  

2014 

2015 

2016 

2017 

2018 

2019 

2020 

After 2020 

TOT

EUR million (to 3 decimal places) 

DG: HOME 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

20.841 

20.841 

20.841 

20.841 

20.841 

20.841 

20.841 

0,156 

0,159 

0,162 

0,165 

0,168 

0,172 

0,175 

TOTAL DG HOME 

Appropriations  

20.997 

21.000 

21.003 

21.006 

21.009 

21.013 

21.016 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total  commitments 
= Total payments) 

20.997 

21.000 

21.003 

21.006 

21.009 

21.013 

21.016 

1

1

1

TOTAL appropriations  

Commitments 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TO

EUR million (to 3 decimal places) 

EN 

44 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
under HEADINGS 1 to 5 

of the multiannual financial framework   Payments 

EN 

45 

E

 
  
 
 
 
 
 
 
 
 
 
3.2.2.  Estimated impact on operational appropriations  

–  (cid:133)  The proposal/initiative does not require the use of operational appropriations  

–  (cid:59)  The proposal requires the use of operational appropriations, as explained below: 

Home Affairs policy is implemented mainly by shared management. While spending priorities are set at the EU level, actual day-to-day 
management is vested in Responsible Authorities at national level. Common output indicators and targets will be decided together by the 
Commission  and  the  Responsible  Authorities  as  part  of  their  national  programmes,  and  approved  by  the  Commission.  It  is  therefore 
difficult to indicate targets for outputs until the programmes are drafted, negotiated and approved in 2013/14. 
As regards centralised management, it is also not possible for DG HOME to provide an exhaustive list of all outputs to be delivered by 
means of the financial intervention under the Funds, their average costs and numbers, as requested by this section. There are no statistical 
tools  at  the  moment  allowing  the  calculation  of  meaningful  average  costs  on  the  basis  of  the  current  programmes,  and  such  a  precise 
definition would be contrary to the principle that the future programme should provide enough flexibility to cater for adapting to political 
priorities between 2014-2020. This is particularly true for emergency assistance and actions in and in relation to third countries. 

Commitment appropriations in EUR million (to 3 decimal places) 

Indicate 
objectives and 
outputs  

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as necessary to show 
the duration of the impact (see point 1.6) 

TOTAL 

OUTPUTS 

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

Total 
number 
of 
outputs 

Total  
cost 

(cid:216) 

Type 
of 
output
33 

Avera
ge 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

SPECIFIC OBJECTIVE No 134… 

- Output 

- Output 

33 
34 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in Section 1.4.2. "Specific objective(s)…" 

EN 

46 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
- Output 

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2… 

- Output 

Sub-total for specific objective N°2 

TOTAL COST 

EN 

47 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  (cid:133)  The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  (cid:59)  The  proposal  requires  the  use  of  administrative  appropriations,  as  explained 

below: 

As there are common elements in the implementation of the Asylum and Migration Fund and 
the Internal Security Fund such as a policy dialogue with each Member States and given that 
the internal organisation of DG HOME in order to ensure the management of the new Funds 
(as well as the closure of the programmes currently managed) may evolve, it is not possible to 
split the Administrative expenditure between the Asylum and Migration Fund and the Internal 
Security Fund. 

Therefore  the  figures  related  to  Heading  5  below  correspond  to  the  total  administrative 
expenditure  deemed  necessary  to  ensure  management  of  both  Funds  by  DG  and  there  is  no 
total of appropriations.  

EUR million (to 3 decimal places) HOME 

HEADING 5 
of the multiannual 
financial 
framework35 

Human 
HOME 

resources 

Other  administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 536 
of the multiannual 
financial framework 37 

Human 
HOME  

resources 

Other 
expenditure  
of  an  administrative 
nature 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

20.841 

20.841 

20.841 

20.841 

20.841 

20.841 

20.841 

145,887 

0,156 

0,159 

0,162 

0,165 

0,168 

0,172 

0,175 

1,157 

20.997 

21.000 

21.003 

21.006 

21.009 

21.013 

21.016 

147.044 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

0.640 

0.640 

0.640 

0.640 

0.640 

0.640 

0.640 

4.480 

1.860 

1.860 

1.860 

1.860 

1.860 

1.860 

1.860 

13.020 

35 

36 

37 

Global  envelope,  based  on  the  2011  Final  Allocation  for  Human  Resources,  including  officials  and 
external staff 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 
External  staff  financed  from  former  BA  lines,  based  on  the  2011  Final  Allocation  for  Human 
Resources, including external staff at Headquarters and in Delegations 

EN 

48 

   EN 

 
 
                                                 
Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

2.500 

2.500 

2.500 

2.500 

2.500 

2.500 

2.500 

17.500 

TOTAL 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A

EN 

49 

   EN 

 
 
3.2.3.2.   Estimated requirements of human resources  

–  (cid:133)  The proposal/initiative does not require the use of human resources  

–  (cid:59)  The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: Figures used for the year n are the ones for 2011.  

As there are common elements in the implementation of the Asylum and Migration Fund and 
the Internal Security Fund such as a policy dialogue with each Member States and given that 
the internal organisation of DG HOME in order to ensure the management of the new Funds 
(as well as the closure of the programmes currently managed) may evolve, it is not possible to 
split the Administrative expenditure between the Asylum and Migration Fund and the Internal 
Security Fund. 

Therefore  the  figures  related  to  Heading  5  below  correspond  to  the  total  administrative 
expenditure  deemed  necessary  to  ensure  management  of  both  Funds  by  DG  and  there  is  no 
total of appropriations.  

Estimate to be expressed in full amounts (or at most to one decimal place) 

Year 
N 

Year
N+1 

Year 
N+2 

Year N+3 

Year
N+4 

Year
N+5 

Year
N+6 

(cid:121) Establishment plan posts (officials and temporary agents) HOME 

18 01 01 01 (Headquarters 
and Commission’s 
Representation Offices) 

136 

136 

136 

136 

136 

136 

136 

XX 01 01 02 (Delegations) 

15 

15 

15 

15 

15 

15 

15 

18 01 05 01 (Indirect 
research) 

10 01 05 01 (Direct research) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)38 

18 02 01 (CA, INT, SNE 
from the "global envelope") 

XX 02 02 (CA, INT, JED, LA 
and SNE in the delegations) 

16 

10 

18 01 
04 bb 
39 

18 01 04 

- at 
Headquarters40 

4 

- in delegations  
- at Headquarters4 6 

- in delegations  

* 

* 

16 

10 

4 

* 

6 

* 

16 

10 

4 

* 

6 

* 

16 

10 

4 

* 

6 

* 

16 

16 

16 

10 

10 

10 

4 

* 

6 

* 

4 

* 

6 

* 

4 

* 

6 

* 

38 

39 
40 

41 
42 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young 
Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 

EN 

50 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
XX 01 05 02 (CA, INT, SNE 
- Indirect research) 

10 01 05 02 (CA, INT, SNE - 
Direct research) 

Other 13 01 04 02) 

TOTAL 

N/A 
XX is the policy area or budget title concerned. 

N/A 

N/A 

N/A 

N/A  N/A  N/A 

The  human  resources  required  will  be  met  by  staff  from  the  DG  that  are  already 
assigned to management of the action and/or have been redeployed within  the DG, 
together  if  necessary  with  any  additional  allocation  which  may  be  granted  to  the 
managing DG under the annual allocation and in the light of budgetary constraints. 
Amounts  and  imputations  would  be  adjusted  in  the  event  of  any  externalisation 
process to an Executive Agency. 

Description of tasks to be carried out: 

Officials  and  temporary  agents  at 
headquarters 

The  tasks  to  be  carried  out  comprise  all  tasks  necessary  to  the  management  of  a 
financial programme, such as: 

- providing input to the budgetary procedure; 
- conducting the policy dialogue with Member States;  
-  preparing  annual  work  programmes/financing  decisions,  establishing  annual 
priorities, approving national programmes; 
-  managing  national  programmes,  calls  for  proposals  and  calls  for  tenders  and  the 
subsequent selection procedures; 
-  communicating  with  stakeholders  (potential/actual  beneficiaries,  Member  States, 
etc); 
- drafting guidelines to Member States 
- managing projects, operationally and financially; 
-  performing  controls,  as  described  above  (ex  ante  verification,  procurement 
committee, ex post audits, internal audit, clearance of accounts); 
- accounting; 
- developing and managing grant and national programme management IT tools;  
- monitoring and reporting on achievement of objectives, including in Annual Activity 
Reports and Authorising Officer Sub-Delegation reports 

The tasks are similar to those of officials and temporary agents, except for tasks that 
cannot be fulfilled by external personnel 

To accompany the development of the policy implementation in home affairs area, and 
in  particular  its  external  dimension,  EU  delegations  will  need  to  be  equipped  with 
sufficient home affairs expertise. This could be staff from the European Commission 
and/or the European External Action Service. 

External personnel 

Personnel in delegations 

EN 

51 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.4.  Compatibility with the current multiannual financial framework  

–  (cid:59)  Proposal/initiative is compatible the next multiannual financial framework. 

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

multiannual financial framework. 

Explain  what  reprogramming  is  required,  specifying  the  budget  lines  concerned  and  the  corresponding 
amounts. 

–  (cid:133)  Proposal/initiative requires application of the flexibility instrument or revision of the 

multiannual financial framework43. 

Explain what is required, specifying the headings and budget lines concerned and the corresponding amounts. 

3.2.5.  Third-party contributions  

–  The proposal/initiative does not provide for co-financing by third parties  

–  (cid:59)  The  proposal  provides  that  European  funding  needs  to  be  co-financed.  The  exact 
amount  cannot  be  quantified.  The  regulation  establishes  maximum  co-financing  rates 
differentiated in line with the types of actions: 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

Total 

Appropriations in EUR million (to 3 decimal places) 

Specify  the  co-financing 
body  

TOTAL 
cofinanced  

appropriations 

MS 

MS 

MS 

MS 

MS 

MS 

MS 

tbd 

tbd 

tbd 

tbd 

tbd 

tbd 

tbd 

43 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

52 

   EN 

 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

–  (cid:59)  Proposal/initiative has no financial impact on revenue. 

–  (cid:133)  Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriations 
available for the 
ongoing budget 
year 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative44 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… insert as many columns as necessary 
in order to reflect the duration of the 
impact (see point 1.6) 

For miscellaneous assigned revenue, specify the budget expenditure line(s) affected. 

Specify the method for calculating the impact on revenue. 

44 

As  regards  traditional  own  resources  (customs  duties,  sugar  levies),  the  amounts  indicated  must  be  net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

53 

   EN