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 external borders and visa
Date: 2011-11-15
Institutions: European Commission
Subjects: EU police cooperation, EU visa policy, external border of the EU, fund (EU), migration control, public safety

EUROPEAN COMMISSION 

Brussels, 15.11.2011 
COM(2011) 750 final 

2011/0365 (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 external borders and visa 

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

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

The policies related 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 Union 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 Programme,1 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. For border management and visa policy, the Communication on Migration3 
outlined  in  more  detail  the  challenges  ahead  in  relation  to  border  security  and  the 
development  of  an  area  without  internal  borders.  The  Communication  on  the  Schengen 
governance4 presented proposals to strengthen the Schengen acquis by means of a governance 
system capable of responding effectively, and in a timely and coordinated Union-wide way, to 
exceptional  circumstances  and  challenges  which  might  put  the  overall  functioning  of 
Schengen  at  stake.  The  Communication  on  smart  borders  –  options  and  the  way  ahead5 
outlines  how  new  IT  systems  such  as  an  Entry/exit  system  and  a  Registered  Traveller 
Programme can contribute to a better management of migration flows in the Union.  

A  key  component  in  the  common  integrated  border  management  system  has  been  the 
development  of  Union  solidarity  mechanisms,  supporting  a  uniform  and  high-quality 
application  of  the  Union  standards  on  border  management  and  the  common  visa  policy. 
Enhancing  the  coordination  of  operational  co-operation  by  the  Member  States  on  border 
control through the Frontex Agency constitutes an important step towards the development of 
the system. Moreover, with the External Borders Fund, the Union expresses solidarity through 
financial  assistance  to  those  Member  States  that  apply  the  Schengen  provisions  on  external 
borders and visa.  

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  2014-20206,  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 the creation of an Asylum and Migration Fund. The Internal 
Security Fund will have a global budget of €  4,648 million (in current prices) to support the 

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4 
5 
6 

OJ C 115, 4.5.2010, p.1  
COM (2010) 673 final 
COM (2011) 248 final 
COM (2011) 561 final  
COM(2011)680 final 
COM(2011) 500 final 

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implementation of the five strategic objectives set by the Internal Security Strategy: disrupting 
international  crime  networks;  preventing  terrorism  and  addressing  radicalisation  and 
recruitment; raising 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 
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  mid-term  evaluation  of  the 
External  Borders  Fund.  In  its  report  of  […  November  2011],  the  Commission  assessed  the 
quantitative  and  qualitative  aspects  of  the  implementation  of  the  Fund  for  the  period  2007-
2009. The report presents an overview of the concrete activities undertaken in Member States 
under the Fund to improve the management of the Union's external borders and the handling 
of visas at national level. It highlights in particular measures by Member States in document 
security,  the  considerable  investments  made  to  reinforce  border  surveillance  capabilities  for 
the Mediterranean and the Atlantic approaches and pilot projects on automated border control 
and registered travellers' programmes. 
The results of a dedicated on-line public consultation on the future of home affairs funding7, 
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.  

7 

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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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  EU 
funding for home affairs. The conference was also an occasion to validate the outcome of the 
stock taking and the public consultation.  

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  during  the  EOS  Conference  on  Industry  and 
Security on 9 February 2011 and at the Immigration and Asylum Committee of 22 February 
2011.  Moreover,  technical  aspects  linked  to  the  implementation  of  the  future  financial 
instrument  in  the  area  of  Internal  Security  were  also  discussed  on  the  basis  of  a  written 
consultation in April 2011 with Member States' experts within the framework of the common 
Committee  for  the  General  Programme  on  Solidarity  and  Management  of  Migration  Flows 
("SOLID Committee").  

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  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". 

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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. Attention is also drawn to Article 80 of the 
Treaty  which  underlines  that  these  policies  of  the  Union  and  their  implementation  shall  be 
governed  by  the  principle  of  solidarity  and  fair  sharing  of  responsibility,  including  its 
financial implications, between the Member States.  

The creation of the Internal Security Fund requires the adoption of two legislative instruments 
which  jointly  constitute  the  Fund.  This  overall  structure  was  chosen  in  light  of  the  Treaty 
obligations.  Due  to  different  voting  rules  in  the  Council  pursuant  to  Protocols  19  (on  the 
Schengen  acquis)  and  21  (the  position  of  the  United  Kingdom  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  financial  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 financing framework of the Internal Security Fund, this Regulation 
defines accordingly the financial support for border management and the common visa policy.  

The legal base for this Regulation is Article 77 of the Treaty.  

Overall, this is an area where there is a clear added value in Union interventions compared to 
Member States acting alone. The Union is in a better position than Member States to provide 
a  framework  for  expressing  Union  solidarity  in  border  control,  visa  policy  and  the 
management of migration flows, and to provide a platform for the development of common IT 
systems  underpinning  these  policies.  The  financial  support  provided  under  this  Regulation 
therefore contributes in particular to strengthening national and European capabilities in those 
areas.  For  that  purpose,  the  Regulation  inter  alia  aims  to  support  more  systematically  the 
services  provided  by  individual  Member  States  in  securing  the  border  free  area  ("operating 
support mechanism"), to enhance the interagency cooperation between border and other law 
enforcement authorities and to increase the available specialised equipment in Member States 
to  be  put  at  the  disposal  of  the  Frontex  Agency  for  joint  operations  in  the  interest  of 
safeguarding the border free area. 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".8 

8 

"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  available  for  the  implementation  of  this  specific 
Regulation amount to EUR 3,520 million. Indicatively, about 61% of this amount (EUR 2,150 
million)  should  be  used  for  national  programmes  of  Member  States  and  the  support  to  the 
Special  Transit  Scheme  implemented  by  Lithuania,  31%  (EUR  1,100  million)  should  be 
dedicated to the development of the smart border package and the remainder should then be 
available  to  fund  Union  actions,  emergency  actions  and  technical  assistance,  whilst  taking 
into  account  also  the  contributions  expected  from  the  Schengen  associated  countries,  which 
would be added to the total envelope.  

EUR million 

Internal Security Fund  

including new IT systems 

- Police cooperation instrument 

- Border instrument 

4,648 

1,128 

3,520 

Moreover, in accordance with the June 2011 Communication, outside the scope of the Internal 
Security  Fund,  a  separate  envelope  of  EUR  822  million  (current  prices)  is  set  aside  for  the 
management  of  existing  large  scale-IT  systems  (Schengen  Information  System  II,  Visa 
Information  System  and  Eurodac).  The  management  of  these  systems  will  gradually  be 
transferred  from  the  Commission  to  the  future  Agency  for  the  Operational  Management  of 
Large-Scale  IT-Systems  in  the  Area  of  Freedom  Security  and  Justice  (IT  Agency)  after  it 
begins operations in late 2012.  

5. 

MAIN ELEMENTS OF THE PROPOSAL  

5.1. 

Focusing on strategic priorities 

By establishing an instrument for the financial support of the management of external borders 
and the common visa policy for the period 2014-2020, the Union will be able to  

•  support and reinforce the national capabilities in the area of border control and visa policy 
and  thus  expressing  financial  solidarity  with  the  tasks  entrusted  to  individual  Member 
States  at  external  borders  and  in  consulates  in  the  interest  of  the  border-free  area  as  a 
public  service  provided  to  the  Union  (national  programmes,  including  "operating 
support");  

• 

• 

finance the development of the smart border package, i.e. the setting up of an EU Entry 
Exit System (EES) and an EU Registered Traveller Programme (RTP); 

finance  the  introduction  and  operation  of  the  European  Border  Surveillance  System, 
EUROSUR,  notably  through  the  purchase  of  equipment,  infrastructure  and  systems  in 
Member States;  

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• 

reinforce  the  Schengen  governance  and  the  evaluation  and  monitoring  mechanism  to 
verify  the  application  of  the  Schengen  acquis  by  (a)  funding  the  operation  of  that 
mechanism  under  direct  management;  (b) 
introducing  conditionalities  based  on 
compliance  with  the  Schengen  acquis  for  the  disbursement  of  operating  support  to 
Member  States  and  (c)  requiring  Member  States  to  (re)allocate  resources  received  for 
programmes under this instrument with priority to remedy weaknesses if these have been 
identified under the mechanism;  

•  boost  the  operational  potential  of  the  Frontex  Agency  by  inviting  Member  States  to 
earmark additional resources under their programmes for specialised equipment which can 
be put at the disposal of the Agency for its joint operations;  

•  support the development and implementation of the relevant Union policies in the EU, in 
and with third countries under "Union actions", thus improving the overall management of 
migration  flows  to  the  Union  (projects  managed  either  directly,  such  as  studies  or  pilot 
projects  to  reinforce  co-operation  with  third  countries,  or  indirectly,  in  accordance  with 
the Financial Regulation9; 

•  have  readily  available  adequate  resources  to  provide  emergency  assistance  in  case  of 

situations of urgent or exceptional migratory pressure;  

•  continue  support  for  the  functioning  of  the  Specific  Transit  Scheme  for  Lithuania,  in 
accordance  with  the  obligations  of  the  EU10,  providing  support  to  compensate  for 
foregone  fees  from  transit  visas  and  additional  costs  incurred  by  Lithuania  in 
implementing  the  Facilitated  Transit  Document  (FTD)  and  Facilitated  Rail  Transit 
Document  (FRTD)  scheme,  such  as  replacing  and  upgrading  equipment,  IT  systems, 
training and operational costs.  

The instrument will allow for a comprehensive support of the four-tiers access controlmodel 
underlining  the  concept  of  integrated  border  management  (measures  in  third  countries,  co-
operation  with  neighbouring  countries,  border  control  and  measures  within  the  area  of 
freedom of movement).  

5.2. Resources for IT systems and the smart borders package  

Under  the  national  programmes,  Members  States  could  use  their  allocations  to  support  the 
management and where appropriate, upgrading of national components of the existing  large 
scale IT systems.  

Moreover, the development and maintenance of future IT systems ("smart borders package") 
in this area will be covered by this instrument. As indicated in the Communication on smart 
borders, the Commission intends to present proposals for a Union Entry Exit System (EES) 
and a Union Registered Traveller Programme (RTP) in the first half of 2012. Consequently, 

9 

10 

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. 
In line with Protocol 5 to the Accession Treaty of Lithuania, for the implementation of the Regulations 
on  the  Facilitated  Transit  Document  (FTD)  and  the Facilitated  Rail  Transit  Document  (FRTD) (OJ L 
99,  17.4.2003,  p.8;  OJ  L  99,  17.4.2003,  p.15),  the  EU  bears  the  additional  cost  of  the  Scheme  and 
compensates  Lithuania  for  not  imposing  fees  when  issuing  the  documents  concerned  for  Russian 
citizens transiting through the EU to and from the Kaliningrad region.  

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under this instrument it is envisaged to establish a specific spending programme only for the 
development of an EEAS and an RTP.  

The  cost  would  include  not  just  the  central  (Union-level)  components  but  also  the  national 
components (Member States) of these IT systems, within the resources available.  

The cost of developing a central and national systems for EES and RTP has been estimated 
between about 1 and 1.3 billion EUR, depending on the options Significant cost savings can 
be achieved if the EES preferred option is built together (i.e. on the same technical platform) 
with  the  RTP  preferred  option11.  On  the  basis  of  these  assumptions  and  given  that 
development  would  only  start  as  from  2015,  it  is  proposed  to  set  aside  1.1  billion  EUR  for 
these  two  systems  under  this  proposal,  without  prejudice  to  the  future  proposals  from  the 
Commission  on  the  smart  borders  package  and  the  subsequent  decision  of  the  European 
Parliament and the Council.  

The Commission envisages to give the implementation tasks of this programme to the Agency 
for the Operational Management of Large-Scale IT-Systems in the area of Freedom, Security 
and Justice established by Regulation (EU) N° 1077/2011 of the European Parliament and the 
Council.12 This Regulation would in this case be amended at the appropriate time to include 
the tasks specifically in the mission of the Agency and the relevant amounts of the Agency's 
subsidy would be met from the operational appropriations of the programme. 

5.3. 

Resources for national programmes  

The current practice under the Funds of the General Programme Solidarity and Management 
of  Migration  Flows  of  fixing  at  the  start  of  the  period  the  criteria  for  the  allocations  which 
Member  States  will  receive  for  the  whole  7-year  period  ensures  continuity  and  a  certain 
degree of predictability. However, it is essentially a static approach which does not incentivise 
the Member States to implement actions which respond to Union priorities and does not allow 
the EU to respond to changing situations and priorities through significant and concentrated 
reallocations of resources. The mechanism chosen for the distribution and implementation of 
resources  under  the  future  Funds  should  therefore  reconcile  the  need  on  the  one  hand  for 
continuity  and  stability,  as  a  pre-condition  for  sound  multiannual  programming,  and  on  the 
other hand the need for more flexibility and adaptation to change. 

In  view  of  the  above,  the  allocation  of  funding  under  shared  management  is  based  on  a 
combination of: 

– 

– 

A basic amount allocated to the Member States at the start of the next Multi-annual 
Financial Framework (MFF); 

A flexible amount to be added to the basic amount, allocated in two phases. 

The  basic  amount  is  allocated  to  the  Member  States  at  the  start  of  the  next  MFF  and 
calculated on the basis of objective criteria and needs. It is 60% of the overall envelope for 
national programmes and the allocations are laid down per Member State in Annex I of this 
Regulation. They are based on the 2010-2012 calculations under the External Borders Fund, 
whilst  incorporating  a  minimum  amount  for  each  Member  State.  This  will  ensure  some 

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12 

Annex on estimated costs of the systems - COM(2011)680 final 
OJ L 286, 1.11.2011, p.1 

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continuity with the current MFF and give the Member States financial stability to plan their 
national multiannual programmes.  

•  The  flexible  amount  will  be  added  to  the basic  amount  depending  on  the  willingness  of 
each  Member  State  to  finance  under  its  national  programme  actions  that  respond  to 
specific  Union  priorities.  These  specific  actions  are  defined  in  Annex  II  and  can  be 
amended. In principle, it would be allocated in two phases: at the start of the MFF, as part 
of  the  policy  dialogue  and  negotiations  on  the  national  programmes  of  the  relevant 
Member States, and during a mid-term review in 2017.  

This  mid-term  review  would  be  the  occasion  to  re-examine  the  situation  in  Member  States 
and  to  allocate  new  resources  for  the  remaining  years  of  the  MFF  (2018-2020).  For  this 
Regulation,  the  mid  term  review  will  be  based  on  a  combination  of  a  forward  looking  risk 
assessment and Union priorities, as redefined by the Union. Because the basic amounts for the 
Member States were determined on the basis of historic data at the start of the programming 
period, an update will be appropriate. These risk/needs assessments could be produced with 
the help of the Frontex Agency. Member States who, on the basis of these assessments, have 
more needs or face increased risks will receive an additional amount, thereby giving tangible 
expression to the principle of solidarity and responsibility-sharing. 

5.4.  Actions in and in relation to third countries  

In relation to the external dimension in this area, there would be targeted support to enhance 
cooperation  with  third  countries  and  to  reinforce  certain  key  aspects  of  their  border 
surveillance and management capabilities in areas of interest to the Union's migration policy 
and  Union's  internal  security  objectives.  For  example,  in  the  framework  of  EUROSUR, 
funding  could  be  made  available  to  link  third  countries'  systems  and  infrastructures  to  the 
Union's in order to allow for the regular exchange of information. 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 support, 
full coherence will be sought with the principles and general objectives of the Union external 
action and foreign policy related to the country or region in question. Complementarity will 
be  ensured  through  enhanced  coordination  with  the  EEAS  and  the  relevant  Commission 
services.  

Such actions will be managed directly by the Commission or indirectly, by entities or persons 
other than Member States in accordance with the Financial Regulation.  

5.5.  Union agencies 

To  use  more  effectively  the  competences  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  Regulation  to  entrust,  with  the  resources  available  under  this  Regulation,  the 
implementation of specific tasks to such agencies, in the framework of their missions and in 
complementarity to their work programmes. For the tasks covered under this Instrument this 
concerns in particular: 

– 

the  European  Agency  for  the  Management  of  Operational  Cooperation  at  the 
External Borders of the Member States of the European Union (Frontex Agency), for 
activities in and outside the Union requiring operational expertise on border control;  

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– 

– 

– 

the  European  Asylum  Support  Office  (EASO),  for  activities  such  as  training  on 
asylum addressed to border guards; 

the European Police Office (Europol) and the European Police College (CEPOL) in 
the  light  of  interagency  co-operation  of  law  enforcement  authorites  with  border 
guards;  

the Agency for the Operational Management of Large-Scale IT-Systems in the Area 
of Freedom Security and Justice (IT Agency) insofar as the development of new IT 
systems is concerned.  

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2011/0365 (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 external borders and visa 

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 
Article 77(2) thereof, 

Having regard to the proposal from the European Commission, 

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

Having regard to the opinion of the European Economic and Social Committee13,  

Having regard to the opinion of the Committee of the Regions14,  

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

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 common measures on the crossing of internal 
borders by persons and border control at external borders and the common visa policy 
as  part  of  a  multi-layer  system  aimed  at  facilitating  legitimate  travel  and  tackling 
illegal immigration.  

The  EU  Internal  Security  Strategy,  adopted  by  the  Council  in  February  201015, 
constitutes  a  shared  agenda  for  tackling  these  common  security  challenges.  The 
Commission's Communication of November 2010 "The EU Internal Security Strategy 
in Action"16 translates the strategy's principles and guidelines into 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. 

13 
14 
15 
16 

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

EN 

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(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

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  legally 
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  established  by  Regulation  …/2012/EU 
establishing as part of the Internal Security Fund, the instrument for financial support 
for police co-operation, preventing and combating crime, and crisis management . This 
comprehensive framework should be complemented by Regulation …/2012/EU laying 
down general provisions on the Asylum and Migration Fund and on the instrument for 
financial support for police co-operation, preventing and combating crime, and crisis 
management17 to which this Regulation should refer as regards rules on programming, 
financial  management,  management  and  control,  clearance  of  accounts,  closure  of 
programmes and reporting and evaluation.  

Solidarity  and  responsibility  sharing  between  Member  States  and  the  Union  in  the 
management  of  the  external  borders  is  one  of  the  five  components  of  the  common 
policy for the management for the external borders.  

The  Internal  Security  Fund  should  express  solidarity  through  financial  assistance  to 
those Member States that fully apply the Schengen provisions on external borders as 
well as to those who are preparing for full participation in Schengen.  

Participation  by  a  Member  State  should  not  coincide  with  its  participation  in  a 
temporary financial instrument of the Union which supports the beneficiary Member 
States  to  finance  inter  alia  actions  at  new  external  borders  of  the  Union  for  the 
implementation  of  the  Schengen  acquis  on  borders  and  visa  and  external  border 
control.  

(10)  The part of the Fund relating to external borders and visa (hereafter "the Instrument") 
should  build  on  the  capacity  building  process  developed  with  the  assistance  of  the 
External  Borders  Fund  established  by  Decision  No  574/2007  of  the  European 
Parliament and the Council18 and extend it to take into account new developments.  

(11)  When  executing  tasks  at  external  borders  and  consulates  in  accordance  with  the 
Schengen  acquis  on  borders  and  visas,  Member  States  carry  out  activities  in  the 
interest  of  and  on  behalf  of  all  other  Member  States  in  the  Schengen  area  and  thus 
performing a public service for the Union. To express solidarity, the Instrument should 
contribute to supporting operating costs related to border control and visa policy and 

17 
18 

[OJ L … to be completed] 
OJ L144, 6.6.2007, p.22 

EN 

12 

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enable  Member  States  to  systematically  maintain  capabilities  crucial  for  that  service 
for all. Such support consists of full reimbursement of a choice of costs related to the 
objectives  under  this  instrument  and  will  form  an  integral  part  of  the  national 
programmes.  

(12)  The Instrument should complement and reinforce the activities undertaken to develop 
operational cooperation under the aegis of the European Agency for the Management 
of  Operational  Cooperation  at  the  External  Borders  of  the  Member  States  of  the 
European Union as established by Regulation (EC) No 2007/2004 (hereinafter referred 
to  as  "the  Frontex  Agency")19,  including  the  new  activities  resulting  from  the 
amendments  introduced  by  Regulation  […]20,  and  thereby  further  reinforce  the 
solidarity between those Member States controlling external borders in the interest and 
on behalf of the the Schengen area as a whole.  

(13)  This  instrument  should  be  implemented  in  full  respect  of  the  rights  and  principles 

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

(14)  To  ensure  a  uniform  and  high-quality  external  border  control  and  to  facilitate 
legitimate  travel  across  external  borders  within  the  framework  of  the  EU  internal 
security strategy, the Instrument should contribute to the development of a European 
common  integrated  border  management  system,  which  includes  all  the  measures 
involving  policy,  legislation,  systematic  co-operation,  the  distribution  of  the  burden, 
personnel,  equipment  and  technology  taken  at  different  levels  by  the  competent 
authorities of the Member States, acting in co-operation with the Frontex Agency, with 
third-countries  and,  where  necessary,  with  other  actors,  utilising,  inter  alia,  the  four-
tier border security model and integrated risk analysis of the European Union.  

(15) 

In  accordance  with  Protocol  No  5  to  the  2003  Act  of  Accession21  on  the  transit  of 
persons  by  land  between  the  region  of  Kaliningrad  and  other  parts  of  the  Russian 
Federation,  the  Instrument  should  bear  any  additional  cost  incurred  in  implementing 
the  specific  provisions  of  the  Union  acquis  covering  such  transit,  i.e.  Council 
Regulation (EC)  No  693/2003  of  14  April  2003  establishing  a  specific  Facilitated 
Transit Document (FTD), a Facilitated Rail Transit Document (FRTD) and amending 
the  Common  Consular  Instructions  and  the  Common  Manual22  and  Council 
Regulation (EC) No 694/2003 on uniform formats for Facilitated Transit Documents 
(FTD)  and  Facilitated  Rail  Transit  Documents  (FRTD)  provided  for  in  Regulation 
(EC)  No  693/200323.  The  need  for  continued  financial  support  for  foregone  fees, 
however,  should  be  dependent  upon  the  visa  regime  of  the  Union  in  force  with  the 
Russian Federation.  

(16) 

 It  should  include  support  for  national  measures  and  cooperation  between  Member 
States in the area of visa policy and other pre-frontier activities that take place prior to 
external  border  controls.  The  efficient  management  of  activities  organised  by  the 
services of the Member States in third countries is in the interest of the common visa 
policy  as  part  of  a  multi-layered  system  aimed  at  facilitating  legitimate  travel  and 

19 
20 
21 
22 
23 

OJ L 349, 25.11.2004, p.1 
OJ to be completed 
OJ L 236, 23.9.2003, p. 946. 
OJ L 99, 17.4.2003, p. 8. 
OJ L 99, 17.4.2003, p. 15. 

EN 

13 

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tackling  irregular  immigration  into  the  European  Union,  and  constitutes  an  integral 
part of the common integrated border management system.  

(17)  Moreover, it should support measures in the territory of the Schengen countries as part 
of  the  development  of  a  common  integrated  border  management  system  which 
strengthens the overall functioning of the Schengen area.  

(18)  The  Instrument  should  also  support  the  development  by  the  European  Union  of  IT 
systems which would equip Member States with the tools to manage the movement of 
third-country  nationals  across  borders  more  efficiently  and  to  ensure  a  better 
identification  and  verification  of  travellers  ("smart  borders").  To  this  end,  a 
programme  should  be  established  the  aim  of  which  is  to  cover  cost  for  the 
development  of  both  the  central  and  national  components  of  such  systems,  ensuring 
technical  consistency,  cost  savings  and  a  smooth  implementation  in  the  Member 
States.; 

(19)  To address immediately unforeseen migratory pressure and threats to border security it 
should be possible to provide emergency assistance in accordance with the framework 
set out in Regulation … 2012/EU laying down general provisions on the Asylum and 
Migration  Fund  and  on  the  instrument  for  financial  support  for  police  co-operation, 
preventing and combating crime, and crisis management.  

(20)  Moreover,  in  the  interest  of  enhanced  solidarity  in  the  Schengen  area  as  a  whole, 
where  weaknesses  or  possible  threats  are  identified,  notably  following  a  Schengen 
evaluation,  the  Member  State  concerned  should  follow  the  matter  up  adequately  by 
using  resources  under  its  programmes  by  priority,  where  applicable,  complementing 
emergency assistance measures.  

(21)  To  reinforce  solidarity  and  responsibility  sharing,  Member  States  should  be 
encouraged to use a part of the resources available under the programmes for specific 
priorities defined by the Union, such as the purchase of technical equipment needed by 
the Frontex Agency and the development of consular co-operation for the Union.  

(22)  To safeguard the application of the Schengen acquis throughout the Schengen area, the 
implementation  of  the  Regulation  on  the  establishment  of  an  evaluation  and 
monitoring mechanism to verify the application of the Schengen acquis24 should also 
be  supported  under  this  Regulation,  as  an  essential  tool  to  accompany  the  policies 
ensuring the absence of any controls on persons.  

(23) 

In light of the experiences gained with the External Borders Fund and the development 
of  the  SIS  and  VIS,  it  is  considered  appropriate  to  allow  for  flexibility  regarding 
possible transfers of resources between the different means of implementation of the 
objectives pursued under the Instrument, without prejudice to the principle of ensuring 
from  the  start  a  critical  mass  and  financial  stability  for  the  programmes  and  the 
operating support for Member States.  

(24) 

In the same vein, the scope of the actions and the ceiling for resources which remain 
available to the Union ("Union actions") should be increased to enhance the capacity 
of the Union to carry out in a given budget year multiple activities on the management 

24 

COM (2011) 559 final 

EN 

14 

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of external borders and the common visa policy in the interest of the Union as a whole, 
when  and  insofar  as  the  needs  arise.  Such  Union  actions  include  studies  and  pilot 
projects  to  further  the  policy  and  its  application,  measures  or  arrangements  in  third 
countries  addressing  migratory  pressures  from  those  countries  in  the  interest  of  an 
optimal management of migration flows into the Union and an efficient organisation 
of the related tasks at external borders and consulates. 

(25)  Measures in and in relation to third countries supported through this Instrument should 
be  taken  in  synergy  and  coherence  with  other  actions  outside  the  EU  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. 

(26)  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 European Union is in a better position than Member States to provide a framework 
for expressing Union solidarity in border control, visa policy and the management of 
migration flows, and to provide a platform for the development of common IT systems 
underpinning  these  policies,  financial  support  provided  under  this  Regulation 
contributes  in  particular  to  strengthening  national  and  European  capabilities  in  those 
areas.  

(27) 

In order to supplement or amend provisions in this instrument regarding the definition 
of  specific  actions  under  the  national  programmes  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.  It  is  of  particular  importance  that  the 
Commission carry out appropriate consultations during its preparatory work, including 
at expert level. 

(28)  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. 

(29) 

In  order  to  ensure  a  uniform,  efficient  and  timely  application  of  the  provisions  on 
operating support laid down in this Regulation and to establish the framework for the 
programme on the new IT systems, implementing powers should be conferred on the 
Commission. Those powers should be exercised in accordance with Regulation (EU) 
No  182/2001  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's exercise of implementing powers25.  

(30)  Since  the  objective  of  this  Regulation,  namely  to  provide  for  solidarity  and 
responsibility  sharing  between  member  States  and  the  Union  in  the  management  of 

25 

OJ L 55, 28.2.2011, p. 13. 

EN 

15 

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external borders and visa policy, 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. 

(31)  Decision No 574/2007/EC of the European Parliament and of the Council of 23 May 
2007 establishing the External Borders Fund for the period 2007 to 201326 should be 
repealed. 

(32)  As  regards  Iceland  and  Norway,  this  Regulation  constitutes  a  development  of  the 
Schengen acquis which falls within the areas referred to in Article 1, Points A and B 
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 
acquis27.  

(33)  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,  Points  A  and  B  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 Agreement28. 

(34)  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, 
Points A and B of Council Decision 1999/437/EC read in conjunction with Article 3 of 
Council  Decision  2011/350/EU  on  the  conclusion,  on  behalf  of  the  Union,  of  the 
Protocol29.  

(35)  Under  the  Protocol  on  the  position  of  Denmark,  annexed  to  the  treaty  on  European 
Union  and the Treaty on the Functioning  of the European Union, Denmark does not 
take  part  in  the  adoption  by  the  Council  of  the  measures  pursuant  to  Title  V  of  Part 
Three of the Treaty on the Functioning of the European Union, with the exception of 
"measures determining the third countries whose nationals must be in possession of a 
visa when crossing the external borders of the Member States, or measures relating to 
a uniform format for visas". This proposal builds on the Schengen acquis, and under 
Article  4  of  the  Protocol  on  the  position  of  Denmark  annexed  to  the  Treaty  on 

26 
27 
28 
29 

OJ L 144, 6.6.2007, p. 22 
OJ L 176 of 10.7.1999, p. 31. 
OJ L 53 of 27.2.2008, p. 1. 
OJ L 160 of 18.6.2011, p. 19 

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European  Union  and  to  the  Treaty  on  the  Functioning  of  the  European  Union, 
Denmark shall decide within a period of six months after the Council has decided on a 
proposal or initiative to build upon the Schengen acquis under the Provisions of Title 
V  of  Part  Three  of  the  Treaty  on  the  Functioning  of  the  European  Union  whether  it 
will implement this Regulation in its national law.  

(36)  This Regulation constitutes a development of the provisions of the Schengen acquis in 
which  the  United  Kingdom  does  not  take  part,  in  accordance  with  Council  Decision 
2000/365/EC of 29 May 2000 concerning the request of the United Kingdom of Great 
Britain  and  Northern  Ireland  to  take  par  in  some  of  the  provisions  of  the  Schengen 
acquis  and  the  subsequent  Council  Decision  2004/926/EC  of  22  December  2004  on 
the  putting  into  effects  of  parts  of  the  Schengen  acquis  by  the  United  Kingdom  of 
Great Britain and Northern Ireland. The United Kingdom is therefore not taking part in 
its adoption and is not bound by it or subject to its application.  

(37) 

 This Regulation constitutes a development of the provisions of the Schengen acquis in 
which Ireland does not take part, in accordance with Council Decision 2001/192/EC of 
28  February  2002  concerning  the  request  of  Ireland  to  take  par  in  some  of  the 
provisions of the Schengen acquis. Ireland is therefore not taking part in its adoption 
and is not bound by it or subject to its application.  

HAVE ADOPTED THIS REGULATION: 

CHAPTER I 

GENERAL PROVISIONS 

Article 1 

Purpose and scope  

1. 

This Regulation establishes the instrument for financial support for the management 
of  external  borders  and  the  common  visa  policy  (hereinafter  referred  to  as  the 
"Instrument")  as  part  of  the  Internal  Security  Fund  (hereinafter  referred  to  as  "the 
Fund").  

Jointly  with  Regulation  …/2012/EU  establishing  as  part  of  the  Internal  Security 
Fund,  the  instrument  for  financial  support  for  police  co-operation,  preventing  and 
combating crime, and crisis management,  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 of financial support and the eligible actions;  

(b) 

the general framework for the implementation of eligible actions;  

(c) 

the resources made available under this instrument from 1 January 2014 to 31 
December 2020 and their distribution;  

EN 

17 

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(d) 

the  scope  and  purpose  of  the  different  specific  means  through  which  the 
expenditure for the management of the external borders and the common visa 
policy is financed.  

3. 

This Regulation provides for the application of the rules set out in Regulation (EU) 
No ..2012 [Horizontal Regulation] .  

Article 2 

Definitions 

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

(a) 

'external  borders'  means  the  Member  States'  land  borders,  including  river  and  lake 
borders, sea borders and their airports, river ports, sea ports and lake ports to which 
the provisions of Union law on the crossing of external borders apply, whether these 
borders are temporary or not; 

(b) 

'temporary external borders' means  

– 

– 

the common border between a Member State fully implementing the Schengen 
acquis  and  a  Member  State  bound  to  apply  the  Schengen  acquis  in  full,  in 
conformity  with  its  Act  of  Accession,  but  for  which  the  relevant  Council 
Decision authorising it to fully apply that acquis has not entered into force; 

the common border between two Member States bound to apply the Schengen 
acquis  in  full,  in  conformity  with  their  respective  Acts  of  Accession,  but  for 
which the relevant Council Decision authorising them to fully apply that acquis 
has not yet entered into force; 

'border  crossing  point'  means  any  crossing  point  authorised  by  the  competent 
authorities  for  the  crossing  of  external  borders  as  notified  in  accordance  with 
Article 34(2) of Regulation (EC) No 562/2006; 

'Schengen  evaluation  and  monitoring  mechanism'  means  the  verification  of  the 
correct  application  of  the  Schengen  acquis  as  laid  down  in  Regulation  No  … 
/2012/EU 30[X]; 

'emergency  situation'  means  a  situation  of  urgent  and  exceptional  pressure  where  a 
large or disproportionate number of third-country nationals cross or are expected to 
cross the external border of one or more Member States. 

(c) 

(d) 

(e) 

Article 3 

Objectives  

1. 

The general objective of the Instrument shall be to contribute to ensuring a high level 
of security in the European Union.  

30 

COM(2011)559 final 

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2. 

Within the general objective set out in paragraph 1, the Instrument shall contribute - 
in line with the priorities identified in relevant EU Strategies, programmes, threat and 
risk assessments - to the following specific objectives: 

(a) 

supporting  a  common  visa  policy  to  facilitate  legitimate  travel,  ensure  equal 
treatment of third country nationals and tackle irregular migration 

The achievement of this objective shall be measured against indicators such as, inter 
alia, 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 

(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 

The achievement of this objective shall be measured against indicators such as, inter 
alia,  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.  

3. 

To  achieve  these  objectives,  the  instrument  shall  contribute  to  the  following 
operational objectives:  

(a)  promoting  the  development  and  implementation  of  policies  ensuring  the 
absence of any controls on persons, whatever their nationality, when crossing 
the internal borders, carrying out checks on persons and monitoring efficiently 
the crossing of external borders;  

(b)  gradually  establishing  an  integrated  management  system  for  external  borders, 
including the reinforcement of interagency co-operation between migration and 
law  enforcement  authorities  of  Member  States  at  the  external  borders  and 
measures  within  the  territory  and  the  necessary  flanking  measures  related  to 
document security and identity management;  

(c)  promoting the development and implementation of the common policy on visas 
and other short-stay residence permits, including consular co-operation;  

(d) 

(e) 

(f) 

setting  up  and  running  IT  systems,  their  communication  infrastructure  and 
equipment  supporting  the  management  of  migration  flows  across  the  external 
borders of the Union;  

ensuring the efficient and uniform application of the Union's acquis on borders 
and visa, including the functioning of the Schengen evaluation and monitoring 
mechanism;  

reinforcing  the  co-operation  between  Member  States  operating  in  third 
countries  as  regards  the  flows  of  third-country  nationals  into  the  territory  of 
Member States, as well as the co-operation with third countries in this regard.  

4. 

The  Instrument  shall  also  contribute  to  the  financing  of  technical  assistance  at  the 
initiative of the Member States and the Commission.  

EN 

19 

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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 …/2012 
[Horizontal Regulation], the Instrument shall support actions in or by Member States 
and in particular the following:  

(a)  border  crossing  infrastructures,  buildings  and  systems  required  at  border 
crossing  points  and  for  surveillance  between  border  crossing  points  and 
effective tackling of illegal crossing of the external borders; 

(b)  operating equipment, means of transport and communication systems required 
for  effective  border  control  and  the  detection  of  persons,  such  as  fixed 
terminals  for  VIS,  SIS  and  the  European  Image  Archiving  System  (FADO), 
including state-of-the-art technology; 

(c) 

IT systems for the management of migration flows across borders;  

(d) 

(e) 

infrastructures, buildings and operating equipment required for the processing 
of visa applications and consular co-operation;  

studies,  pilot  projects  and  actions  aiming  to  foster  interagency  cooperation 
within  Member  States  and  between  Member  States,  and  implementing  the 
recommendations,  operational  standards  and  best  practices  resulting  from  the 
operational cooperation between Member States and Union Agencies.  

2. 

Within  the  objectives  defined  in  Article  3,  this  instrument  shall  support  actions  in 
relation to and in third countries and in particular the following:  

(a) 

(b) 

(c) 

(d) 

information  systems,  tools  or  equipment  for  sharing  information  between 
Member States and third countries;  

actions aiming to foster operational co-operation between Member States  and 
third countries, including joint operations;  

studies,  events,  training,  equipment  and  pilot  projects  to  provide  ad  hoc 
technical and operational expertise to third countries;  

studies,  events,  training,  equipment  and  pilot  projects  implementing  specific 
recommendations, operational standards and best practices, resulting from the 
operational  cooperation  between  Member  States  and  Union  agencies  in  third 
countries.  

Actions referred to in point (a) of paragraph 1 are not eligible at temporary external 
borders.  

Actions related to the temporary and exceptional reintroduction of border control at 
internal borders as referred to in the Schengen Borders Code are not eligible.  

3. 

4. 

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CHAPTER II 

FINANCIAL AND IMPLEMENTATION FRAMEWORK 

Article 5 

Global resources and implementation  

1. 

2. 

3. 

The global resources for the implementation of this Regulation shall be 3,520 EUR 
million.  

The annual appropriations shall be authorised by the budgetary authority within the 
limits of the Financial Framework.  

The global resources shall be implemented through the following means:  

(a)  national programmes, in accordance with Articles 9 and 12; 

(b)  operating support, within the framework of the national programmes and under 

the conditions laid down in Article 10;  

(c) 

the functioning of the Special Transit Scheme, in accordance with Article 11;  

(d)  Union actions, in accordance with Article 13;  

(e) 

emergency assistance, in accordance with Article 14;  

(f)  The implementation of a programme for setting up new IT systems supporting 
the  management  of  migration  flows  across  the  external  borders  of  the  Union 
under the conditions laid down in Article 15;  

(g) 

technical assistance in accordance with Article 16. 

4. 

The  budget  allocated  under  the  Instrument  shall  be  implemented  under  shared 
management  in  accordance  with  Article  55(1)(b)  of  Regulation  (EU)  N°  …./2012 
[New  Financial  Regulation],  with  the  exception  of  Union  actions  referred  to  in 
Article  13,  the  emergency  assistance  referred  to  in  Article  14  and  the  technical 
assistance referred to in Article 16(1).  

The  method(s)  of  implementation  of  the  budget  for  the  programme  on  the 
development of new IT systems shall be set out in the implementing act referred to in 
Article 15(2).  

5. 

The global resources shall be used indicatively as follows: 

(a)  EUR 2,000 million for the national programmes of Member States;  

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(b)  EUR  1,100  million  for  setting  up  the  new  IT  systems  supporting  the 
management  of  migration  flows  across  the  external  borders  of  the  Union 
referred to in Article 15(2);  

(c)  EUR 150 million for the Special Transit Scheme;  

(d)  EUR  270  million  for  Union  actions,  emergency  assistance  and  technical 

assistance at the initiative of the Commission.  

Jointly  with  the  global  resources  established  for  Regulation  No  …  /2012/EU 
establishing as part of the Internal Security Fund, the instrument for financial support 
for police co-operation, preventing and combating crime, and crisis management, 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  Interinstitutional  Agreement  between  the 
European Parliament, the Council and the Commission on cooperation in budgetary 
matters and on sound financial management31.  

The  countries  associated  with  the  implementation,  application  and  development  of 
the  Schengen  acquis  shall  participate  in  the  instrument  in  accordance  with  this 
Regulation.  

Arrangements shall be concluded on the financial contributions by these countries to 
this  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.  

6. 

7. 

8. 

Article 6 

Resources for eligible actions in the Member States 

1. 

EUR 2,000 million shall be allocated to the Member States indicatively as follows: 

(a)  EUR 1,200 million, as indicated in Annex I;  

(b)  EUR 450 million, based on the results of the mechanism described in Article 7;  

(c) 

in the framework of the mid term review and for the period as of budget year 
2018,  EUR  350  million,  the  remainder  of  the  available  appropriations  under 
this Article or another amount, as determined pursuant to paragraph 2, based on 
the results of the risk analysis and the mechanism laid down in Article 8.  

2. 

To  address  properly  the  objectives  under  this  Regulation  in  case  of  unforeseen  or 
new  circumstances  and/or  to  ensure  effective  implementation  of  funding  available 

31 

COM(2011)403 final 

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3. 

1. 

2. 

3. 

1. 

under this Regulation, the Commission shall be empowered to adopt delegated acts 
in accordance with Article 17 to adjust the indicative amount laid down in point c) of 
paragraph 1.  

Member States which accede to the Union in the period 2012-2020 shall not benefit 
from  allocations  for  national  programmes  under  this  instrument  as  long  as  they 
benefit  from  a  temporary  instrument  of  the  Union  which  supports  the  beneficiary 
Member  States  to  finance  actions  at  new  external  borders  of  the  Union  for  the 
implementation  of  the  Schengen  acquis  on  borders  and  visa  and  external  border 
control.  

Article 7 

Resources for specific actions 

Member  States  may,  in  addition  to  their  allocation  calculated  in  accordance  with 
point (a) of Article 6(1), receive an additional amount, provided that it is earmarked 
as  such  in  the  programme  and  shall  be  used  to  achieve  specific  actions  listed  in 
Annex II.  

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article  17  for  the  revision  of  the  specific  actions  listed  in  Annex  II,  if  deemed 
appropriate. On the basis of the new specific actions, Member States may receive an 
additional amount as laid down in paragraph 1, subject to available resources.  

The  additional  amounts  under  this  Article  shall  be  allocated  to  the  Member  States 
concerned  in  the  individual  financing  decision  approving  or  revising  their  national 
programme in accordance with the procedure laid down in Article 14 of Regulation 
(EU) No …./2012 [Horizontal Regulation].  

Article 8 

Resources in the framework of the mid term review 

In order to allocate the amount indicated in point c) of Article 6(1), by 1 June 2017 
the  Commission  shall  establish,  on  the  basis  of  input  and  in  consultation  with  the 
Frontex Agency, a report which, in accordance with the Frontex risk analysis, shall 
set  up  threat  levels  at  the  external  borders  for  the  period  2017-2020.  Threat  levels 
will  be  based  on  the  burden  in  border  management  and  on  the  threats  that  affected 
security at the external borders of the Member States in 2014-2016 and they will take 
into  account  inter  alia  possible  future  trends  on  migratory  flows  and  unlawful 
activities at the external borders considering the likely political, economic and social 
developments  in  the  third  countries  concerned,  in  particular  in  neighbouring 
countries.  

The report shall determine the level of threat for each section of the external border 
by  multiplying  the  length  of  the  border  section  concerned  with  the  weighing 
attributed to it as follows:  

(a) 

external land border: 

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(i) 

factor 1 for normal threat 

(ii) 

factor 3 for medium threat 

(iii)  factor 5 for high threat; 

(b) 

external maritime border: 

(i) 

factor 1 for normal threat 

(ii) 

factor 3 for medium threat 

(iii)  factor 5 for high threat. 

On  the  basis  of  the  report,  the  Commission  shall  determine  which  Member  States 
will  receive  an  additional  amount.  Those  Member  States  which  have  an  increased 
threat level in comparison to the threat level established for the calculation made for 
the  budget  year  2013  under  Decision  574/2007/EC  will  receive  pro  rata  additional 
resources.  

2. 

For the purpose of the distribution of resources under paragraph 1  

(a) 

(b) 

the line between the areas referred to in Article 1 of Council Regulation (EC) 
No 866/2004 of 29 April 2004 on a regime under Article 2 of Protocol No 10 
of the Act of Accession, but not the maritime border north of that line, shall be 
taken  into  account  even  though  it  does  not  constitute  an  external  land  border 
for as long as the provisions of Article 1 of Protocol 10 on Cyprus of the 2003 
Act of Accession remain applicable; 

external maritime borders shall mean the outer limit of the territorial sea of the 
Member States as defined according to Articles 4 to 16 of the United Nations 
Convention  on  the  Law  of  the  Sea.  However,  in  cases  where  long  range 
operations  on  a  regular  basis  are  required  in  order  to  prevent  irregular 
migration/illegal  entry,  this  shall  be  the  outer  limit  of  high  threat  areas.  This 
shall be determined by taking into account the relevant data on these operations 
in 2014-2016 as provided by the Member States in question.  

Moreover, following invitation from the Commission by 1 June 2017, Member States 
may  receive  an  additional  allocation,  provided  that  it  is  earmarked  as  such  in  the 
programme and shall be used to achieve specific actions to be established in the light 
of the priorities of the Union at that time.  

To  that  end,  the  Commission  shall  be  empowered  to  adopt  delegated  acts  in 
accordance with Article 17 for the revision of the specific actions listed in Annex II.  

The addditional amounts under this Article shall be allocated to the Member States 
concerned  in  individual  financing  decision  approving  or  revising  their  national 
programme in accordance with the procedure laid down in Article 14 of Regulation 
(EU) No …./2012 [Horizontal Regulation].  

3. 

4. 

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24 

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1. 

2. 

Article 9 

National programmes 

The  national  programme  to  be  prepared  under  this  Instrument  and  those  to  be 
prepared  under  Regulation  No  …/2012/EU  establishing  as  part  of  the  Internal 
Security  Fund,  the  instrument  for  financial  support  for  police  co-operation, 
preventing and combating crime, and crisis management shall be drawn up jointly by 
Member States and proposed to the Commission as one  single national programme 
for  the  Fund  and  in  accordance  with  Article  14  of  Regulation  (EU)  No  …./2012 
[Horizontal Regulation]. 

Under  the  national  programmes,  to  be  examined  and  approved  by  the  Commission 
pursuant  to  Article  14  of  Regulation  (EU)  No  …../2012  [Horizontal  Regulation], 
Member States shall pursue in particular the following objectives:  

(a)  developing  the  European  Border  Surveillance  System  (EUROSUR)  in 

accordance with Union legislation and guidelines;  

(b) 

(c) 

(d) 

(e) 

(f) 

supporting  and  expanding  the  existing  capacity  at  national  level  in  the 
management of the external borders, bearing in mind inter alia new technology, 
developments  and/or  standards  in  relation  to  the  management  of  migration 
flows;  

supporting the further development of the management of migration flows by 
consular and other services of the Member State in third countries, with a view 
to  facilitating  legitimate  travel  to  and  preventing  irregular  migration  into  the 
Union;  

reinforcing  the  integrated border  management by testing and introducing  new 
tools,  interoperable  systems  and  working  methods  which  aim  to  enhance 
information exchange within the Member State or to improve interagency co-
operation;  

ensuring  the  correct  and  uniform  application  of  the  Union  acquis  on  border 
control  and  visa  in  response  to  weaknesses  identified  at  European  level,  as 
evinced  in  results  established  in  the  framework  of  the  Schengen  evaluation 
mechanism;  

increasing  the  capacity  to  face  upcoming  challenges  including  present  and 
future  threats  and  pressures  at  the  external  borders  of  the  Union,  taking  into 
account in particular the Frontex risk analysis.  

Article 10  

Operating support under the national programmes of the Member States 

1. 

A Member State may use up to 50% of the amount allocated under the Instrument to 
its  national  programme  to  finance  operating  support  to  the  public  authorities 
responsible  for  accomplishing  the  tasks  and  services  which  constitute  a  public 

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25 

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service  for  the  Union.  These  tasks  and  services  relate  to  the  one  or  more  of  the 
objectives referred to in Article 3(2) (a), (c) and (d).  

2. 

Operating support shall be provided only when the following conditions are met by 
the Member State concerned:  

(a) 

compliance with the Union acquis on borders and visa;  

(b) 

compliance  with  Union  standards  and  guidelines  for  good  governance  on 
borders  and  visa,  in  particular  the  Schengen  catalogue  for  external  border 
control, the Practical Handbook for border guards and the Handbook on visa.  

3. 

To  that  end,  before  the  approval  of  the  national  programme,  the  Commission  shall 
assess the baseline situation in Member States which have indicated their intention to 
request operating support.  

The  findings  of  the  Commission  shall  be  the  subject  of  an  exchange  of  views  with 
the Member State concerned.  

Following  the  exchange  of  views,  the  acceptance  by  the  Commission  of  budget 
support within the national programme of a Member State can be made conditional 
upon the programming and completion of a number of actions aiming to ensure that 
the conditions laid down in paragraph 2 are fully met by the time the budget support 
is provided.  

Operating support shall be concentrated on specific tasks and/or services and shall be 
focused on the objectives as laid down in Annex III. It shall entail full reimbursement 
of  the  expenditure  incurred  to  accomplish  the  tasks  and/or  services  defined  in  the 
national programme, within the financial limits set by the programme and the ceiling 
laid down in paragraph 1.  

Operating  support  shall  be  the  subject  of  monitoring  and  exchange  of  information 
between the Commission and the Member State concerned in relation to the baseline 
situation in the Member State, the objectives and targets to be accomplished and the 
indicators to measure progress.  

The  Commission  shall  set  out,  by  implementing  acts,  reporting  procedures  on  the 
application  of  this  provision  and  any  other  practical  arrangements,  to  be  made 
between  Member  States  and  the  Commission  to  comply  with  this  Article.  Those 
implementing  acts  shall  be  adopted  in  accordance  with  the  examination  procedure 
referred to in Article 18(2). 

Article 11 

Operating support for the Special Transit Scheme  

The  Instrument  shall  provide  support  to  compensate  for  foregone  fees  from  visas 
issued  for  the  purpose  of  transit  and  additional  costs  incurred  in  implementing  the 
Facilitated  Transit  Document  (FTD)  and  the  Facilitated  Rail  Transit  Document 
(FRTD)  scheme  in  accordance  with  Council  Regulation (EC)  No  693/2003  and 
Council Regulation (EC) No 694/2003. 

4. 

5. 

6. 

1. 

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26 

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2. 

3. 

4. 

5. 

6. 

7. 

The resources allocated to Lithuania pursuant to paragraph 1 shall not exceed EUR 
150  million  for  the  period  2014-2020  and  shall  be  made  available  as  additional 
specific operating support for Lithuania.  

For  the  purpose  of  paragraph  1,  additional  costs  means  costs  which  result  directly 
from the specific requirements of implementing the operation of the Special Transit 
Scheme and which are not generated as a result of the issuing of visas for the purpose 
of transit or other purposes. 

The following types of additional cost shall be eligible for financing: 

(a) 

investment in infrastructures; 

(b) 

training of staff implementing the special transit scheme; 

(c) 

additional  operational  costs, 
implementing the special transit scheme. 

including  salaries  of  staff  specifically 

The foregone fees referred to in paragraph 1 shall be calculated on the basis of the 
level  of  visa  fees  and  the  visa  fee  waivers  established  by  the  Visa  Facilitation 
Agreement  between  the  European  Union  and  the  Russian  Federation,  within  the 
financial framework set out in paragraph 2.  

The Commission and Lithuania shall review the application of this Article in case of 
changes  which  have  an  impact  on  the  existence  and/or  functioning  of  the  Special 
Transit Scheme.  

The  Commission  shall  set  out,  by  implementing  acts,  reporting  procedures  on  the 
application of this provision and any financial and other practical arrangements to be 
made  between  Lithuania  and  the  Commission  to  comply  with  this  Article.  Those 
implementing  acts  shall  be  adopted  in  accordance  with  the  examination  procedure 
referred to in Article 18(2). 

To  ensure  the  smooth  functioning  of  the  Special  Transit  Scheme  the  Commission 
may  make  specific  interim  payment  arrangements  which  derogate  from  the 
provisions of Regulation (EU) No …./2012 [Horizontal Regulation].  

Article 12 

Programming in line with the outcomes of the Schengen evaluation and monitoring 
mechanism  

Following a Schengen evaluation report, as adopted in accordance with the Regulation on the 
establishment  of  an  evaluation  and  monitoring  mechanism  to  verify  the  application  of  the 
Schengen acquis, the Member State concerned shall examine, together with the Commission 
and the Frontex Agency, where appropriate, how to address the findings and implement the 
recommendations within the framework of its national programme.  

Where necessary, a Member State shall revise its national programme to take into account the 
findings and recommendations.  

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In  dialogue  with  the  Commission  and  the  Frontex  Agency,  where  appropriate,  it  shall 
reallocate resources under its programme, including, where necessary, those programmed for 
operating  support,  and/or  introduce  or  amend  actions  aiming  to  remedy  the  weaknesses  in 
accordance with the findings and recommendations of the Schengen evaluation report. 

1. 

2. 

Article 13  

Union Actions  

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

To  be  eligible  for  funding,  Union  actions  shall  in  particular  pursue  the  following 
objectives:  

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

to  support  the  preparatory,  monitoring,  administrative  and  technical  support, 
development  of  an  evaluation  mechanism,  required  to  implement  external 
borders  and  visa  policies,  including  to  implement  Schengen  governance  as 
determined  by  the  Schengen  evaluation  and  monitoring  mechanism  as 
established  by  the  Regulation  (EU)  No  …  on  the  establishment  of  an 
evaluation and monitoring mechanism to verify the application of the Schengen 
acquis and the Schengen Borders Code;  

to improve the knowledge and understanding of the situation prevailing in the 
Member States through analysis, evaluation and close monitoring of policies;  

to  support  the  development  of  statistical  tools  and  methods  and  common 
indicators; 

to  support  and  monitor  the  implementation  of  Union  law  and  Union  policy 
objectives in the Member States, and assess their effectiveness and impact;  

to  promote  networking,  mutual  learning,  identification  and  dissemination  of 
good practices and innovative approaches at European level;  

to enhance awareness of Union policies and objectives among stakeholders and 
the  general  public,  including  corporate  communication  on  the  political 
priorities of the Union;  

to  boost  the  capacity  of  European  networks  to  promote,  support  and  further 
develop Union policies and objectives; 

to  support  particularly  innovative  projects  developing  new  methods  and/or 
technologies  with  a  potential  for  transferability  to  other  Member  States, 
especially projects aiming at testing and validating research projects;  

(i) 

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

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3. 

Union actions shall be implemented in accordance with Article 7 of Regulation (EU) 
No …../2012 [Horizontal Regulation].  

1. 

2. 

1. 

Article 14 

Emergency assistance 

The Instrument shall provide financial assistance to address urgent and specific needs 
in the event of an emergency situation as defined in point (e) of Article 2. 

Emergency assistance shall be implemented in accordance with the mechanism laid 
down in Article 8 of Regulation (EU) No …./2012 [Horizontal Regulation].  

Article 15 

Establishing a programme on the development of new IT systems  

The indicative amount allocated for the programme on the development of the new 
IT systems managing the movement of third-country nationals across borders is set at 
EUR  1,100  million.  The  programme  shall  be  implemented  in  accordance  with  the 
Union 
their  communication 
infrastructure with the aim, in particular, to improving the management and control 
of  travel  flows  at  the  external  borders  by  reinforcing  checks  while  speeding  up 
border crossings for regular travellers.  

the  new  IT  systems  and 

legislation  defining 

2. 

The Commission shall be responsible for the management of the programme. It shall 
adopt a multiannual strategic framework which shall include 

(a) 

the main actions to be carried out;  

(b) 

a breakdown of the budget by budget years;  

(c) 

the time table for the implementation; 

(d) 

the management methods to be used by main actions carried out. Actions may 
be implemented  
- directly by the Commission or through executive agencies  
- indirectly by entities and persons other than Member States in accordance 
with Article [57] of Regulation (EU) N° …./2012 [New Financial Regulation] 

The main actions to be carried out should cover in particular, the development and 
testing  of  the  central  component  and  of  the  applications  common  to  the  national 
components  of  the  systems,  the  communication  infrastructure  between  central  and 
national  components,  the  coordination  for  putting  them  into  operation,  and  the 
security management of the systems. 

The Commission shall adopt, by implementing acts, the strategic framework and any 
revisions.  Those  implementing  acts  shall  be  adopted  in  accordance  with  the 
examination procedure referred to in Article 18(2). 

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1. 

2. 

1. 

2. 

3. 

4. 

5. 

Article 16 

Technical assistance 

At the initiative and/or on behalf of the Commission, the Instrument may contribute 
up to EUR 1.7 million annually for technical assistance to the Internal Security Fund 
in  accordance  with  Article  10  of  Regulation  (EU)  No  …./2012  [Horizontal 
Regulation].  

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  …../2012 
[Horizontal Regulation].  

CHAPTER III  

FINAL PROVISIONS  

Article 17 

Exercise of the delegation 

The  power  to  adopt  delegated  acts  is  conferred  on  the  Commission  subject  to  the 
conditions laid down in this Article. 

The  delegation  of  power  referred  to  in  this  Regulation  shall  be  conferred  on  the 
Commission for a period of seven years from the entry into force of this Regulation. 
The delegation of powers shall be tacitly extended for periods of identical duration, 
unless the European Parliament or the Council opposes such extension not later than 
three months before the end of each period. 

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 
the European Parliament and to the Council. 

A delegated act adopted pursuant to this Regulation shall enter into force only if no 
objection  has  been  expressed  either  by  the  European  Parliament  or  the  Council 
within a period of two 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 two months at the initiative of the European Parliament 
or the Council. 

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Article 18 

Committee procedure  

1. 

2. 

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

Where reference is made to this paragraph, Article 5 of Regulation (Eu) No 182/2011 
shall apply.  

Article 19  

Applicability of Regulation (EU) No …./2012 [Horizontal Regulation]  

The  provisions  of  Regulation  (EU)  No…/2012  [Horizontal  Regulation]  shall  apply  to  this 
Instrument.  

Article 20 

Repeal  

Decision  No  574/2007/EC  of  the  European  Parliament  and  of  the  Council  establishing  the 
External Borders Fund shall be repealed with effect from 1 January 2014.  

Article 21 

Transitional provisions 

1. 

2. 

3. 

4. 

This Regulation shall not affect the continuation or modification, including the total 
or partial cancellation, of the projects and annual programmes until their closure or 
the  financial  assistance  approved  by  the  Commission  on  the  basis  of  Decision  No 
574/2007  EC  or  any  other  legislation  applying  to  that  assistance  on  31  December 
2013.  

When  adopting  decisions  on  co-financing  under  this  Instrument,  the  Commission 
shall  take  account  of  measures  adopted  on  the  basis  of  Decision  No  574/2007//EC 
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 
2011  and  31  December  2013  for  which  the  documents  required  for  closure  of  the 
actions 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 actions 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. 

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Article 21 

Review 

On the basis of a proposal of the Commission, the European Parliament and the Council shall 
review this Regulation by 30 June 2020 at the latest. 

Article 22 

Entry into force and application 

This  Regulation  shall  enter  into  force  on  the  day  following  that  of  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 I  
Amounts constituting the basis for the national programmes of Member States  

Member State 

Austria 
Belgium 
Bulgaria 
Cyprus 
Czech Republic 
Denmark 
Estonia 
Finland 
France 
Germany 
Greece 
Hungary 
Iceland 
Italy 
Latvia 
Lithuania* 
Luxembourg 
Malta 
Netherlands 
Norway 
Poland 
Portugal 
Romania 
Slovakia 
Slovenia 
Spain 
Sweden 
Switzerland 
Croatia 
Total 

Minimum 
amount  

Percentage 
2010-2012 
average 

Distribution on 
basis of 
percentage  

Total Amount 

5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
5.000.000
145.000.000

0,82%
1,13%
3,18%
1,76%
0,84%
0,48%
1,51%
2,87%
7,20%
4,21%
14,56%
3,22%
0,03%
13,62%
0,95%
1,77%
0,04%
3,43%
2,30%
0,84%
3,97%
1,25%
5,05%
0,46%
2,31%
17,13%
0,59%
1,25%
3,22%
100%

8.699.674 
11.886.638 
33.578.849 
18.521.213 
8.907.377 
5.053.171 
15.933.661 
30.320.668 
75.956.454 
44.390.681 
153.636.854 
34.018.515 
310.455 
143.660.373 
9.989.974 
18.709.058 
379.909 
36.173.227 
24.315.326 
8.846.929 
41.883.809 
13.197.565 
53.313.864 
4.835.168 
24.371.875 
180.746.396 
6.189.272 
13.216.801 
33.956.244 
1.055.000.000 

13.699.674
16.886.638
38.578.849
23.521.213
13.907.377
10.053.171
20.933.661
35.320.668
80.956.454
49.390.681
158.636.854
39.018.515
5.310.455
148.660.373
14.989.974
23.709.058
5.379.909
41.173.227
29.315.326
13.846.929
46.883.809
18.197.565
58.313.864
9.835.168
29.371.875
185.746.396
11.189.272
18.216.801
38.956.244
1.200.000.000

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Annex II 
List of specific actions  

1. 

2. 

Setting up consular cooperation mechanisms between at least two Member States resulting in 
economies of scale as regards the lodging of applications and the issuing of visas at consulates 
in  accordance  with  the  principles  on  co-operation  laid  down  in  the  Visa  Code,  including 
common visa application centres  

Purchasing means of transport and operating equipment which are deemed necessary for the 
running  of  joint  operations  by  the  Frontex  Agency,  pursuant  to  guidelines  issued  by  this 
Agency 

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ANNEX III 
Objectives for operating support within the national programmes  

Objective 1: promoting the development and implementation of policies ensuring the absence of 
any controls on persons, whatever their nationality, when crossing the internal borders, carrying 
out checks on persons and monitoring efficiently the crossing of externl borders 

- operations  

- staff cost  

- service costs, such as maintenance and repair  

- upgrading / replacement of equipment  

- real estate (depreciation, refurbishment)  

Objective 2: promoting the development and implementation of the common policy on visas and 
other short-stay residence permits, including consular co-operation 

- operations  

- staff cost  

- service costs, maintenance and repair  

- upgrading / replacement of equipment  

- real estate (depreciation, refurbishment)  

Objective  3:  setting  up  and  running  IT  systems,  their  communication  infrastructure  and 
equipment  supporting  the  management  of  migration  flows  across  the  external  borders  of  the 
Union  

- operational management of SIS, VIS and new systems set up in the period  

- staff cost  

- service costs, such as maintenance and repair  

- communication infrastructure and security related matters  

- upgrading / replacement of equipment 

- rental of secure premises and/or refurbishment  

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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 structure32  

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 action33  

(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. 

32 
33 

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; 

(b) 
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. 

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 

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- 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. 
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 

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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; 

–  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; 

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–  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 
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 

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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 migration policy and 
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) envisaged34  

(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 Communities35  

–  (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. 

Comments: 

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

34 

35 

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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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 

44 

   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 

45 

   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 

46 

   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 revision of the 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 

47 

   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 
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 

48 

   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  dialogues  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 the 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 

49 

   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 

50 

   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. (36) 

Contribution  

from 
EFTA37 
countries 

from 
candidate 
countries38 

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 

36 
37 
38 

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 

51 

   EN 

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

EN 

52 

   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 

TO

(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 programmes39  

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 

410.707 

- 

1,290.818 

1

1

3

3

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 

39 

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. 

53 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL appropriations 
for DG HOME 

Commitments 

Payments 

=1+1a 
+3 

=2+2a 

+3 

559,886 

592,733 

626,669 

661,726 

697,934 

735,326 

773,934 

78,213 

167,174 

297,123 

465,023 

611,452 

646,004 

681,693 

1.701,525 

EN 

54 

4

4

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.  

EUR million (to 3 decimal places) 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

After 2020 

TO

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 
= Total payments) 

commitments 

20.997 

21.000 

21.003 

21.006 

21.009 

21.013 

21.016 

EUR million (to 3 decimal places) 

EN 

55 

E

 
  
 
 
 
 
 
 
 
 
 
TOTAL appropriations  
under HEADINGS 1 to 5 

Commitments 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

N/A 

of the multiannual financial framework   Payments 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TO

EN 

56 

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
40 

Avera
ge 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

SPECIFIC OBJECTIVE No 141… 

- Output 

- Output 

40 
41 

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 

57 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
- Output 

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2… 

- Output 

Sub-total for specific objective N°2 

TOTAL COST 

EN 

58 

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 
framework42 

Human 
HOME 

resources 

Other  administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 543 
of the multiannual 
financial framework 44 

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 

42 

43 

44 

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 

59 

   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 

60 

   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)45 

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 
46 

18 01 
04 cc 48 

- at 
Headquarters47 

- in delegations  

- at 
Headquarters49 

- in delegations  

16 

10 

4 

* 

6 

* 

4 

* 

6 

* 

16 

10 

4 

* 

6 

* 

16 

10 

4 

* 

6 

* 

16 

16 

16 

10 

10 

10 

4 

* 

6 

* 

4 

* 

6 

* 

4 

* 

6 

* 

45 

46 
47 

48 
49 

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 

61 

   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  the  Annual 
Activity Report and in the report of the Authorising Officer by sub-Delegation 

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 policy implementation in the 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 

62 

   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 framework50. 

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 

50 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

63 

   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/initiative51 

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. 

51 

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 

64 

   EN