Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing for the period 2014 to 2020 the Rights and Citizenship Programme
Date: 2011-11-15
Institutions: European Commission
Subjects: EU Charter of Fundamental Rights, EU financing, EU programme, European citizenship, children's rights, consumer protection, data protection, freedom to provide services, gender equality

EUROPEAN COMMISSION 

Brussels, 15.11.2011 
COM(2011) 758 final 

2011/0344 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing for the period 2014 to 2020 the Rights and Citizenship Programme 

(Text with EEA relevance) 

{SEC(2011) 1364 final} 
{SEC(2011) 1365 final} 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

As confirmed by the Stockholm Programme, the development of an area of freedom, security 
and  justice  remains  a  priority  for  the  European  Union.  Although  significant  progress  has 
already  been  achieved  in  this  field  with  the  entry  into  force  of  the  Lisbon  Treaty  and  the 
resulting binding character of the Charter of Fundamental Rights of the European Union, the 
Union  is  still  faced  with  many  challenges  such  as  the  insufficient  or  inconsistent 
implementation of certain rights across the Union or a lack of awareness about certain Union 
legislation both by citizens and public authorities. Legislative and policy measures as well as 
their  coherent  implementation  are  key  tools.  Funding  can  contribute  to  the  development  of 
this  area 
their 
implementation. 

legislation  and  policy-making  and  promoting 

through  supporting 

In accordance with the Communication on the EU Budget Review1, a fresh look was taken at 
the existing funding instruments and delivery mechanisms to ensure clear focus on European 
added value and to cater for rationalisation and simplification of the funding mechanisms. In 
‘A  Budget  for  Europe  2020’2,  the  Commission  identified  the  need  for  a  simpler  and  more 
transparent  budget  to  overcome  the  problems  that  arise  from  the  complexity  of  programme 
structures and the existence of multiple programmes. The area of Rights was mentioned as an 
example of the existing fragmentation, where action should be taken.  

Within  this  framework  and  aiming  at  simplification  and  rationalisation,  the  Rights  and 
Citizenship Programme is the successor of three current programmes:  

- 

- 

Fundamental Rights and Citizenship,  

Daphne III,  

The  Sections  "Antidiscrimination  and  Diversity"  and  "Gender  Equality"  of  the 

- 
Programme for Employment and Social Solidarity (PROGRESS).  

The  merge  of  these  programmes,  all  based  on  provisions  outside  Title  V  of  Part  III  of  the 
TFEU, will allow for a comprehensive funding approach in this area.  

The  general  objective  of  this  proposal  is  to  contribute  to  the  creation  of  an  area,  where  the 
rights of persons, as enshrined in the Treaty on the Functioning of the European Union and in 
the  Charter  of  Fundamental  Rights  of  the  European  Union,  are  promoted  and  protected.  In 
particular, this Programme should promote the rights deriving from European citizenship, the 
principles  of  non-discrimination  and  equality  between  women  and  men,  the  right  to  the 
protection  of  personal  data,  the  rights  of  the  child,  the  rights  deriving  from  the  Union 
consumer legislation and from the freedom to conduct a business in the internal market.  

1 
2 

Communication on the EU Budget Review, COM(2010)700 final of 19.10.2010. 
Commission  Staff  Working  Paper,  A  Budget  for  Europe  2020:  the  current  system  of  funding,  the 
challenges  ahead,  the  results  of  stakeholders  consultation  and  different  option  on  the  main  horizontal 
and sectoral issues, SEC(2011) 868 final, Accompanying the Communication on A Budget for Europe 
2020, COM(2011)500 final of 29.6.2011. 

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To be truly effective and bring about clear results for citizens and businesses, the rights need 
to  be  known  by  those  who  apply  them,  by  those  who  advise  people  on  their  rights  and  by 
those  who  benefit  from  these  rights,  and  be  applied  consistently  and  effectively  across  the 
Union.  This  can  be  achieved  by  supporting  training  and  awareness-raising,  strengthening 
networks and facilitating transnational cooperation. Moreover, the European Union needs to 
equip itself with a sound analytical basis to support policy-making and legislation in the rights 
and citizenship area.  

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

2.1. 

Consultation with the interested parties 

A  public  stakeholder  consultation  on  future  funding  activities  in  the  area  of  Justice, 
Fundamental Rights and Equality for the period after 20133 was launched on 20 April 2011. It 
was  available  online  for  two  months  and  was  open  to  all  interested  stakeholders  and 
individuals. 187 respondents – with an important part of NGOs - from most Member States 
submitted their contribution.  

The respondents evaluated positively the policy objectives of the programmes and confirmed 
the need for funding in the areas covered. The European added value was acknowledged and 
no area was identified where funding should be discontinued. The need for simplification and 
improvement  was  acknowledged  and  most  of  the  proposed  measures  received  a  positive 
response,  including  the  reduction  of  the  number  of  programmes  and  the  simplification  of 
procedures. 

The  stakeholders  were  in  favour  of  funding  activities  such  as  exchange  of  good  practices, 
training  of  professionals,  information  and  awareness  raising  activities,  support  to  networks, 
studies  etc.  All  types  of  activities  which  met  with  approval  by  the  respondents  are  foreseen 
explicitly  in  Article  5  of  the  proposal.  The  respondents  were  in  agreement  with  the 
Commission's proposals concerning the actors appropriate to receive funding and the types of 
funding mechanisms that could be used.  

2.2. 

Impact Assessment 

One impact assessment was carried out concerning the future funding activities for the whole 
area of justice, rights and equality, which currently comprises six programmes4. This impact 
assessment is relevant for both the proposal on the Justice Programme, as well as the proposal 
on  the  Rights  and  Citizenship  Programme.  The  impact  assessment  builds  on  the  interim 
evaluations  of  the  current  programmes5,  which  confirmed  the  overall  effectiveness  and 

3 
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5 

http://ec.europa.eu/justice/news/consulting_public/news_consulting_0010_en.htm  
Civil Justice Programme (JCIV), the Criminal Justice Programme (JPEN), the Fundamental Rights and 
Citizenship  Programme  (FRC),  the  Daphne  III  Programme  (DAP),  the  Drug  Prevention  and 
Information  Programme  (DPIP)  and  the  sections  "Antidiscrimination  and  Diversity"  and  "Gender 
Equality" of the Programme for Employment and Social Solidarity (PROGRESS).  
Interim evaluation report on the results obtained from and the qualitative and quantitative aspects of the 
implementation of the Civil Justice financing programme, COM(2011)351 final of 15.06.2011; Interim 
evaluation report on the Criminal Justice Programme, COM(2011)255 final of 11.5.2011; Report on the 
interim  evaluation  of 
the  Fundamental  Rights  and  Citizenship  Programme  2007  –  2013, 
COM(2011)249 final of 5.5.2011; Report on the interim evaluation of the Daphne III Programme 2007 

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efficiency  of  the  programmes,  but  they  also  identified  some  shortcomings  and  room  for 
improvement. The impact assessment has considered three options: 

Option  A:  to  maintain  six  programmes  and  to  address  some  of  the  identified  problems 
through changes in the internal management of the programmes. Improving management and 
fostering  strong  synergies  between  the  programmes  would  address  some  of  the  issues. 
However,  the  main  cause  of  the  problems,  i.e.  the  multitude  of  programmes  would  not  be 
directly addressed and consequently the improvements to be achieved by this option would be 
limited.  

Option  B:  to  maintain  all  measures  of  option  A  and  additionally  to  merge  the  current  six 
programmes into two programmes. This option would allow for flexibility in the use of funds 
and in addressing annual policy priorities. It would achieve increased simplification (both for 
the beneficiaries and the administration) and efficiency of the programmes, since significantly 
fewer  procedures  would  be  needed.  The  effectiveness  of  the  programmes  would  also  be 
improved  as  the  fragmentation  and  dilution  of  funds  would  be  addressed  better  within  two 
programmes.  Human  resources  could  be  freed,  since  fewer  procedures  would  reduce  the 
administrative burden and they would be allocated to activities improving the effectiveness of 
the programmes (dissemination of results, monitoring, providing information, etc).  

Option C: to implement only one programme. This option addresses all problems caused by 
the  multiple  legal  instruments  and  by  the  increased  administrative  burden  of  managing 
multiple programmes. However, due to legal constraints the scope of this programme would 
not be able to cover the funding needs of all policy areas. A choice would have to be made 
between the area of justice and the area of rights and citizenship. Although this solution can 
deliver  maximum  impact  in  terms  of  management,  however  it  would  not  be  possible  to 
address sufficiently the policy priorities and needs of the whole policy area.  

Resulting  from  the  analysis  and  comparison  of  the  options,  the  preferred  option  is  the 
implementation  of  two  programmes  which  would  cover  the  funding  needs  of  all  policy 
areas (option B). In comparison to the status quo option B presents clear advantages and no 
disadvantage.  Option  A  is  not  as  beneficial  as  option  B  and  option  C  only  offers  partial 
coverage of the policy areas, which renders this option unsuitable.  

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

The  proposal  is  based  on  Articles  19(2),  21(2),  114,  168,  169  and  197  of  the  Treaty  on  the 
Functioning  of  the  European  Union.  The  combination  of  these  articles  is  necessary  to 
continue  supporting  policies  which  are  developed  and  implemented  in  the  three  current 
programmes,  and  is  not  meant  to  extend  activities  to  new  policy  areas.  The  combination  of 
more than one article is necessary in order to achieve the general objectives of the Programme 
in  a  comprehensive  way  and  to  adopt  a  simplified  and  more  efficient  approach  to  funding. 
The use of this set of articles provides the necessary legal basis for the proposed activities and 
therefore there is no necessity to make use of Article 352 TFEU. 

Article 19(2) foresees the adoption of incentive measures to support Member State action in 
the area of combating discrimination based on sex, racial or ethnic origin, religion or belief, 

–  2013,  COM(2011)254  final  of  11.05.2011;  Report  on  the  interim  evaluation  of  the  specific 
Programme Drug prevention and information (DPIP) 2007 – 2013, COM(2011)246 final of 5.5.2011. 

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disability, age or sexual orientation, including activities promoting equality between women 
and men and supporting the rights of the child.  

Article 21(2) provides for Union measures to facilitate the exercise of citizens' rights to move 
and  reside  freely  within  the  territory  of  the  Member  States.  Actions  aiming  at  informing 
citizens and authorities about the rights to diplomatic and consular protection and about their 
voting rights can also be covered by this Article as they are facilitating in practise the exercise 
of citizen’s right to move. 

Article 114 foresees the approximation of laws aimed at the establishment and functioning of 
the  internal  market.  Article  169  foresees,  in  addition  to  the  approximation  of  laws  under 
Article  114,  the  adoption  of  measures  to  support,  supplement  and  monitor  policy  of  the 
Member  States  to  protect  the  health  safety  and  economic  interest  of  consumers  as  well  as 
promoting the right to information, education and to organise themselves in order to safeguard 
their interests. Both provisions can serve as a basis to fund activities related to consumer and 
contract law issues. A high level of consumer protection and the development of contract law 
to facilitate  cross-border  transactions create the necessary conditions to empower the Union 
citizens to exercise their rights across the border.  

Article 168 foresees a high level of human health protection and Union action complementing 
national policies in preventing physical and mental illness and obviating sources of danger to 
physical and mental health. Violence against children constitutes a danger to the physical and 
mental  health  of  the  children,  including  often  cross-border  threats.  Children  are  vulnerable 
citizens and need an increased level of protection against these dangers to their physical and 
mental  health.  Violence  against  women  constitutes  also  a  serious  threat  to  the  physical  and 
mental health of victims, who are in need of a high level of protection. 

Article 197 allows supporting Member States in implementing Union law by facilitating the 
exchange  of  information  or  supporting  training  schemes.  This  provision  will  be  particularly 
important in areas such as fundamental rights, citizenship and data protection, where national 
authorities have an important role to play. 

The  funding  activities  proposed  respect  the  principles  of  European  added  value  and  of 
subsidiarity.  Funding  from  the  Union  budget  concentrates  on  activities  whose  objectives 
cannot be sufficiently achieved by the Member States alone, where the Union intervention can 
bring additional value compared to action of Member States alone. Activities covered by this 
Regulation  contribute  to  the  effective  application  of  the  acquis  by  developing  mutual  trust 
between  Member  States,  increasing  cross-border  cooperation  and  networking  and  achieving 
correct,  coherent  and  consistent  application  of  Union  law  across  the  Union.  The  European 
Union  is  in  a  better  position  than  Member  States  to  address  cross-border  situations  and  to 
provide a European platform for mutual learning. A sound analytical basis for the support and 
the development of policies will be supported. European Union intervention allows for these 
activities to be pursued consistently across the Union and brings economies of scale.  

The  proposal  complies  with  the  proportionality  principle  in  that  it  does  not  go  beyond  the 
minimum  required  in  order  to  achieve  the  stated  objective  at  European  level  and  what  is 
necessary for that purpose. 

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4. 

BUDGETARY IMPLICATION  

The financial envelope for the implementation of the Rights and Citizenship Programme for 
the  period  1  January  2014  to  31  December  2020  shall  amount  to  EUR  439  million  (current 
prices). 

5. 

MAIN ELEMENTS OF THE PROPOSAL 

The aim of the proposed approach is to combine the simplification of funding procedures, as 
requested by all involved parties, with a more result-oriented approach. The main elements of 
this approach are the following: 

- The proposal defines the general and specific objectives pursued by the Programme (Articles 
3 and 4) and the areas of action where the Programme will focus on (Article 5). The general 
and specific objectives define the scope of the programme (policy areas), whereas the types of 
action are funding-oriented, they are applicable to all policy areas concerned and define in a 
horizontal  way  the  outputs  that  can  be  achieved  by  funding.  At  the  same  time,  they  define 
where funding can really be of added value for the achievement of the policy objectives. In 
implementing this Regulation the Commission will establish annually the funding priorities in 
the  respective  policy  areas.  The  Programme  can  make  use  of  all  financial  instruments 
foreseen  in  the  Financial  Regulation.  The  participation  is  open  to  all  legal  entities  legally 
established in the Member States or in a third country participating in the Programme, with no 
further limitations to the access to the programme. This structure allows for simplification, as 
well  as  for  better  orientation  of  the  programme  to  the  policy  needs  and  developments. 
Moreover,  it  provides  a  stable  context  for  evaluation,  as  the  specific  objectives  are  directly 
linked to indicators for evaluation, which will remain consistent for the whole duration of the 
programme  and  will  be  monitored  and  evaluated  regularly.  It  is  proposed  not  to  reserve 
specific amounts per policy area within the programme in order to achieve flexibility and to 
improve the implementation of the programme. 

- The participation of third countries is limited to EEA, accession and candidate countries and 
potential  candidates.  Other 
the  European 
Neighbourhood Policy applies, may be associated to actions of the Programme, if this serves 
the purpose of these actions. 

third  countries,  notably  countries  where 

-  The  annual  priorities  of  the  programme  will  be  defined  in  an  annual  work  programme. 
Because  this  implies  policy-driven  choices,  the  adoption  of  the  annual  work  programme  is 
subject to the opinion of a Committee of Member States under the Advisory procedure. 

-  The  Commission  may  use,  on  the  basis  of  a  cost-benefit  analysis,  an  existing  executive 
agency for the implementation of the programme, as provided for in Council Regulation (EC) 
No  58/2003  of  19  December  2002  laying  down  the  statute  for  executive  agencies  to  be 
entrusted with certain tasks in the management of Community programmes. 

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2011/0344 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing for the period 2014 to 2020 the Rights and Citizenship Programme 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 19(2), 
21(2), 114, 168, 169 and 197 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 Committee, 

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

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

The  European  Union  is  founded  on  the  principles  of  liberty,  democracy,  respect  for  human 
rights  and  fundamental  freedoms  and  the  rule  of  law,  principles  which  are  common  to  the 
Member  States.  Every  citizen  of  the  Union  has  the  rights  provided  for  in  the  Treaty.  The 
Charter of Fundamental Rights of the European Union, which with the entry into force of the 
Lisbon  Treaty  became  legally  binding  across  the  Union,  reflects  the  fundamental  rights  and 
freedoms  to  which  persons  are  entitled  in  the  Union.  Those  rights  should  be  promoted  and 
respected  if  they  are  to  become  a  reality.  The  full  enjoyment  of  those  rights  should  be 
guaranteed and any obstacles should be dismantled.  

(2) 

The  Stockholm  Programme6  reaffirms  the  priority  of  developing  an  area  of  freedom,  security 
and  justice  and  specifies  within  its  political  priorities  the  achievement  of  a  Europe  of  rights. 
Financing  is  identified  as  one  of  the  important  tools  for  the  successful  implementation  of  the 
Stockholm Programme's political priorities.  

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OJ C 115, 4.5.2010, p. 115. 

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(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

Citizens should be able to exercise fully the rights deriving from the citizenship of the Union. 
They should be able to exercise their right to move and reside freely in the Union, their right to 
vote for and stand as a candidate in European Parliament and municipal elections, their right to 
consular protection and their right to petition the European Parliament. They should feel at ease 
about  living,  travelling  and  working  in  another  Member  State,  trusting  that  their  rights  are 
protected, no matter where in the Union they happen to be.  

Citizens and businesses should also benefit fully from the internal market. Consumers should be 
able  to  enjoy  the  rights  deriving  from  the  consumer  legislation  and  businesses  should  be 
supported to exercise the freedom to conduct business in the internal market. The development 
of contract and consumer legislative instruments provides practical solutions for businesses and 
consumers to address cross-border problems, aiming to offer them more choices and to make it 
less  costly  for  them  to  conclude  contracts  with  partners  in  another  Member  State,  while 
providing a high level of consumer protection.  

Non-discrimination  based  on  sex,  racial  or  ethnic  origin  religion  or  belief,  disability,  age  or 
sexual  orientation  and  equality  between  women  and  men  are  values  common  to  the  Member 
States.  Combating  all  forms  of  discrimination  is  an  ongoing  goal  which  requires  coordinated 
action, including by the allocation of funding. 

Pursuant  to  Articles  8  and  10  of  the  Treaty  on  the  Functioning  of  the  European  Union,  the 
Programme  should  support  the  mainstreaming  of  equality  between  women  and  men  and  anti-
discrimination  objectives  in  all  its  activities.  Regular  monitoring  and  evaluation  should  be 
carried  out  to  assess  the  way  in  which  gender  equality  and  anti-discrimination  issues  are 
addressed in the Programme's activities.  

Violence  against  women  in  all  its  forms  constitutes  a  violation  of  fundamental  rights  and  a 
serious health scourge. Such violence is present throughout the Union and coordinated action is 
necessary in order to address it. Taking action to combat violence against women contributes to 
the promotion of equality between women and men.  

The Treaty requires the Union to promote the protection of the rights of the child pursuant to 
Article  3(3)  of  the  Treaty  on  European  Union,  while  combating  discrimination.  Children  are 
vulnerable,  in  particular in  a  situation  of  poverty,  social  exclusion,  disability  or specific 
situations  putting  them  at  risk.  Action  should  be  taken  to  promote  the  rights  of  the  child  and 
contribute  to  the  protection  of  children  from  harm  and  violence,  which pose  a danger  to  their 
physical or mental health.  

Personal data should continue to be protected effectively in a context of constant technological 
development  and  globalisation.  The  Union’s  legal  framework  for  data  protection  should  be 
applied  effectively  and  consistently  within  the  European  Union.  To  achieve  this,  the  Union 
should be able to support the efforts of Member States to implement that legal framework. 

(10)  The  Communication  from  the  Commission  on  Europe  20207  sets  out  a  strategy  for  smart, 
sustainable  and  inclusive  growth.  Supporting  and  promoting  the  rights  of  persons  within  the 

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COM(2010)2020 final of 3.3.2010. 

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Union,  tackling  discrimination  and  inequalities  and  promoting  citizenship  contribute  to  the 
promotion of the specific objectives and flagship initiatives of the Europe 2020 Strategy. 

(11)  Experience of action at Union level has shown that achieving these objectives in practice calls 
for a combination of instruments, including legislation, policy initiatives and funding. Funding 
is  an  important  tool  complementing  legislative  measures.  A  funding  programme  should 
therefore  be  established.  The  Commission  Communication  on  ‘A  budget  for  Europe  2020’8 
stresses  the  need  for  rationalisation  and  simplification  of  Union  funding.  Meaningful 
simplification  and  efficient  management  of  funding  can  be  achieved  through  the  reduction  in 
the  number  of  programmes  and  rationalisation,  simplification  and  harmonisation  of  funding 
rules and procedures.  

(12) 

In  responding  to  the  need  for  simplification  and  efficient  management  of  funding,  this 
Regulation  establishes  the  Rights  and  Citizenship  Programme  to  provide  for  the  continuation 
and  development  of  activities  previously  carried  out  on  the  basis  of  three  programmes, 
established  by  Council  Decision  2007/252/EC  of  19  April  2007  establishing  for  the  period 
2007-2013 the specific programme ‘Fundamental rights and citizenship' as part of the General 
Programme  'Fundamental  Rights  and  Justice'9;  Decision  No  779/2007/EC  of  the  European 
Parliament and of the Council of 20 June 2007 establishing for the period 2007-2013 a specific 
programme to prevent and combat violence against children, young people and women and to 
protect victims and groups at risk (Daphne III programme) as part of the General Programme 
‘Fundamental  Rights  and  Justice’10;  and  the  ‘gender  equality’  and  ‘antidiscrimination  and 
diversity’  sections  of  Decision  No  1672/2006/EC  of  the  European  Parliament  and  of  the 
Council of 24 October 2006 establishing a Community Programme for Employment and Social 
Solidarity - Progress11. 

(13)  The Commission Communications ‘The EU Budget Review’12 and ‘A budget for Europe 2020’ 
underline the importance of focusing funding on actions with clear European added value, i.e. 
where the Union intervention can bring additional value compared to action of Member States 
alone. Actions covered by this Regulation should contribute to the development of mutual trust 
between  Member  States,  increasing  cross-border  cooperation  and  networking  and  achieving 
correct,  coherent  and  consistent  application  of  Union  law.  Funding  activities  should  also 
contribute to achieving effective and better knowledge of Union law and policies by all those 
concerned and provide a sound analytical basis for the support and the development of Union 
legislation and policies. Union intervention allows for those actions to be pursued consistently 
across the Union and brings economies of scale. Moreover, the European Union is in a better 
position  than  Member  States  to  address  cross-border  situations  and  to  provide  a  European 
platform for mutual learning.  

(14) 

In  order  to  implement  the  principle  of  sound  financial  management,  this  Regulation  should 
provide for appropriate tools to assess its performance. To that end, it should define general and 
specific objectives. To measure the achievement of those specific objectives, a set of indicators 
should be established which should remain valid for the whole duration of the programme. 

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12 

COM(2011)500 of 29.6.2011. 
OJ L 110, 27.4.2007, p. 33 and Corrigendum, OJ L 141, 2.6.2007.  
OJ L 173, 3.7.2007, p. 19. 
OJ L 315, 15.11.2006, p.1.  
COM(2010)700 of 19.10.2010. 

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(15)  This  Regulation  lays  down  for  the  multiannual  programme  a  financial  envelope  which  is  to 
constitute  the  prime  reference,  within  the  meaning  of  point 17  of  the  Interinstitutional 
Agreement  of  XX  between  the  European  Parliament,  the  Council  and  the  Commission  on 
cooperation  in  budgetary  matters  and  on  sound  financial  management,  for  the  budgetary 
authority during the annual budgetary procedure.  

(16)  This Regulation should be implemented in full compliance with Regulation (EU, Euratom) No 
XX/XX of XX on the financial rules applicable to the annual budget of the European Union. In 
particular,  it  should  make  use  of  simplification  tools  introduced  by  the  latter.  Moreover,  the 
criteria for identifying actions to be supported should aim at allocating the financial resources 
available on actions generating the highest impact in relation to the policy objective pursued. 

(17) 

(18) 

Implementing  powers  should  be  conferred  on  the  Commission  in  respect  of  the  adoption  of 
annual  work  programmes.  Those  powers  should  be  exercised  in  accordance  with  Regulation 
(EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011, laying 
down the rules and general principles concerning mechanisms for control by Member States of 
the Commission’s exercise of implementing powers13. Given the annual amounts concerned, the 
budgetary implications can be considered as non-substantial. Therefore, the advisory procedure 
should apply. 

In  order  to  ensure  efficient  allocation  of  funds  from  the  Union  budget,  consistency, 
complementarity  and  synergies  should  be  sought  between  funding  programmes  supporting 
policy areas with close links to each other, in particular between the Programme and the Justice 
programme  established  by  Regulation  (EU)  No  XX/XX  of  XX14,  the  Europe  for  Citizens 
programme  established  by  Regulation  (EU)  No  XX/XX  of  XX15  and  the  programmes  in  the 
areas  of  home  affairs;  employment  and  social  affairs;  health  and  consumer  protection; 
education,  training,  youth  and  sport;  information  society;  enlargement,  in  particular  the 
Instrument for Pre-accession Assistance16 and the funds operating under the Common Strategic 
Framework (CSF funds). 

(19)  The  financial  interests  of  the  Union  should  be  protected  through  proportionate  measures 
throughout  the  expenditure  cycle,  including  the  prevention,  detection  and  investigation  of 
irregularities,  the  recovery  of  funds  lost,  wrongly  paid  or  incorrectly  used  and,  where 
appropriate,  penalties.  The  European  Anti-fraud  Office  (OLAF)  should  be  authorised  to  carry 
out  on-the-spot  checks  and  inspections  on  economic  operators,  in  accordance  with  the 
procedures  laid  down  in  Regulation  (Euratom,  EC)  No 2185/9617  with  a  view  to  establishing 
whether  there  has  been  fraud,  corruption  or  any  other  illegal  activity  affecting  the  financial 
interests of the Union in connection with Union funding under the Programme. 

(20)  Since the objective of this Regulation, namely to contribute to the creation of an area, where the 
rights of persons, as enshrined in the Treaty on the Functioning of the European Union and the 
Charter of Fundamental Rights of the European Union, are promoted and protected, cannot be 
sufficiently  achieved  by  Member  States  but  can  be  better  achieved  at  Union  level,  the  Union 

13 
14 
15 
16 
17 

OJ L 55, 28.2.2011, p. 13. 
OJ L XX, XX.XX.XXXX, p. XX. 
OJ L XX, XX, p. XX.  
OJ L XX, XX, p. XX. 
OJ L 292, 15.11.1996, p. 2. 

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may adopt measures in accordance with the principle of subsidiarity as referred to 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.  

HAVE ADOPTED THIS REGULATION:  

Article 1 
Establishment and duration of the Programme 

1. 

2. 

This  Regulation  establishes  the  European  Union  Programme  on  Rights  and  Citizenship, 
hereinafter referred to as ‘the Programme’.  

The Programme shall cover the period from 1 January 2014 to 31 December 2020. 

Article 2 
European added value 

The  Programme  shall  finance  actions  with  European  added  value.  To  that  effect,  the 
Commission shall ensure that the actions selected for funding are intended to produce results 
with  European  added  value  and  shall  monitor  whether  European  added  value  was  actually 
achieved through the final results of the actions financed by the Programme. 

Article 3 
General objectives  

The  general  objective  of  the  Programme  shall  be  to  contribute  to  the  creation  of  an  area,  where  the 
rights of persons, as enshrined in the Treaty on the Functioning of the European Union and the Charter 
of Fundamental Rights of the European Union, are promoted and protected.  

Article 4 
Specific objectives  

1. 

To achieve the general objective set out in Article 3, the Programme shall have the following 
specific objectives: 

(a) 

(b) 

to  contribute  to  enhancing  the  exercise  of  rights  deriving  from  the  citizenship  of  the 
Union; 

to promote the  effective implementation of the principles  of  non discrimination on the 
grounds  of  sex,  racial  or  ethnic  origin,  religion  or  belief,  disability,  age  or  sexual 
orientation, including equality between women and men and the rights of persons with 
disabilities and of the elderly; 

(c) 

to contribute to ensuring a high level of protection of personal data; 

(d) 

to enhance the respect of the rights of the child; 

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(e) 

to empower consumers and businesses to trade and purchase in trust within the internal 
market  by  enforcing  the  rights  deriving  from  the  Union  consumer  legislation  and  by 
supporting the freedom to conduct business in the internal market through cross-border 
transactions. 

2. 

The  indicators to measure the achievement of the objectives set  out  in paragraph 1 shall be, 
inter alia, the European perception of the respect, exercise and implementation of these rights 
and the number of complaints. 

Article 5 
Actions 

1. 

With  a  view  to  pursuing  the  objectives  set  out  in  Article  3  and  Article  4,  the  actions  of  the 
Programme shall focus on the following areas of action:  

(a) 

enhancing public awareness and knowledge of Union law and policies; 

(b) 

supporting the implementation of Union law and policies in the Member States; 

(c) 

(d) 

promoting  transnational  cooperation  and  building  up  of  mutual  knowledge  and  mutual 
trust among all involved stakeholders; 

improving the knowledge and understanding of potential issues affecting the exercise of 
rights and principles guaranteed by the Treaty, the Charter of Fundamental Rights and 
secondary Union legislation with a view to ensuring evidence-based policy making and 
legislation. 

2. 

The Programme shall finance inter alia the following types of actions: 

(a)  Analytical activities, such as collection of data and statistics;  development of common 
methodologies  and,  where  appropriate,  indicators  or  benchmarks;  studies,  researches, 
analyses  and  surveys;  evaluations  and  impact  assessments;  elaboration  and  publication 
of  guides,  reports  and  educational  material;  monitoring  and  assessment  of  the 
transposition  and  application  of  Union  legislation  and  of  the  implementation  of  Union 
policies; workshops, seminars, experts meetings, conferences; 

(b)  Training  activities,  such  as  staff  exchanges,  workshops,  seminars,  train-the-trainers 

events, development of online/other training modules; 

(c)  Mutual  learning,  cooperation,  awareness  raising  and  dissemination  activities,  such  as 
identification  of,  and  exchanges  on,  good  practices,  innovative  approaches  and 
experiences,  organisation  of  peer  review  and  mutual  learning;  organisation  of 
information 
conferences  and  seminars;  organisation  of  awareness-raising  and 
campaigns,  media  campaigns  and  events,  including  corporate  communication  of  the 
political  priorities  of  the  European  Union;  compilation  and  publication  of  materials  to 
disseminate  information  as  well  as  results  of  the  Programme;  development,  operation 
and  maintenance  of  systems  and  tools  using  information  and  communication 
technologies;  

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(d)  Support for main actors, such as support for Member States when implementing Union 
law and policies; support for key European level networks whose activities are linked to 
the implementation of the objectives of the Programme; networking among specialised 
bodies  and  organisations,  national,  regional  and  local  authorities  at  European  level; 
funding of experts' networks; funding of European level observatories. 

Article 6 
Participation 

1. 

Access to the Programme shall be open to all public and/or private bodies and entities legally 
established in: 

(a)  Member States; 

(b)  EFTA  countries  which  are  party  to  the  EEA  Agreement,  in  accordance  with  the 

conditions laid down in the EEA Agreement; 

(c) 

accession countries, candidate countries and potential candidates, in accordance with the 
general  principles  and  the  general  terms  and  conditions  laid  down  in  the  framework 
agreements concluded with them on their participation in Union programmes. 

Public  and/or  private  bodies  and  entities  legally  established  in  other  third  countries,  notably 
countries where the European Neighbourhood Policy applies, may be associated to actions of 
the Programme, if this serves the purpose of these actions. 

Under  the  Programme,  the  Commission  may  cooperate  with  the  international  organisations 
active in the areas covered by the Programme, such as the Council of Europe, the Organisation 
for Economic Cooperation and Development (OECD) and the United Nations. Access to the 
Programme shall be open to those international organisations. 

Article 7 
Budget 

The financial envelope for the implementation of the Programme shall be EUR 439 million. 

The financial allocation of the Programme may also cover expenses pertaining to preparatory, 
monitoring, control, audit and evaluation activities which are required for the management of 
the  Programme  and  the  achievement  of  its  objectives;  in  particular,  studies,  meetings  of 
experts,  information  and  communication  actions,  including  corporate  communication  of  the 
political priorities of the European Union, as far as they are related to the general objectives of 
this  Regulation,  expenses  linked  to  IT  networks  focusing  on  information  processing  and 
exchange, together with all other technical and administrative assistance expenses incurred by 
the Commission for the management of the Programme. 

The  budgetary  authority  shall  authorise  the  available  annual  appropriations  within  the  limits 
established  by  Council  Regulation  (EU,  Euratom)  No  XX/XX  of  XX  laying  down  the 
multiannual financial framework for the years 2014-2020. 

2. 

3. 

1. 

2. 

3. 

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1. 

2. 

3. 

1. 

2. 

1. 

2. 

1. 

Article 8 
Implementing measures 

The  Commission  shall  implement  the  Union  financial  support  in  accordance  with  the 
Regulation (EU, Euratom) No XX/XX of XX on the financial rules applicable to the annual 
budget of the European Union. 

In order to implement the Programme, the Commission shall adopt annual work programmes 
in  the  form  of  implementing  acts.  Those  implementing  acts  shall  be  adopted  in  accordance 
with the advisory procedure referred to in Article 9(2). 

The annual work programmes shall set out the measures needed for their implementation, the 
priorities of calls for proposals and all other elements required by Regulation (EU, Euratom) 
No  XX/XX  of  XX  on  the  financial  rules  applicable  to  the  annual  budget  of  the  European 
Union.  

Article 9 
Committee procedure 

The  Commission  shall  be  assisted  by  a  committee.  That  committee  shall  be  a  committee 
within the meaning of Regulation (EU) No 182/2011. 

Where  reference  is  made  to  this  paragraph,  Article  4  of  Regulation  (EU)  No  182/2011  shall 
apply.  

Article 10 
Complementarity 

The Commission, in cooperation with the Member States, shall ensure overall consistency and 
complementarity  and  synergies  with  other  Union  instruments,  inter  alia,  with  the  Justice 
programme,  the  Europe  for  Citizens  programme  and  with  programmes  in  the  areas  of  home 
affairs;  employment  and  social  affairs;  health  and  consumer  protection;  education,  training, 
youth  and  sport;  information  society;  enlargement,  in  particular  the  Instrument  for  Pre-
accession Assistance and the funds operating under the Common Strategic Framework (CSF 
funds). 

The  programme  may  share  resources  with  other  Union  instruments,  in  particular  the  Justice 
programme,  in  order  to  implement  actions  meeting  the  objectives  of  both  programmes.  An 
action  for  which  funding  has  been  awarded  from  the  Programme  may  also  give  rise  to  the 
award  of  funding  from  the  Justice Programme, provided that the funding does not cover the 
same cost items. 

Article 11 
Protection of the financial interests of the Union  

The Commission shall take appropriate measures ensuring that, when actions financed under 
this  Regulation  are  implemented,  the  financial  interests  of  the  Union  are  protected  by  the 
application of preventive measures against fraud, corruption and any other illegal activities, by 

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effective  checks  and,  if  irregularities  are  detected,  by  the  recovery  of  the  amounts  wrongly 
paid and, where appropriate, by effective, proportionate and deterrent penalties. 

2. 

The Commission or its representatives and the Court of Auditors shall have the power of audit, 
on  the  basis  of  documents  and  on-the-spot,  over  all  grant  beneficiaries,  contractors  and 
subcontractors who have received Union funds under the Programme.  

The European Anti-fraud Office (OLAF) may carry out on-the-spot checks and inspections on 
economic  operators  concerned  directly  or  indirectly  by  such  funding  in  accordance  with  the 
procedures  laid  down  in  Regulation  (Euratom,  EC)  No 2185/96  with  a  view  to  establishing 
whether  there  has  been  fraud,  corruption  or  any  other  illegal  activity  affecting  the  financial 
interests  of  the  Union  in  connection  with  a  grant  agreement  or  grant  decision  or  a  contract 
concerning Union funding. 

Without  prejudice  to  the  first  and  second  sub-paragraphs,  cooperation  agreements  with  third 
countries  and  international  organisations  and  grant  agreements  and  grant  decisions  and 
contracts  resulting  from  the  implementation  of  this  Regulation  shall  expressly  empower  the 
Commission, the Court of Auditors and OLAF to conduct such audits, on-the-spot checks and 
inspections. 

Article 12 
Monitoring and evaluation 

1. 

The Commission shall monitor the Programme regularly in order to follow the implementation 
of  actions  carried  out  under  it  in  the  areas  of  actions  referred  to  in  Article  5(1)  and  the 
achievement  of  the  specific  objectives  referred  to  in  Article  4.  The  monitoring  shall  also 
provide a means of assessing the way in which gender equality and anti-discrimination issues 
have  been  addressed  across  the  programme’s  actions.  Where  relevant,  indicators  should  be 
disaggregated by sex, age and disability.  

2. 

The Commission shall provide the European Parliament and the Council with: 

(a) 

an interim evaluation report by mid-2018 at the latest;  

(b) 

an ex-post evaluation report. 

3. 

4. 

The  interim  evaluation  shall  report  on  the  achievement  of  the  Programme's  objectives,  the 
efficiency of the use of resources and the Programme's European added value with a view to 
determining whether funding in areas covered by the Programme shall be renewed, modified 
or  suspended  after  2020.  It  shall  also  address  the  scope  for  any  simplification  of  the 
Programme,  its  internal  and  external  coherence,  as  well  as  the  continued  relevance  of  all 
objectives and actions. It shall take into account the results of the ex-post evaluations of the 
programmes mentioned in Article 13. 

The ex-post evaluation shall report on the longer-term impacts of the Programme and on the 
sustainability of effects of the Programme, with a view to feed into a decision on a subsequent 
programme.  

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Article 13 
Transitional measures 

Actions  which  are  initiated  before  1  January  2014  on  the  basis  of  Decision  2007/252/EC,  Decision 
779/2007/EC  or  Section  4:  Antidiscrimination  and  diversity,  and  Section  5:  Gender  equality  of 
Decision 1672/2006/EC, shall continue to be governed by the provisions of those Decisions, until their 
completion.  In  respect  of  those  actions,  reference  to  the  Committees  provided  for  in  Article  10  of 
Decision  2007/252/EC,  in  Article  10  of  Decision  779/2007/EC  and  in  Article  13  of  Decision 
1672/2006/EC  shall  be  interpreted  as  references  to  the  Committee  provided  for  in  Article  9  of  the 
present Regulation. 

Article 14 
Entry into force 

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

Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

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ANNEX 

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  

Proposal for a Regulation of the European Parliament and of the Council establishing for the 
period 2014 to 2020 the Rights and Citizenship Programme  

1.2. 

Policy area(s) concerned in the ABM/ABB structure18  

Title 33 - Justice 

1.3. 

Nature of the proposal/initiative  

(cid:59) The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action19  

(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  

1.4. 

Objectives 

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

The  Programme  aims  to  contribute  to  the  development  of  an  area  of  freedom,  security  and 
justice,  by  promoting  and  supporting  the  effective  implementation  of  a  Europe  of  rights,  as 
enshrined  in  the  Treaty  on  the  Functioning  of  the  European  Union  and  the  Charter  of 
Fundamental  Rights  of  the  European  Union.  This  includes  in  particular  the  rights  deriving 
from European citizenship, the principles of non discrimination on the grounds of sex, racial 
or ethnic origin,  religion or belief,  disability, age or sexual orientation and equality between 
women  and  men,  the  rights  of  persons  with  disabilities  and  of  the  elderly,  the  right  to  the 
protection  of  personal  data,  the  rights  of  the  child,  consumers’  rights  and  the  freedom  to 
conduct a business in the internal market, by facilitating cross-border transactions. 

1.4.2. 

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

Specific objectives 

To achieve the above-mentioned general objective, the Programme has the following specific 
objectives: 

(a) to contribute to enhancing the exercise of rights deriving from the citizenship of the Union; 

18 
19 

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

EN 

18 

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(b)  to  promote  the  effective  implementation  of  the  principles  of  non  discrimination  on  the 
grounds of sex, racial or ethnic origin, religion or belief, disability, age or sexual orientation, 
including equality between women and men and the rights of persons with disabilities and of 
the elderly; 

(c) to contribute to ensuring a high level of protection of personal data; 

(d) to enhance the respect of the rights of the child; 

(e)  to  empower  consumers  and  businesses  to  trade  and  purchase  in  trust  within  the  internal 
market  by  enforcing  the  rights  deriving  from  the  Union  consumer  legislation  and  by 
supporting  the  freedom  to  conduct  business  in  the  internal  market  through  cross-border 
transactions. 

ABM/ABB activity concerned 

ABB 33 02 and 33 06. 

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1.4.3.  Expected result(s) and impact 

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

The proposal will contribute to the enforcement of the acquis, allowing citizens and businesses 
in the Union to fully benefit from the existing legislation. They will be better aware of their 
rights, and Member States and stakeholders will have better tools to exchange information on 
best  practices  and  to  cooperate  with  each  other.  The  effects  of  the  proposal  on 
beneficiairies/target  groups  is  described  in  more  detail  in  Section  4.1.2  of  the  Impact 
Assessment. 

integrated  approach  across 

In  addition,  the  changes  to  the  funding  programmes  proposed  will  have  a  clear  beneficial 
effect on the processes under which financial support will be managed. This would start from 
an 
the 
documentation required and the IT-systems to be used. This in itself will constitute a concrete 
time-saving as many stakeholders which are active in fields covered by several of the current 
generations  of  programmes,  would  no  longer  have  to  address  diverging  requirements  and 
could  concentrate  more  on  developing  strong  proposals  from  a  content  and  quality  point  of 
view.  

the  applications  processes, 

the  programmes 

in 

Furthermore,  with  a  harmonised  and  streamlined  single  project  selection  process,  the  delays 
between submitting applications and receiving the results would be substantially reduced and 
this would leave applicant organisation with a shorter interval of uncertainty. This would bring 
the  further  added  advantage  of  projects  starting  much  shorter  after  their  conception  and 
therefore would respond much more effectively to the concrete needs they seek to address in 
line with EU policy priorities 

1.4.4. 

Indicators of results and impact  

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

The  indicators  to  measure the achievement of the above-mentioned specific objectives, shall 
be,  inter  alia,  the  European  perception  of  the  respect,  exercise  and  implementation  of  these 
rights and the number of complaints.. 

DG  Justice  does  not  have  enough  information  about  the  current  situation  to  establish 
meaningful long- or medium-term targets, but before implementation of the programme starts, 
DG Justice will try to collect more information on the current situation so that milestones and 
targets can be set. 

1.5. 

Grounds for the proposal/initiative  

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

Whereas legislation is a key tool to implement the Union’s objectives in the area of rights and 
citizenship,  it  needs  to  be  complemented  by  other  means.  In  this  context,  funding  has  an 
important  role  to  play.  In  particular,  funding  should  enhance  the  effectiveness  of  legislation 
and rights enshrined directly in the Treaty by increasing knowledge, awareness and capacity of 
citizens, professionals and stakeholders, through supporting: 

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Information and public awareness raising, including support for national and European 
- 
campaigns to inform people of their rights, as guaranteed under EU law, and how to enforce 
them in practice; 

- 
Training and capacity building for legal professionals (such as judges and prosecutors) 
and other practitioners, to equip them with the tools to effectively put EU rights and policies 
into practice. 

Funding also has a central role in promoting cooperation at transnational level and developing 
mutual trust, through: 

- 
Strengthening  networks,  i.e.  EU-wide  organisations  to  assist  with  the  preparation  of 
future  initiatives  in  this  area,  as  well  as  to  promote  their  consistent  implementation  across 
Europe; 

Cross-border cooperation on enforcement, for example  establishing  missing child alert 

- 
systems, coordination of operational and cross-border anti-drug co-operation. 

Additionally, funding should support: 

- 
Research,  analysis  and  other  support  activities,  to  provide  to  the  legislator  clear  and 
detailed  information  on  the  problems  and  the  situation  on  the  ground.  The  results  of  these 
activities  feed  into  the  development  and  the  implementation  of  EU  policies  and  ensure  that 
they are evidence-based, well targeted and well structured. 

1.5.2.  Added value of EU involvement 

Funding  covered  by  the  Rights  and  Citizenship  Programme  concentrates  on  activities  where 
the  EU  intervention  can  bring  additional  value  compared  to  action  of  Member  States  alone. 
Activities  covered by  this Regulation contribute to  the  effective application of the acquis by 
developing  mutual  trust  between  Member  States,  increasing  cross-border  cooperation  and 
networking and achieving correct, coherent and consistent application of Union law across the 
Union.  Only  action  at  Union  level  can  provide  coordinated  activities  that  can  reach  all 
Member  States.  The  European  Union  is  in  a  better  position  than  Member  States  to  address 
cross-border  situations  and  to  provide  a  European  platform  for  mutual  learning.  Without 
Union  support,  stakeholders  would  tend  to  address  similar  problems  in  a  fragmented  and 
disconnected way. Collaboration and networking between them will lead to the dissemination 
of  best  practices,  in  particular  innovative  and  integrated  approaches  in  different  Member 
States.  The  participants  in  these  activities  will  then  act  as  multipliers  in  their  respective 
professional activities and disseminate wider the best practices within their Member State. 

A  sound  analytical  basis  for  the  support  and  the  development  of  policies  will  be  supported. 
European Union intervention allows for these activities to be pursued consistently across the 
Union and brings economies of scale. Funding at national level would  not provide the same 
results,  but  only  a  fragmented  and  limited  approach  not  covering  the  needs  of  the  European 
Union as a whole. 

1.5.3.  Lessons learned from similar experiences in the past 

The  mid-term  evaluations  carried  out  for  the  current  programmes  in  the  area  of  rights  and 
citizenship  have  confirmed  the  overall  effectiveness  of  the  programmes,  but  they  have  also 
identified  a  number  of  problems  such  as  a  dilution  of  funds  ('saupoudrage')  amongst  many 

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small-scale  projects  with  limited  impact.  Despite  the  fact  that  funding  is  allocated  to  a 
multitude of projects, there is no balanced geographical spread among the organisations which 
receive  funding.  The  mid-term  evaluations  agree  that  more  should  be  done  to  improve  the 
dissemination and exploitation of results and outputs of the funded activities. Improvement in 
dissemination  goes  hand  in  hand  with  improvement  in  the  evaluation  and  monitoring.  The 
mid-term  evaluations  and  the  public  consultation  highlighted  in  terms  of  efficiency  the 
complex  and  bureaucratic  procedures  that  the  applicants  are  facing.  From  an  administrative 
point  of  view  the  multiplication  of  procedures  for  the  different  programmes  imposes  a  high 
administrative  burden  on  the  Commission.  The  multiplication  of  procedures  and  the  high 
administrative  burden  contribute  to  increasing  the  length  of  procedures.  Merging  the 
programmes would address this issue and create synergies between the programmes.  

1.5.4.  Coherence and possible synergy with other relevant instruments 

The  Programme  will  seek  synergies,  consistency  and  complementarities  with  other  Union 
instruments, inter alia with the Justice programme and with programmes in the areas of home 
affairs;  employment;  health  and  consumer  protection;  education,  training,  youth  and  sport; 
communication;  information  society;  enlargement,  in  particular  the  Instrument  for  Pre-
accession Assistance and the funds operating under the Common Strategic Framework (CSF 
funds).  Duplication  with  activities  under  these  other  programmes  will  be  avoided,  and 
resources  may  be  shared  between  the  Justice  programme  and  the  Rights  and  Citizenship 
Programme to achieve common objectives. 

EN 

22 

   EN 

 
1.6. 

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 2020 and further  

(cid:133) Proposal/initiative of unlimited duration 

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

•  followed by full-scale operation. 

1.7.  Management mode(s) envisaged20  

(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 Communities21  

•  (cid:133)  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:133) Shared management with the Member States  

(cid:133) Decentralised management with third countries  

(cid:59) Joint management with international organisations (as specified below) 

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

Comments  

The  possibility  to  use  an  existing  executive  agency  for  the  full  or  partial  implementation  of  the 
Programme is provided for in the Explanatory Memorandum. At this stage, no decision has been taken 
in this regard, and no cost/benefit analysis has been carried out, but the option should be kept open.  

20 

21 

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. 

EN 

23 

   EN 

 
                                                 
Joint management is another option that could be envisaged in the future. This concerns in particular 
the  international  organisations  named  in  Article  6  para.  2:  Council  of  Europe,  United  Nations  and 
OECD. 

EN 

24 

   EN 

 
2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

The  proposal  includes  monitoring  and  evaluation  obligations.  Achievement  of  the  specific 
objectives will be monitored regularly on the basis of the indicators contained in the proposal. 

Furthermore, an interim evaluation report on the achievement of the Programme’s objectives, 
the  efficiency  of  the  use  of  resources  and  its  European  added  value  will  be  provided  by  the 
Commission by mid-2018 at the latest. An ex post evaluation on the longer-term impacts and 
the  sustainability  of  the  effects  of  the  Programme  will  be  provided  after  the  end  of  the 
Programme. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

DG Justice 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 
Justice’s  (and  former  DG  JLS)  annual  activity  reports  (with  one  single  exception  for  the 
Daphne programme in 2009). 

The main risks identified are the following: 

-  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 Triennal revision of the Financial Regulation. 

EN 

25 

   EN 

 
2.2.2.  Control method(s) envisaged  

Description of internal control system 

The control system envisaged for the future programme is a continuation of the current control 
system.  It  is  composed  of  different  building  blocks:  supervision  of  operations  by  the 
Programme  Management  Unit,  the  ex-ante  control  (financial  verification)  by  the  central 
Budget and Control Unit, the internal procurement committee (JPC), the ex-post controls for 
grants and the audits from the Internal Audit Capacity and/or the Internal Audit Service. 

All transactions are subject to an ex ante verification by the Programme Management Unit and 
a  financial  verification  by  the  Budget  and  Control  Unit  (except  for  low-risk  prefinancings). 
For grants, cost claims are verified thoroughly, and supporting documents are requested when 
deemed necessary, based on a risk assessment. All open and restricted procurement procedures 
and  all  negotiated  procedures  above  €  60.000  are  submitted  to  the  internal  procurement 
committee for checks before the award decision is adopted. 

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.  

Costs and benefits of controls 

We estimate that between 50 and 70% of all staff involved in the management of the current 
financial  programmes  performs  control  functions  in  a  broad  sense  (from  the  selection  of 
beneficiaries/contractors to the implementation of audit results). This corresponds to a range 
between  EUR 2,1 million (50% of 2014 Human  resource  costs set  out  in  Section 3.2.3) and 
EUR  3,2  million  (70%  of  2020  Human  resource  costs  set  out  in  Section  3.2.3)  In  addition, 
externalisation of ex post audits produce costs in the range of between € 75.000 and 100.000 
per year, which are financed from administrative support appropriations. These costs represent 
between  6  and  4%  of  the  total  budget  of  the  Programme,  decreasing  over  the  seven  year 
period, due to the fact that the annual appropriations increase substantially between 2014 and 
2020, whereas the costs of control remain quite stable. 

Thanks to the 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%, with 
one exception for the Daphne programme in 2009, where the error rate rose slightly above 2%. 
This  was  addressed  the  year  after  via  an  increase  of  ex  post  controls  on  the  spot.  These 
controls  have  detected  and  corrected  the  remaining  errors  in  this  population.  Therefore,  the 
internal  control  system  as  well  as  its  cost  is  deemed  adequate  in  DG  Justice  to  achieve  the 
objective of a low error rate. 

However, within this framework, DG Justice will continue to explore possibilities to enhance 
the  management  and  to  increase  simplification.  With  the  reduction  of  the  number  of 
programmes,  harmonised  rules  and  procedures  will  apply,  reducing  the  risk  of  error.  In 
addition,  the  simplification  tools  made  available  in  the  Triennal  revision  of  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. 

EN 

26 

   EN 

 
Summary of nature and intensity of (current) controls. 

Summary 
controls 

of 

Amount 
MEUR 

of 
Number 
beneficiaries/ 
transactions 
(% of total) 

Depth 
*(assessment 
1-4) 

Coverage 
(% 
Value) 

of 

N/A 

100% 

100% 

1-4, based on 
risk  and  type 
of transaction

N/A 

4 

of 

100% 
procurement 
procedures 
above 
125.000 
and 
negotiated 
procedures 
above  60.000 
€ 

€ 
of 

N/A 

At least 10% 

4 

100% 
of 
procurement 
procedures 
above 
125.000 
and 
negotiated 
procedures 
above 
60.000 € 

€ 
of 

Between  5 
and 10% 

Ex  ante  controls 
on  all 
financial 
transactions 

Justice 
Procurement 
Committee 
controls 
procurement 
award decisions 

on 

Ex  post  controls 
on  grants 
final 
payments 

*Depth of controls:  

1. Minimal administrative/ arithmetic control with no reference to supporting documents  

2.  Control  with  reference  to  corroborative  information  incorporating  an  element  of  independent  oversight  (e.g. 
audit certificate or other verification), but no reference to underlying documents. 

3.  Control  with  reference  to  fully  independent  corroborative  information  (e.g.,  database  which  justifies  certain 
elements of the claim, 3rd party or Commission assessment of milestones achieved, etc.)  

4. Control with reference to and including access to the underlying documentation that is available at the stage of 
the  process  in  question,  for  all  inputs  and  outputs  (e.g.  timesheets,  invoices,  physical  verification,  etc.);  i.e. 
control of the same intensity of transaction testing as those carried out by the ECA as part of the DAS. 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

Different measures are or will be put in place for the future Rights and Citizenship Programme 
to prevent fraud and irregularities. The proposal contains in its Article 11 a provision on the 
protection of the financial interests of the European Union. In line with the Commission Anti-
fraud  strategy  (CAFS),  adopted  in  June  2011,  DG  Justice  is  devising  an  anti-fraud  strategy 
covering the whole expenditure cycle, having regard to the proportionality and cost-benefit of 
the measures  to  be implemented. This  strategy is based on two pillars: prevention, based on 
effective checks, and appropriate response, if fraud or irregularities are detected, consisting in 
the recovery of amounts wrongly paid and where appropriate, by effective, proportionate and 

EN 

27 

   EN 

 
 
 
deterrent penalties. The anti-fraud strategy describes the system of ex ante and ex post checks, 
based on a system of red flags, and specifies the procedures to be followed by staff when fraud 
or irregularities are detected. It also provides information on the working arrangements with 
OLAF. 

EN 

28 

   EN 

 
3. 

3.1. 

Heading of 
multiannual 
financial 
framework 

[3…] 

[3…] 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

•  New budget lines requested  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditure

Contribution  

Number  
[Heading……………………………………..] 

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

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

[33 01 04.YY] 

[Rights and Citizenship Programme] 

[33 YY YY YY] 

[Rights and Citizenship Programme] 

[Non 
diff…] 

YES 

YES 

NO 

NO 

[Diff…]  YES 

YES 

NO 

NO 

EN 

29 

   EN 

 
 
 
 
 
 
 
 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

Number 

[Heading 3 – Security and citizenship] 

EUR million (to 3 decimal places) 

Year 
201422 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

Post 2020 

TOTAL 

DG: Justice 

(cid:121) Operational appropriations  

Number of budget line- 33 xx xx 

Number of budget line 

of 

Appropriations 
administrative 
from the envelope for specific programmes23* 
Number of budget line 33 01 04 yy 

an 

42,400 

47,900 

53,900 

60,900 

67,900 

74,900 

83,400 

17,100 

27,700 

39,800 

49,000 

59,100 

65,900 

73,300 

99,400 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

nature 

financed 

TOTAL appropriations 
for DG JUSTICE 

Commitments 

Payments 

1,100 

1,100 

1,100 

1,100 

1,100 

1,100 

1,100 

43,500 

49,000 

55,000 

62,000 

69,000 

76,000 

84,500 

18,200 

28,800 

40,900 

50,100 

60,200 

67,000 

74,400 

99,400 

(3) 

=1+1a 
+3 

=2+2a 

+3 

431,30

431,30

7,70

439,00

439,00

22 
23 

EN 

Year N is the year in which implementation of the proposal/initiative starts. 
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. 

30 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
*  The  Commission  may  envisage  (partially)  externalising  the  implementation  of  the  Programme  to  existing  executive  agencies.  Amounts  and 
imputations will be adjusted if necessary according to the results of the externalisation process. 

(cid:121) TOTAL operational appropriations  

Commitments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

Payments 

(4) 

(5) 

(6) 

42,400 

47,900 

53,900 

60,900 

67,900 

74,900 

83,400 

17,100 

27,700 

39,800 

49,000 

59,100 

65,900 

73,300 

99,400 

1,100 

1,100 

1,100 

1,100 

1,100 

1,100 

1,100 

TOTAL appropriations  
under HEADING 3 
of the multiannual financial framework 

Commitments 

=4+ 6 

43,500 

49,000 

55,000 

62,000 

69,000 

76,000 

84,500 

Payments 

=5+ 6 

18,200

28,800

40,900 

50,100

60,200

67,000

74,400

99,400 

431,30

431,30

7,70

439,00

439,00

EN 

31 

E

 
  
 
 
 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

Post 2020 

TOTAL 

EUR million (to 3 decimal places) 

DG JUSTICE 

(cid:121) Human resources  

(cid:121) Other administrative expenditure  

4,185 

4,247 

4,165 

4,254 

4,344 

4,433 

4,522 

0,054 

0,055 

0,056 

0,057 

0,059 

0,060 

0,061 

TOTAL DG JUSTICE 

Appropriations  

4,239 

4,302 

4,221 

4,311 

4,403 

4,493 

4,583 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

4,239 

4,302 

4,221 

4,311 

4,403 

4,493 

4,583 

30,15

0,40

30,55

30,55

EUR million (to 3 decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial framework  

Commitments 

47,739

53,302

59,221  66,311

73,403

80,493

89,083

Payments 

22,439

33,102

45,121  54,411

64,603

71,493

78,983

99,400

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

EN 

32 

TOTAL 

469,55

469,55

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/initiative requires the use of operational appropriations, as explained below. It is not possible for DG Justice to provide an 
exhaustive list of all outputs to be delivered by means of the financial intervention under the programme, their average costs and numbers, 
as  requested  by  this  section.  There  are  no  statistical  tools  at  the  moment  allowing  to  produce  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 political priorities between 2014-2020. However, this is a (non-exhaustive) list of outputs that are expected: 

- Number of persons in target group reached by awareness-raising activities; 

- Number of persons in target group reached by training activities. 

- Number of stakeholders participating inter alia in networking, exchanges, study visits. 

- Number of cases of trans-border cooperation, including via the use of IT tools and European procedures. 

- Policy initiatives designed on the basis of evaluations, impact assessments and drawing on comprehensive stakeholders’ and experts’ 

consultations; 

- Number of evaluations and impact assessments carried out as a result of the implementation of the programme. 

EN 

33 

E

 
  
Indicate 
objectives and 
outputs  

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

OUTPUTS 

Commitment appropriations in EUR million (to 3 decimal places) 

Year 
2018 

Year 
2019 

Year 
2020 

TOTAL 

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
24 

Avera
ge 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

SPECIFIC OBJECTIVE No 125… 

- Output 

- Output 

- Output 

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2… 

- Output 

Sub-total for specific objective N°2 

TOTAL COST 

24 
25 

EN 

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)…" 

34 

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/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

Year 
201426 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

4,185 

4,247 

4,165 

4,254 

4,344 

4,433 

4,522 

30,150 

Other  administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 527 
of the multiannual 
financial framework  

Human resources  

Other 
expenditure  
of  an  administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

0,054 

0,055 

0,056 

0,057 

0,059 

0,060 

0,061 

0,402 

4,239 

4,302 

4,221 

4,311 

4,403 

4,493 

4,583 

30,552 

1,100 

1,100 

1,100 

1,100 

1,100 

1,100 

1,100 

7,700 

1,100 

1,100 

1,100 

1,100 

1,100 

1,100 

1,100 

7,700 

TOTAL 

5,339 

5,402 

5,321

5,411

5,503

5,593 

5,683

38,252

26 
27 

Year N is the year in which implementation of the proposal/initiative starts. 
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. 

EN 

35 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
The Commission may envisage (partially) externalising the implementation of the Programme 
to  existing  executive  agencies.  Amounts  and  imputations  will  be  adjusted  if  necessary 
according to the results of the externalisation process. 

EN 

36 

   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: 

Estimate to be expressed in full time equivalent units 

Year 
2014 

Year 
2015 

Year
2016 

Year 
2017 

Year 
2018 

Year
2019 

Year
2020 

(cid:121) Establishment plan posts (officials and temporary agents, in Full Time Equivalent unit: FTE) 

33 01 01 01 (Headquarters and 
Commission’s Representation 
Offices) 

XX 01 01 02 (Delegations) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

30,75 

30,75 

29,75 

29,75 

29,75 

29,75 

29,75 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)28 

0,5 

0,5 

0 

0 

0 

0 

0 

33 01 02 01 (CA, INT, SNE from 
the "global envelope") 

XX 01 02 02 (CA, INT, JED, LA 
and SNE in the delegations) 

XX 01 04 
yy 29 

- at 
Headquar
ters30 

- in 
delegation
s  

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

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

Other budget lines (specify) 

TOTAL 

31,25 

31,25 

29,75 

29,75 

29,75 

29,75 

29,75 

33 is the policy area or budget title concerned. 

The human resources required will be met by staff from the DG who 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 procedure and in the light of budgetary constraints. Amounts and imputations will 
be adjusted depending on the results of the envisaged externalisation process. 

28 

29 
30 

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). 

EN 

37 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Description of tasks to be carried out: 

Officials and temporary agents 

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; 
- preparing annual work programmes/financing decisions, establishing annual 
priorities; 
- managing calls for proposals and calls for tenders and the subsequent selection 
procedures; 
- communicating with stakeholders (potential/actual beneficiaries, Member States, 
etc); 
- managing projects, operationally and financially; 
- performing controls, as described above (ex ante verification, procurement 
committee, ex post audits, internal audit) ; 
- accounting; 
- developing and managing grant management IT tools; 
- monitoring and reporting on achievement of objectives , including in AAR and AOS 
reports 

External personnel 

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

EN 

38 

   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 framework31. 

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

3.2.5.  Third-party contributions  

•  (cid:59)  The proposal/initiative does not provide for co-financing by third parties  

•  (cid:133)  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to 3 decimal places) 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

Total 

Specify  the  co-financing 
body  

TOTAL 
cofinanced  

appropriations 

31 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

39 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

•  (cid:133)  Proposal/initiative has no financial impact on revenue. 

•  (cid:59)  Proposal/initiative has the following financial impact: 

(cid:133) 

(cid:59) 

on own resources  

on miscellaneous revenue  

Appropriations 
available for the 
ongoing budget 
year 

Budget revenue line: 

Article 6xxxx…………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative32 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

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

[33 yyyyyy…] Revenue line 

Specify the method for calculating the impact on revenue. 

The  revenues  are  not  known  at  this  stage  and  will  depend  on  the  participation  of 
candidate countries to the programme. 

32 

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 

40 

   EN