Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing for the period 2014 to 2020 the Justice Programme
Date: 2011-11-15
Institutions: European Commission
Subjects: EU financing, drug traffic, economic priority, fight against crime, judicial cooperation in civil matters in the EU, judicial cooperation in criminal matters in the EU

EUROPEAN COMMISSION 

Brussels, 15.11.2011 
COM(2011) 759 final 

2011/0369 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing for the period 2014 to 2020 the Justice 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,  judicial  cooperation  in  civil  and  criminal  matters  is  still 
insufficient. In the post-Lisbon era and after the abolition of the third pillar the area of justice 
develops dynamically in order to respond to all challenges. Legislative and policy measures as 
well  as  their  coherent  implementation  are  key  tools.  Funding  can  contribute  to  the 
development  of  this  area  through  supporting  legislation  and  policy-making  and  promoting 
their implementation. 

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 justice was mentioned as an 
example of the existing fragmentation, where action should be taken.  

Within  this  framework  and  aiming  at  simplification  and  rationalisation,  the  Justice 
programme is the successor of three current programmes:  

- Civil Justice (JCIV),  

- Criminal Justice (JPEN),  

- Drug Prevention and Information Programme (DPIP).  

Whereas  DPIP  was  based  on  a  public  health  legal  basis  and  therefore  covered  health 
considerations,  notably  the  reduction  of  health  harms  associated  with  drug  use,  the  Justice 
programme  approaches  anti-drugs  policy  via  the  angle  of  crime  prevention.  Illicit  drug 
trafficking,  which  is  one  of  the  areas  of  crime  where  the  European  legislator  may  adopt 
minimum  rules  concerning  the  definition  of  criminal  offences  and  sanctions  on  the  basis  of 
Article 83 TFEU, and other illegal activities related to drugs will be the main focus of drug-
related funding under the new programme.  

The merge of these programmes, all based on provisions in Part III, Title V of the TFEU, will 
allow for a comprehensive funding approach in this area and for a more efficient allocation of 
funds for horizontal issues, such as training.  

The  general  objective  of  this  proposal  is  to  contribute  to  the  creation  of  a  genuine  area  of 
justice through promoting judicial cooperation in civil and criminal matters. To achieve this 

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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general  objective,  the  proposal  aims  to  promote  effective,  comprehensive  and  consistent 
application  of  Union  legislation  in  the  areas  of  judicial  cooperation  in  civil  and  criminal 
matters, to fostering access to justice and to prevent and reduce drug demand and supply.  

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 area of justice. 

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  6  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 
4 

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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 Article 81 (1) and (2), Article 82 (1) and Article 84 of the Treaty on 
the Functioning of the European Union. 

The combination of Articles 81 and 82 allows for a comprehensive approach in supporting the 
development of judicial cooperation in civil and criminal matters, especially in terms of cross-
cutting and horizontal issues affecting both justice areas.  

Article  84  foresees  the  establishment  of  measures  to  promote  and  support  the  action  of 
Member States in the field of crime prevention. The Programme does not intend to cover the 
whole  area  of  crime  prevention,  but  only  the  area  of  anti-drugs  policy.  It  aims  to  adopt  a 

–  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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comprehensive  approach  to  fighting  drug  demand  and  supply,  covering  funding  to  support 
Member States’ cross-border cooperation on enforcement.  

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. 

4. 

BUDGETARY IMPLICATION  

The  financial  envelope  for  the  implementation  of  the  Justice  Programme  for  the  period  1 
January 2014 to 31 December 2020 shall amount to EUR 472 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 
4 and 5) and the areas of action where the Programme will focus on (Article 6). The general 
and specific objectives define the scope of the programme (policy areas), whereas the types of 
actions 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 
the  European 
potential  candidates.  Other 

third  countries,  notably  countries  where 

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Neighbourhood Policy applies, may be associated to actions of the Programme, if this serves 
the purpose of these actions. 

-  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. 

The notion of ‘judiciary and judicial staff' 

Judicial training of the judiciary and judicial staff is a key element of Justice policies. Judicial 
training  enhances  mutual  confidence  between  Member  States,  practitioners  and  citizens  and 
the Commission’s Communication on European judicial training, "Building trust in EU-wide 
justice, a new dimension to European judicial training", sets concrete training objectives to be 
achieved  by  20206.  Articles  81(2)(h)  and  82(1)(c)  TFEU  explicitly  target  "Judiciary  and 
Judicial  staff".  In  accordance  with  the  Commission's  Communication  lawyers,  while 
constituting an autonomous profession, are an integral and necessary part of judicial activity 
and  they  play  a  central  role  in  the  implementation  of  Union  law.  As  for  notaries  in  several 
Member States they have important competence in the judicial field, which also leads them to 
contribute to the implementation of Union law. Taking into account the spirit and the aims of 
the Treaty's provisions these provisions are extended to include these two professions. 

6 

Commission’s Communication of 13.9.2011, COM(2011)551 final. 

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2011/0369 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing for the period 2014 to 2020 the Justice 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 Article 81(1) 
and (2), Article 82(1) and Article 84 thereof, 

Having regard to the proposal from the European Commission, 

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

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

The  Treaty  on  the  Functioning  of  the  European  Union  provides  for  the  creation  of  an  area  of 
freedom, security and justice, in which persons are free to move. To that end, the Union may 
adopt measures to develop judicial cooperation in civil and criminal matters and promote and 
support the action of Member States in the field of crime prevention, notably for the prevention 
and reduction of drug demand and supply.  

The  Stockholm  Programme7  reaffirms  the  priority  of  developing  an  area  of  freedom,  security 
and justice and specifies within its political priorities the achievement of a Europe of law and 
justice. Financing is identified as one of the important tools for the successful implementation 
of the Stockholm Programme's political priorities. 

The  Communication  from  the  Commission  on  Europe  20208  sets  out  a  strategy  for  smart, 
sustainable and inclusive growth. A well-functioning area of justice, where obstacles in cross-
border  judicial  proceedings  and  access  to  justice  in  cross-border  situations  are  eliminated, 
should  be  developed  as  a  key  element  to  support  and  promote  the  specific  objectives  and 
flagship initiatives of the Europe 2020 Strategy. 

7 
8 

OJ C 115, 4.5.2010, p. 1. 
COM(2010)2020 final of 3.3.2010. 

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(4) 

(5) 

(6) 

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  2020’9  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.  

In response to the need for simplification and efficient management of funding, this Regulation 
establishes the Justice Programme to provide for the continuation and development of activities 
previously  carried  out  on  the  basis  of  three  programmes,  established  by  Decision  No 
1149/2007/EC  of  the  European  Parliament  and  of  the  Council  of  25  September  2007 
establishing  for  the  period  2007-2013  the  Specific  Programme  'Civil  Justice'  as  part  of  the 
General Programme 'Fundamental Rights and Justice'10, Council Decision 2007/126/JHA of 12 
February  2007  establishing  for  the  period  2007-2013,  as  part  of  the  General  Programme  on 
Fundamental Rights and Justice, the Specific Programme 'Criminal Justice'11 and Decision No 
1150/2007/EC  of  the  European  Parliament  and  of  the  Council  of  25  September  2007 
establishing  for  the  period  2007-2013  the  Specific  Programme  'Drug  prevention  and 
information' as part of the General Programme 'Fundamental Rights and Justice'.12 

(7)  Whereas  the  Drug  prevention  and  information  programme  was  based  on  a  public  health  legal 
basis  and  therefore  covered  health  considerations,  notably  the  reduction  of  health  harms 
associated  with  drug  use,  the  Justice  programme  should  approach  anti-drugs  policy  via  the 
angle  of  crime  prevention.  Illicit  drug  trafficking  and  other  illegal  activities  related  to  drugs 
should be the main focus of drug-related funding under the new programme. 

(8) 

The Commission Communications ‘The EU Budget Review’13 and ‘A budget for Europe 2020’ 
also  underline  the  importance  of  focusing  funding  on  activities  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 creation of a 
European area of justice by promoting the principle of mutual recognition, developing mutual 
trust  between  the  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 Union is in a better 
position  than  Member  States  to  address  cross-border  situations  and  to  provide  a  European 
platform for mutual learning. 

9 
10 
11 
12 
13 

COM(2011)500 of 29.6.2011. 
OJ L 257, 3.10.2007, p. 16.  
OJ L 58, 24.2.2007, p. 13.  
OJ L 257, 3.10.2007, p.23.  
COM(2010)700 of 19.10.2010. 

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(9) 

(10) 

In the field of drugs, demand and supply create a real threat that Member States cannot tackle 
sustainably  on  their  own.  Union  intervention  under  this  Regulation  should  support  Member 
States'  actions  to  prevent  and  reduce  drug  demand  and  supply,  notably  by  supporting  cross-
border cooperation on enforcement.  

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.  

(11)  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.  

(12)  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 the 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. 

(13) 

(14) 

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 powers14. 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 Rights 
and Citizenship programme established by Regulation (EU) No XX/XX of XX15, the Instrument 
for financial support for police cooperation, crime prevention and the fight against cross-border, 
serious and organised crime established by Regulation (EU) No XX/XX of XX16, the Health for 
Growth  Programme  established  by  Regulation (EU)  No  XX/XX  of  XX17,  the  Erasmus  for  all 
Programme established by Regulation (EU) No XX/XX of XX,18 the Horizon 2020 Framework 
Programme  established  by  Regulation  (EU)  No  XX/XX  of  XX19  and  the  Instrument  for  Pre-
accession Assistance established by Regulation (EU) No XX/XX of XX20. 

14 
15 
16 
17 
18 
19 
20 

OJ L 55, 28.2.2011, p. 13. 
OJ L XX, XX, p. XX. 
OJ L XX, XX, p. XX. 
OJ L XX, XX, p. XX. 
OJ L XX, XX, p. XX. 
OJ L XX, XX, p. XX. 
OJ L XX, XX, p. XX. 

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(15)  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. 

(16)  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 2185/9621  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. 

(17)  Since the objective of this Regulation, namely to contribute to the creation of a European area 
of justice, 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. 

(18) 

[In accordance with Article 3 of the Protocol (No 21) on the position of the United Kingdom 
and Ireland in respect of the Area of Freedom, Security and Justice, annexed to the Treaty on 
European  Union  and  to  the  Treaty  on  the  Functioning  of  the  European  Union,  those  Member 
States have notified their wish to take part in the adoption and application of this Regulation] 
OR  [Without  prejudice  to  Article  4  of  the  Protocol  (No  21)  on  the  position  of  the  United 
Kingdom  and  Ireland  in respect of the Area  of  Freedom, Security and Justice, annexed to the 
Treaty  on  European  Union  and  to  the  Treaty  on  the  Functioning  of  the  European  Union,  the 
United Kingdom and Ireland will not take part in the adoption of this Regulation and will not be 
bound by it or be subject to its application].22 

(19) 

In  accordance  with  Articles  1  and  2  of  the  Protocol  (No  22)  on  the  position  of  Denmark, 
annexed to the Treaty on European Union and to the Treaty on the Functioning of the European 
Union, Denmark is not taking part in the adoption of this Regulation and is not bound by it or 
subject to its application, 

HAVE ADOPTED THIS REGULATION:  

Article 1 
Establishment and duration of the Programme 

This Regulation establishes the European Union programme on Justice, hereinafter referred to 
as ‘the Programme’.  

OJ L 292, 15.11.1996, p. 2. 
The final wording of this recital in the Regulation will depend on the actual position of the United Kingdom and 
Ireland taken in accordance with the provisions of protocol (No 21). 

1. 

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2. 

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

Article 2 
Definitions 

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

(a) 

(b) 

'Member States' means the Member States with the exception of [Denmark] OR [Denmark, the 
United Kingdom and Ireland, without prejudice to Article 4 of the Protocol (No 21)]; 

‘members of the judiciary and judicial staff' means judges, prosecutors, advocates, solicitors, 
notaries, court officers, bailiffs, court interpreters and other professionals associated with the 
judiciary. 

Article 3 
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 4 
General objective  

The  general  objective  of  the  Programme  shall  be  to  contribute  to  the  creation  of  a  European  area  of 
justice by promoting judicial cooperation in civil and criminal matters.  

Article 5 
Specific objectives  

To achieve the general objective set out in Article 4, the Programme shall have the following specific 
objectives:  

(a) 

to  promote  effective,  comprehensive  and  consistent  application  of  Union  legislation in 
the areas of judicial cooperation in civil and criminal matters. 

The  indicator  to  measure  the  achievement  of  this  objective  shall  be,  inter  alia,  the 
number of cases of trans-border cooperation. 

(b) 

to facilitate access to justice. 

The  indicator  to  measure  the  achievement  of  this  objective  shall  be,  inter  alia,  the 
European perception of access to justice. 

(c) 

to prevent and reduce drug demand and supply. 

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The  indicator  to  measure  the  achievement  of  this  objective  shall  be,  inter  alia,  the 
number of cases of trans-border cooperation. 

The  Programme  shall  aim  to  promote  equality  between  women  and  men  and  combat  discrimination 
based  on  sex,  racial  or  ethnic  origin,  religion  or  belief,  disability,  age  or  sexual  orientation  in  all  its 
activities. 

Article 6 
Actions 

1. 

With  a  view  to  pursuing  the  objectives  set  out  in  Article  4  and  Article  5,  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; 

improving  the  knowledge  and  understanding  of  potential  issues  affecting  the  smooth 
functioning of a European area of justice 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  for  members  of  the  judiciary  and  judicial  staff,  such  as  staff 
exchanges, workshops, seminars, train-the-trainer events, development of online or 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 
conferences  and  seminars;  organisation  of  awareness-raising  and 
information 
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; 

(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 

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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 7 
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; 

(d)  Denmark, on the basis of an international agreement. 

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 international organisations active 
in the areas covered by the Programme, such as the Council of Europe, the United Nations and 
the Hague Conference on Private International Law. Access to the Programme shall be open to 
those international organisations. 

Article 8 
Budget 

The financial envelope for the implementation of the Programme shall be EUR 472 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 of 
the  Multiannual  Financial  Framework  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 9 
Implementing measures 

The Commission shall implement the Union financial support in accordance with 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 10(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 10 
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 11 
Complementarity 

The  Commission,  in  cooperation  with  the  Member  States,  shall  ensure  overall  consistency, 
complementarity and synergies with other Union instruments, inter alia, with the Rights and 
Citizenship  Programme,  the  Instrument  for  financial  support  for  police  cooperation,  crime 
prevention  and  the  fight  against  cross-border,  serious  and  organised  crime,  the  Health  for 
Growth  Programme,  the  Erasmus  for  all  Programme,  the  Horizon  2020  Framework 
Programme and the Instrument for Pre-accession Assistance.  

The  programme  may  share  resources  with  other  Union  instruments,  in  particular  the  Rights 
and  Citizenship  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 Rights and Citizenship Programme, provided that 
the funding does not cover the same cost items. 

Article 12 
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 13 
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  6  (1)  and  the 
achievement  of  the  specific  objectives  referred  to  in  Article  5.  The  monitoring  will  also 
provide a means of assessing the way in which gender equality and anti-discrimination issues 
have been addressed across the programme’s activities. 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 14. 

The  ex-post  evaluation  shall  report  on  the  longer-term  impact  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 14 
Transitional measures 

Actions  which  are  initiated  before  1  January  2014  on  the  basis  of  Decision  1149/2007/EC,  Decision 
2007/126/JHA  or  Decision  1150/2007/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 and 11 of Decision 1149/2007/EC, in Article 9 of Decision 2007/126/JHA and in Article 
10  of  Decision  1150/2007/EC  shall  be  interpreted  as  references  to  the  Committee  provided  for  in 
Article 10 of this Regulation. 

Article 15 
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 Justice Programme  

1.2. 

Policy area(s) concerned in the ABM/ABB structure23  

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 action24  

(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 creation of a European area of freedom, security and 
justice,  and  in  particular  of  a  European  area  of  justice,  by  promoting  judicial  cooperation  in 
civil and criminal matters. A well-functioning area of justice, where obstacles in cross-border 
judicial proceedings are eliminated, will also support and promote the specific objectives and 
flagship initiatives of the Europe 2020 Strategy. 

1.4.2. 

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

Specific objectives 

To achieve the general objective of contributing to the creation of a European area of justice, 
the Programme has the following specific objectives: 

to promote effective, comprehensive and consistent application of Union legislation in 

(a) 
the areas of judicial cooperation in civil and criminal matters; 

(b) 

to facilitate access to justice; 

23 
24 

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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(c) 

to prevent and reduce drug demand and supply. 

ABM/ABB activity(ies) concerned 

ABB 33 03 and 33 04. 

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 Union 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 number of cases of trans-border cooperation for (a) and (c) and the European 
perception of access to justice for (b). 

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. 

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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 Justice, 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  by  increasing 
knowledge,  awareness  and  capacity  of  citizens,  professionals  and  stakeholders,  through 
supporting: 

Information  and  public  awareness  raising,  including  support  for  national  and  European 
campaigns  to  inform  people  of  their  rights,  as  guaranteed  under  Union  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  Union  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. Union-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 cooperation. 

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 Union 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  Justice  Programme  concentrates  on  activities  where  the  Union’s 
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  Union  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. 

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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 justice 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  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  programmes  in  the  areas  of  home  affairs,  health  and 
consumers, education and research. 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. 

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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) envisaged25  

(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 Communities26  

–  (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.  

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26 

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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Joint  management  is  another  option  that  is  not  used  at  the  moment,  but  could  be  envisaged  in  the 
future.  This  concerns  in  particular  the  international  organisations  named  in  Article  7(2):  Council  of 
Europe, United Nations and the Hague Conference on Private International Law. 

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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  on  the  basis  of  the  indicators  contained  in  the  proposal;  on  an 
annual basis. 

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 

24 

   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  3%  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 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%, 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 

25 

   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  Justice  Programme  to  prevent 
fraud and irregularities. The proposal contains in its Article 12 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 
deterrent penalties. The anti-fraud strategy describes the system of ex ante and ex post checks, 

EN 

26 

   EN 

 
 
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 

27 

   EN 

 
3. 

3.1. 

Heading of 
multiannual 
financial 
framework 

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  

[3…] 

[3…] 

[33 01 04.YY] 

[Justice Programme] 

[33 YY YY YY] 

[Justice Programme] 

[Non 
diff…] 

YES 

YES 

YES27

NO 

[Diff…]  YES 

YES 

YES 

NO 

27 

Possibly DK 

EN 

28 

   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) 

DG: Justice 

(cid:121) Operational appropriations  

Number of budget line- 33 xx xx 

of 

administrative 
Appropriations 
from the envelope for specific programmes29  
Number of budget line 33 01 04 yy* 

an 

TOTAL appropriations 
for DG JUSTICE 

Commitments 

Payments 

Year 
201428 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

Post 2020 

TOTAL 

Commitments 

Payments 

(1) 

(2) 

nature 

financed 

45,800 

52,800 

59,300 

66,300 

73,800 

80,800 

84,800 

18,300 

30,400 

43,600 

53,700 

64,400 

71,500 

77,100 

104,600 

1,200 

1,200 

1,200 

1,200 

1,200 

1,200 

1,200 

47,000 

54,000 

60,500 

67,500 

75,000 

82,000 

86,000 

19,500 

31,600 

44,800 

54,900 

65,600 

72,700 

78,300 

104,600 

(3) 

=1+1
a +3 

=2+2
a 

+3 

463,60

463,60

8,40

472,00

472,00

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. 

28 
29 

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. 

29 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(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) 

45,800 

52,800 

59,300 

66,300 

73,800 

80,800 

84,800 

18,300 

30,400 

43,600 

53,700 

64,400 

71,500 

77,100 

104,600 

1,200 

1,200 

1,200 

1,200 

1,200 

1,200 

1,200 

TOTAL appropriations  
under HEADING 3 
of the multiannual financial framework 

Commitments 

=4+ 6 

47,000 

54,000 

60,500 

67,500 

75,000 

82,000 

86,000 

Payments 

=5+ 6 

19,500 

31,600 

44,800 

54,900 

65,600 

72,700 

78,300 

104,600 

463,60

463,60

8,40

472,00

472,00

EN 

30 

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 

30,150 

0,402 

30,552 

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 

30,552 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

Post 2020 

TOTAL 

EUR million (to 3 decimal places) 

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

Commitments 

51,239 

58,302 

64,721 

71,811 

79,403 

86,493 

90,583 

502,552 

Payments 

23,739 

35,902 

49,021 

59,211 

70,003 

77,193 

82,883 

104,600 

502,552 

EN 

31 

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 members of the judiciary and judicial staff in target group trained. 

- Number of legal practitioners 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 

32 

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
30 

Avera
ge 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

SPECIFIC OBJECTIVE No 131… 

- Output 

- Output 

- Output 

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2… 

- Output 

Sub-total for specific objective N°2 

TOTAL COST 

30 
31 

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 

33 

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 
201432 

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 533 
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 

1,200 

1,200 

1,200 

1,200 

1,200 

1,200 

1,200 

8,400 

1,200 

1,200 

1,200 

1,200 

1,200 

1,200 

1,200 

8,400 

TOTAL 

5,439 

5,502 

5,421 

5,511 

5,603 

5,693 

5,783 

38,952 

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. 

32 
33 

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 

34 

   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 

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) 

30,75 

30,75  29,75  29,75  29,75  29,75  29,75 

10 01 05 01 (Direct research) 
External personnel (in Full Time Equivalent unit: FTE)34 

0,5 

0,5 

0 

0 

0 

0 

0 

- at 
Headquarters36 

- in 
delegations  

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 35 

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. 

Description of tasks to be carried out: 

Officials  and 

temporary  The  tasks  to  be  carried  out  comprise  all  tasks  necessary  to  the 

34 

35 
36 

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 

35 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
agents 

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 

36 

   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 framework37. 

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: 

37 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

37 

   EN 

 
                                                 
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/initiative38 

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. 

38 

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 

38 

   EN