COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL Financial statement accompanying Regulation (EU) No 1168/2011
Date: 2012-10-23
Institutions: European Commission
Subjects: EU migration policy, Frontex, border control, external border of the EU, financial legislation, operation of the Institutions

EUROPEAN 
COMMISSION 

Brussels, 23.10.2012  
COM(2012) 590 final 

COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT AND THE COUNCIL 

Financial statement accompanying Regulation (EU) No 1168/2011 

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COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND 
THE COUNCIL 

Financial statement accompanying Regulation (EU) No 1168/2011 

INTRODUCTION 

Recent years have seen a sharp increase in the workload and priorities of the European Agency for the 
Management of Operational Cooperation at the External Borders of the Member States of the European 
Union  (Frontex).  Most  recently,  the  increased  migratory  pressure  at  the  Union’s  southern  borders 
generated by the Arab spring and the deteriorating situation at the Greek external border have prompted 
calls from the Commission, the Council and the Parliament for the Agency to play a more active role. 
The  Agency’s  budget  was  increased  significantly  in  both  2010  and  2011  to  enable  it  to  intensify  its 
operational  activities  in  these  areas.  Moreover  the  development  of  the  European  external  border 
surveillance  system  (Eurosur),  in  which  Frontex  is  to  become  a  key  player,  is  increasingly  seen  as  a 
crucial part of the Union’s external border management as well as a means to reduce the unacceptably 
high number of lives lost at sea by irregular migrants seeking to enter the EU.  

REVISION OF THE AGENCY'S MANDATE 

Against this background the Agency’s mandate was amended in 2011 to enable it to respond to the new 
challenges  and  to  meet  the  expectations  of  the  Commission,  the  Council  and  the  Parliament.  The 
adoption of Regulation (EU) No 1168/2011 followed the submission to the European Parliament and 
the  Council  of  a  draft  text  adopted  by  the  Commission  on  24  February  2010  (COM(2010)  61  final). 
This  draft  text  was  not  accompanied  by  a  financial  statement  as  the  subsidy  related  to  the  Frontex 
Agency formed already part of the Union's budget and the Commission considered that the proposed 
changes  would  not  require  additional  resources.  However,  the  amended  Frontex  Regulation1  places 
new  and  increased  obligations  on  the  Agency,  entails  new  tasks  for  the  Agency,  and  specifies  that 
certain tasks have to be carried out by certain categories of the Agency staff. It should be emphasised 
that some of the new tasks were introduced by the legislative Authority during the adoption procedure 
of  the  regulation.  While  these  tasks  necessitate  the  creation  of  new  posts  such  as  the  Fundamental 
Rights  Officer  and  the  Coordinating  Officers  for  all  Frontex  operational  activities,  they  were  not 
foreseen in the Commission's legislative proposal.  

The most important changes are in the following areas of the Agency's core activities: 

1. 

Creation of European border guard teams 

The  European  Border  Guard  Teams  will  consist  of  national  border  guards  assigned  or  seconded  by 
Member  States  to  the  agency  for  joint  operations,  rapid  interventions  and  pilot  projects.  The  legal 
provisions  of  on  the  one  hand  the  Rapid  Border  Intervention  Teams  and  on  the  other  hand  the  joint 
support  teams  (joint  operations,  pilot  projects)  now  form  part  of  a  single  set  of  provisions  under  the 
heading: European Border Guard Teams.  

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Regulation (EU) No 1168/2011  

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2. 

Strengthened focus on Fundamental rights 

The visibility of fundamental rights obligations and the respect of various international law instruments 
is clarified and increased: 

– 

– 

– 

– 

– 

– 

– 

In case of a breach of human rights, Frontex missions have to be suspended or terminated in 
whole or in part.  

The office of a Fundamental Rights Officer has to be created in the Agency to assist in matters 
having implications for fundamental rights. 

A  Consultative  Forum  on  Fundamental  Rights  has  to  be  set  up  also  involving  relevant 
international organisations and NGOs.  

A Code of Conduct has to be established to guarantee respect for fundamental rights. 

Frontex-funded  return  operations  have  to  be  monitored  on  the  basis  of  objective  and 
transparent criteria. The Commission will draw up an annual report on the monitoring. 

The tasks of the Agency will include possible assistance to Member States in situations that 
may involve humanitarian emergencies and rescue at sea 

Fundamental  rights  have  to  be  included  in  the  training  curricula  of  Frontex  personnel  and 
border guards participating in Frontex operations.  

3. 

Strengthening of the Agency's operational capacity 

The putting at the disposal of the Agency by Member States of human and technical resources to be 
used  in  joint  operations  at  the  external  borders  is  further  developed,  as  well  as  the  creation  of  the 
possibility for the Agency to have its own technical equipment. This is achieved by: 

– 

a  quasi  compulsory  mechanism  for  technical  and  human  resources  i.e.  once  Member  States 
agree to assign their national border guards or second them to the Agency as guest officers to 
take  part  in  joint  operations  or  put  technical  equipment  in  the  pool  at  the  disposal  of  the 
Agency, they will be legally bound to honour their commitments.  

– 

allowing Frontex to purchase, lease, own and co-own its own technical assets.  

Frontex will also have the mandate to process personal data obtained during operations to use them in 
the fight against criminality, human trafficking and irregular immigration. Data may also be transmitted 
to Europol, albeit on a case-by-case basis.  

The coordinating role of the Agency is substantially enhanced through the obligation on the Agency to 
appoint a coordinating officer for all joint operations. Furthermore there is an obligation to evaluate all 
operations. 

The  cooperation  with  relevant  authorities  of  third  countries  is  also  enhanced.  The  basis  remains  the 
conclusion of a working arrangement with the competent authorities regarding border control of a third 
country. The Agency will have the possibility to provide technical assistance and to deploy its liaison 
officers to relevant third countries to increase the level of cooperation. 

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Regarding training, an Erasmus-style exchange programme for national border guards will be created.  

Finally the Agency has also received a general mandate to support  the development of the European 
Border Surveillance System (Eurosur). 

THE IMPACT ON THE AGENCY'S STAFFING IN 2012 AND 2013 

These changes have an important impact on the work of the Agency. Some of the changes were part of 
the  Commission  proposal  to  amend  the  Frontex  Regulation,  others  have  been  amplified  by  the 
legislators  (i.e.  the  role  of  the  coordinating  officers,  the  posting  of  Frontex  liaison  officers  in  third 
countries, the enhanced activities related to risk analysis), and some have been added as new tasks (i.e. 
the  Fundamental  Rights  Officers,  the  setting  up  of  the  Fundamental  Rights  Forum,  the  possibility  to 
process  personal  data  which  involves  by  definition  the  creation  of  secure  information  exchange 
channels to ensure the proper handling of such sensitive data). 

It should equally been understood that these enhanced and new tasks create an additional administrative 
workload in parallel to the enhanced operational activities of the Agency. 

To address these issues the Agency has now carried out an exercise to prioritise these tasks, identifying 
those which are mandatory for Frontex to implement during the period 2013-2015. In parallel, it carried 
out a review of current programmes and projects so as to be able to redeploy staff to the new priorities 
and/or tasks.  

However  redeployment  alone  will  not  enable  the  Agency  to  fulfil  all  of  the  most  important  tasks. 
Therefore the Agency, in close cooperation with the Commission, took into consideration not only the 
new tasks and the conditions under which those tasks shall be carried out, but the difficult economic 
situation  with  which  the  European  Union  and  its  Member  States  are  confronted  and  the  overall 
objective  to  reduce  the  staffing  levels  in  the  EU  institutions  and  agencies.  This  consideration  has 
resulted  in  a  proposed  limited  increase  in  the  number  of  posts  in  Frontex  establishment  plan  to  be 
requested in two steps. Four additional establishment plan posts needed urgently, and included in the 
draft  budget  2013,  to  comply  with  binding  legal  requirements  whilst  carrying  out  the  Agency's  core 
tasks  (i.e.  Coordinating  Officers  responsible  for  the  coordination  of  joint  operations  at  the  external 
borders of the Member States, Fundamental Rights Officer) and eight additional posts to be created as 
early as possible, following the required steps in terms of budget authorisation.  

In  the  Draft  Budget  2013,  as  a  first  step,  the  Commission  proposed  an  increase  to  the  establishment 
plan of four additional temporary agents up to the ceiling set by the Legislative Financial Statement. As 
the draft budget proposal of the Commission includes a reduction of 3 contract agents to implement the 
first  instalment  of  the  5  %  staff  reduction  over  the  years  2013-2017  announced  in  the  Commission 
proposals  for  the  next  multiannual  financial  framework  of  29  June  2011,  the  overall  head  count  
therefore increased by a  net  one post. 

 As a second step, the present communication together with the enclosed revised financial statement seeks a 
further increase in the Establishment Plan of eight posts, partially offset by a decrease of six in the number 
of seconded national experts. This is because the Agency has to replace national experts and/or contractual 
agents with temporary agents under the new Regulation. In particular, Article 17(3)  stipulates that 'only a 
staff member of the Agency subject to the Staff Regulations of Officials of the European Union or to Title II 
of  the  Conditions  of  employment  of  other  servants  of  the  European  Union  may  be  designated  as 
coordinating officer'. The net increase in the overall headcount arising from this proposal is therefore two 
posts.  

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These changes are indicated in the Legislative Financial Statement attached to this Communication.  

The Commission seeks the necessary adjustment to Frontex establishment plan, entailing the creation 
of  8  additional  posts  in  the  budget  2013  (on  the  basis  of  the  revised  legislative  financial  statement 
enclosed  to  this  Communication),  partially  offset  by  a  reduction  of  6  seconded  national  experts.  In 
terms of expenditure, the additional posts are budget neutral, since  no additional funding is required. 
Funding  needs  will  be  met  through  redeploying  from  Title  2  to  Title  1  within  the  appropriations 
requested in the draft budget 2013. 

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LEGISLATIVE FINANCIAL STATEMENT  

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

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

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management method(s) envisaged  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on [body]'s appropriations  

3.2.3. Estimated impact on [body]'s human resources 

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  

Regulation (EU) No 1168/2011 of the European Parliament and of the Council of 25 October 
2011 amending Council Regulation (EC) No 2007/2004 establishing a European Agency for 
the Management of Operational Cooperation at the External Borders of the Member States of 
the European Union. 

1.2. 

Policy area(s) concerned in the ABM/ABB structure2  

Policy area: Home Affairs 

1.3. 

Nature of the proposal/initiative  

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

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action3  

(cid:59) 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  

Since the entry into force of the Treaty of Amsterdam in 1999, a number of common measures have 
been adopted to manage better the external borders of the European Union in accordance with Article 
62 (2) of the EC Treaty.  

Built around the three pillars of common legislation, common operations and financial solidarity, key 
steps have been taken with the adoption of the Schengen Borders Code4, the Practical Handbook for 
Border Guards (Schengen Handbook)5 and the rules for local border traffic6, the establishment of the 

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ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 
Regulation  (EC)  No  562/2006  of  the  European  Parliament  and  of  the  Council  of  15  March  2006  establishing  a 
Community Code on the rules governing the movement of persons across borders (Schengen Borders Code) (OJ L 
105, 13.4.2006, p. 1). 
Commission Recommendation C(2006) 5186 of 6 November 2006 establishing a common "Practical Handbook for 
Border Guards (Schengen Handbook)" to be used by Member States' competent authorities when carrying out the 
border control of persons. 
Regulation (EC) No 1931/2006 of the European Parliament and of the Council of 20 December 2006 laying down 
rules  on  local  border  traffic  at  the  external  borders  of  the  Member  States  and  amending  the  provisions  of  the 
Schengen Convention (OJ L 29 of 3.2.2007, p. 3). 

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FRONTEX-Agency7,  the  creation  of  the  Rapid  Border  Intervention  Teams8  and  the  creation  of  the 
External Borders Fund9.  

All these steps have to be seen within the framework of a concept for integrated border management, 
which consists of the following dimensions10: 

•  Border  control  (checks  and  surveillance)  as  defined  in  the  Schengen  Borders  Code,  including 

relevant risk analysis and crime intelligence; 

•  Detection  and  investigation  of  cross  border  crime  in  coordination  with  all  competent  law 

enforcement authorities; 

•  The  four-tier  access  control  model  (measures  in  third  countries,  cooperation  with  neighbouring 
countries, border control, control measures within the area of free movement, including return)11; 

•  Inter-agency cooperation for border management (border guards, customs, police, national security 

and other relevant authorities) and international cooperation; 

•  Coordination and coherence of the activities of Member States and Institutions and other bodies of 

the Community and the Union. 

1.4.2. 

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

Specific objective No1. 

Enable  persons  to  cross  internal  borders  without  border  checks,  promote  secure  borders  and 
prevent  irregular  migration  by  developing  further  an  integrated  external  border  management 
system  and  high  standards  of  border  checks  including  by  the  development  of  SIS  II  and  the 
financial support from the External Borders Fund 

ABM/ABB activity(ies) concerned 

Activity 18 02: Solidarity – External borders, visa policy and free movement of people 

1.4.3.  Expected result(s) and impact 

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

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Council Regulation (EC) No 2007/2004 of 26 October 2004 establishing a European Agency for the Management 
of  Operational  Cooperation  at  the  External  Borders  of  the  Member  States  of  the  European  Union  (OJ  L  349, 
25.11.2004, p. 1). 
Regulation  (EC)  No  863/2007  of  the  European  Parliament  and  of  the  Council  of  11  July  2007  establishing  a 
mechanism  for  the  creation  of  Rapid  Border  Intervention  Teams  and  amending  Council  Regulation  (EC)  No 
2007/2004 as regards that mechanism and regulating the tasks and powers of guest officers (OJ L 199, 31.7.2007, 
p. 30). 
Decision  No  574/2007/EC  of  the  European  Parliament  and  of  the  Council  of  23  May  2007  establishing  the 
External Borders Fund for the period 2007 to 2013 as part of the General programme "Solidarity and Management 
of Migration Flows" (OJ L 144, 6.6.2007, p. 22). 
Conclusions  of  the  2768th  Council  Meeting  on  Justice  and  Home  Affairs,  Brussels,  4-5  December  2006,  doc. 
15801/06 (Presse 341), p. 26. 
The model in its entirety has been described in the EU Schengen Catalogue on External borders control, Removal 
and readmission: Recommendations and best practices, February 2002. 

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1.4.4. 

In the light of the new and increased obligations on the Agency and new tasks for the Agency, 
entailing that certain tasks have to be carried out by certain categories of the Agency staff, the 
Establishment Plan of the Agency has to be amended. In line with budgetary remarks made by 
the Budgetary Authority in the 2012 EU budget, the budget of the Agency shall be subject to 
an  amendment  in  order  to  provide  sufficient  resources  for  the  Agency  to  fulfil  its  new  tasks 
under  the  new  Regulation.  In  order  to  provide  a  comprehensive  overview  of  changes  a 
financial statement should therefore be attached a posteriori to the Regulation corresponding 
with  the  reality  of  the  Agency's  staffing  needs.  The  extra  staff  will  be  funded  by  the  subsidy 
already allocated to Frontex under the Union's budget.  

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

N/A 

1.5. 

Grounds for the proposal/initiative  

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

Frontex was set up in 2004 and became operational in 2005. The Agency’s main tasks are: 

– Coordination of operational cooperation between Member States in the field of management 
of external borders; 

– Assistance to Member States on training of their border guards, including the establishment 
of common training standards; 

– Carrying out of risk analyses; 

–  Following  up  on  the  development  of  research  relevant  for  the  control  and  surveillance  of 
external borders; 

–  Assisting  Member  States  in  circumstances  requiring  increased  technical  and  operational 
assistance at external borders; 

– Providing Member States with the necessary support in organising joint return operations. 

In order to achieve its mission, the Agency may also cooperate with the competent authorities 
of third countries or with International organisations 

Recent  years  have  seen  a  sharp  increase  in  the  workload  and  priorities  of  Frontex.  As 
requested  by  the  Hague  programme  the  Commission  adopted  on  13  February  2008  a 
Communication  on  the  evaluation  and  future  development  of  the  FRONTEX  Agency 
(COM(2008)  67  final),  accompanied  by  an  impact  assessment.  The  Communication  issued 
recommendations for the short to medium term and launched ideas for the future development 
of the Agency in the longer term.  

The 2008 Communication was welcomed by the Council and the European Parliament, who 
both shared the Commission's assessment that the Agency had been very successful since its 
inception and called for a further strengthening of the Agency. This ambition has been further 
reflected  in  numerous  conclusions  by  the  Council  and  the  European  Council,  in  the  Pact  on 

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immigration and asylum, and in the Stockholm programme, adopted by the European Council 
of  10-11  December  2009  calling  for  a  reinforcement  of  the  Agency  including  through  a 
revision of its legal framework. The role of the Agency in the integrated border management 
of the Union, and its overall future direction, is therefore subject to a strong inter-institutional 
consensus. 

Most recently, the increased migratory pressure at the Union’s southern borders generated by 
the  Arab  spring  and  the  deteriorating  situation  at  the  Greek  external  border  have  prompted 
calls  from  the  Commission,  the  Council  and  the  Parliament  for  the  Agency  to  play  a  more 
active role. 

Against this background the Agency’s mandate was amended in 2011 to enable it to respond 
to  the  new  challenges  and  to  meet  the  expectations  of  the  Commission,  the  Council  and  the 
Parliament. 

in accordance with the amended Regulation, the Agency has to  

- set up and manage the pool of border guards with a view of their deployment as part of the 
European Border guard Teams (EBGT) in operations coordinated by Frontex.  

- nominate a coordinating officer for each joint operation or pilot project where members of the EBGT 
will be deployed. According to the amended Regulation, only a staff member of the Agency subject to 
the Staff Regulations of Officials of the European Union or to Title II of the Conditions of employment 
of other servants of the European Union may be designated as coordinating officer; 

-  develop  and  operate  systems  that  enable  swift  and  reliable  exchanges  of  information  regarding 
emerging risks at the external borders; 

- provide the necessary assistance to the development and operation of a European border surveillance 
system; 

- create the office of Fundamental Rights Officer and a Consultative Forum on Fundamental Rights. 

Risk  analysis  shall  include  the  assessment  of  the  capacity  of  Member  States  to  face  threats  and 
pressures at the external borders. 

The Agency will have to play an enhanced role in pursuing the European Union's objectives in relation 
to cooperation with third countries in the field of border management. 

1.5.2.  Added value of EU involvement 

The amending Regulation (EU) No 1168/2011 is based on Articles 74 (i.e. measures to ensure 
administrative cooperation between the relevant departments of the Member States) and 77 (2) 
(b)  and  (d)  TFEU  (i.e.  adopt  measures  concerning  the  checks  to  which  persons  crossing 
external  borders  are  subject  and  any  measure  necessary  for  the  gradual  establishment  of  an 
integrated management system for external borders). 

The  objectives  of  this  Regulation,  while  respecting  the  same  fundamental  limitations  of  the 
existing  provisions,  are  to  further  develop  an  integrated  management  of  operational 
cooperation at the external borders, and cannot be sufficiently achieved by the Member States. 

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1.5.3.  Lessons learned from similar experiences in the past 

N/A 

1.5.4.  Coherence and possible synergy with other relevant instruments 

N/A 

1.6. 

Duration and financial impact  

(cid:133) Proposal/initiative of limited duration  

–  (cid:133)  Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY  

–  (cid:133)  Financial impact from YYYY to YYYY  

(cid:59) Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from 2012 to 2013, 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged12  

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

–  (cid:133)  executive agencies  

–  (cid:59)  bodies set up by the European Union13  

–  (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) Joint management with international organisations (to be specified) 

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

Comments  

This  financial  legislative  statement  is  produced  a  posteriori  in  order  to  provide  a  comprehensive 
overview of the Agency's staffing needs corresponding with the changes introduced by the adoption of 
the  amendment  to  the  Frontex  Regulation.  Given  the  difficult  EU  budgetary  situation,  it  is  proposed 
that the Frontex Agency would make all efforts to accommodate the costs related to the extra staff (12 
AD temporary agents) within the subsidy already allocated to Frontex under the Union's budget. 

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

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The  staff  increases  are  expected  to  be  budget  neutral  as  explained  in  the  enclosed  tables  on  the 
following pages. Frontex would meet the needs for additional appropriations through partial offsetting 
against SNE posts as explained in the enclosed tables or other savings within Title 1. If the needs for 
additional  appropriations  would  still  exist,  these  could  be  addressed  via  redeployments  and  transfers 
from  Title  2  (no  staff  administrative  budget)  to  Title  1  in  accordance  with  the  discretion  given  the 
Executive Director under the Frontex Financial Regulation.  

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

The Management Board of the Agency shall before 31 March each year, adopt the general report of the 
Agency for the previous year and forward it by 15 June at the latest to the European Parliament, the 
Council, the Commission, the European Economic and Social Committee and the Court of Auditors. 
The general report shall be made public. Every five years, the Management Board shall commission an 
independent  external  evaluation  on  the  implementation  of  this  Regulation.  The  evaluation  shall 
examine how effectively the Agency fulfils its mission. It shall also assess the impact of the Agency 
and its working practices.  

The first evaluation following the entry into force of Regulation (EU) No 1168/2011 shall also analyse 
the needs for further increased coordination of the management of the external borders of the Member 
States, including the feasibility of the creation of a European system of border guards 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

The  steady  migratory  pressure  on  the  external  borders  of  the  European  Union  require  an 
increased  operational  cooperation  coordinated  by  Frontex  among  the  Member  States  on  the 
basis of shared responsibility and solidarity in order to ensure the highest level of integrity of 
the  external  borders  as  well  as  to  contribute  to  an  enhanced  internal  security  within  the 
European  Union  whilst  promoting  the  full  respect  of  fundamental  rights  in  border 
management.  Reinforcement  of  the  Agency's  staff  is  necessary  in  order  to  comply  with  the 
extended  mandate  and  requirements  laid  down  by  the  amended  Regulation.  Redeployment 
opportunities  within  the  existing  staff  have  been  fully  exploited?  Lack  of  provision  of  the 
requested new posts will result in permanent infringement of applicable Union law. 

2.2.2.  Control method(s) envisaged  

The  Agency’s  accounts  will  be  submitted  for  the  approval  of  the  Court  of  Auditors,  and 
subject  to  the  discharge  procedure.  The  Commission’s  Internal  Audit  Service  will  carry  out 
audits in cooperation with the Agency's internal auditor. 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

The Agency is subject to monitoring by the Anti-Fraud Office. 

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3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

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

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure

Contribution  

Number  
[Description………………………...……….] 

Diff./non-
diff. 
(14) 

from 
EFTA15 
countries 

from 
candidate 
countries16 

from third 
countries 

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

Heading of 
multiannual 
financial 
framework 

18.020301:  European  Agency 
the 
Management  of  Operational  Cooperation  at 
the External Borders — 

for 

Contribution to Titles 1 and 2 

18.020302:  European  Agency 
the 
Management  of  Operational  Cooperation  at 
the External Borders — 

for 

3A 

3A 

Contribution to Title 3 

•  New budget lines requested  

non-diff. 

NO 

NO 

NO 

NO 

non-diff. 

NO 

NO 

NO 

NO 

Heading of 
multiannual 
financial 
framework 

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditure

Contribution  

Number  
[Heading……………………………………..] 

Diff./non-
diff. 

N/A 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

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

YES/N
O 

YES/N
O 

YES/N
O 

YES/NO 

14 
15 
16 

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

EN 

13 

   EN 

 
 
 
                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

Number  18 02 

EUR million (to 3 decimal places) 

Body: European Agency for the 
Management of Operational Cooperation 
at the External Borders  

Year 
2012 

Year 
2013 

Year 
N+2 

Year 
N+3 

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

TOTAL 

Title 1 

Title 2 

Title 3 

TOTAL appropriations 
for the European Agency for the 
Management of Operational 
Cooperation at the External Borders 

Commitments 

Payments 

Commitments 

Payments 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

(3a) 

(3b) 

=1+1a 
+3a 

=2+2a 

+3b 

0 
0 
0 
0 

0 

0 

0 

0 

+500* 
+500* 
-500 
-500 

0* 

0* 

* A cumulative number of 12 new establishment posts is foreseen.  

+500* 
+500* 
-500 
-500 

0 

0 

0* 

0* 

      EN 

14                                                                                                           EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

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

TOTAL 

EUR million (to 3 decimal places) 

DG:Home Affairs 

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

TOTAL DG Home Affairs 

Appropriations  

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

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

Commitments 

Payments 

Year 
N17 

Year 
N+1 

Year 
N+2 

Year 
N+3 

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

TOTAL 

EUR million (to 3 decimal places) 

17 

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

      EN 

15                                                                                                           EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on [body] appropriations  

–  (cid:59)  The proposal/initiative does not require the use of operational appropriations  

–  (cid:133)  The proposal/initiative requires the use of operational appropriations, as explained below: 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

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

TOTAL 

Commitment appropriations in EUR million (to 3 decimal places) 

OUTPUTS 

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

Total 
numbe
r of 
output
s 

Total  
cost 

Indicate 
objectives and 
outputs  

(cid:216) 

Type 
of 
output
18 

Avera
ge 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

SPECIFIC OBJECTIVE No 119… 

- Output 

- Output 

- Output 

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2… 

- Output 

Sub-total for specific objective N°2 

TOTAL COST 

18 
19 

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 

16                                                                                                           EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on Frontex Agency's human resources  

3.2.3.1.  Summary  

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

administrative nature  

–  (cid:59)  The proposal/initiative requires the use of appropriations of an administrative 

nature, as explained below: 

EUR million (to 3 decimal places) 

Year 
2012 

Year 
2013 

Year 
N+2 

Year 
N+3 

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

TOTAL 

Officials (AD Grades) 

Officials 
grades) 

(AST 

Contractual agent 

Temporary agents  

Seconded National 
Experts 

0 

0 

1,320 

-0,320 

TOTAL 

0 

1,000* 

A cumulative number of 12 new posts is foreseen The estimated costs for 12 AD posts would 
amount  to  M  1,32  €  (12x  M  0,11€).  However,  the  estimated  impact  on  the  Agency’s 
expenditure in 2013 will be budgetary neutral, since the expenditure will be offset against the 
decreasing expenditure related to seconded national experts (SNE) currently performing these 
tasks.  The  relevant  SNE  posts  will  be  gradually  phased  out  in  the  course  of  2013.  The 
remaining costs will be met by additional savings within Title 1 and, if needed, redeployment 
from Title 2 to Title 1 of a maximum amount of € 750 000. 

Description of posts needed: 

1 AD 10 Fundamental Rights Officer (FRO) 

According to Article 26(3) of the amended Frontex Regulation a Fundamental Rights Officer 
shall  be  designated  by  the  Management  Board.  He/she  shall  be  independent  in  the 
performance of his/her duties and shall report directly to the Management Board. The creation 
of  this  post  is  an  absolute  priority  for  the  Agency,  and  has  to  be  completed  in  2012.  The 
required  level  of  expertise  and  the  status  of  the  FRO  justifies  the  higher  entry  grade.  The 
European  Ombudsman  has  opened  on  6  March  2012  an  own-initiative  inquiry  into  the 

EN 

17 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
implementation by Frontex of its fundamental rights obligation, including the recruitment of 
the FRO. 

6 AD7 – Frontex Coordination Officers 

In  accordance  with  Article  3b(5)  of  the  amended  Regulation,  Frontex  shall  nominate  a 
coordinating officer for each joint operation or pilot project where a European Border Guard 
Team  (EBGT)  is  deployed.  Moreover  Article  17(3)  stipulates  that  for  the  purpose  of 
implementing Article 3b(5) only a staff member subject to the Staff Regulations of Officials 
and  to  Title  II  of  the  Conditions  of  employment  of  other  servants  of  the  European 
Communities employed by Frontex, can be designated as a coordinating officer. The Agency 
all along the year is launching and coordinating a number of joint operations and pilot projects 
according to its annual work programme which implies the deployment of EBGT's. Some of 
those  joint  operations  are  de  facto  permanent  operations  (i.e.  the  ones  in  the  Mediterranean 
and at the Turkish-Greek land borders) which consequently require the permanent presence of 
a Coordinating Officer. Since the functions of Frontex Coordinator Officers are currently held 
by  Seconded  National  Experts  (SNE),  the  recruitment  of  Temporary  Agents  will  result  in  a 
reduction of the total number of SNE by 6. 

1 AD7 – Product and Change Management Officer 

This  post  will  have  to  cover  the  new  task  as  set  up  by  the  amended  Frontex  Regulation 
(Article  11  in  connection  with  Article  11c,  11d  and  13(2):  developing  and  operating  the 
information  exchange  system  for  ICONET  (Information  and  Coordination  Network  for 
Member  States’  Migration  Management  Services),  classified  data,  secure  information 
exchange channels and FOSS (Frontex Information exchange web portal - Frontex One Stop 
Shop)  replacement,  including  the  transmission  of  personnel  data  also  to  other  EU-agencies. 
This task required specific experience, knowledge and skills in order to ensure the benefits of 
these additional Frontex responsibilities are realised, communicated and carried out according 
to the EU legal framework. 

3.2.3.2.  4 posts (1 AD8 and 3 AD7) are foreseen in the Commission proposal for the 2013 

Draft Budget presented to the Budgetary Authority on 25.4.2012.  

3.2.3.3.  Estimated requirements of human resources for the parent DG 

–  (cid:59)  The proposal/initiative does not require the use of human resources  

EN 

18 

   EN 

 
–  (cid:134)  The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

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

Year
N 

Year
N+1 

Year 
N+2 

Year 
N+3 

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

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

XX 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) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)20 

XX 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 21 

- at 
Headquarters
22 

- in 
delegations  

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

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

Other budget lines (specify) 

TOTAL 

20 

21 
22 

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 

19 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
18 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. 

Description of tasks to be carried out: 

Officials and temporary agents 

External personnel 

Description  of  the  calculation  of  cost  for  FTE  equivalent  should  be  included  in  the  Annex, 
section 3.  

3.2.4.  Compatibility with the current multiannual financial framework  

–  (cid:59)  Proposal/initiative is compatible the current 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. 

No impact on multiannual financial framework. However, even if the recruitment of 
additional  staff  required  a  reinforcement  of  the  Agency  budget,  it  would  be  still 
contained within the multiannual financial framework. 

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

of the multiannual financial framework23. 

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

N/A 

3.2.5.  Third-party contributions  

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

–  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to 3 decimal places) 

23 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

20 

   EN 

 
 
 
 
 
 
                                                 
Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

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

Total 

Specify  the  co-financing 
body  

TOTAL 
cofinanced  

appropriations 

3.3. 

Estimated impact on revenue  

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

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

– 

– 

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriation
s available for 
the ongoing 
budget year 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative24 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

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

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

N/A Specify the method for calculating the impact on revenue. 

N/A 

24 

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 

21 

   EN