Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a Registered Traveller Programme
Date: 2013-02-28
Institutions: European Commission
Subjects: Schengen Information System, biometrics, border control, data collection, exchange of information, external border of the EU, foreign national, traveller

EUROPEAN 
COMMISSION 

Brussels, 28.2.2013  
COM(2013) 97 final 

2013/0059 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing a Registered Traveller Programme  

{SWD(2013) 50} 
{SWD(2013) 51} 
{SWD(2013) 52}

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

•  Grounds for and objectives of the proposal 

The  potential  offered  by  new  technologies  in  the  area  of  Integrated  Border  Management 
(IBM)  has  been  under  active  consideration  at  EU  level  since  2008  when  the  Commission 
published  its  Communication  "Preparing  the  next  steps  in  border  management  in  the 
European  Union"1.  In  its  Communication  the  Commission  suggested  the  establishment  of  a 
Registered  Traveller  Programme  (RTP)  for  pre-vetted,  frequent  third  country  travellers  in 
order to allow for facilitated border crossings. 

The RTP was endorsed in the "Stockholm Programme"2 agreed by the European Council in 
December 2009. 

The European Council in June 2011 called for "pushing forward rapidly with work on 'smart 
borders'". As the first response to this call, the Commission published a Communication on 25 
of October 20113, on the implementation options for an Entry Exit System and the RTP. 

This proposal is presented together with a proposal to establish an Entry Exit System and a 
proposal  to  amend  the  Community  Code  on  the  rules  governing  checks  at  external  border 
crossing points and surveillance at the external border (Schengen Borders Code; SBC)4 for the 
purpose of the functioning of the two new systems. Impact assessments are presented for each 
system. 

This proposal does not affect Customs controls i.e. control of goods. 

•  General context 

For the purpose of laying down the conditions, criteria and detailed rules governing checks at 
external border crossing points and surveillance at the external border, the SBC was adopted 
on 15 March 2006. In accordance with Article 7, all persons shall be subject to checks at the 
external borders.  

Thorough checks are normally carried out on third-country nationals, and minimum checks on 
EU  citizens  and  persons  enjoying  the  right  of  free  movement.5  However,  current  rules  for 
third-country  nationals  could  be  described  as  "one-size-fits-all"  as  the  same  checks  apply 
regardless of any differences in risk between different travellers or their frequency of travel. 
This is because current legislation does not allow for exceptions to the principle of thorough 
border  checks  except  for  those  categories  of  third-country  nationals  that  are  specifically 

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COM(2008) 69 final. 
OJ C 115/1, 4.5.2010. 
COM(2011) 680 final. 
OJ L 105, 13.4.2006. 
OJ L 158, 30.4.2004; Directive 2004/38/EC. 

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mentioned  in  the  SBC  or  in  the  Local  Border  Traffic  Regulation6  such  as  Heads  of  States, 
cross-border workers and border residents. 

Only a very small minority of persons crossing the external border are able to benefit from the 
above-mentioned  exceptions:  approximately  two  million  equivalent  to  0,2  %  of  total 
passenger  flows.  This  number  can  be  expected  to  remain  largely  constant,  with  a  marginal 
increase due to an increased take up of local border traffic regimes. By the end of 2010, 110 
000 local border traffic permits were issued by Member States. 

In  order  to  fulfil  the  requirements  of  the  SBC,  a  border  guard  shall  establish  that  the  third-
country national fulfils all EU entry requirements on each entry (purpose of stay in the EU, 
whether  he  or  she  possesses  sufficient  means  of  subsistence  and  intention  to  return  the 
country of origin). This is done by interviewing a traveller and checking necessary documents 
such  as  booking  confirmation  for  an  accomodation  and  for  a  return  flight/ferry/train.  The 
border  guard  shall  also  monitor the  authorised  stay  in  the  Schengen  area  which  is  currently 
done by calculating stamps in the travel document. 

Taking  into  account  the  foreseen  increase  in  passenger  flows  at  the  external  borders,  an 
alternative  border  check  procedure  should  be  offered  for  frequent  third-country  travellers 
moving  gradually  away  from  a  "country-centric"  approach  towards  a  "person-centric" 
approach.  

In practice the RTP would work at the border the following way: A registered traveller would 
be issued a token in the form of a machine-readable card containing only a unique identifier 
(i.e.  application  number),  which  is  swiped  on  arrival  and  departure  at  the  border  using  an 
automated  gate.  The  gate  would  read  the  token  and  the  travel  document  (and  visa  sticker 
number, if applicable) and the fingerprints of the travellers, which would be compared to the 
ones  stored  in  the  Central  Repository  and  other  databases,  including  the  Visa  Information 
system (VIS) for visa holders. If all checks are successful, the traveller is able to pass through 
the automated gate. In case of any issue, the traveller would be assisted by a border guard. 

Facilitation  of  border  crossings  would  take  place  also  during  the  manual  border  checks  as 
border guards would not need to ask the "additional" questions from the registered traveller 
such as the destination of travel and existence of sufficient means of subsistence. 

The  establishment  of  an  Entry/Exit  System  (EES)  with  or  without  biometrics  which  would 
record entries and exits of third-country nationals for short stays at the external borders would 
be the precondition for allowing full automation of the border checks for registered travellers 
as described above. The EES would allow the elimination of the obligation to stamp the travel 
document  foreseen  under  the  Schengen  Borders  Code  as  the  manual  stamping  would  be 
replaced  by  automatic  recording  and  calculation  of  stay.  Once  the  stamping  obligation  has 
disappeared,  consultation  of  the  EES  would  become  mandatory  at  the  external  border  to 
ensure that the third-country national has not exceeded his/her legal entitlement of stay in the 
Schengen  area.  This  consultation  could  be  done  automatically  using  the  Machine  Readable 
Zone of the travel document or fingerprints. 

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OJ L 405, 30.12.2006 

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The RTP together with the EES will improve management and control of travel flows at the 
border  substantially  by  reinforcing  checks  while  speeding  up  border  crossings  for  frequent, 
pre-vetted non EU travellers. 

The legislative financial statement annexed to this proposal is based on the study on the costs 
of an EES and an RTP carried out by an external contractor. 

Based on the considerations above, the objective of the present proposal for a Regulation of 
the European Parliament and the Council is:  

–  to establish the procedures and conditions for access to the RTP,  

–  to  define  the  purpose,  the  functionalities  and  responsibilities  for  a  token7-Central 

Repository as a system for the storage of data on registered travellers and  

–  to  confer  on  the  Agency  for  the  operational  management  of  large-scale  information 
systems  in  the  area  of  freedom,  security  and  justice8  (the  Agency),  the  development  and 
operational  management  of  the  Central  Repository  and  the  definition  of  technical 
specifications for a token.  

This Regulation shall constitute the core instrument for the legal framework for the RTP. In 
order  to  complement  this  legal  framework,  an  amendment  of  the  SBC  is  also  necessary  as 
regards  facilitated  border  crossings  for  third-country  nationals,  and  is  presented  in  parallel 
with this proposal. Furthermore, a proposal for an Entry/Exit System which records the entries 
and exists of third-country nationals is presesented simultaneously. 

•  Existing provisions in the area of the proposal 

Regulation of the European Parliament and of the Council (EC) No 562/2006 establishing a 
Community Code on the rules governing the movement of persons across borders (Schengen 
Borders Code). 

Regulation of the European Parliament and of the Council (EC) No 1931/2006 laying down 
rules on local border traffic at the external land borders of the Member States and amending 
the provisions of the Schengen Convention. 

Regulation of the European Parliament and of the Council (EC) No 767/2008 concerning the 
Visa  Information  System  (VIS)  and  the  exchange  of  data  between  Member  States  on  short-
stay visas (VIS Regulation). 

Regulation of the European Parliament and of the Council (EC) No 810/2009 establishing a 
Community Code on Visas. 

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In the context of a RTP, a token is a physical device given to the authorised user to prove his/her access 
granted to the RTP electronically. The token acts like an electronic key to access something, in this case 
to the automated gate. Technical specifications will determine whether only a bar code is used or a chip 
in which the unique identifier (application number) is stored. 
OJ L 286, 1.11.2011. 

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Regulation of the European Parliament and of the Council (EU) No 1077/2011 establishing a 
European  Agency  for  the  operational  management  of  large-scale  IT  systems  in  the  area  of 
freedom, security and justice. 

2. 

CONSULTATION  OF 
ASSESSMENT 

•  Consultation of interested parties 

INTERESTED 

PARTIES  AND 

IMPACT 

The consultation of interested parties is described in the accompanying impact assessment. 

•  Impact assessment 

The  first  impact  assessment9  was  carried  out  in  2008  when  preparing  the  Commission 
Communication  on  this  subject  and  the  second  one  was  finalised  in  201310.  The  former 
analysed the policy options and their most likely impacts and concluded that an RTP for third-
country nationals should be established.  

Following a consultation and pre-screening process the latter impact assessment analysed key 
implementation options. 

After the analysis of the options and their sub-options, a fee based RTP for pre-vetted and pre-
screened  frequent  third-country  travellers  with  the  data  (biometrics,  alphanumeric  data  and 
unique identifier number) stored in a Central Repository and the unique identifier (application 
number)  stored  in  a  token  was  found  to  be  the  most  feasible  option  to  guarantee  smooth 
passenger  flows  at  the  external  borders  without  decreasing  the  level  of  security  at  the  EU. 
This  option  minimises  the  use  of  personal  data  in  an  EU  IT-system  as  no  personal  data  is 
retrieved  by  the  border  guards  at  the  first  line  control  and  it  avoids  the  main  security 
drawbacks  of  the  pure  token-based  system.  The  application  of  the  same  data  protection 
provisions  as  for  the  VIS  and  the  status  quo  including  the  retention  of  information  for  a 
maximum of five years would be necessary to ensure adequate data protection provisions for 
the  preferred  option.  The  personal  data  stored  in  the  central  repository  (biometrics  and 
alphanumeric data  from applications)  should be kept for no longer than is necessary for the 
purposes of the RTP. It is appropriate to keep the data for a maximum period of five years, in 
order to enable data on previous applications to be taken into account for the assessment of 
the  subsequent  RTP  applications,  renewal  of  the  access  to  the  RTP  and  also  taking  into 
account  the  re-use  of  fingerprints  stored  in  the  repository  (59  months).  Furthermore,  a  five 
year  retention  period  would  allow  granting  access  to  the  RTP  for  five  years  without  a  new 
application.  An  initial  access  to  the  RTP  should  be  granted  for  one  year.  Access  may  be 
extended  for  two  years,  followed  by  a  further  two  years  without  a  new  application.  A  new 
application  would  need  to  be  submitted  to  renew  the  access  once  the  period  of  five  years 
validity  has  expired.This  would  be  in  line  with  the  issuance  of  a  multiple-entry  visa  for 
travellers (maximum period five years) whose data is kept in the VIS for five years.  

Four fingerprints should be stored in the central repository to ensure accurate verification of a 
registered traveller at the external border crossing point. The storage of fingerprints data for 

9 
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SEC(2008) 153. 
SWD(2013) 50. 

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four fingers guarantees that sufficient data is available in every circumstances, while keeping 
the  amount  of  data  to  a  reasonable  level.  Storing  only  one  or  two  fingerprints  may  cause 
problems  for  the  travellers  and  for  border  authorities  at  the  external  borders  as  fingerprints 
may  be  smudged,  distorted  or  fragmented.  This  is  especially  relevant  with  the  RTP  as  the 
access can be granted for five years and the same fingerprints may be re-used (59 months) if a 
new application is lodged by the registered traveller.  

The  data  stored  in  the  Central  Repository  would  be  available  for  border  guards  only  when 
assessing an application, revoking/extending access to the RTP, a token is lost or stolen or any 
problems  occur  with  facilitating  registered  travellers'  border  crossings.  During  the  border 
check a border guard would receive only hit/no hit information from the Central Repository. 
Therefore,  the  preferred  option  provides  for  a  proportionate  balance  between  security, 
facilitation and data protection.  

In order to guarantee easy access to the RTP, third-country nationals should be able to lodge 
an  application  for  the  RTP  at  the  consulate  of  any  Member  State  or  at  any  external  border 
crossing point. This would guarantee a larger number of participants in the programme, thus 
helping Member States to manage their passenger flows at the external border crossing points. 
Applications  should  be  examined  on  the  basis  of  the  same  criteria  as  for  issuing  multiple-
entry visa. However, examination of applications lodged by family members of citizens of the 
Union  shall  be  done  by  using  the  same  criteria  as  used  when  examining  their  entry  visa 
applications. Member States may decide whether to use and install Automated Border Control 
systems at their external border crossing points. It is clear that the total impact of combining 
the  same  vetting  criteria  as  for  multiple-entry visas  with  fully  automated  border  control  has 
the  highest  impact  on  facilitating  registered  travellers'  border  crossings.  Furthermore,  it 
maintains  a  high  level  of  security  while  respecting  fundamental  rights.  It  is  also  the  least 
expensive  approach  taking  into  account  the  costs  associated  with  stricter  vetting  procedure 
and semi-automated border control. Full automation would be a cost-effective tool especially 
at  the  busiest  border  crossing  points  where  capacity  problem  and  queues  exist  already 
nowadays.  However,  each  Member  State  would  have  to  assess  for  each  individual  border 
crossing  point,  whether  Automated  Border  Control  system  would  bring  added  value  to  the 
throughput capacity of the border crossing point and thus decrease travellers’ border crossing 
time,  release  human  resources  and  give  a  tool  for  a  Member  State  to  manage  its  increasing 
passenger flows. Whether or not Automated Border Control facilities are used, the facilitation 
of  border  crossing  should  apply  at  all  external  border  crossing  points  for  third-country 
nationals granted access to the RTP. In order to ensure  reliable verification  of applicants, it 
will  be  necessary  to  process  biometric  data  (fingerprints)  in  the  Central  Repository  and  to 
verify biometrics at the external border crossing points.11 

The Impact Assessment Board (IAB) reviewed the draft impact assessment and delivered its 
opinion  on  14  March  2012.  The  recommendations  for  improvement  were  accommodated  in 
the  final  version  of  the  report.  In  particular,  the  following  changes  were  made:  baseline 
scenario  was  sharpened  and  clarified;  problem  definition  was  widened  including  lessons 
learnt  from  the  development  of  other  large  scale  IT-systems  and  lessons  learnt  from 
Automated  Border  Control  systems  and  national  RTPs  implemented  in  Member  States  and 
non-EU  states;  links  to  the  Annexes  and  to  the  2008  impact  assessment  were  improved; 

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Impact 
http://ec.europa.eu/governance/impact/ia_carried_out/cia_2013_en.htm 

assessment 

found 

from 

can 

the 

be 

following 

web 

page: 

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stakeholders  views  were  reported  as  widely  as  possible  taking  into  account  that  views 
expressed  by  the  stakeholders  were  quite  general;  the  explanation  of  method  used  for 
calculating  the  costs  was  expanded  and  the  expected  costs  and  benefits  for  different 
stakeholders  were  more  rigorously  reported;  re-affectation  of  border  guards  taking  into 
account the expected increase in travel flows was clarified; and finally a clear overview on the 
European Data Protection Supervisor's views was added. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

•  Summary of the proposed actions 

The  purpose  and  functionalities  of  the  RTP  including  a  token-Central  Repository  and  the 
responsibilities  for  these  must  be  defined.  Furthermore,  a  mandate  needs  to  be  given  to  the 
Agency  for  the  operational  management  of  large-scale  IT  systems  in  the  area  of  freedom, 
security and justice to develop, establish and operationally manage the Central Repository and 
to  define  technical  specifications  for  a  token  on  the  basis  of  prior  definition  of  business 
requirements.  The  procedures  and  conditions  for  examining  an  RTP  application  and  the 
storage  of  data  on  registered  travellers  shall  be  established.  A  detailed  explanation  of  the 
proposal by article can be found in a separate Commission Staff Working paper. 

•  Legal basis 

Articles 74, 77(2)(b) and 77(2)(d) of the Treaty on the Functioning of the European Union are 
the legal basis for this Regulation. Article 77(2)(b) and (d) provides the appropriate legal basis 
for  further  specifying  the  measures  on  the  crossing  of  the  external  borders  of  the  Member 
States and develop standards and procedures to be followed by Member States in carrying out 
checks on persons at such borders. Article 74 provides the appropriate legal basis for setting-
up  and  maintaining  the  RTP  and  for  procedures  for  the  exchange  of  information  between 
Member States, ensuring cooperation between the relevant authorities of the Member States’ 
as well as between those authorities and the Commission in the areas covered by Title V of 
the Treaty. 

•  Subsidiarity principle 

Under  Articles  74,  77(2)(b)  and  77(2)(d)  of  the  Treaty  on  the  Functioning  of  the  European 
Union,  the  Union  has  the  power  to  adopt  measures  relating  to  the  checks  on  persons  and 
efficient monitoring of the crossing of external borders of the Member States. The current EU 
provisions on the crossing of the external borders of the Member States need to be modified 
to  take  into  account  the  increasing  passenger  flows  and  possibilities  offered  by  the  new 
technology. A common regime is needed in order to establish harmonised rules on facilitated 
border crossings for registered travellers so that the facilitation applies at all Schengen border 
crossing points without separate vetting and without decreasing security.  

Therefore, the objective of the proposal cannot be sufficiently achieved by the Member States.  

•  Proportionality principle 

Article  5  of  the  Treaty  on  the  European  Union  states  that  action  by  the  Union  shall  not  go 
beyond what is necessary to achieve the objectives of the Treaty. The form chosen for this EU 
action must enable the proposal to achieve its objective and be implemented as effectively as 
possible. The proposed initiative constitutes a further development of the Schengen acquis in 

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order to ensure that common rules at external borders are applied in the same way in all the 
Member States. The proposal therefore complies with the proportionality principle. 

•  Choice of instrument  

Proposed instruments: regulation. 

Other means would not be adequate for the following reason(s): 

The present proposal will lay down rules on border checks at the external borders which are 
uniform for all Member States. As a consequence, only a Regulation can be chosen as a legal 
instrument. 

•  Fundamental rights 

The proposed regulation may have an impact on fundamental rights, notably on the protection 
of personal data (Article 8 of the Charter of Fundamental Rights of the EU) and right to an 
effective remedy (Article 47 of the Charter).  

The proposal contains safeguards, in particular under Articles 15 and 16 in cases the access 
granted to the RTP is refused or revoked, which provide for the right to an effective remedy, 
and  under  Articles  48  and  49  concerning  the  right  of  information,  access,  correction  and 
deletion  concerning  the  data  used  for  the  purpose  of  the  Regulation  which  also  include  the 
right to an effective remedy as provided for under Article 51. 

4. 

BUDGETARY IMPLICATION 

The Commission's proposal for the next multi-annual financial framework (MFF) includes a 
proposal of 4,6 billion EUR for the Internal Security Fund (ISF) for the period 2014-2020. In 
the proposal, 1,1 billion EUR is set aside as an indicative amount for the development of an 
EES and an RTP assuming development costs would only start from 2015.12  

This  financial  support  would  cover  not  only  the  costs  of  central  components  for  the  entire 
MFF period (EU level, both development and operational cost) but also the development costs 
for  the  national,  Member  States,  components  of  these  two  systems,  within  the  resources 
available.  Providing  financial  support  for  national  development  costs  would  ensure  that 
difficult economic circumstances at national level do not jeopardise or delay the projects. This 
includes  an  amount  of  145  million  EUR  for  costs  at  national  level  related  to  hosting  the  IT 
systems, the space for hosting the end-user equipment, and the space for operators' offices. It 
also includes an amount of 341 million EUR for costs at national level related to maintenance 
such as for hardware and software licenses. 

12 

Subject to the adoption by the Legislative Authority of the proposal establishing, as part of the Internal 
Security  Fund,  the  instrument  for  financial  support  for  external  borders  and  visas  (COM(2011)  750 
final) and subject to the adoption by the Legislative Authority of the proposal for a Council Regulation 
laying  down  multiannual  financial  framework  for  the  years  2014-2020  (COM(2011)398)  and  a 
sufficient  level  of  resources  being  available  under  the  expenditure  ceiling  of  the  pertinent  budget 
heading. 

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Once  the  new  systems  would  be  operational,  future  operational  costs  in  the  Member  States 
could be supported by their national programmes. It is proposed that Member States may use 
50%  of  the  allocations  under  the  national  programmes  to  support  operating  costs  of  IT 
systems used for the management of migration flows across the external borders of the Union. 
These costs may include the cost for the management of VIS, SIS and new systems set up in 
the period, staff costs, service costs, rental of secure premises etc. Thus, the future instrument 
would ensure continuity of funding, where appropriate. 

The costs on automation would greatly vary depending on the number of automated gates that 
would be implemented.  

5. 

ADDITIONAL INFORMATION 

•  Participation 

This  proposal  builds  upon  the  Schengen  acquis  in  that  it  concerns  the  crossing  of  external 
borders.  Therefore  the  following  consequences  in  relation  to  the  various  Protocols  and 
Agreements with associated countries have to be considered: 

Denmark:  

In  accordance  with  Articles  1  and  2  of  the  Protocol  (no  22)  on  the  position  of  Denmark, 
annexed  to  the  Treaty  on  European  Union  (TEU)  and  the  Treaty  on  the  Functioning  of  the 
European  Union  (TFEU),  Denmark  does  not  take  part  in  the  adoption  by  the  Council  of 
measures pursuant to Title V of part Three of the TFEU.  

Given  that  this  Regulation  builds  upon  the  Schengen  acquis,  Denmark  shall,  in  accordance 
with  Article  4  of  that  Protocol  decide  within  a  period  of  six  months  after  the  Council  has 
decided on this Regulation whether it will implement it in its national law. 

United Kingdom and Ireland:  

In accordance with Articles 4 and 5 of the Protocol integrating the Schengen acquis into the 
framework  of  the  European  Union  and  Council  Decision  2000/365/EC  of  29  May  2000 
concerning  the  request  of  the  United  Kingdom  of  Great  Britain  and  Northern  Ireland,  and 
Council Decision 2002/192/EC of 28 February 2002 concerning Ireland's request to take part 
in  some  of  the  provisions  of  the  Schengen  acquis,  the  United  Kingdom  and  Ireland  do  not 
take part in the adoption of the Registered Traveller Programme Regulation and are not bound 
by them or subject to its application. 

Iceland and Norway:  

The  procedures  laid  down  in  the  Association  Agreement  concluded  by  the  Council  and  the 
Republic of Iceland and the Kingdom of Norway concerning the latter's association with the 

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implementation, application and development of the Schengen acquis are applicable, since the 
present proposal builds on the Schengen acquis as defined in Annex A of this Agreement13. 

Switzerland: 

This  Regulation  constitutes  a  development  of  the  provisions  of  the  Schengen  acquis,  as 
provided for by the Agreement between the European Union, the European Community and 
the Swiss Confederation on the latter's association with the implementation, application and 
development of the Schengen acquis14. 

Liechtenstein:  

This  Regulation  constitutes  a  development  of  the  provisions  of  the  Schengen  acquis,  as 
provided  for  by  the  Protocol  between  the  European  Union,  the  European  Community,  the 
Swiss Confederation and the Principality of Liechtenstein on the accession of the Principality 
of  Liechtenstein  to  the  Agreement  between  the  European  Union,  the  European  Community 
the 
and 
implementation, application and development of the Schengen acquis15. 

the  Swiss  Confederation's  association  with 

the  Swiss  Confederation  on 

Cyprus: 

This Regulation constitutes an act building on the Schengen acquis or otherwise related to it, 
as provided for by Article 3(2) of the 2003 Act of Accession. 

Bulgaria and Romania: 

This Regulation constitutes an act building on the Schengen acquis or otherwise related to it, 
as provided for by Article 4(2) of the 2005 Act of Accession. 

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15 

OJ L 176, 10.7.1999, p. 36. 
OJ L 53, 27.2.2008, p. 52. 
OJ L 160, 18.6.2011, p. 19. 

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2013/0059 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing a Registered Traveller Programme  

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  of  the  Functioning  of  the  European  Union,  and  in  particular 
Article 74 and 77(2)(b) and (d) thereof, 

Having regard to the proposal from the European Commission16, 

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

Having regard to the opinion of the European Economic and Social Committee17, 

Having regard to the opinion of the Committee of the Regions18, 

After consulting the European Data Protection Supervisor, 

Acting in accordance with the ordinary legislative procedure,  

Whereas: 

(1) 

(2) 

(3) 

Border checks must ensure a high level of security while limiting waiting times to the 
greatest extent possible. Increasing travel flows at the external borders contributes to 
the need for finding new solutions to meet these objectives. A greater differentiation of 
border  checks  will  allow  Member  States  to  use  simplified  checks  for  third-country 
nationals who are assesed as low risk. 

Automated border control systems can be used by EU citizens and have proven their 
efficiency in speeding up border checks. Their use should be made possible for third-
country  nationals  also,  to  contribute  to  limiting  waiting  time  while  ensuring  a  high 
level of security. 

The  Communication  of  the  Commission  of  13  February  2008  entitled  'preparing  the 
next  steps  in  border  management  in  the  European  Union'19  outlined  the  need  for  the 
setting-up  of  a  Registered  Traveller  Programme  (RTP)  for  frequent  third-country 
national travellers and the introduction of Automated Border Control facilities in order 

16 
17 
18 
19 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
COM(2008) 69 final, 13.2.2008. 

EN 

11 

   EN 

                                                 
(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

to  facilitate  the  crossing  of  the  external  border  as  part  of  the  European  integrated 
border management strategy. 

The  European  Council  of  19  and  20  June  2008  underlined  the  importance  of 
continuing  to  work  on  the  development  of  the  EU's  integrated  border  management 
strategy, including better use of modern technologies to improve the management of 
external borders. 

The Communication of the Commission of 10 June 2009 entitled 'an area of freedom, 
security and justice serving the citizens'20 highlighted the need for the establishment of 
a RTP to ensure smooth entry into the Union.  

The  European  Council  of  23  and  24  of  June  2011  called  at  its  meeting  for  work  on 
"smart  borders"  to  be  pushed  forward  rapidly.  As  a  first  response  to  this  call,  the 
Commission  published  a  Communication  "Smart  borders  –  options  and  the  way 
ahead" on 25 of October 2011. 

The RTP should have the purpose of facilitating the crossing of the external borders of 
the Union by frequent, pre-screened and pre-vetted third-country travellers. 

The provisions on the RTP should be common to all Member States, in order to allow 
a  registered  traveller  to  benefit  from  facilitated  border  checks  at  all  Member  States' 
external  border  crossing  points  without  the  need  for  separate  pre-screening  and  pre-
vetting by each individual Member State. 

It is necessary to specify the objectives of the RTP and its technical architecture, to lay 
down  rules  concerning  its  operation  and  use  and  to  define  responsibilities  for  the 
system, the categories of data to be entered into the system, the purposes for which the 
data are to be entered, the criteria for their entry, the authorities authorised to access 
the data and further rules on data processing and the protection of personal data.  

(10)  The Agency for the operational management of large-scale information systems in the 
area of freedom, security and justice established by Regulation EU No 1077/2011 of 
the  European  Parliament  and  of  the  Council  of  25  October  2011  establishing  a 
European  Agency  for  the  operational  management  of  large-scale  IT  systems  in  the 
area of freedom, security and justice21 (hereinafter the Agency) should be responsible 
for the development and operational management of a centralised system consisting of 
a  Central  Repository,  a  Backup  Central  Repository,  the  Uniform  interfaces  in  each 
Member  States,  the  Network  Entry  Points  and  the  communication  infrastructure 
between  the  Central  Repository  and  the  Network  Entry  Points.  Furthermore,  the 
Agency should be responsible for the definition of technical specifications for a token 
to  guarantee  interoperability  of  the  RTP  across  the  Union.  Member  States  should  be 
responsible  for  the  development  and  operational  management  of  their  own  national 
systems. 

20 
21 

COM(2009) 262 final, 10.6.2009. 
OJ L 286, 1.11.2011, p 1. 

EN 

12 

   EN 

                                                 
(11)  The  Central  Repository  should  be  connected  to  the  national  systems  of  the  Member 
States, in order to enable competent Member States' authorities to process data related 
to RTP applications. 

(12) 

In order to ensure reliable verification of a registered traveller, it is necessary to store 
identifier  (application  number),  biometric  data  (fingerprints)  and 
the  unique 
alphanumeric data taken from the application in a Central Repository and the unique 
identifier  in  a  token  and  verify  biometrics  at  the  external  borders.  The  alphanumeric 
data and fingerprints should be stored in separate sections in a Central Repository and 
they  should  not  be  linked.  The  link  between  the  alphanumeric  data  and  fingerprints 
should be established only by the unique identifier.  

(13)  Third-country  nationals  wishing  to  particiapte  in  the  RTP  should  prove  the  need  or 
justify  the  intention  to  travel  frequently  or  regularly,  in  particular  due  to  their 
occupational or family status, such as business person, civil servant engaged in regular 
official contacts with Member States and the Union institutions, representative of civil 
society  organisations  travelling for the  purpose of educational training, seminars and 
conferences,  researcher,  participating  in  economic  activities,  family  member  of  a 
citizen  of  the  Union,  family  member  of  a third-country national legally residing in a 
Member State.  

(14)  Third-country nationals holding a multiple-entry visa or D-visa valid for at least one 
year  or holders of a residence  permit issued by a Member State  should, as a general 
rule, be granted access to the RTP, if they so request.  

(15)  Where a third-country national applies for a multiple-entry visa and for access to the 
RTP,  the  competent  authorities  may  decide  to  examine  and  decide  on  both 
applications  at  the  same  time,  on  the  basis  of  the  same  interview  and  the  same 
supporting documents. 

(16)  Family members of citizens of the Union should, as a general rule, be granted access 
to the RTP. Family members of citizens of the Union should also able to benefit from 
the RTP even if they are not residing within the Union territory but travel frequently to 
a Member State in order to accompany or to join the Union citizen concerned. Checks 
on  family  members  of  citizens  of  the  Union  crossing  the  external  borders  should  be 
carried out in accordance with Directive 2004/38/EC of the European Parliament and 
of the Council of 29 April 2004 on the right of citizens of the Union and their family 
members to move and reside freely within the territory of the Member States22.  

(17)  The  criteria  used  for  the  examination  of  applications  lodged  by  family  members  of 
citizens  of  the  Union  should  be  the  same  as  those  used  for  the  examination  of  visa 
applications lodged by family members of citizens of the Union. This would be in line 
with the existing border management policy. 

(18) 

It is necessary to define the competent Member States’ authorities, the duly authorised 
staff  of  which  have  access  to  enter,  amend,  delete,  consult  or  search  data  for  the 
specific  purposes  of  the  RTP  in  accordance  with  this  Regulation  to  the  extent 
necessary for the performance of their tasks. 

22 

OJ L 158, 29.4.2004, p. 77  

EN 

13 

   EN 

                                                 
(19)  Any processing of RTP data stored in the Central Repository should be proportionate 
to the objectives pursued and necessary for the performance of tasks of the competent 
authorities.  When  using  the  RTP,  the  competent  authorities  should  ensure  that  the 
human dignity and integrity of the persons whose data are requested are respected and 
should  not  discriminate  against  persons  on  grounds  of  sex,  racial  or  ethnic  origin, 
religion or belief, disability, age or sexual orientation. 

(20)  Contingency  plans  should  be  in  place  and  those  plans  should  be  made  clear  to 
travellers, airlines/carriers and all authorities working at the border crossing point. If a 
registered  traveller,  for  example,  is  unable,  for  any  reason,  to  use  the  Automated 
Border Control system, and is redirected towards a manual border check, due attention 
should be made that the ensuing procedures are in full compliance with fundamental 
rights. 

(21)  The  personal  data  stored  in  the  Central  Repository  (biometrics  and  alphanumeric) 
should  be  kept  for  no  longer  than  is  necessary  for  the  purposes  of  the  RTP.  It  is 
appropriate  to  keep  the  data  for  a  maximum  period  of  five  years,  in  order  to  enable 
alphanumeric data on previous applications to be taken into account for the assessment 
of subsequent RTP applications and also taking into account the re-use of fingerprints 
stored in the repository (59 months). A shorter period would not be sufficient for those 
purposes.  The  data  should  be  deleted  after  the  period  of  five  years,  unless  there  are 
grounds  to  delete  it  earlier.  The  maximum  period  of  validity  for  access  to  the  RTP 
should be five years.  

(22) 

(23) 

In  order  to  facilitate  the  procedure  for  any  subsequent  application,  it  should  be 
possible to copy fingerprints from the first entry into the Central Repository within a 
period of 59 months. Once this period of time has elapsed, the fingerprints should be 
collected again. 

In order to facilitate the application procedure, it should be possible for an applicant to 
lodge an application for access to the RTP at the consulate of any Member State or at 
any external border crossing point. Any Member State should be able to examine and 
decide  on  the  application  based  on  the  common  application  form  and  common 
eligibility rules and criteria. As a general rule, an interview should be conducted. 

(24)  Due  to  the  registration  of  biometric  data  in  the  Central  Repository,  the  personal 
appearance  of  the  applicant  -  at  least  for  the  first  application  -  should  be  a  basic 
requirement  for  the  examination  of  requests  for  access  to  the  RTP  and  decisions 
related thereto. 

(25)  During  the  automated  border  check  procedure  verification  of  identity  at  the  external 
borders  should  be  done  against  the  biometrics  stored  in  the  Central  Repository. 
Verification  should  only  be  possible  by  physically  producing  the  token  and 
fingerprints  at  the  same  time.  During  the  automated  and  manual  border  check 
procedure verification of access granted should be done against the alphanumeric data 
stored  in  the  Central  Repository  by  physically  producing  the  token  at  the  borders. 
Verification of identity and access granted should produce only a hit/no hit result for 
border guards carrying out first line border checks. 

EN 

14 

   EN 

(26)  Appropriate measures for the monitoring and evaluation of this Regulation should be 
established.  The  effective  monitoring  of  the  application  of  this  Regulation  requires 
evaluation at regular intervals. 

(27)  Statistical data is an important means for monitoring border check procedures and can 
serve  as  an  efficient  management  tool.  Such  data  should  therefore  be  compiled 
regularly in a common format. 

(28)  Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 
on the protection of individuals with regard to the processing of personal data and on 
the  free  movement  of  such  data23  applies  to  the  processing  of  personal  data  by  the 
Member States in application of this Regulation. However, certain points should be set 
out  in  more  detail  in  respect  to  the  legitimacy  of  processing  of  personal  data,  the 
responsibility  for  the  processing  of  data,  safeguarding  the  rights  of  the  data  subjects 
and the supervision on data protection. 

(29)  Regulation  (EC)  No  45/2001  of  18  December  2000  of  the  European  Parliament  and 
the Council on the protection of individuals with regard to the processing of personal 
data  by  the  Community  institutions  and  bodies  and  on  the  free  movement  of  such 
data24  applies  to  the  activities  of  the  Union  institutions  or  bodies  when  carrying  out 
their  tasks  as  responsible  for  the  operational  management  of  the  token-repository. 
However, certain points should be set out in more detail in respect to the legitimacy of 
processing  of  personal  data,  the  responsibility  for  the  processing  of  data  and  the 
supervision on data protection. 

(30)  The  supervisory  authorities  established  in  accordance  with  Article  28  of  Directive 
95/46/EC  should  monitor  the  lawfulness  of  the  processing  of  personal  data  by  the 
Member  States,  whilst  the  European  Data  Protection  Supervisor  as  established  by 
Regulation  (EC)  No  45/2001  should  monitor  the  activities  of  the  Union  institutions 
and  bodies  in  relation  to  the  processing  of  personal  data,  taking  into  account  the 
limited tasks of the Union institutions and bodies with regard to the data themselves. 

(31)  The  European  Data  Protection  Supervisor  and  the  supervisory  authorities  should 
actively cooperate with each other to ensure coordinated supervision of the RTP. 

(32)  The Member States should lay down rules on penalties applicable to infringements of 

the provisions of this Regulation and ensure that they are implemented. 

(33) 

In  order  to  ensure  uniform  conditions  for  the  implementation  of  this  Regulation, 
implementing  powers  should  be  conferred  to  the  Commission.  Those  powers  should 
be  exercised  in  accordance  with  Regulation  (EU)  No  182/2011  of  the  European 
Parliament and of the Council of 16 February 2011 laying down the rules and general 
principles concerning mechanisms for control by Member States of the Commission's 
exercise of implementing powers25. 

23 
24 
25 

OJ L 281, 23.11.1995, p. 31. 
OJ L 8, 12.1.2001, p. 1. 
OJ L 55, 28.2.2011, p.13 

EN 

15 

   EN 

                                                 
(34) 

In  order  to  adopt  technical  amendments  of  the  annexes,  the  power  to  adopt  acts  in 
accordance with Article 290 of the Treaty on the Functioning of the European Union 
should  be  delegated  to  the  Commission  in  respect  of  the  adoption  of  technical 
amendments  to  the  annexes  in  accordance  with  Article  58.  It  is  of  particular 
importance  that  the  Commission  carry  out  appropriate  consultations  during  its 
preparatory  work,  including  at  expert  level.  The  Commission,  when  preparing  and 
drawing-up  delegated  acts,  should  ensure  a  simultaneous,  timely  and  appropriate 
transmission of relevant documents to the European Parliament and to the Council. 

(35)  This Regulation respects the fundamental rights and observes the principles recognised 
in particular by the Charter of Fundamental Rights of the European Union, notably the 
protection of personal data (Article 8) and the right to an effective remedy (Article 51), 
and has to be applied in accordance with those rights and principles. 

(36)  Since  the  establishment  of  a  common  RTP  and  the  creation  of  common  obligations, 
conditions  and  procedures  for  the  storage  of  data  on  registered  travellers  cannot  be 
sufficiently achieved by the Member States alone and can therefore, by virtue of the 
scale and impact of the action, 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,  the  Regulation  does  not  go  beyond  what  is  necessary  in  order  to 
achieve this objective. 

(37) 

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 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. Given that this Regulation builds 
upon  the  Schengen  acquis,  Denmark  shall,  in  accordance  with  Article  4  of  that 
Protocol,  decide  within  a  period  of  six  months  after  the  Council  has  decided  on  this 
Regulation whether it will implement it in its national law. 

(38)  This Regulation constitutes a development of the provisions of the Schengen acquis in 
which  the  United  Kingdom  does  not  take  part,  in  accordance  with  Council  Decision 
2000/365/EC of 29 May 2000 concerning the request of the United Kingdom of Great 
Britain  and  Northern  Ireland  to  take  part  in  some  of  the  provisions  of  the  Schengen 
acquis26,  the  United  Kingdom  is  therefore  not  taking  part  in  its  adoption  and  is  not 
bound by it or subject to its application. 

(39)  This Regulation constitutes a development of the provisions of the Schengen acquis in 
which Ireland does not take part, in accordance with Council Decision 2002/192/EC of 
28 February 2002 concerning Ireland’s request to take part in some of the provisions 
of the Schengen acquis27; Ireland is therefore not taking part in its adoption and is not 
bound by it or subject to its application. 

(40)  As  regards  Iceland  and  Norway,  this  Regulation  constitutes  a  development  of  the 
provisions of the Schengen acquis within the meaning of the Agreement concluded by 
the Council of the European Union and the Republic of Iceland and the Kingdom of 

26 
27 

OJ L 131, 1.6.2000, p. 43. 
OJ L 64, 7.3.2002, p. 20. 

EN 

16 

   EN 

                                                 
Norway  concerning  the  latters'  association  with  the  implementation,  application  and 
development of the Schengen acquis28, which fall within the area referred to in Article 
1, point A of Council Decision 1999/437/EC of 17 May 1999 on certain arrangements 
for the application of that Agreement29. 

(41)  As regards Switzerland, this Regulation constitutes a development of the provisions of 
the  Schengen  acquis  withing  the  meaning  of  the  Agreement  between  the  European 
Union,  the  European  Community  and  the  Swiss  Confederation  on  the  Swiss 
Confederation's association with the implementation, application and development of 
the  Schengen  acquis30  which  fall  within  the  area  referred  to  in  Article  1,  point  A  of 
Council Decision 1999/437/EC of 17 May 1999 read in conjunction with Article 3 of 
Council Decision 2008/146/EC31. 

(42)  As regards Liechtenstein, this Regulation constitutes a development of the provisions 
of the Schengen acquis, as provided for by the Protocol between the European Union, 
the  European  Community, 
the  Principality  of 
Liechtenstein  on  the  accession  of  the  Principality  of  Liechtenstein  to  the  Agreement 
between the European Union, the European Community and the Swiss Confederation 
on  the  Swiss  Confederation's  association  with  the  implementation,  application  and 
development of the Schengen acquis32 which fall within the area referred to in Article 
1, point A of Council Decision 1999/437/EC of 17 May 1999 read in conjunction with 
Article 3 of Council Decision 2011/350/EU33. 

the  Swiss  Confederation  and 

(43)  As  regards  Cyprus,  this  Regulation  constitutes  an  act  building  upon,  or  otherwise 
related to, the Schengen acquis, within the meaning of Article 3(2) of the 2003 Act of 
Accession. 

(44)  This Regulation constitutes an act building upon, or otherwise related to, the Schengen 

acquis within the meaning of Article 4(2) of the 2005 Act of Accession. 

(45)  As  the  registered  travellers  have  been  subjected  to  all  necessary  controls  and  pre-
screening by those Member States fully implementing the Schengen acquis and do not 
represent  any  risk  for  Bulgaria,  Romania  and  Cyprus,  the  latter  Member  States  may 
recognise unilaterally the RTP membership of the registered traveller to benefit from 
facilitation of border checks at their external borders. 

28 
29 
30 
31 
32 
33 

OJ L 176, 10.7.1999, p. 36. 
OJ L 176, 10.7.1999, p. 31. 
OJ L 53, 27.2.2008, p. 52. 
OJ L 53, 27.2.2008, p. 1. 
OJ L 160, 18.6.2011, p. 21. 
OJ L 160, 18.6.2011, p. 19. 

EN 

17 

   EN 

                                                 
HAVE ADOPTED THIS REGULATION: 

CHAPTER I 

General provisions 

Article 1 

Subject matter  

This  Regulation  establishes  the  conditions  and  procedures  for  access  to  the  Registered 
Traveller  Programme  (RTP)  and  defines  the  purpose,  the  functionalities  and  responsibilities 
for  the  token-Central  Repository  as  a  system  for  the  storage  of  data  on  registered  travellers 
within the RTP.  

Article 2  

Set-up of the RTP 

1. 

2. 

3. 

The RTP shall be based on a system for the storage of data on registered travellers 
which  relies  on  tokens  kept  by  the  individual  travellers  on  the  one  hand  and  on  a 
Central Repository, a centrally located physical storage of the RTP data, on the other, 
together referred to as the "token-Central Repository". 

The  technical  architecture  of  the  token-Central  Repository  is  further  determined  in 
Article 21. 

The  Agency  for  the  operational  management  of  large-scale  information  systems  in 
the area of freedom, security and justice (hereinafter the Agency) is hereby entrusted 
with  the  tasks  of  development  and  operational  management  of  the  Central 
Repository, the Uniform Interface in each Member State, the Network Entry Points 
and  the  Communication  Infrastructure  between  the  Central  Repository  and  the 
Network  Entry  Points.  The  Agency  shall  also  be  responsible  for  the  definition  of 
technical specifications for a token. 

Article 3  

Definitions 

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

(1) 

'Registered  Traveller  Programme'  (RTP)  means  a  programme  which  allows 
third-country  nationals  who  have  been  pre-vetted  and  granted  access  to  the 
RTP  to  benefit  from  facilitation  of  border  checks  at  the  Union  external 
border; 

(2) 

'Registered  traveller'  means  a  third-country  national  who  has  been  granted 
access to the RTP in accordance with this Regulation; 

EN 

18 

   EN 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

'Agency'  means  the  European  Аgency  for  the  operational  management  of 
large-scale IT systems in the area of freedom, security and justice established 
by Regulation (EU) No 1077/2011; 

'Central Repository' means the centrally located physical storage of the RTP 
data; 

'token' means a device used to store a unique identifier given to a registered 
traveller. The unique identifier links the traveller and his/her data entered in 
the Central Repository; 

'operational management' means all the tasks necessary to keep large-scale IT 
the  communication 
including  responsibility  for 
systems  functioning, 
infrastructure used by them; 

'development' means all the tasks necessary to create a large-scale IT system, 
including the communication infrastructure used by it; 

'competent authorities' means visa and border authorities within the meaning 
of Article 4(3) of Regulation (EC) No 767/2008 of the European Parliament 
and of the Council34 and authorities assigned, in accordance with national law 
to  carry  out  checks  on  persons  at  the  external  border  crossing  points  in 
accordance  with  Regulation  (EC)  No 562/2006  of  the  European  Parliament 
and of the Council35; 

'third-country  national'  or  'third-country  traveller'  means  any  person  who  is 
not a citizen of the Union within the meaning of Article 20 of the Treaty or a 
citizen  of  a  third  country  who  under  agreements  between  the  Union  and  its 
Member States, on the one hand, and those third countries, on the other hand, 
enjoy rights of free movement equivalent to those of Union citizens; 

(10) 

'application form' means a uniform application form for access to the RTP as 
set out in Annex 1; 

(11) 

'biometric data' means fingerprints; 

(12) 

(13) 

(14) 

(15) 

'travel document' means a passport or other equivalent document entitling the 
holder to cross the external borders and to which a visa may be affixed; 

'verification' means the process of comparison of sets of data to establish the 
validity of a claimed identity (one-to-one check); 

'alphanumeric  data'  means  data  represented  by  letters,  digits,  special 
characters, space and punctuation marks; 

'National System' means the hardware, software and national communication 
infrastructure to connect the end user devices of the competent authorities as 
defined in Article 23(2) with the Network Entry Points in each Member State. 

34 
35 

OJ L 218, 13.8.2008, p 60.  
OJ L 105, 13.4.2006, p 1. 

EN 

19 

   EN 

                                                 
(16) 

(17) 

(18) 

'token-Central  Repository'  means  a  system  for  the  storage  of  data  on 
registered travellers consisting of a Central Repository and a token; 

'Member  State  responsible'  means  the  Member  State  which  has  entered  the 
data in the Central Repository; 

'common application centre' means a centre as referred to in Article 41(2) of 
Regulation  (EC)  No  810/2009  of  the  European  Parliament  and  of  the 
Council36; 

(19) 

'supervisory  authority"  means  the  supervisory  authority  established  in 
accordance with Article 28 of Directive 95/46/EC. 

CHAPTER II 

Procedures and conditions for lodging an application for access to the RTP 

Article 4  

Authorities and Member States competent for examining and deciding on an application 

for access to the RTP 

The competent authorities for examining and deciding on an application for access to the RTP 
shall be the duly authorised staff of visa and border authorities of any Member State.  

Article 5 

Lodging an application 

1. 

2. 

3. 

4. 

5. 

A  third-country  national  may  lodge  an  application  for  access  to  the  RTP  at  any 
Member  State's  consulate,  at  any  common  application  centre  or  at  any  external 
border crossing point. An online application form may be accepted, where available. 

Applicants  may  be  required  to  obtain  an  appointment  for  the  lodging  of  an 
application.  The  appointment  shall,  as  a  general  rule,  take  place  within  a  period  of 
two weeks from the date when the appointment was requested. 

Where an applicant is applying for access to the RTP for the first time, he/she shall 
be required to appear in person, in order to provide his/her fingerprints, for interview 
and for the travel document to be checked.  

Where  an  applicant  submits  an  on-line  application  or  falls  within  the  scope  of 
paragraph 5, the biometric data shall be collected, the travel document checked and 
an interview carried out, if applicable, when the decision on the application is made 
and the token is issued.  

Without prejudice to Article 8, the competent authorities may waive the requirement 
referred  to  in  paragraph  3  if  the  applicant  is  the  holder  of  a  residence  permit  or  a 

36 

OJ L 243, 15.9.2009, p 1. 

EN 

20 

   EN 

                                                 
residence  card  or  if  the  applicant  is  known  to  them  for  his/her  integrity  and 
reliability. 

6. 

When lodging the application, the applicant shall: 

(a) 

be at least 12 years old; 

(b) 

(c) 

(d) 

(e) 

present an application form in accordance with Article 6; 

present a travel document in accordance with Article 7; 

allow collection of his/her fingerprints in accordance with Article 8; 

provide  supporting  documents  in  accordance  with  Article  9  and  Annex  II,  if 
applicable; 

(f) 

pay the fee in accordance with Article 10. 

The  applicant  may  withdraw  his/her  application  at  any  time  before  a  decision  has 
been taken on the application. 

Article 6 

Application form 

Each  applicant  shall  submit  a  completed and  signed  application  form.  Minors  shall 
submit  an  application  form  signed  by  a  person  exercising  permanent  parental 
authority or legal guardianship. 

Member  States  shall  make  the  application  form  widely  available  and  easily 
accessible to applicants free of charge. 

The  application  form  shall  be  available  in  at  least  the  following  languages:  official 
language(s)  of  the  Member  State  in  question,  the  official  language(s)  of  the  third 
country  or  countries  where  the  application  may  be  lodged  and  the  official 
language(s) of neighbouring third countries, where applicable.  

Member States shall inform applicants of the language(s) which may be used when 
filling in the application form. 

Article 7 

Travel document 

7. 

1. 

2. 

3. 

4. 

The applicant shall present a Machine Readable Travel Document (MRTD) or an electronic 
Machine Readable Travel Document (eMRTD) which is valid for at least the period of access 
requested to the RTP and has been issued within the previous five years. The travel document 
shall have the requisite visa affixed to it or be accompanied by the requisite machine readable 
residence  permit  or  residence  card.  Alternatively,  the  applicant  may  apply  for  a  visa  at  the 
same time as applying for access to the RTP, where applicable.  

EN 

21 

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Article 8 

Biometric data 

1. 

2. 

3. 

4. 

5. 

6. 

Where the applicant has not previously applied for access to the RTP, Member States 
shall collect biometric data from applicants comprising their four fingerprints taken 
flat  and  collected  digitally  in  accordance  with  the  safeguards  laid  down  in  the 
Council  of  Europe's  Convention  for  the  Protection  of  Human  Rights  and 
Fundamental Freedoms, in the Charter of Fundamental Rights of the European Union 
and in the United Nations Convention on the Rights of the Child. 

If it is not possible to collect four fingerprints the maximum number of fingerprints 
shall  be  collected.  Member  States  shall  ensure  that  appropriate  procedures 
guaranteeing  the  dignity  of  the  applicant  are  in  place  should  difficulties  be 
encountered with collecting fingerprints.  

Where fingerprints collected from the applicant as part of an earlier application were 
entered  in  the  Central  Repository  for  the  first  time  less  than  59  months  before  the 
date of the new application, they may be copied to the subsequent application. 

However, where there is reasonable doubt regarding the identity of the applicant or it 
cannot  be  immediately  confirmed  that  the  fingerprints  were  collected  within  the 
period  specified  in  the  first  subparagraph,  the  competent  authorities  shall  collect 
fingerprints from the applicant. 

The specifications for the resolution and use of fingerprints for biometric verification 
in the RTP shall be decided by the Commission in accordance with Article 37.  

The  fingerprints  shall  be  collected  by  qualified  and  duly  authorised  staff  of  the 
competent authorities.  

The  fingerprints  shall  not  be  linked  with  the  alphanumeric  data  and  they  shall  be 
entered in separate sections in the Central Repository. 

Article 9 

Supporting documents 

1. 

When applying for access to the RTP, the applicant shall present:  

(a) 

(b) 

(c) 

documents indicating the purposes of the journeys;  

proof  of  sufficient  means  of  subsistence  in  relation  to  the  travel  and 
accommodation for the next two trips; 

documents establishing his/her occupational or family status, such as business 
person,  civil  servant  engaged  in  regular  official  contacts  with  Member  States 
and the Union institutions, representative of civil society organisations, person 
travelling  for  the  purpose  of  educational  training,  seminars  and  conferences, 
person participating in economic activities, family member of a citizen of the 

EN 

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2. 

3. 

4. 

5. 

Union,  family  member  of  a  third-country  nationals  legally  residing  in  a 
Member State.  

Where the applicant is a family member of a citizen of the Union enjoying the right 
to  free  movement,  the  applicant  shall  only  be  required  to  present  a  residence  card 
issued  by  a  Member  State,  where  applicable,  and  evidence  of  his/her  identity, 
nationality  and  family  ties  with  a  Union  citizen  to  whom  Directive  2004/38/EC 
applies. 

Where a third-country national lodges an application for a multiple-entry visa and an 
application for access to the RTP at the same time and in the same place, only one set 
of supporting documents shall be required.  

If  a  multiple-entry  visa  holder  lodges  an  application  for  a  RTP  at  the  same  place 
where  a  multiple-entry  visa  was  issued  but  does  not  do  so  at  the  same  time,  the 
supporting documents provided for the multiple-entry visa application may be used 
in  the  assessment  of  the  RTP  application.  If  there  is  any  doubt  whether  the 
supporting documents provided earlier are up to date, a Member State may request 
new supporting documents within a period of ten working days. 

A  non-exhaustive  list  of  supporting  documents  which  competent  authorities  may 
request from the applicant is set out in Annex II.  

Member States may require applicants to present proof of sponsorship and/or private 
accommodation  by  completing  a  form  drawn  up  by  the  Member  State  concerned. 
Such proof may be requested for the next two trips as a maximum. That form shall 
indicate in particular: 

(a) 

(b) 

(c) 

the validity period of sponsorship and/or of accommodation; 

whether its purpose is proof of sponsorship and/or of accommodation; 

whether the host is an individual person, a company or an organisation; 

(d) 

the host's identity and contact details; 

(e) 

the invited applicant(s); 

(f) 

the address of the accommodation; 

(g) 

possible family ties with the host. 

In addition to the Member State's official language(s) the form shall be drawn up in 
at  least  one  other  official  language  of  the  institutions  of  the  European  Union.  The 
form shall provide the person signing such a form with the information specified in 
Article 48(1). A specimen of the form shall be notified to the Commission. 

6. 

The competent authorities may waive one or more of the requirements laid down in 
paragraph 1 if the applicant holds a residence permit or if the applicant is known to 
them for his/her integrity and reliability.  

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Article 10 

Fee 

1. 

2. 

3. 

4. 

Applicants shall pay a fee as specified in Annex III.  

The  fee  shall  be  revised  regularly  in  order  to  reflect  the  administrative  costs.  The 
Commission shall be empowered to adopt delegated acts concerning the adjustment 
of the fee in accordance with Article 59.  

The fee shall be charged in euro, in the national currency of the third country or in 
the  currency  usually  used  in  the  third  country  where  the  application  is  lodged  and 
shall  not  be  refundable  regardless  of  the  outcome  of  the  application  or  if  an 
application is withdrawn. 

When  charged in  a currency  other than euro, the amount of the fee charged in that 
currency  shall  be  determined  and  regularly  reviewed  in  application  of  the  euro 
foreign  exchange  reference  rate  established  by  the  European  Central  Bank.  The 
amount charged may be rounded up. 

5. 

The applicant shall be given a printed or electronic receipt for the fee paid. 

CHAPTER III 

Examination of and decision on applications 

Article 11  

Admissibility 

1. 

The competent authorities shall verify that: 

–  the applicant is at least 12 years old; 

–  the application contains the items referred to in Article 5(6)(b), (c) and (e);  

–  the biometric data of the applicant have been collected; 

–  the fee has been collected.  

Where  the  competent  authorities  find  that the  conditions  referred  to  in  paragraph  1 
have been fulfilled, the application shall be admissible and the competent authorities 
shall:  

–  follow the procedures described in Article 24;  

–  further examine the application. 

Where  the  competent  authorities  find  that the  conditions  referred  to  in  paragraph  1 
have  not  been  fulfilled,  the  application  shall  be  inadmissible  and  the  competent 
authorities shall not examine the application and without delay: 

–  return the application form and any documents submitted by the applicant; 

2. 

3. 

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24 

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–  destroy the collected biometric data. 

Article 12 

Examination of an application  

1. 

2. 

The  examination  of  applications  and  interviews,  where  appropriate,  shall  only  be 
carried out by the competent authorities referred to in Article 4. 

In the examination of an application, the competent authority shall verify:  

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

that  the  applicant  fulfils  the  entry  conditions  set  out  in  Article  5(1)  of 
Regulation (EU) No 562/2006; 

that  the  applicant's  travel  document,  visa,  residence  permit  or  residence  card 
presented, as applicable, are valid and not false, counterfeited or forged; 

that  the  applicant  proves  the  need  for  or  justifies  the  intention  to  travel 
frequently and/or regularly; 

that  the  applicant  has  not  previously  exceeded  the  maximum  duration  of 
authorised  stay  in  the  territory  of  the  Member  States  and  that  he/she  proves 
his/her  integrity  and  reliability,  in  particular  a  genuine  intention  to  leave  the 
territory in due time; 

the applicant's justification of the purpose and conditions of the intended stays; 

that the applicant proves his/her financial situation in the country of origin or 
residence and possesses sufficient means of subsistence both for the duration of 
the intended stay(s) and for the return to his/her country of origin or residence, 
or that he/he is in a position to acquire such means lawfully; 

that  the  applicant  is  not  a  person  for  whom  an  alert  has  been  issued  in  the 
Schengen Information System (SIS); 

that  the  applicant  is  not  considered  to  be  a  threat  to  public  policy,  internal 
security,  public  health  or  the  international  relations  of  any  of  the  Member 
States, in particular where no alert has been issued in Member States’ national 
databases for the purpose of refusing entry on the same grounds; 

(i) 

whether  the  applicant's  access  to  the  RTP  has  previously  been  granted, 
extended, refused or revoked. 

When verifying that the applicant fulfils the entry conditions set out in Article 5(1) of 
Regulation No 562/2006, particular consideration shall be given to assessing whether 
the  applicant  presents  a  risk  of  illegal  immigration  or  a  risk  to  the  security  of  the 
Member  States  and  whether  the  applicant  intends  to  leave  the  territory  of  the 
Member States within the authorised stay. 

3. 

The  means  of  subsistence  for  the  intended  stays  shall  be  assessed  according  to  the 
duration(s) and the purpose(s) of the stay(s) and by reference to average prices in the 
Member State(s) concerned for board and lodging in budget accommodation, on the 
basis of the reference amounts set by the Member States in accordance with Article 

EN 

25 

   EN 

4. 

5. 

6. 

7. 

1. 

2. 

1. 

34  of  the  Schengen  Borders  Code.  A  proof  of  sponsorship  and/or  private 
accommodation may also constitute evidence of sufficient means of subsistence.  

The examination of an application shall be based in particular on the authenticity and 
reliability  of  the  documents  submitted  and  on  the  veracity  and  reliability  of  the 
statements  made  by  the  applicant.  If  a  Member  State  responsible  for  examining  an 
application  has  any  doubts  on  the  applicant,  his/her  statements  or  supporting 
documents that have been provided, it may consult other Member States before any 
decision on the application is taken. 

During the examination of an application, the competent authorities may, in justified 
cases, request additional documents as laid down in Article 9. 

A  previous  refusal  of  access  to  the  RTP  shall  not  lead  to  an  automatic  refusal  of  a 
new  application.  A  new  application  shall  be  assessed  on  the  basis  of  all  available 
information. 

The criteria used for the  examination of applications  lodged  by  family  members  of 
citizens of the Union shall be the same as those used for the examination of their visa 
applications. 

Article 13 

Decision on the application 

An application which is admissible pursuant to Article 11 shall be decided on by the 
competent authorities within 25 calendar days from the date of submission.  

Unless  the  application  has  been  found  inadmissible  or  has  been  withdrawn  by  the 
applicant, a decision shall be taken to: 

(a) 

(b) 

grant access to the RTP, in accordance with Article 14, or 

refuse access to the RTP, in accordance with Article 15. 

CHAPTER IV 

Granting, extending, refusing and revoking access to the RTP 

Article 14 

Grant and extension of access to the RTP 

Initial access to the RTP shall be granted for one year. Access may be extended for 
two years upon request, followed by a further two years without a new application in 
the  case  of  travellers  who  have  followed  the  rules  and  regulations  laid  down  for 
crossing  the  external  border  and  for  staying  in  the  Schengen  area.  The  period  of 
access granted shall not exceed the validity of the travel document(s), visa, residence 
permit  or  residence  card,  if  applicable,  and  shall  be  based  on  the  examination 
conducted in accordance with Article 12.  

EN 

26 

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2. 

3. 

4. 

5. 

Access to the RTP shall be granted without further procedural requirements, subject 
to  fulfilment  of  the  substantive  requirements  set  out  in  this  Regulation,  to  persons 
holding  or  being  issued  a  multiple-entry  visa  or  D-visa  valid  for  at  least  one  year, 
persons holding a residence permit and family members of citizens of the Union.  

The  data  set  out  in  Article  26  shall  be  entered  into  the  Central  Repository  when  a 
decision granting access to the RTP has been taken.  

The data set out in Article 27 shall be entered into the token when a decision granting 
access to the RTP has been taken.  

The  data  set  out  in  Article  30  shall  be  entered  into  the  Central  Repository  when  a 
decision extending access to the RTP has been taken.  

Article 15 

Refusal of access to the RTP 

1. 

Access to the RTP shall be refused if the applicant:  

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

presents  a  travel  document  which  is  not  valid  or  it  is  false,  counterfeited  or 
forged; 

does  not  have  a  valid  residence  permit,  residence  card  or  a  visa,  if  required 
pursuant  to  Council  Regulation  (EC)  No  539/200137  and  does  not  fulfil  the 
requirements to be issued therewith; 

does  not  prove  the  need  or  justify  the  intention  to  travel  frequently  and/or 
regularly; 

has  previously  exceeded  the  maximum  duration  of  authorised  stay  in  the 
territory of the Member States and he/she does not prove his/her integrity and 
reliability,  in  particular  his/her  genuine  intention  to  leave  the  territory  in  due 
time; 

does  not  provide  justification  of  the  purpose  and  conditions  of  the  intended 
stays;  

does not prove his/her financial situation in the country of origin or residence 
and  does  not  possess  sufficient  means  of  subsistence  both  for  the  duration  of 
the intended stay(s) and for the return to his/her country of origin or residence, 
or he/she is not in a position to acquire such means lawfully; 

is a person for whom an alert has been issued in the SIS;  

is considered to be a threat to public policy, internal security, public health or 
the international relations of any of the Member States, in particular where an 

37 

OJ L 81, 21.3.2001, p. 1. 

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27 

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alert has been issued in Member States’ national databases for the purpose of 
refusing entry on the same grounds; 

or 

(i) 

if  there  are  reasonable  doubts  as  to  the  authenticity  of  the  supporting 
documents  submitted  by  the  applicant  or  the  veracity  of  their  contents  or  the 
reliability of the statements made by the applicant. 

2. 

3. 

A  decision  on  refusal  and  the  reasons  on  which  it  is  based  shall  be  notified  to  the 
applicant by means of the standard form set out in Annex IV. 

Without prejudice to the right to judicial review, in accordance with the procedural 
law  of  the  Member  State  that  has  taken  the  final  decision  on  the  application,  the 
applicant whose access has been refused to the RTP shall have the right to review of 
the refusal for challenging or correcting potential errors in accordance with the Right 
to effective remedy38. Appeals shall be conducted against the Member State that has 
taken the decision on the application and in accordance with the national law of that 
Member  State.  Member  States  shall  provide  applicants  with  information  regarding 
the procedure to be followed in case of review, as specified in Annex IV. 

4. 

Where  an  application  for  access  to  the  RTP  is  refused,  data  shall  be  added  to  the 
Central Repository in accordance with Article 28. 

Article 16  

Revocation  

1. 

Access to the RTP shall be revoked: 

(a) 

(b) 

when  it  becomes  evident  that  the  conditions  for  granting  access  to  the  RTP 
were not met; 

when it becomes evident that the conditions for granting access to the RTP are 
no longer met; 

(c) 

at the request of the registered traveller. 

2. 

3. 

4. 

Access  may  be  revoked  by  the  competent  authorities  of  any  Member  State  at  any 
time pursuant to paragraph 1.  

If authorities other than competent authorities have evidence to suggest that access to 
the RTP should be revoked pursuant to paragraph 1, they shall inform the competent 
authorities without delay. 

A decision on revocation of access to the RTP and the reasons on which it is based 
shall be notified to the registered traveller by means of the standard form set out in 
Annex IV. 

38 

Article 47(1) of the Charter of Fundamental Rights of the EU. 

EN 

28 

   EN 

                                                 
5. 

6. 

7. 

1. 

2. 

3. 

1. 

2. 

Without prejudice to the right to judicial review, in accordance with the procedural 
law  of  the  Member  State  that  has  revoked  access  to  the  RTP,  a  registered  traveller 
whose  access  to  the  RTP  has  been  revoked  shall  have  the  right  to  review  of  the 
revocation for challenging or correcting potential errors in accordance with the Right 
to  effective  remedy39  unless  the  access  has  been  revoked  at  the  request  of  the 
registered  traveller  in  accordance  with  paragraph  1(c).  Appeals  shall  be  conducted 
against  the  Member  State  that  has  taken  the  decision  on  the  revocation  and  in 
accordance with the national law of that Member State. Member States shall provide 
applicants with information regarding the procedure to be followed in case of review, 
as specified in Annex IV. 

Where  the  access  to  the  RTP  is  revoked,  data  shall  be  added  to  the  Central 
Repository in accordance with Article 29. 

Where  the  revocation  of  access  was  requested  by  the  registered  traveller,  the 
registered traveller shall have the right to ask for immediate deletion of his/her data. 
Member States shall inform the registered traveller about this right. 

CHAPTER V 

Administrative management and organisation 

Article 17 

Administration  

The  competent  authorities  shall  keep  archives  of  applications.  Each  individual 
application  file  shall  contain  the  application  form,  copies  of  relevant  supporting 
documents, a record of checks made and the reference number of access granted to 
the RTP, in order for staff to be able to reconstruct, if needed, the background for the 
decision taken on the application. 

Individual application files shall be kept as long as access is granted to the RTP.  

Where access to the RTP is refused or revoked, the application files shall be kept for 
a  maximum  of  two  years.  That  period  shall  start  on  the  date  of  the  decision  of  the 
competent  authority  to  refuse  or  revoke  access.  Applications  withdrawn  by  the 
applicants  shall  be  deleted  without  delay.  Member  States  may  store  the  application 
files including supporting documents in an electronic form. 

Article 18 

Resources for examining applications, issuing tokens, monitoring and statistics 

Each  Member  State  shall  be  responsible  for  organising  the  procedures  related  to 
submission and examination of applications as well as issuing tokens.  

Member States shall deploy appropriate staff in sufficient numbers to carry  out  the 
tasks  relating  to  the  examination  of  applications,  in  such  a  way  as  to  ensure 
reasonable and harmonised quality of service to the public. 

39 

Article 47(1) of the Charter of Fundamental Rights of the EU. 

EN 

29 

   EN 

                                                 
3. 

4. 

5. 

1. 

2. 

3. 

The competent authorities shall provide adequate training to their staff and shall be 
responsible  for  providing  them  with  complete,  precise  and  updated  information  on 
the relevant Union and national law.  

The  competent  authorities  shall  ensure  frequent  and  adequate  monitoring  of  the 
conduct of examination of applications, issuing tokens and take corrective measures 
when deviations from provisions and procedures of this Regulation are detected. 

Member  States  shall  compile  annual  statistics  on  the  RTP,  in  accordance  with  the 
table  set  out  in  Annex  V.  These  statistics  shall  be  submitted  to  the  Agency  by  1 
March of each year. The Agency shall publish them. 

Article 19 

Conduct of staff 

The competent authorities shall ensure that applicants are received courteously. 

The  competent  authorities  shall,  in  the  performance  of  their  duties,  respect  human 
dignity. Any measures taken shall be proportionate to the objectives pursued by such 
measures. 

While performing their tasks, the competent authorites shall not discriminate against 
applicants or registered travellers on grounds of sex, racial or ethnic origin, religion 
or belief, disability, age or sexual orientation.  

Article 20 

Information to the general public 

Member States shall provide the general public with all relevant information in relation to the 
applications for access to the RTP, in particular: 

(a) 

the criteria, conditions and procedures for applying; 

(b) 

the time limits for examining applications; 

(c) 

the fee; 

(d) 

where applications may be submitted. 

CHAPTER VI 

Technical architecture of the token-Central Repository, categories of data and entry of data by 
the competent authorities 

Article 21  

Technical architecture of the token-Central Repository 

The token-Central Repository shall be composed of:  

EN 

30 

   EN 

(a) 

(b) 

(c) 

(d) 

a  Central  Repository  comprising  a  Principal  repository  and  a  Back-up 
repository, capable of ensuring all the functionalities of the Principal repository 
in the event of failure of the latter; 

a  Uniform  Interface  in  each  Member  State  based  on  common  technical 
specifications and identical for all Member States;  

the Network Entry Points which are part of the Uniform Interface and are the 
national points of access connecting the National System as defined in Article 
3(15) of each Member State to the Central Repository;  

a  Communication  Infrastructure  between  the  Central  Repository  and  the 
Network Entry Points; and 

(e) 

a token based on common technical standards.  

Article 22  

Categories of data in the token-Central Repository 

1. 

Only the following categories of data shall be recorded in the Central Repository: 

(a) 

alphanumeric data on the applicant and on access granted, refused, revoked or 
extended referred to in Article 25(1) to (4), Article 26 and Articles 28, 29 and 
30; 

(b) 

biometric data referred to in Article 25(5). 

The alphanumeric data and the biometric data shall be recorded in separate sections 
in the Central Repository. 

2. 

Only the unique identifier number shall be recorded in the token referred to in Article 
27.  

Article 23  

Entering, amending, deleting, consulting and searching data 

1. 

2. 

Access  to  the  Central  Repository  and  the  token  for  entering,  amending,  deleting, 
directly  consulting  or  searching  the  data  referred  to  in  Article  22(1)  in  accordance 
with  this  Regulation  shall  be  reserved  exclusively  to  duly  authorised  staff  of  the 
competent authorities for the purposes laid down in this Regulation. Access by those 
authorities shall be limited to the extent required for the performance of the tasks in 
accordance with these purposes, and shall be proportionate to the objectives pursued. 

Each  Member  State  shall  designate  the  competent  authorities,  the  duly  authorised 
staff  of  which  shall  have  access  to  enter,  amend,  delete,  consult  or  search  the  data 
recorded in the Central Repository or in the token. Each Member State shall without 
delay communicate to the Agency a list of those authorities, including those referred 
to in Article 52(4), and any amendments thereto.  

EN 

31 

   EN 

3. 

1. 

2. 

Within 4 months after this Regulation enters into force, the Agency shall publish a 
consolidated list of authorities referred to in paragraph 2 in the Official Journal of the 
European Union. Where there are amendments thereto, the Agency shall publish an 
updated consolidated list once a year.  

Article 24  

Procedures for entering data from the application 

Where  an  application  is  admissible  pursuant  to  Article  11,  the  competent  authority 
shall  create  the  application  file  without  delay,  by  entering  the  data  referred  to  in 
Article 25 in the Central Repository, as far as those data are required to be provided 
by the applicant. 

Where  specific  data  are  not  required  to  be  provided  for  legal  reasons,  the  specific 
data field(s) shall be marked as ‘not applicable’. 

Article 25  

Data to be entered upon lodging of an application for access to the RTP 

The competent authority shall enter the following data in the application file: 

(1) 

the unique application number; 

(2) 

(3) 

(4) 

status information, indicating that access to the RTP has been requested; 

the authority with which the application has been lodged, including its location; 

the following data to be taken from the application form: 

(a) 

(b) 

surname (family name); first name(s) (given names);  

surname at birth (earlier family name(s)), country of birth, nationality(ies); and 
sex; 

(c) 

date of birth, place of birth; 

(d) 

(e) 

(f) 

type  and  number  of  the  travel  document(s),  the  authority  which  issued  it  and 
the date of issue and of expiry; 

place and date of the application; 

if  applicable,  pursuant  to  Article  9(5),  details  of  the  person  liable  to  pay  the 
applicant's subsistence costs during the stay, being: 

(i) 

in the case of a natural person, the surname and first name, address of the 
person and telephone number; 

EN 

32 

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(ii) 

in the case of a company or other organisation, the name and address of 
the  company/other  organisation,  surname  and  first  name  of  the  contact 
person in that company/organisation and telephone number; 

(g)  main purposes of the journeys; 

(h) 

the applicant's home address and telephone number; 

(i) 

(j) 

(k) 

(l) 

if applicable, the visa sticker number; 

if applicable, the residence permit or residence card number; 

current  occupation  and  employer;  for  students:  name  of  educational 
establishment; 

in  the  case  of  minors,  surname  and  first  name(s)  of  the  applicant's  parental 
authority or legal guardian. 

(5) 

fingerprints, in accordance with Article 8. 

Article 26  

Data to be added in the Central Repository when granting or withdrawing access to the 
RTP  

1. 

Where a decision has been taken to grant access to the RTP, the competent authority 
that granted access shall add the following data to the application file: 

(a) 

(b) 

(c) 

(d) 

status information indicating that access to the RTP has been granted; 

the authority that granted access, including its location; 

the place and date of the decision taken to grant access to the RTP; 

 the commencement and expiry dates of the validity of the access. 

Where an application is withdrawn by the applicant before a decision has been taken 
whether  to  grant  access  to  the  RTP,  the  competent  authority  shall  indicate  that  the 
application has been closed for this reason, the date when the application was closed 
and delete the data from the application file. 

Article 27  

Data to be entered in the token when granting access to the RTP  

Where a decision has been taken to grant access to the RTP, the competent authority 
that  granted  access  shall  enter  a  unique  identifier  number  in  the  token.  The  unique 
identifier number shall be the same as the application number.  

2. 

1. 

2. 

The token shall be given to the applicant.  

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Article 28  

Data to be added in the Central Repository when refusing access to the RTP 

1. 

Where a decision has been taken to refuse access to the RTP, the competent authority 
that refused access shall add the following data to the application file: 

2. 

1. 

(a) 

(b) 

(c) 

status information indicating that access to the RTP has been refused; 

 the authority that refused access to the RTP, including its location; 

 place and date of the decision to refuse access to the RTP. 

The application file shall also indicate the ground(s) on which access to the RTP was 
refused, which shall be one or more of the reasons listed in Article 15(1).  

Article 29 

Data to be added in the Central Repository when revoking access to the RTP  

Where  a  decision  has  been  taken  to  revoke  access  to  the  RTP,  the  competent 
authority that has taken the decision shall add the following data to the application 
file: 

(a) 

(b) 

(c) 

status information indicating that access to the RTP has been revoked; 

authority that revoked access, including its location; 

place and date of the decision to revoke access to the RTP. 

2. 

The application file shall indicate the ground(s) for revocation of access to the RTP, 
which shall be one or more of the reasons listed in Article 16(1). 

Article 30 

Data to be added in the Central Repository when extending access to the RTP  

Where a decision has been taken to extend access to the RTP, the competent authority that has 
taken the decision shall add the following data to the application file: 

(a) 

(b) 

status information indicating that access to the RTP has been extended; 

authority that extended access, including its location; 

(c) 

place and date of the decision; 

(d) 

the commencement and expiry dates of the extended period. 

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CHAPTER VII 

Use of data  

Article 31 

1. 

2. 

3. 

4. 

5. 

Use of data for examining applications, lost or stolen token or problems occur with 
facilitating registered travellers' border crossings 

The competent authority shall consult the Central Repository for the purposes of the 
examination  of  applications  and  the  decisions  relating  to  those  applications, 
including the decision whether to revoke or extend access to the RTP. Furthermore, 
the competent authorities shall consult the Central Repository in case of lost or stolen 
token or if any problems occur with facilitating registered travellers' border crossing. 

For the purposes referred to in paragraph 1, the competent authority shall search with 
one or several of the following data: 

(a) 

the unique application number; 

(b) 

(c) 

(d) 

the data referred to in Article 25(4)(a), (b) and (c); 

the data on the travel document, referred to in Article 25(4)(d); 

the visa sticker, residence permit or residence card number, if applicable. 

If the search with one or several of the data listed in paragraph 2 indicates that data 
on the applicant is recorded in the Central Repository, the competent authority shall 
be  given  access  to  the  application  file  but  not  to  the  separate  section  containing 
biometric data. 

The competent authority shall search the separate section of the Central Repository 
with biometric data for extending access to the RTP and if any problems occur with 
facilitating registered travellers' border crossing only if the token and fingerprints are 
presented by the registered traveller at the same time. If this search indicates that data 
on  the  registered  traveller  is  recorded  in  the  Central  Repository,  the  competent 
authority shall be given access to the application file including biometric data. 

The competent authority shall search the separate section of the Central Repository 
with  biometric  data  alone,  without  the  token,  only  for  the  examination  of 
applications, deciding whether to revoke access to the RTP and in case the token is 
lost  or  stolen.  If  this  search  indicates  that  data  on  the  applicant  is  recorded  in  the 
Central Repository, the competent authority shall be given access to the application 
file including biometric data. 

Article 32 

Use of data at external border crossing points for border checks 

1. 

For the  purpose of facilitating the registered travellers  border crossing by verifying 
the identity of the registered traveller and by verifying that access has been granted 

EN 

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to the RTP and/or whether the conditions for entry to or exit from the territory of the 
Member  States  in  accordance  with  the  Schengen  Borders  Code  are  fulfilled,  the 
competent  authority  shall  have  access  to  search  the  Central  Repository  using  the 
unique identifier number (token) and the number of the travel document in order to 
verify  that  access  has  been  granted  to  the  RTP  in  combination  with  verification  of 
identity of a registered traveller by verifying fingerprints of the registered traveller.  

If the search with the data listed in paragraph 1 indicates that data on the registered 
traveller is recorded in the Central Repository, the competent authority shall be given 
a hit/no hit information. 

Where  a  manual  border  check  is  carried  out,  without  prejudice  to  paragraph  1, 
verification  of  the  identity  of  a  registered  traveller  may  be  done  manually  by 
checking the travel document visually. 

2. 

3. 

Article 33 

Use of data for reporting and statistics 

The competent authorities shall consult the following data solely for the purposes of reporting 
and statistics, without allowing the identification of individual applicants: 

(1) 

status information; 

(2) 

(3) 

(4) 

(5) 

(6) 

current nationality of the applicant; 

date and place of the application; 

the types(s) and ground(s) of the decision concerning access to the RTP; 

the type and issuing country of the travel document(s); 

the  competent  authority,  including  its  location,  where  a  decision  has  been 
taken  granting,  refusing,  revoking  or  extending  access  to  the  RTP  and  the 
date of the decision; 

(7) 

purposes of journeys; 

(8) 

lost or stolen tokens. 

CHAPTER VIII 

Retention period, amendment of data and lost or stolen token 

Article 34 

Retention period for data storage 

1. 

Each  individual  application  file  shall  be  stored  in  the  Central  Repository  for  a 
maximum  of  five  years,  without  prejudice  to  the  deletion  referred  to  in  Articles 
16(7), 26(2) and 35 and to the keeping of records referred to in Article 45.  

That period shall start: 

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(a) 

(b) 

(c) 

on the date of expiry date of granted or extended access to the RTP; 

on the date of the creation of the application file in the Central Repository, if 
the application has been withdrawn; 

on the date of the decision of the competent authority if access to the RTP has 
been refused or revoked. 

Upon  expiry  of  the  period  referred  to  in  paragraph  1,  the  Central  Repository  shall 
automatically delete the individual application file. 

The registered traveller may keep the token. 

Article 35  

Amendment of data and advance data deletion 

Only the Member State responsible shall have the right to amend data which it has 
entered in the Central Repository, by correcting or deleting such data. 

If  the  Member  State  responsible  has  evidence  that  data  processed  in  the  Central 
Repository  are  inaccurate  or  that  data  were  processed  in  the  Central  Repository 
contrary  to  this  Regulation,  it  shall  check  the  data  concerned  and,  if  necessary, 
correct  or  delete  them  without  delay.  This  may  also  be  done  at  the  request  of  the 
registered traveller. 

If  a  Member  State  other  than  the  Member  State  responsible  has  evidence  that  data 
processed in the Central Repository are inaccurate or that data were processed in the 
Central  Repository  contrary  to  this  Regulation,  it  shall  inform  the  Member  State 
responsible  without  delay.  The  Member  State  responsible  shall  check  the  data 
concerned and, if necessary, correct or delete them without delay. 

Where,  prior  to  expiry  of  the  period  referred  to  in  Article  34(1)  an  applicant  has 
acquired  the  nationality  of  a  Member  State,  the  application  files  shall  be  deleted 
without delay from the Central Repository by the competent authority of the Member 
State of which the nationality has been acquired.  

If the refusal of access to the RTP has been annulled by a court or an appeal board, 
the Member State which refused access to the RTP shall delete the data referred to in 
Article 28 without delay after the decision to cancel the refusal of access to the RTP 
has  become  final.  The  individual  application  subject  to  the  court  or  appeal  board 
decision  mentioned  above  shall  be  re-examined  by  the  competent  authority  taking 
into account the opinion of the court or the appeal board. 

Article 36  

Lost or stolen token 

The registered traveller shall inform the issuing authority if the token has been lost or 
stolen. 

Where  the  loss  or  theft  of  a  token  is  reported  by  a  third  party  to  the  competent 
authorities, the competent authorities shall block the access granted to the RTP and 

2. 

3. 

1. 

2. 

3. 

4. 

5. 

1. 

2. 

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37 

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inform the Member State which granted access. The Member State responsible shall 
inform  the  registered  traveller  on  the  lost  or  stolen  token  by  phone,  fax,  mail  or  e-
mail. 

3. 

Where the loss or theft of a token is reported by the registered traveller, the Member 
State  responsible  shall  verify  whether  access  has  been  granted  to  the  RTP.  The 
Member State responsible shall, at the request of the registered traveller, issue a new 
token. Otherwise, the access granted shall be blocked. 

4. 

The registered traveller shall be liable to pay the cost of a new token. 

CHAPTER IX 

Development, operation and responsibilities 

Article 37 

Adoption of implementation measures by the Commission  

1. 

The Commission shall adopt the measures necessary for the development, technical 
implementation and evolution of the Central Repository, the Uniform Interfaces and 
the Communication Infrastructure, in particular:  

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

for  the  specifications  for  the  resolution  and  use  of  fingerprints  for 
biometric verification in the RTP in accordance with Article 8; 

for the design of the physical architecture of the system including its 
communication infrastructure; 

for entering the data in accordance with Article 24; 

for accessing the data in accordance with Article 31, 32 and 33; 

for  keeping,  amending,  deleting  and  advance  deleting  of  data  in 
accordance with Articles 34 and 35; 

for  blocking  the  access  granted  in  case  of  lost  or  stolen  tokens  in 
accordance with Article 36; 

(g) 

for keeping and accessing the records in accordance with Article 45;  

(h) 

the performance requirements; 

(i) 

the  definition  of  the  business  requirements  including  lay  out  for  a 
token. 

Those  implementing  acts  shall  be  adopted  in  accordance  with  the  examination  procedure 
referred to in Article 57. 

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1. 

2. 

3. 

Article 38 

Development and operational management 

The Agency shall be responsible for the development of the Principal repository, the 
Back-up repository, the Uniform Interfaces including the Network Entry Points, the 
Communication Infrastructure between the national systems and the Network Entry 
Points  and  for  the  definition  of  the  technical  specifications  for  a  token  as  soon  as 
possible  after  entry  into  force  of  this  Regulation  and  the  adoption,  by  the 
Commission,  of  the  measures  foreseen  in  Article  37.  The  Ageny  shall  adopt  the 
technical  specifications  for  the  token  and  for  the  Central  Repository,  the  Uniform 
Interfaces  and  the  Communication  Infrastructure  subject  to  a  favourable  opinion  of 
the Commission. 

The development shall consist of the elaboration and implementation of the technical 
specifications, testing and overall project coordination.  

The Agency shall carry out a comprehensive test of the Central Repository together 
with the Member States. The Commission shall inform the European Parliament of 
the results of the test. 

The  Agency  shall  be  responsible  for  the  operational  management  of  the  Principal 
repository,  the  Back-up  repository  and  the  Uniform  Interfaces.  It  shall  ensure,  in 
cooperation with the Member States, that at all times the best available technology, 
subject to a cost-benefit analysis, is used. The Agency shall also be responsible for 
the  operational  management  of  the  Communication  Infrastructure  between  the 
Central Repository and the Network Entry Points. 

Operational  management  of  the  Central  Repository  shall  consist  of  all  the  tasks 
necessary to keep the Central Repository functioning 24 hours a day, 7 days a week 
in accordance with this Regulation, in particular the maintenance work and technical 
developments necessary to ensure that the system functions at a satisfactory level of 
operational quality, in particular as regards the time required for interrogation of the 
Central Repository by consular posts and border crossing points, which should be as 
short as possible. 

Without prejudice to Article 17 of the Staff Regulations of Officials of the European 
Union,  the  Agency  shall  apply  appropriate  rules  of  professional  secrecy  or  other 
equivalent duties of confidentiality to its entire staff required to work with RTP data. 
This obligation shall also apply after such staff leave office or employment or after 
the termination of their activities. 

Article 39 

National responsibilities 

1. 

Each Member State shall be responsible for: 

(a) 

the development of its National System, the connection to the Central 
Repository and issuance of tokens; 

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2. 

3. 

4. 

5. 

1. 

(b) 

(c) 

the  organisation,  management,  operation  and  maintenance  of  its 
National System; 

the  management  and  arrangements  for  access  of  the  competent 
authorities  to  the  Central  Repository  in  accordance  with  this 
Regulation and the establishment and regular updating of a list of such 
staff and their profiles. 

Each  Member  State  shall  designate  a  national  authority,  which  shall  provide  the 
access  of  the  competent  authorities  to  the  Central  Repository,  and  connect  that 
national authority to the Network Entry Point. 

Each Member State shall observe automated procedures for processing the data. 

Before being authorised to process data stored in the Central Repository, the staff of 
the  authorities  having  a  right  to  access  or  use  the  Central  Repository  shall  receive 
appropriate training about data security and data protection rules.  

Costs incurred by the National Systems as well as by hosting the National Interface 
shall be borne by the Union budget. 

Article 40 

Responsibility for the use of data 

Each  Member  State  shall  ensure  that  the  data  are  processed  lawfully,  and  in 
particular that only duly authorised staff have access to data processed in the Central 
Repository for the performance of the tasks in accordance with this Regulation. The 
Member State responsible shall ensure in particular that: 

(a) 

the data is collected lawfully; 

(b) 

(c) 

the data is transmitted lawfully to the Central Repository; 

the data is accurate and up-to-date when it is transmitted to the Central 
Repository. 

2. 

The Agency shall ensure that the Central Repository is operated in accordance with 
this Regulation and its implementing measures referred to in Article 37. In particular, 
the Agency shall: 

(a) 

(b) 

take  the  necessary  measures  to  ensure  the  security  of  the  Central 
Repository and the communication infrastructure between the Central 
Repository  and  the  Network  Entry  Points,  without  prejudice  to  the 
responsibilities of each Member State; 

ensure that only duly authorised staff have access to data processed in 
the Central Repository for the performance of the tasks of the Agency 
in accordance with this Regulation. 

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3. 

1. 

2. 

3. 

4. 

The Agency shall inform the European Parliament, the Council and the Commission 
of  the  measures  it  takes  pursuant  to  paragraph  2  for  the  start  of  operations  of  the 
RTP. 

Article 41 

Keeping of data in national files 

A  Member  State  may  keep  in  its  national  files  the  alphanumeric  data  which  that 
Member State entered in the Central Repository, in accordance with the purposes of 
the  RTP  and  in  accordance  with  the  relevant  legal  provisions  including  those 
concerning data protection. 

The  data  shall  not  be  kept  in  the  national  files  longer  than  it  is  kept  in  the  Central 
repository. 

Any  use  of  data  which  does  not  comply  with  paragraph  1  shall  be  considered  a 
misuse under the national law of each Member State. 

This  Article  may  not  be  construed  as  requiring  any  technical  adaptation  of  the 
Central  Repository.  Member  States  may  keep  data  in  accordance  with  this  Article 
only at their own cost, risk and with their own technical means. 

Article 42 

Communication of data to third countries or international organisations 

Data processed in the Central Repository or during the examination of applications pursuant 
to  this  Regulation  shall  not  be  transferred  or  made  available  to  a  third  country  or  to  an 
international organisation under any circumstances. 

Article 43  

Data security  

1. 

2. 

The Member State responsible shall ensure the security of the data before and during 
the  transmission  to  the  Network  Entry  Point.  Each  Member  State  shall  ensure  the 
security of the data it receives from the Central Repository. 

Each  Member  State  shall,  in  relation  to  its  National  System,  adopt  the  necessary 
measures, including a security plan, in order to: 

(a) 

(b) 

(c) 

physically  protect  data,  including  by  making  contingency  plans  for  the 
protection of critical infrastructure; 

deny unauthorised persons access to national installations in which the Member 
State carries out operations in accordance with the purposes of the RTP (checks 
at entrance to the installation); 

prevent  the  unauthorised  reading,  copying,  modification  or  removal  of  data 
media (data media control); 

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(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

(j) 

prevent  the  unauthorised  input  of  data  and  the  unauthorised  inspection, 
modification or deletion of stored personal data (storage control); 

prevent the unauthorised processing of data in the Central Repository and any 
unauthorised  modification  or  deletion  of  data  processed  in  the  Central 
Repository (control of data entry); 

ensure  that  persons  authorised  to  access  the  Central  Repository  have  access 
only to the data covered by their access authorisation, by means of individual 
and  unique  user  identities  and  confidential  access  modes  only  (data  access 
control); 

ensure that all authorities with a right of access to the Central Repository create 
profiles  describing  the  functions  and  responsibilities  of  persons  who  are 
authorised to enter, amend, delete, consult and search the data and make their 
profiles available to the supervisory authorities referred to in Article 52 without 
delay at their request (personnel profiles); 

ensure that it is possible to verify and establish to which bodies personal data 
may  be  transmitted  using  data  communication  equipment  (communication 
control); 

ensure  that  it  is  possible  to  verify  and  establish  what  kind  of  data  has  been 
processed  in  the  Central  Repository,  when,  by  whom  and  for  what  purpose 
(control of data recording);  

prevent the unauthorised reading, copying, modification or deletion of personal 
data during the transmission of personal data to or from the Central Repository 
or  during  the  transport  of  data  media,  in  particular  by  means  of  appropriate 
encryption techniques (transport control); 

(k)  monitor the effectiveness of the security measures referred to in this paragraph 
and take the necessary organisational measures related to internal monitoring to 
ensure compliance with this Regulation (self-auditing). 

The  Agency  shall  take  the  necessary  measures  in  order  to  achieve  the  objectives 
mentioned  in  paragraph  2  as  regards  the  operation  of  the  Central  Repository, 
including the adoption of a security plan. 

Article 44  

Liability  

Any  person  who,  or  Member  State  which,  has  suffered  damage  as  a  result  of  an 
unlawful processing operation or any act incompatible with this Regulation shall be 
entitled to receive compensation from the Member State which is responsible for the 
damage suffered. That State shall be exempted from its liability, in whole or in part, 
if it proves that it is not responsible for the event giving rise to the damage. 

If any failure of a Member State to comply with its obligations under this Regulation 
causes damage to the RTP, that Member State shall be held liable for such damage, 

3. 

1. 

2. 

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3. 

1. 

2. 

unless and insofar as the Agency or another Member State participating in the RTP 
failed  to  take  reasonable  measures  to  prevent  the  damage  from  occurring  or  to 
minimise its impact. 

Claims  for  compensation  against  a  Member  State  for  the  damage  referred  to  in 
paragraphs  1  and  2  shall  be  governed  by  the  provisions  of  national  law  of  the 
defendant Member State. 

Article 45  

Keeping of records 

Each  Member  State  and  the  Agency  shall  keep  records  of  all  data  processing 
operations  within  the  Central  Repository.  These  records  shall  show  the  purpose  of 
use of the data referred to in Article 23(1) and 31 to 33, the date and time, the type of 
data transmitted as referred to in Articles 25 to 26 and 28 to 30, the type of data used 
for  interrogation  as  referred  to  in  Articles  31  to  33  and  the  name  of  the  authority 
entering or retrieving the data. In addition, each Member State shall keep records of 
the staff duly authorised to enter or retrieve the data. 

Such  records  may  be  used  only  for  the  data-protection  monitoring  of  the 
admissibility of data processing as well as to ensure data security. The records shall 
be protected by appropriate measures against unauthorised access and deleted after a 
period of one year after the retention period of five years referred to in Article 33(1) 
has  been  expired,  if  they  are  not  required  for  monitoring  procedures  which  have 
already begun. 

Article 46  

Self-monitoring 

Member States shall ensure that each authority entitled to access the Central Repository takes 
the measures necessary to comply with this Regulation and cooperates, where necessary, with 
the supervisory authority. 

Article 47  

Penalties 

Member States shall take the necessary measures to ensure that any misuse of data entered in 
the  Central  Repository  is  punishable  by  penalties,  including  administrative  and/or  criminal 
penalties in accordance with national law, that are effective, proportionate and dissuasive.  

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CHAPTER X 

Rights of the data subject and supervision 

Article 48  

Right of information 

1. 

Applicants  and  the  persons  referred  to  in  Article  25(4)(f)  shall  be  informed  of  the 
following by the Member State responsible: 

(a) 

(b) 

(c) 

the  identity  of  the  controller  referred  to  in  Article  52(4),  including 
his/her contact details; 

the purposes for which the data will be processed within the RTP; 

the categories of recipients of the data; 

(d) 

the data retention period; 

(e) 

(f) 

that the collection of the data is mandatory for the examination of the 
application; 

the  existence  of  the  right  of  access  to  data  relating  to  them,  and  the 
right  to  request  that  inaccurate  data  relating  to  them  be  corrected  or 
that  unlawfully  processed  data  relating  to  them  be  deleted,  including 
the right to receive information on the procedures for exercising those 
rights and contact details of the supervisory authorities referred to in 
Article  52(1),  which  shall  hear  claims  concerning  the  protection  of 
personal data. 

2. 

3. 

1. 

The  information  referred  to  in  paragraph  1  shall  be  provided  in  writing  to  the 
applicant when the data from the application form and the fingerprint data as referred 
to in Article 25(4) and (5) are collected. 

The information referred to in paragraph 1 shall be provided to the persons referred 
to in Article 25(4)(f) in the forms to be signed by those persons providing proof of 
invitation, sponsorship and accommodation. 

In  the  absence  of  such  a  form  signed  by  those  persons,  this  information  shall  be 
provided in accordance with Article 11 of Directive 95/46/EC. 

Article 49  

Right of access, correction and deletion 

Without prejudice to the obligation to provide other information in accordance with 
Article  12(a)  of  Directive  95/46/EC,  any  person  shall  have  the  right  to  obtain 
communication of the data relating to him recorded in the Central Repository and of 
the Member State which transmitted it to the Central Repository. Such access to data 
may  be  granted  only  by  a  Member  State.  Each  Member  State  shall  record  any 
requests for such access. 

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2. 

3. 

4. 

5. 

6. 

1. 

2. 

3. 

1. 

Any  person  may  request  that  data  relating  to  him/her  which  are  inaccurate  be 
corrected and that data recorded unlawfully be deleted. The correction and deletion 
shall be carried out without delay by the Member State which transmitted the data, in 
accordance with its laws, regulations and procedures. 

If the request as provided for in paragraph 2 is made to a Member State, other than 
the  Member  State  responsible,  the  authorities  of  the  Member  State  to  which  the 
request has been lodged shall contact the authorities of the Member State responsible 
within  a  time  limit  of  14  days.  The  Member  State  responsible  shall  check  the 
accuracy  of  the  data  and  the  lawfulness  of  its  processing  in  the  Central  Repository 
within a time limit of one month. 

If it emerges that data recorded in the Central Repository are inaccurate or have been 
recorded  unlawfully,  the  Member  State  which  transmitted  the  data  shall  correct  or 
delete  the  data  in  accordance  with  Article  35(2)  and  (3).  The  Member  State 
responsible shall confirm in writing to the person concerned without delay that it has 
taken action to correct or delete data relating to him. 

If  the  Member  State  responsible  does  not  agree  that  data  recorded  in  the  Central 
Repository is inaccurate or has been recorded unlawfully, it shall explain in writing 
to the person concerned without delay why it is not prepared to correct or delete data 
relating to him. 

The  Member  State  responsible  shall  also  provide  the  person  concerned  with 
information explaining the steps which he/she can take if he/she does not accept the 
explanation provided. This shall include information on how to bring an action or a 
complaint before the  competent authorities or courts of that Member  State and any 
assistance, including from the supervisory authorities referred to in Article 52 that is 
available  in  accordance  with  the  laws,  regulations  and  procedures  of  that  Member 
State. 

Article 50  

Cooperation to ensure the rights on data protection 

The Member States shall cooperate actively to enforce the rights laid down in Article 
49(2) and (3). 

In each Member State, the supervisory authority shall, upon request, assist and advise 
the person concerned in exercising his/her right to correct or delete data relating to 
him/her in accordance with Article 28(4) of Directive 95/46/EC. 

The  supervisory  authority  of  the  Member  State  responsible  which  transmitted  the 
data and the supervisory authorities of the Member States to which the request has 
been lodged shall cooperate to this end.  

Article 51  

Remedies 

In  each  Member  State  any  person  shall  have  the  right  to  bring  an  action  or  a 
complaint before the competent authorities, as well the right to an effective remedy 
before  a  tribunal  of  that  Member  State  which  refused  the  right  of  access  to  or  the 

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right of correction or deletion of data relating to him, provided for in Article 49(1) 
and (2). 

2. 

The  assistance  of  the  supervisory  authorities  shall  remain  available  throughout  the 
proceedings. 

1. 

2. 

3. 

4. 

5. 

1. 

2. 

Article 52 

Supervision by the National Supervisory Authority 

The supervisory authority shall monitor the lawfulness of the processing of personal 
data,  referred  to  in  Article  22(1),  by  the  Member  State  in  question,  including  their 
transmission to and from the Central Repository. 

The supervisory authority shall ensure that an audit of the data processing operations 
in  the  National  System  is  carried  out  in  accordance  with  relevant  international 
auditing standards at least every four years.  

Member States shall ensure that their supervisory authority has sufficient resources 
to fulfil the tasks entrusted to it under this Regulation. 

In  relation  to  the  processing  of  personal  data  in  the  RTP,  each  Member  State  shall 
designate  the  authority  which  is  to  be  considered  as  controller  in  accordance  with 
Article 2(d) of Directive 95/46/EC and which shall have central responsibility for the 
processing of data by this Member State. Each Member State shall communicate this 
authority to the Commission. 

Each  Member  State  shall  supply  any  information  requested  by  the  supervisory 
authorities  and  shall,  in  particular,  provide  them  with  information  on  the  activities 
carried  out in accordance  with Articles 39 and 40(1), grant them access to the lists 
referred  to  in  Article  39(1)(c)  and  to  their  records  as  referred  to  in  Article  45  and 
allow them access at all times to all their premises. 

Article 53  

Supervision by the European Data Protection Supervisor 

The  European  Data  Protection  Supervisor  shall  check  that  the  personal  data 
processing  activities  of  the  Agency  are  carried  out  in  accordance  with  this 
Regulation.  The  duties  and  powers  referred  to  in  Articles  46  and  47  of  Regulation 
(EC) No 45/2001 shall apply accordingly. 

The European Data Protection Supervisor shall ensure that an audit of the Agency's 
personal  data  processing  activities  is  carried  out  in  accordance  with  relevant 
international auditing standards at least every four years. A report of such audit shall 
be  sent  to  the  European  Parliament,  the  Council,  the  Agency,  the  Commission  and 
the  supervisory  authorities.  The  Agency  shall  be  given  an  opportunity  to  make 
comments before the report is adopted. 

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3. 

1. 

2. 

3. 

4. 

1. 

2. 

The  Agency  shall  supply  information  requested  by  the  European  Data  Protection 
Supervisor,  give  him/her  access  to  all  documents  and  to  its  records  referred  to  in 
Article 45(1) and allow him/her access to all its premises, at any time.  

Article 54  

Cooperation between supervisory authorities and the European Data Protection 
Supervisor 

The  supervisory  authorities  and  the  European  Data  Protection  Supervisor,  each 
acting  within  the  scope  of  their  respective  competences,  shall  cooperate  actively 
within  the  framework  of  their  responsibilities  and  shall  ensure  coordinated 
supervision of the RTP. 

They shall, each acting within the scope of their respective competences, exchange 
relevant  information,  assist  each  other  in  carrying  out  audits  and  inspections, 
examine  difficulties  over  the  interpretation  or  application  of  this  Regulation,  study 
problems  with  the  exercise  of  independent  supervision  or  with  the  exercise  of  the 
rights  of  the  data  subject,  draw  up  harmonised  proposals  for  joint  solutions  to  any 
problems and promote awareness of data protection rights, as necessary. 

The supervisory authorities and the European Data Protection Supervisor shall meet 
for that purpose at least twice a year. The costs of these meetings shall be borne by 
the European Data Protection Supervisor. Rules of procedure shall be adopted at the 
first meeting. Further working methods shall be developed jointly as necessary. 

A joint report of activities shall be sent to the European Parliament, the Council, the 
Commission and the Agency every two years. This report shall include a chapter of 
each Member State prepared by the supervisory authority of that Member State. 

CHAPTER XI 

Final Provisions 

Article 55  

Start of transmission 

Each  Member  State  shall  notify  the  Commission  that  it  has  made  the  necessary 
technical and legal arrangements to transmit the data referred to in Article 22(1) to 
the Central Repository. 

The  Agency  shall  notify  the  Commission  that  it  has  made  the  necessary  technical 
arrangements referred to in Article 38(1). 

Article 56  

Start of operations 

The Commission shall determine the date from which the RTP is to start operations, when: 

(a) 

the measures referred to in Article 37(1) and (2) have been adopted; 

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(b) 

(c) 

(d) 

after validation of technical arrangements, the Member States have notified the 
legal 
Commission 
arrangements to collect and transmit the data referred to in Article 22(1) to the 
Central Repository; 

they  have  made 

the  necessary 

technical  and 

that 

the Agency has declared the successful completion of a comprehensive test of 
the Central Repository provided for in Article 38(1), and;  

the Agency has notified the Commission that the Central Repository is ready to 
start operations. 

Article 57 

Committee procedure 

1. 

2. 

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  5  of  Regulation  (EU)  No 
182/2011 shall apply.  

Article 58 

Amendments to the annexes 

The Commission shall be empowered to adopt delegated acts in accordance with Article 59 to 
the annexes to this Regualtion. 

Article 59 

Exercise of delegation 

1. 

2. 

3. 

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

The delegation of power referred to in Articles 10(2) and 58 shall be conferred for an 
indeterminate  period  of  time  from  X.X.201X.  (Date  of  entry  into  force  of  this 
Regulation). 

The delegation of powers referred to in Articles 10(2) and 58 may be revoked at any 
time by the European Parliament or by the Council. A decision to revoke shall put an 
end to the delegation of the power specified in that decision. It shall take effect the 
day following the publication of the decision in the Official Journal of the European 
Union  or  at  a  later  date  specified  therein.  It  shall  not  affect  the  validity  of  any 
delegated acts already in force.  

4. 

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to 
the European Parliament and to the Council.  

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5. 

A delegated act adopted pursuant to Articles 10(2) and 58 shall enter into force only 
if no objection has been expressed either by the European Parliament or the Council 
within a period of two months of notification of that act to the European Parliament 
and the Council or if, before the expiry of that period, the European Parliament and 
the  Council  have  both  informed  the  Commission  that  they  will  not  object.  That 
period shall be extended by two months at the initiative of the European Parliament 
or the Council. 

Article 60 

Notification 

1. 

Member States shall notify the Commission of: 

(a) 

(b) 

the  national  form  for  proof  of  sponsorship  and/or  private  accommodation 
referred to in Article 9(5), if applicable; 

the  authority  which  is  to  be  considered  as  controller  referred  to  in  Article 
52(4); 

(c) 

necessary technical and legal arrangements referred to in Article 56. 

2. 

Member States shall notify the Agency of: 

(a) 

competent  authorities  which  have  access  to  enter,  amend,  delete,  consult  or 
search data, referred to in Article 23; 

(b) 

statistics compiled in accordance with Article 18(5) and Annex V.  

3. 

4. 

5. 

The Agency shall notify the Commission that that it has made the necessary technical 
arrangements and the Central Repository is ready to start operations. 

The  Commission  shall  make  the  information  notified  pursuant  to  paragraph  1(a) 
available  to  the  Member  States  and  the  public  via  a  constantly  updated  electronic 
publication.  

Bulgaria, Cyprus and Romania shall notify the Commission within 10 working days 
whether to recognise unilaterally the RTP membership of the registered traveller to 
benefit from facilitation of border checks at their external borders. The Commission 
shall publish the information communicated by those Member States in the Official 
Journal of the European Union. 

Article 61  

Advisory group  

An  Advisory  Group  shall  provide  the  Agency  with  the  expertise  related  to  the  RTP  in 
particular  in  the  context  of  the  preparation  of  its  annual  work  programme  and  its  annual 
activity report.  

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49 

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Article 62  

Training  

The  Agency  shall  perform  tasks  related  to  training  on  the  technical  use  of  the  Central 
Repository. 

Article 63  

Monitoring and evaluation 

The Agency shall ensure that procedures are in place to monitor the functioning of 
the  Central  Repository  against  objectives  relating  to  output,  cost-effectiveness, 
security and quality of service. 

For  the  purposes  of  technical  maintenance,  the  Agency  shall  have  access  to  the 
necessary information relating to the processing operations performed in the Central 
Repository. 

Two years after the RTP is brought into operation and every two years thereafter, the 
Agency shall submit to the European Parliament, the Council and the Commission, a 
report on the technical functioning of the RTP including the security thereof.  

Three years after the RTP is brought into operation and every four years thereafter, 
the  Commission  shall  produce  an  overall  evaluation  of  the  RTP.  This  overall 
evaluation shall include an examination of results achieved against objectives and an 
assessment of the continuing validity of the underlying rationale, the application of 
this Regulation in respect of the RTP, the security of the RTP, the implementation of 
the  collection  and  use  of  biometric  data,  compliance  with  data  protection  rules  and 
the organisation of the procedures related to applications and issuance of tokens. The 
Commission  shall  transmit  the  evaluation  to  the  European  Parliament  and  the 
Council. The report shall be accompanied, where necessary, by appropriate proposals 
to amend this Regulation.  

Member States shall provide the Agency and the Commission with the information 
necessary  to  draft  the  reports  referred  to  in  paragraphs  3  and  4  according  to  the 
quantitative parameters predefined by the Agency and the Commission respectively. 

The Agency shall provide the Commission with the information necessary to produce 
the overall evaluations referred to in paragraph 4. 

Article 64 

Entry into force and applicability 

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

It shall apply from the date referred to in Article 56. 

Articles 37, 38, 39, 43, 55, 56, 57, 58, 59 and 60 shall apply as from the date referred 
to in paragraph 1. 

1. 

2. 

3. 

4. 

5. 

6. 

1. 

2. 

3. 

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

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

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ANNEX I  

HARMONISED APPLICATION FORM40 

Application for a Registered  

Traveller Programme 

1. Surname (Family name) (x) 

2. Surname at birth (Earlier family name(s)) (x) 

3. First name(s) (Given name(s)) (x)  

FOR OFFICIAL USE ONLY 

Date of application : 

Application number: 

4. Date of birth (day-month-year) 

5. Place of birth 

6.Current nationality 

Application lodged at 

5a. Country of birth 

6a. Nationality at birth, if different: 

□ Embassy/consulate 

7. Gender 

8. Civil status 

□ CAC 

□ Male □ Female □ Unspecified 

□  Single  □  Married  □  Separated  □  Divorced  □  Widow(er)  □ Other 
(please specify) 

□ Border crossing point 

9. In the case of minors: Surname, first name, address (if different from applicant´s) and nationality of parental authority/legal
guardian 

Name: 

10. Type of travel document 

File handled by : 

□ Ordinary passport □ Diplomatic passport □ Service passport □ Official passport □ Special passport 

□ Other travel document (please specify)  

Supporting documents: 

11. Number of travel document 

12. Date of issue 

13. Valid until 

14. Issued by 

□ Travel document 

15. Applicant’s home address and e-mail address 

 Telephone number(s) 

□ Invitation 

□ Means of subsistence 

16. Residence in a country other than the country of current nationality  

□ No  

□ Yes. Residence permit or equivalent ______No.______________Valid until 

* 17. Current occupation and length of employment 

□ Means of transport 

□ Other :  

40 

No logo is required for Norway, Iceland, Switzerland and Liechtenstein. 

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* 18. Employer and employer’s address and telephone number. For students, name and address of educational establishment. 

Decision: 

19. Main purposes of the journeys: 

□ Refused 

□ Tourism □ Business □ Visit of family or friends □ Cultural □ Sports □ Official visit □ Medical reasons □ Study □ Other 
(please specify) 

□ Granted 

Valid: 

From Until 

* The fields marked with * shall not be filled in by family members of EU, EEA or CH citizens (spouse, child or dependent ascendant) while exercising 
their right to free movement. Family members of EU, EEA or CH citizens shall present documents to prove this relationship and fill in fields no 25 and 26. 

(x) Fields 1-3 shall be filled in accordance with the data in the travel document. 

20. Valid Schengen visa  

□ No______________ 

□ Yes. Date(s) of validity from ___________________ to 

Visa's identification number: 

21.Fingerprints collected previously for the purpose of applying for a Registered Traveller Programme 

□ No [……………………………….] □ Yes.  

[…………………………………….] Date, if known 

*22. Surname and first name of the inviting person(s) in the Member State(s). If not applicable, name of hotel(s) or temporary
accommodation(s) in the Member State(s) 

Address  and  e-mail  address  of 
accommodation(s) 

inviting  person(s)/hotel(s)/temporary

Telephone and telefax 

*23. Name and address of inviting company/organisation 

Telephone and telefax of company/organisation    

Surname, first name, address, telephone, telefax, and e-mail address of contact person in company/organisation 

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*24. Cost of travelling and living during the applicant's stay is covered  

□ by the applicant himself/herself 

□ by a sponsor (host, company, organisation), please specify 

[… …] □ referred to in field 18 or 19 

[….…] □ other (please specify) 

Means of support 

□ Cash 

□ Accommodation provided 

□ All expenses covered during the stay(s) 

□ Pre-paid transport 

□ Other (please specify) 

Means of support  

□ Cash 

□ Traveller's cheques 

□ Credit Card 

□ Pre-paid accommodation  

□ Pre-paid transport  

□ Other (please specify) 

25. Personal data of the family member who is a EU, EEA or CH citizen  

Surname 

Date of birth 

Address 

First name(s) 

Nationality 

Telephone 

Number 
document or ID card 

of 

travel 

e-mail address 

26. Family relationship with an EU, EEA or CH citizen 

□ spouse □ child □ grandchild □ dependent ascendant  

27. Place and date 

28. Signature (for minors, signature of parental authority/legal guardian) 

I am aware that the RTP application fee is not refunded under any circumstances.  

I am aware of the need to have an adequate travel medical insurance for my first stay and any subsequent visits to the territory 
of Member States. 

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I am aware of and consent to the following: the collection of the data required by this application form and the taking of 
fingerprints,  if  applicable,  are  mandatory  for  the  examination  of  the  Registered  Traveller  Programme  (RTP)  application. 
Any personal data concerning me which appear on the RTP application form, as well as my fingerprints will be supplied to 
the relevant authorities of the Member States and processed by those authorities, for the purposes of a decision on my RTP 
application. 

Such data as well as data concerning the decision taken on my application or a decision whether to revoke or extend access 
to the RTP will be entered into, and stored in the Central Repository for a maximum period of five years, during which it 
will be accessible to the competent visa or border authorities. The authority of the Member State responsible for processing 
the data is: [(…)]. 

I am aware that I have the right to obtain in any of the Member States notification of the data relating to me recorded in the 
Central Repository and of the Member State which transmitted the data, and to request that data relating to me which are 
inaccurate be corrected and that data relating to me processed unlawfully be deleted. At my express request, the authority 
examining  my  application  will  inform  me  of  the  manner  in  which  I  may  exercise  my  right  to  check  the  personal  data 
concerning me and have them corrected or deleted, including the related remedies according to the national law of the State 
concerned. The supervisory authority of that Member State [contact details] will hear claims concerning the protection of 
personal data. 

I declare that to the best of my knowledge all particulars supplied by me are correct and complete. I am aware that any false 
statements will lead to my application being rejected or to the revocation of access already granted to the RTP and may also 
render me liable to prosecution under the law of the Member State which deals with the application. 

I undertake to leave the territory of the Member States in due time.  

Place and date  

Signature  

(for minors, signature of parental authority/legal guardian): 

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ANNEX II  

NON-EXHAUSTIVE LIST OF SUPPORTING DOCUMENTS 

The supporting documents, referred to in Article 9, to be submitted by a registered traveller applicant 
may include the following: 

1. 

Documentation relating to the purpose of the journeys 

(1) 

for business trips: 

(a) 

(b) 

(c) 

(d) 

an  invitation  from  a  company  or  an  authority  to  attend  meetings, 
conferences or events connected with trade, industry or work; 

other  documents  which  show  the  existence  of  trade  relations  or 
relations for work purposes; 

documents proving the business activities of the company;  

documents  proving  the  applicant's  employment  [status][situation]  in 
the company. 

(2) 

for journeys undertaken for the purposes of study or other types of training: 

(a) 

a  certificate  of  enrolment  at  a  teaching  institute  for  the  purposes  of 
attending  vocational  or  theoretical  courses  in  the  framework  of  basic 
and further training; 

(b) 

student cards or certificates of the courses to be attended. 

(3) 

for journeys undertaken for the purposes of tourism or for private reasons: 

(a) 

documents relating to lodging(s): 

(i) 

an invitation from the host if staying with one; 

(ii)  document  from  the  establishment  providing  lodging  or  any  other 
appropriate document indicating the accommodation envisaged; 

(b) 

documents relating to the itinerary: 

(i) 

confirmation  of  the  bookings  done  during  the  last  year  or  any  other 
appropriate document indicating the envisaged and/or done journey(s). 

(4) 

for  journeys  undertaken  for  political,  scientific,  cultural,  sports  or  religious  events  or 
other reasons: 

(a) 

invitation(s),  enrolments  or  programmes  stating  (wherever  possible) 
the name of the host organisation and the length of stay(s) or any other 
appropriate document indicating the purpose of the visit(s). 

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(5) 

for  journeys  of  members  of  official  delegations  who,  following  an  official  invitation, 
addressed  to  the  government  of  the  third  country  concerned,  participate  in  meetings, 
consultations,  negotiations  or  exchange  programmes,  as  well  as  in  events  held  in  the 
territory of a Member State by intergovernmental organisations:  

(a) 

a  letter  issued  by  an  authority  of  the  third  country  concerned 
confirming  that  the  applicant  is  a  member  of  the  official  delegation 
travelling  to  a  Member  State  to  participate  in  the  aforementioned 
events, accompanied by a copy of the official invitation(s). 

2. 

Documentation allowing for the assessment of the applicant's intention to leave the territory of 
the Member States 

(a) 

 proof of financial means in the country of residence; 

(b)  proof of employment: bank statements; 

(c)  proof of real estate property;  

(d)  proof of integration into the country of residence: family ties; professional status. 

3. 

Documentation in relation to the applicant's family situation 

(a)  parental consent (when a minor does not travel with parents); 

(b)  proof of family ties with the host/inviting person; 

(c) 

residence permit. 

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ANNEX III 

REGISTRATION FEE 

1. 

2. 

Applicants shall pay a registration fee of 20 EUR.  

If the RTP application is examined at the same time with the multiple-entry visa application, 
the applicant shall pay a fee of 10 EUR. 

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ANNEX IV  

STANDARD FORM FOR NOTIFYING AND MOTIVATING REFUSAL OR REVOCATION 
AN ACCESS TO A REGISTERED TRAVELLER PROGRAMME41  

___________ 

__________________________________________________________________________ 

RREEFFUUSSAALL//RREEVVOOCCAATTIIOONN  

Ms/Mr _______________________________, 

  The  ________________  Embassy/Consulate-General/Consulate/Common  Application  Centre  in 

_________ ______;  

  The  border  authority  of  the  ____________________[name  of  the  border  crossing  point  and 

country]. 

has/have  

 examined your application; 

  examined  your  access 

to 

the  Registered  Traveller  Programme,  number:  __________, 

granted:_______________ [date/month/year].  

 Access to the RTP has been refused 

 Access to the RTP has been revoked  

This decision is based on the following reason(s): 

  you do not have a valid residence permit/a residence card if applicable or a visa as required in 

1. 
accordance with the Council Regulation (EC) No 539/2001 of March 2001  

2. 

3. 

4. 

  a false/counterfeited/forged travel document was presented 

  you do not proof the need or justify the intention to travel frequently and/or regularly; 

justification of the purpose and conditions of the intended stay(s) was not provided  

41 

No logo is required for Norway, Iceland, Switzerland and Liechtenstein. 

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5. 
  you have not proved your economic situation in the country of origin or residence or you have 
not provided proof of sufficient means of subsistence, for the duration of the intended stay(s) or for the 
return to the country of origin or residence or you are not in a position to acquire such means lawfully 

  you have previously exceeded the maximum duration of authorised stay in the territory of the 

6. 
Member States and you do not prove your integrity and reliability 

  an  alert  has  been  issued  in  the  SIS  for  the  purpose  of  refusing  entry  by  ……………… 

7. 
(indication of Member State)  

8. 
  one  or  more  Member  State(s)  consider  you  to  be  a  threat  to  public  policy,  internal  security, 
public  health  as  defined  in  Article  2  point  19  of  the  Schengen  Borders  Code  or  the  international 
relations of one or more of the Member States 

the  information  submitted  regarding  the  justification  of  the  purpose  and  conditions  of  the 

9. 
intended stay was not reliable  

10. 

 your intention to leave the territory of the Member States in due time could not be ascertained 

11. 

 revocation was requested by the Registered Traveller42. 

Remarks:  

___________________________________________________________________________ 

___________________________________________________________________________ 

___________________________________________________________________________ 

Comments:  The  person  concerned  may  appeal  against  the  decision  to  refuse  or  revoke  access  to  a 
Registered Traveller Programme as provided for in national law and in Article 47(1) of the Charter. 
The  person  concerned  receives  a  copy  of  this  document  (each  Member  State  must  indicate  the 
references  to  the  national  law  and  the  procedure  relating  to  the  right  of  appeal  (including  the 
competent authority to whom an appeal can be lodged, as well as the time-limit for lodging such an 
appeal).  

Date and stamp of embassy/consulate-general/consulate/border authority/of other competent authorities. 

Signature of person concerned43 

42 
43 

Revocation on this reason is not subject to the right of appeal. 
If required by national law. 

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ANNEX V 

ANNUAL STATISTICS ON REGISTERED TRAVELLER PROGRAMME  

Data to be submitted to the Agency within the deadline set out in Article 18 for each border crossing 
point and each location where individual Member States grant access to the RTP: 

–  Total of access applied  

–  Total of access granted 

–  Total of access refused 

–  Total of access revoked 

–  Total  of  access  applied,  granted,  refused,  revoked  or  extended  for  third  country  nationals 

holding a visa 

–  Total  of  access  applied,  granted,  refused,  revoked  or  extended  for  third  country  nationals 

without a visa 

–  Average time of enrolment 

–  Processing time at the border crossing point  

–  Central Repository availability rate 

–  Error rates e.g. FTE, false match etc. 

General rules for the submission of data: 

–  The data for the complete previous year shall be compiled in one single file. 

–  The data shall be provided using the common template (provided by the Agency). 

–  Data shall be available for the individual border crossing points and the individual locations 
where the Member State concerned examine applications for the RTP and grouped by third 
country. 

In case a data is neither available nor relevant for one particular category and a third country, Member 
States  shall  leave  the  cell  empty  (and  not  entering  “0”  (zero),  “N.A.”  (non  applicable)  or  any  other 
value). 

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LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

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  

3.3.  Estimated impact on revenue 

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LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Regulation  of  the  European  Parliament  and  of  the  Council  establishing  the  Registered 
Traveller  Programme  (RTP)  subject  to  the  adoption  by  the  Legislative  Authority  of  the 
proposal  establishing,  as  part  of  the  Internal  Security  Fund,  the  instrument  for  financial 
support  for  external  borders  and  visa  (COM(2011)750)  and  subject  to  the  adoption  by  the 
Legislative  Authority  of  the  proposal  for  a  Council  Regulation  laying  down  the  multiannual 
financial  framework  for  the  years  2014-2020  (COM(2011)398)  and  a  sufficient  level  of 
resources being available under the expenditure ceiling of the pertinent budget heading. 

1.2. 

Policy area(s) concerned in the ABM/ABB structure44  

Policy area: Area of Home Affairs (title 18) 

1.3. 

Nature of the proposal/initiative  

⌧ The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action45  

(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 Stockholm Programme agreed by the European Council in December 2009 reaffirmed the 
potential for a Registered Traveller Programme (RTP) with the aim to facilitate legal access to 
the territory of Member States. The proposal to set up an RTP was therefore included in the 
Action  Plan  implementing  the  Stockholm  programme.  The  financing  of  the  development  of 
the Smart Borders package is one of the priorities of the Internal Security Fund (ISF)46. 

1.4.2. 

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

Specific objectives No. 1 "System Development" and No. 2 "System Operations" 

44 
45 
46 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 
Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  establishing,  as  part  of  the  Internal 
Security Fund, the instrument for financial support for external borders and visa (COM(2011)750. 

EN 

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The objective of the RTP and the token-Central Repository system is to facilitate the crossing 
of the European Union external borders by frequent, pre-vetted third-country travellers. 

ABM/ABB activity(ies) concerned 

Activities:  Solidarity  –  External  borders,  return,  visa  policy  and  free  movement  of  people 
(chapter 18.02) 

1.4.3.  Expected result(s) and impact 

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

By exploiting new technologies the RTP will decrease the time and costs of border crossings 
for Registered Travellers and will increase the throughput capacity of border crossing points 
thus  giving  Member  States  a  new  tool  to  manage  their  passenger  flows  efficiently  and  cost-
effectively. Border checks of Registered Travellers should not take more than 20-40 seconds 
on average. 

Furthermore,  the  RTP  will  free  up  border  control  resources  by  25%  from  checking  cross 
border  movements  of  frequent  and  pre-vetted  travellers  and  will  enable  better  focus  on 
checking higher risk travellers. 

1.4.4. 

Indicators of results and impact  

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

During the development 

After  the  approval  of  the  draft  proposal  and  the  adoption  of  the  technical  specifications  the 
technical system will be developed by an external contractor. The development of the systems 
will take place at central and national level under the overall coordination of the IT Agency. 
The  IT  Agency  will  define  an  overall  governance  framework  in  cooperation  with  all  the 
stakeholders.  As  usual  in  the  development  of  such  systems  an  overall  Project  Management 
Plan, together with a Quality Assurance Plan will be defined at the beginning of the project. 
They should include dashboards that will include specific indicators related in particular to 

The overall project status 

the timely development according to the agreed schedule (milestones), 

the risk management, 

the management of resources ( human and financial) according to the agreed allocations 

the organisational readiness 

… 

Once the system is operational 

Number of persons in the programme by category (visa required/visa exempt) and by grounds 
of access requested (business persons/students/workers etc); 

Number of persons whose access to the RTP is revoked or refused; 

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Average time of enrolment at the border crossing point and at the consulate; 

Time needed for RTs to cross an external border; 

System availability; 

Error rates e.g. false hits, Failure to Enrol Rate (FTE) and False Acceptance Rate (FAR); 

Number  of  complaints  by  individuals  to  the  national  Supervisory  Authority  (data  protection 
authority); 

Number  of  complaints 
discrimination; 

lodged  against 

the  authorities  on  wrong  decisions  and/or 

The throughput capacity of border crossing point increased by XX per cent; 

Border guard resources replaced/made available by the RTP to focus on checking higher risk 
travellers and/or carrying out other relevant tasks. 

1.5. 

Grounds for the proposal/initiative 

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

There are some 700 millions border crossings every year at the external border crossing points 
(land,  sea,  air).  Taking  into  account  that  border  crossing  at  the  largest  and  busiest  border 
crossing points have been increasing and will continue to do so in the future, doing nothing at 
the EU level would mean that third-country nationals' border crossings could not be facilitated 
except  those  specifically  mentioned  in  the  Schengen  Borders  Code  and  the  Local  Border 
Traffic  Regulation  meaning  that  thorough  checks  would  be  applicable  for  third-country 
nationals  and  no  access  to  Automated  Border  Control  systems  could  be  given  for  them. 
Several Member States already face issues in managing queues. These Member States would 
have no other solution than hiring more staff and rebuilding infrastructure; any future increase 
in travel flows would lead to more problems of this kind.  

Therefore,  the  RTP  is  needed  for  facilitating  Registered  Travellers  border  crossings,  for 
releasing border guard resources and for introducing person centric approach to border checks.  

1.5.2.  Added value of EU involvement 

The need for intervention at European level is clear. No Member State alone is able to build up 
an RTP providing facilitated  border checks across the Member States. The  RTP needs to be 
implemented at all EU external border crossing points and will have positive implications on 
the  border  guard  resources  of  all  Member  States,  allowing  for  an  efficient  use  of  these 
resources. 

The RTP proposal ensures that the EU has a common approach to the RTP based on common 
legislation and thus it guarantees that rules continue to be the same at all Schengen borders. 
For  third-country  national  travellers,  this  means  that  the  RTP  is  available  to  them  at  all 
Schengen border crossing points without separate vetting. In other words, a person vetted by 
one  Member  State  may  benefit  from  facilitation  when  crossing  the  external  borders  of  any 
other  Member  State.  Without  common  rules  this  would  not  be  possible,  i.e.  without  EU 
involvement the RTP would not meet its objectives.  

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1.5.3.  Lessons learned from similar experiences in the past 

The experience with the development of the second generation Schengen Information System 
(SIS II) and of the Visa Information System (VIS) showed the following lessons: 

1)  As  a  possible  safeguard  against  cost  overruns  and  delays  resulting  from  changing 
requirements,  any  new  information  system  in  the  area  of  freedom,  security  and  justice, 
particularly if it involves a large-scale IT system, will not be developed before the underlying 
legal  instruments  setting  out  its  purpose,  scope,  functions  and  technical  details  have  been 
definitely adopted. 

2)  It  proved  difficult  to  fund  the  national  developments  for  Member  States  that  have  not 
foreseen the respective activities in their multi-annual programming or lack precision in their 
programming  in  the  framework  of  the  External  Border  Fund  (EBF).  Therefore,  it  is  now 
proposed to include these development costs in the proposal. 

1.5.4.  Coherence and possible synergy with other relevant instruments 

This proposal should be seen as part of the continuous development of the Integrated Border 
Management  Strategy  of  the  European  Union,  and  in  particular  the  Smart  Borders 
Communication47,  as  well  as  in  conjunction  with  the  ISF  borders  proposal48,  as  part  of  the 
MFF.  The  legislative  financial  statement  attached  to  the  amended  Commission  proposal  for 
the Agency49 covers the costs for the existing IT systems EURODAC, SIS II, VIS but not for 
the  future  border  management  systems  that  are  not  yet  entrusted  to  the  Agency  via  a  legal 
framework. Therefore, in the annex to the proposal for a Council Regulation laying down the 
multi-annual  financial  framework  for  the  years  2014-202050,  under  heading  3  "Security  and 
Citizenship" it is foreseen to cover the existing IT  systems in the rubrique  'IT systems' (822 
mio €) and the future border management systems in the rubrique 'Internal Security' (1.1 mio € 
out  of  4.648  mio  €).  Within  the  Commission  DG  HOME  is  the  Directorate  General 
responsible  for  the  establishment  of  an  area  of  free  movement  in  which  persons  can  cross 
internal borders without being submitted to border checks and external borders are controlled 
and  managed  coherently  at  the  EU  level.  The  RTP  is  fully  coherent  with  EU  border  policy: 
security and prevention of irregular immigration is not diminished during the border crossing, 
while the EU's openness to the world and its capacity to facilitate cross-border people-to-eople 
contacts,  trade  and  cultural  exchange  is  boosted.  Furthermore,  it  is  coherent  with  the 
Community Code on Visas (810/2009) and the VIS Regulation (767/2008). Amendment of the 
Schengen Borders Code is needed to give access for third-country nationals to fully automated 
border control systems. 

Technical  synergies  can  be  found  with  the  Visa  Information  System.  There  will  also  be 
synergies with the EES, as the EES will register the entry and exit of the registered travellers 
and monitor the permitted duration of stay within the Schengen area. Without the EES fully 
automated border crossings could not be implemented for the registered travellers. 

47 

48 

49 
50 

Communication from the Commission to the European Parliament and the Council – Smart Borders – options and 
the way ahead (COM(2011)680. 
Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  establishing,  as  part  of  the  Internal 
Security Fund, the instrument for financial support for external borders and visa (COM(2011)750. 
COM(2010)93 of 19 March 2010. 
COM(2011)398 of 29 June 2011.  

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66 

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In addition, there is no risk of an overlap with similar initiatives carried out in other DGs.  

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  

⌧ Proposal/initiative of unlimited duration 

–  Preparatory period from 2013 to 2015 (establishment of the legal framework) 

–  Development period from 2015 to 2017, 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged51 

⌧ Centralised direct management by the Commission 

⌧ Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:133)  executive agencies  

–  ⌧ bodies set up by the Communities52  

–  (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: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  

The proposal for a Regulation of the European Parliament and of the Council establishing, as part of 
the  Internal  Security  Fund,  the  instrument  for  financial  support  for  external  borders  and  visa  for  the 
period  2014-2020  (COM(2011)750),  foresees  the  financing  of  the  development  of  the  Registered 

51 

52 

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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67 

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Traveller Programme in its Article 15. In accordance with Articles 58 1c) and 60 of the new Financial 
Regulation (centralised indirect management) the implementing tasks of the abovementioned financial 
programme will be delegated to the IT Agency. 

During the 2015-2017 period, all development activities will be entrusted to the IT Agency through a 
delegation  agreement.  This  will  cover  the  development  part  of  all  strands  of  the  project,  i.e.  Central 
system, Member States systems, networks and infrastructure in Member States. 

In  2017,  at  the  time  of  the  mid  term  review,  it  is  envisaged  to  transfer  remaining  credits  from  the 
587.000 Mio € to the IT Agency line for operation and maintenance costs of the central system and of 
the  network  and  to  national  programmes  for  operation  and  maintenance  costs  of  national  systems 
including  infrastructure  costs  (see  table  below).  The  Legislative  Financial  Statement  will  be  revised 
accordingly by the end of 2016. 

Blocks 

Management 
mode 

Development 
Central System 

Indirect 
centralised 

Development 
Member States 

Indirect 
centralised 

Maintenance 
Central System 

Indirect 
centralised 

Maintenance 
National 
Systems 

Network (1) 

Indirect 
centralised 

Indirect 
centralised 

Infrastructure 
Member States 

Indirect 
centralised 

2015 

2016 

2017 

2018 

2019 

2020 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

(1) network development in 2015-2017, network operations in 2017-2020 

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2. 

MANAGEMENT MEASURES 

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

The  rules  on  monitoring  and  evaluation  of  the  RTP  are  foreseen  in  Article  63  of  the  RTP 
proposal. 

Article 63 

Monitoring and evaluation 

1.  The  Agency  shall  ensure  that  procedures  are  in  place  to  monitor  the  functioning  of  the 
central repository against objectives relating to output, cost-effectiveness, security and quality 
of service. 

2. For the purposes of technical maintenance, the Agency shall have access to the necessary 
information relating to the processing operations performed in the Central Repository. 

3.  Two  years  after  the  RTP  is  brought  into  operation  and  every  two  years  thereafter,  the 
Agency shall submit to the European Parliament, the Council and the Commission, a report on 
the technical functioning of the RTP including the security thereof. 

4.  Three  years  after  the  RTP  is  brought  into  operation  and  every  four  years  thereafter,  the 
Commission  shall  produce  an  overall  evaluation  of  the  RTP.  This  overall  evaluation  shall 
include  an  examination  of  results  achieved  against  objectives  and  an  assessment  of  the 
continuing validity of the underlying rationale, the application of this Regulation in respect of 
the RTP,  the  security of  the  RTP, the implementation of the collection and use of biometric 
data, compliance with data protection rules and the organisation of the procedures related to 
applications  and  issuance  of  tokens.  .The  Commission  shall  transmit  the  evaluation  to  the 
European Parliament and the Council. The report shall be accompanied, where necessary, by 
appropriate proposals to amend this Regulation. 

5.  Member  States  shall  provide  the  Agency  and  the  Commission  with  the  information 
necessary to draft the reports referred to in paragraphs 3 and 4 according to the quantitative 
parameters predefined by the Agency and the Commission respectively. 

6. The Agency shall provide the Commission with the information necessary to produce the 
overall evaluations referred to in paragraph 4. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

1) Difficulties with the technical development of the system 

Member  States  have  technically  different  national  IT  systems.  Furthermore,  border  control 
processes  may  differ  according  to  the  local  circumstances  (available  space  at  the  border 
crossing point, travel flows, etc.). The RTP needs to be integrated into national IT architecture 

EN 

69 

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and  the  national  border  control  processes.  Additionally,  the  development  of  the  national 
components of the system needs to be fully aligned with central requirements. There are two 
main risks identified in this area: 

a) The risk that technical and legal aspects of the RTP may be implemented in different ways 
by different Member States, due to insufficient coordination between the central and national 
sides. 

b)  The  risk  of  inconsistency  in  how  this  future  system  is  used  depending  on  how  Member 
States implement the RTP into the existing border control processes. 

2) Difficulties with the timely development of the system 

From  the  experience  gained  during  the  development  of  the  VIS  and  the  SIS  II,  it  can  be 
anticipated that a crucial factor for a successful implementation of the RTP will be the timely 
development of the system by an external contractor. As a center of excellence in the field of 
development  and  management  of  large-scale  IT  systems,  the  IT  Agency  will  also  be 
responsible for the award and management of contracts, in particular for sub-contracting the 
development of the system. There are several risks related to the use of an external contractor 
for this development work: 

a) in particular, the risk that the contractor fails to allocate sufficient resources to the project or 
that it designs and develops a system that is not state-of-the-art; 

b) the risk that administrative techniques and methods to handle large-scale IT projects are not 
fully respected as a way of reducing costs by the contractor; 

c) finally, in the current economic crisis, the risk of the contractor facing financial difficulties 
for reasons external to this project cannot be entirely excluded. 

2.2.2.  Control method(s) envisaged  

1)  The  Agency  is  meant  to  become  a  center  of  excellence  in  the  field  of  development  and 
management  of  large-scale  IT  systems.  It  shall  be  entrusted  with  the  development  and  the 
operations of the central part of the system including uniform interfaces in the Member States. 
This  solution  should  allow  to  avoid  most  of  the  drawbacks  that  the  Commission  met  when 
developing the SIS II and the VIS.  

During  the  development  phase  (2015-2017),  the  Commission  will  keep  the  overall 
responsibility, as the project will be developed via indirect central management. The Agency 
will  be  responsible  for  the  technical  and  financial  management,  notably  the  award  and 
management  of  contracts.  The  delegation  agreement  will  cover  the  central  part  via 
procurements  and  the  national  part  via  grants.  According  to  Article  40  of  the  Implementing 
Rules,  the  Commission  will  conclude  an  Agreement  laying  down  the  detailed  arrangements 
for  the  management  and  control  of  funds  and  the  protection  of  the  financial  interests  of  the 
Commission. Such agreement will include the provisions set out in paragraph 2 of Article 40. 
It will thus enable the Commission to manage the risks described in 2.2.1. 

In  the  context  of  the  mid-term  review  (foreseen  in  2017  in  the  framework  of  the  Internal 
Security  Fund,  Article  15  of  the  Horizontal  Regulation)  the  management  mode  will  be  re-
examined. 

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2) In order to avoid delays at national level, an efficient governance between all stakeholders 
is  foreseen.  The  Commission  has  proposed  in  the  draft  Regulation  that  an  Advisory  Group 
composed  of  Member  States  national  experts  shall  provide  the  Agency  with  the  expertise 
related  to  the  RTP/EES.  This  advisory  group  shall  meet  on  a  regular  basis  on  the  system 
implementation  and  to  share  gathered  experience  and  provide  advice  to  the  Management 
Board of the Agency. Furthermore, the Commission intends to recommend to Member States 
to  set  up  a  national  project  infrastructure  /  project  group  for  both  the  technical  and  the 
operational development including a reliable communication infrastructure with single points 
of contact. 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

In order to combat fraud, corruption and other unlawful activities, Regulation (EC) No 

The  measures  foreseen  to  combat  fraud  are  laid  down  in  Article  35  of  Regulation  (EU)  No 
1077/2011 which provides as follows:  
1. 
1073/1999 shall apply. 
2. 
The  Agency  shall  accede  to  the  Interinstitutional  Agreement  concerning  internal 
investigations by the European Anti-fraud Office (OLAF) and shall issue, without delay, the 
appropriate provisions applicable to all the employees of the Agency. 
The  decisions  concerning  funding  and  the  implementing  agreements  and  instruments 
3. 
resulting from them shall explicitly stipulate that the Court of Auditors and OLAF may carry 
out,  if  necessary,  on-the-spot  checks  among  the  recipients  of  the  Agency's  funding  and  the 
agents responsible for allocating it. 

In  accordance  with  this  provision,  the  decision  of  the  Management  Board  of  the  European 
Agency  for  the  operational  management  of  large-scale  IT  systems  in  the  area  of  freedom, 
security and justice concerning the terms and conditions for internal investigations in relation 
to  the  prevention  of  fraud,  corruption  and  any  illegal  activity  detrimental  to  the  Union's 
interests was adopted on 28 June 2012. 

Moreover, DG HOME is currently drafting its fraud prevention and detection strategy. 

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3. 

3.1. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

Via  the  delegation  agreement  the  Agency  will  be  entrusted  with  the  task  to  set  up  the 
appropriate  tools  at  the  level  of  its  local  financial  systems  in  order  to  guarantee  an  efficient 
monitoring, follow-up and reporting of the costs linked to the implementation of the RTP in 
compliance  with  Article  60  of  the  new  Financial  Regulation.  It  will  take  the  appropriate 
measures, in order to be able to report whatever the final budget nomenclature will be. 

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure

Contribution  

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

DA/ 
(53) 

from 
EFTA54 
countries 

from 
candidate 
countries55 

from third 
countries 

within the meaning 
of Article 21(2)(b) 
of the Financial 
Regulation  

[XX.YY.YY.YY] 

DA/ 

YES/N
O 

YES/N
O 

YES/N
O 

YES/NO 

•  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 21(2)(b) 
of the Financial 
Regulation  

Heading of 
multiannual 
financial 
framework 

Heading of 
multiannual 
financial 
framework 

3 

[18.02.CC] 

ISF borders 

DA/ 

NO 

NO 

YES 

NO 

53 
54 
55 

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

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3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

The table below covers annual costs for Member States and central system, as well as development and operational costs. The costs 
for automated border control gates will be borne by the Member States. 

EUR million (to 3 decimal places) 

Heading of multiannual financial framework:  

3 

Security and Citizenship 

DG: HOME 

(cid:121) Operational appropriations  

Year 
2015 

Year 
2016 

Year 
201756 

Year 
2018 

Year 
2019 

Year 
2020 

Following 
years 

TOTAL 

of 

budget 

line 

Commitments 

Number 
18.02.CC 

137.674

34.836

167.402

82.362 

82.363 

82.363 

68.837 

93.222

145.148

101.198 

88.013 

68.585 

21.996

587.000

587.000

(1) 

(2) 

(1a) 

(2a) 

Payments 

Commitments 

Payments 

Number of budget line 

Appropriations  of  an  administrative  nature  financed 
 from the envelop of specific programs57  

56 

57 

The  variation  of  costs  and  especially  the  high  costs  in  2015  in  2017  can  be  explained  as  follows:  At  the  beginning  of  the  development  period,  in  2015, 
commitments for the development will be made (one-time costs to cover three years of hardware, software and contractor costs). At the end of the development 
period,  in  2017,  the  required  commitments  for  the  operations  will  be  made.  Costs  for  the  administration  of  hardware  and  software  vary  depending  on  the 
period. 
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. 

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 EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Number of budget line 

TOTAL appropriations 
for DG HOME 

Commitments 

Payments 

(3) 

=1+1a 
+3 

=2+2a 

+3 

137.674

34.836

167.402

82.362 

82.363 

82.363 

68.837

93.222

145.148

101.198 

88.013 

68.585 

21.996

587.000

587.000

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelop of specific programs  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADING <….> 
of the multiannual financial framework 

Commitments 

=4+ 6 

Payments 

=5+ 6 

If more than one heading is affected by the proposal / initiative: 

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelop of specific programs  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Commitments 

=4+ 6 

Payments 

=5+ 6 

EN 

74 

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Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

  Year
2013 

Year
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

Following 
years 

TOTAL 

EUR million (to 3 decimal places) 

DG: HOME 

(cid:121) Human resources 

0.254 

0.254 

0.254 

0.190 

0.190 

0.190 

0.191 

0.191 

(cid:121) Other administrative expenditure  

0.201 

0.201 

0.201 

0.200 

0.200 

0.200 

0.200 

0.200 

TOTAL DG HOME 

Appropriations 

0.455 

0.455 

0.455 

0.390 

0.390 

0.390 

0.391 

0.391 

1.715 

1.602 

3.317 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial 
framework 

(Total commitments  
= Total payments) 

0.455 

0.455 

0.455 

0.390 

0.390 

0.390 

0.391 

0.391 

3.317 

  Year
2013 

Year
2014 

Year 
201558 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

Following 
years 

TOTAL 

EUR million (to 3 decimal places) 

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

Commitments 

0.455 

0.455 

138.129 

35.226 

167.793 

82.753 

82.753 

82.753 

590.317 

Payments 

0.455 

0.455 

69.292 

93.613 

145.539 

101.589 

88.403 

68.975 

21.996 

590.317 

58 

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

EN 

75 

 EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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.

EN 

76 

 EN 

 
3.2.2.  Estimated impact on operational appropriations  

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

–  ⌧ The proposal/initiative requires the use of operational appropriations, as explained below: 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

TOTAL 

Commitment appropriations in EUR million (to 3 decimal places) 

Indicate 
objectives 
and 
outputs  

(cid:216) 

Type of 
output59 

Average 
cost  
of the 
ouput 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

Total 
number 
of 
ouputs 

Total  
cost 

SPECIFIC OBJECTIVE No 160: System Development (Central and National) 

- Output 

1 

137.674 

1 

34.836

1 

50.356 

Sub-total for specific objective N° 
161

137.674 

34.836 

50.356 

SPECIFIC OBJECTIVE No 2: System Operations (Central and National) 

1 

222.866 

222.866 

- Output 

1  

117.047 

 1 

82.362 

1

82.362 

1

82.363 

1 

364.134 

59 
60 
61 

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)…" 
This amount includes for the central development in particular the network infrastructure, required hardware and software licenses and costs for the external contractor to 
develop  the  central  system.  For  the  national  development  it  also  includes  the  costs  for  the  required  hardware  and  software  licenses  as  well  as  external  contractual 
development 

EN 

77 

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Sub-total for specific objective N° 
262

TOTAL COST 

1 

137.674 

 1 

34.836 

2 

167.403 

1 

82.362 

1 

82.362 

1 

82.363

2 

117.047 

82.362 

82.362 

82.363 

364.134 

587.000 

62 

This amount covers the required costs to keep the central system up and running, in particular the running of the network, the maintenance of the central system by an 
external  contractor  and  the  required  hardware  and  software  licenses.  For  the  national  operations,  it  covers  the  required  costs  for  the  running  the  national  systems,  in 
particular licenses for hardware and software, incident management, and costs for required external contractors. 

EN 

78 

 EN 

 
 
 
  
 
  
 
 
 
 
 
                                                 
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  

–  ⌧  The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

Year 
2013 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

0.254 

0.254 

0.254 

0.190

0.190

0.190

0.191

0.191 

1.715 

0.201 

0.201 

0.201 

0.200 

0.200 

0.200 

0.200 

0.200 

1.602 

0.455 

0.455 

0.455 

0.390 

0.390 

0.390 

0.391 

0.391 

3.317 

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 563 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

0.455 

0.455 

0.455 

0.390 

0.390 

0.390 

0.391 

0.391 

3.317 

63 

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 

79 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.   Estimated requirements of human resources  

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

–  ⌧  The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

Estimate to be expressed in full time equivalnet units (or at most to one decimal place) 

Year 
2013 

Year
2014

Year
2015

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

•  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) 

2 

2 

2 

1,5 

1,5 

1,5 

1,5 

1,5 

•  External personnel (in Full Time Equivalent unit: FTE)64 

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 65 

- at Headquarters66 

- 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 

2 

2 

2 

1,5 

1,5 

1,5 

1,5 

1,5 

XX 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. 

64 

65 
66 

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 

80 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Description of tasks to be carried out:  

Officials and temporary agents 

2 during preparatory period from 2013 to 2015: 

1 administrator for the legislative negotiation, coordination of tasks with the Agency 
and supervision of the delegation agreement 
0,5 administrator for supervision of financial activities and expertise on border control 
and technical matters 
0,5 assistant for administrative and financial activities 

1,5 during development period from 2016 to 2020 

1  administrator  for  the  follow-up  of  the  delegation  agreement  (reports,  preparaiton 
comitology,  validation  functional  and  technical  specifications,  supervision  financial 
activities  and  coordination  Agency),  as  well  as  expertise  on  border  control  and 
technical matters 
0,5 assistant for administrative and financial activities 

External personnel 

0 

3.2.4.  Compatibility with the current multiannual financial framework  

–  ⌧ Proposal/initiative  is  compatible  with  the  current  and  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 framework67. 

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

3.2.5.  Third-party contributions  

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

–  (cid:133) The proposal/initiative provides  

Appropriations in EUR million (to 3 decimal places) 

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  

67 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

81 

   EN 

 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL appropriations 
cofinanced  

3.3. 

Estimated impact on revenue 

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

–  ⌧ Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

⌧ 

on own resources  

on miscellaneous revenue  

Budget revenue line: 

Appropriation
s available for 
the ongoing 
budget 
exercise 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative68 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 2019  Year 2020 

Following 
years 

Article 6313 

4,188 

5,672 

8,832 

6,157 

5,355 

4,173 

1,338 

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

18.02.CC ISF borders 

Specify the method for calculating the impact on revenue. 

The  budget  shall  include  a  contribution  from  countries  associated  with  the 
implementation,  application  and  development  of  the  Schengen  acquis  and  the 
Eurodac related measures as laid down in the respective agreements. The estimates 
provided are purely indicative and are based on recent calculations for revenues for 
the implementation of the Schengen acquis from the States that currently contribute 
(Iceland,  Norway  and  Switzerland)  to  the  general  budget  of  the  European  Union 
(consumed  payments)  an  annual  sum  for  the  relevant  financial  year,  calculated  in 
accordance  with  its  gross  domestic  product  as  a  percentage  of  the  gross  domestic 
product of all the participating States. The calculation is based on June 2012 figures 
from  EUROSTAT  which  are  subject  to  considerable  variation  depending  on  the 
economic situation of the participating States. 

68 

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 

82 

   EN