Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Council Framework Decision 2009/315/JHA, as regards the exchange of information on third country nationals and as regards the European Criminal Records Information System (ECRIS), and replacing Council Decision 2009/316/JHA
Date: 2016-01-19
Institutions: Directorate-General for Justice and Consumers, European Commission
Subjects: EU police cooperation, criminal record, exchange of information, foreign national, information system, judicial cooperation in criminal matters in the EU, third country

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   EUROPEAN COMMISSION  Strasbourg, 19.1.2016  COM(2016) 7 final 2016/0002 (COD)   Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Council Framework Decision 2009/315/JHA, as regards the exchange of information on third country nationals and as regards the European Criminal Records Information System (ECRIS), and replacing Council Decision 2009/316/JHA {SWD(2016) 4 final} {SWD(2016) 5 final}  
 
EXPLANATORY MEMORANDUM 

1. 

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CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

Efficient  cooperation  between  Member  States  and  exchange  of  information  extracted  from 
criminal  records  of  convicted  persons  is  a  necessary  cornerstone  of  a  properly  functioning 
common area of justice and security. 

The European Council and the Justice and Home Affairs Council of Ministers have stated on 
several  occasions  the  importance  of  improving  the  existing  European  Criminal  Records 
Information System (ECRIS). The Riga Statement of 29 January 2015 issued by the Justice 
and Home Affairs Ministers stressed that exchanging information on criminal convictions is 
important in any strategy to combat crime and counter terrorism1. On 20 November 2015, the 
Justice  and  Home  Affairs  Council  of  Ministers  concluded  that  it  would  contribute  to  the 
criminal  justice  response  to  radicalisation  leading  to  terrorism  and  violent  extremism  if 
Member States used ECRIS to its full potential and if the Commission submitted a proposal 
for the extension of ECRIS to cover third country nationals2. In its Conclusions on Counter-
Terrorism of the same day, the Council of Ministers committed the Member States to using 
ECRIS  to  its  full  potential  and  welcomed  the  Commission's  intention  to  submit  by 
January 2016 an ambitious proposal to extend ECRIS to cover third country nationals3. The 
European  Council  of  17  and  18  December  2015  reiterated  that  the  recent  terrorist  attacks 
demonstrated  in  particular  the  urgent  need  to  share  more  information  on  terrorist  activity, 
notably as regards the extension of European Criminal Records Information System (ECRIS) 
to third country nationals4. 
Improving  ECRIS  is  also  part  of  the  European  Agenda  on  Security5.The  Commission 
emphasised  the  added  value  of  EU  measures  for  exchanging  information,  operational 
cooperation  and  other  support  and  undertook  to  accelerate  the  work  already  under  way  to 
improve ECRIS for non-EU nationals and ensure it is implemented effectively. 

ECRIS  is  an  electronic  system  for  exchanging  information  on  previous  convictions  handed 
down  against  a  specific  person  by  criminal  courts  in  the  EU  for  the  purposes  of  criminal 
proceedings  against  a  person  and,  if  so  permitted  by  national  law,  for  other  purposes.  The 
system  is  based  on  Council  Framework  Decision  2009/315/JHA  and  Council  Decision 
2009/316/JHA6. 

The underlying principle of ECRIS is that complete information on previous convictions of an 
EU national can be obtained from the Member State of nationality of that person. Convicting 

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Riga  Statement  of  the  European  Ministers  of  Justice  and  Home  Affairs  of  29  January  2015,  doc 
5855/15. 
Conclusions  of  the  Council  of  the  EU  on  enhancing  the  criminal  justice  response  to  radicalisation 
leading to terrorism and violent extremism, 20 November 2015, doc 14419/15. 
Conclusions of the Council of the EU on Counter-Terrorism of 20 November 2015, doc 14406/15. 
Conclusions of the European Council meeting of 17 and 18 December 2015, doc EUCO 28/15. 
‘European  Agenda  on  Security’  -  Communication  from  the  Commission  to  the  European  Parliament, 
the  Council,  the  European  Economic  and  Social  Committee  and  the  Committee  of  the  Regions  of  28 
April 2015, COM(2015)185 final. 
Council  Framework  Decision  2009/315/JHA  of  26  February  2009  on  the  organisation  and  content  of 
the  exchange  of  information  extracted  from  the  criminal  record  between  Member  States  (Framework 
Decision),  OJ  L  93,  7.4.2009,  p.  23,  and  Council  Decision  2009/316/JHA  of  6  April  2009  on  the 
establishment of the European Criminal Records Information System (ECRIS) in application of Article 
11 of Framework Decision 2009/315/JHA, OJ L 93, 7.4.2009, p. 33. 

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Member  States  must  notify  information  and  updates  related  to  convictions  handed  down 
against a national of another Member State to the Member State of nationality. The Member 
State  of  nationality  must  store  this  information  and  can  thus  provide  exhaustive,  up-to-date 
information7 on the criminal records of its nationals upon request, regardless of where in the 
EU convictions were handed down. 

Standardised  electronic  formats8  allow  for  efficient  and  immediately  understandable 
communication  in  all  EU  languages  and  within  short  deadlines9.  Designated  central 
authorities in every Member State are the contact points in the ECRIS network, dealing with 
all tasks such as notifying, storing, requesting and providing criminal record information. 

Although  it  is  possible  to  exchange  information  on  convictions  concerning  third  country 
nationals  and  stateless  persons  (hereinafter:  TCN)  through  ECRIS  today,  there  is  no 
procedure/mechanism in place to do so efficiently for the following reasons: 

 

 

 

As TCN have no Member State of nationality, in order to obtain a complete overview 
of the criminal records history of a particular individual requests must be sent to all 
the  convicting  Member  State(s).  Generally,  a  requesting  Member  State  does  not 
know in which Member State(s) a particular TCN has previously been convicted. 

If  one  Member  State  would  want  to  have  this  information,  it  would  have  to  send 
requests  to  all  Member  States  (‘blanket  requests’).  This  creates  an  administrative 
burden in all Member States, including in (the majority of) the countries not holding 
the  requested  information.  The  administrative  burden  of  ‘blanket  requests’  would 
amount to an estimated EUR 78 million per year if Member States were to request 
information  each  time  a  TCN  faced  conviction.  The  costs  of  replying  to  ‘blanket 
requests’ are not compensated by an equivalent benefit and are, in fact, lost because 
the  majority  of  the  replies  will  not  return  results.  This  is  especially  detrimental  to 
smaller  Member  States  that  are  required  to  respond  to  all  requests  without  being 
necessarily  well  equipped  to  do  so.  Moreover,  a  flood  of  unnecessary  requests 
undermines confidence in the reliability and functioning of the ECRIS network as a 
whole,  as  users  may  conclude  that  the  inefficiency  of  ECRIS-TCN  is  indicative  of 
the inefficiency of ECRIS as a whole. 

In  practice, Member States  avoid  sending  ‘blanket requests’  and often rely  only  on 
information  stored  in  their  own  national  criminal  record  registers.  This  means  that 
complete information on the criminal records history of TCN is often not available to 
the  responsible  authorities  in  the  Member  States.  In  fact,  although  in  2014  558000 
TCN  were  convicted  in  19  Member  States,  only  23000  requests  (from  25  Member 
States  participating  in  ECRIS  today)  related  to  TCN  convictions  were  made  in 
ECRIS.  

The  objective  of  the  proposal  is  fully  in  line  with  the  Commission´s  priority  of  combating 
cross-border  crime  and  terrorism  as  a  common  European  responsibility  in  an  Area  of 

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Comprising  information  on  the  nature  of  the  offence,  the  conviction  and  related  sanctions  or  other 
measures. 
When exchanging criminal records information via ECRIS Member State refer to codes as laid down in 
tables of offences and sanctions, including the parameters relating to the degree of completion and level 
of participation and, where applicable, the existence of total or partial exemption from criminal liability. 
According  to  the  Framework  Decision  2009/315/JHA  replies  to  requests  for  the  purposes  of  criminal 
proceedings shall be transmitted immediately and in any event within 10 working days. For details, see 
Article 8 of Framework Decision 2009/315/JHA. 

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Freedom,  Security  and  Justice.  This  is  one  of  the  initiatives  of  the  European  Agenda  on 
Security.    It  will  ensure  that  ECRIS  covers  both  EU  nationals  and  TCN  criminal  record 
information. 

• 

Consistency with existing policy provisions in the policy area 

Other  EU  measures  envisaged  in  the  context  of information  exchange  and  cooperation  with 
regard  to  combating  and  preventing  crime  would  not  solve  or  alleviate  the  problem  of  the 
inefficient  criminal  record  information  exchange  regarding  convicted  TCN.  There  is  no 
alternative  to  improve  the  way  of  information  exchange  regarding  criminal  convictions  on 
TCN through ECRIS by means of any other instrument of information exchange mentioned in 
the European Agenda of Security (such as SIS II, Prüm and Eurodac), as these are designed to 
serve different purposes. 

• 

Consistency with other Union policies 

Improving ECRIS with regard to TCN is part of the strategy outlined in the European Agenda 
on  Security.  In  addition,  the  exchange  of  criminal  records  information  supports  the 
application  of  Council  Framework  Decision  2008/675/JHA10,  which  stipulates  that  Member 
States  judicial  authorities  should,  during  criminal  proceedings,  take  into  account  previous 
convictions  handed  down  against  the  same  person  for  different  facts  in  other  Member  States, 
irrespective of the nationality of the person concerned. 

2. 

• 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

The proposed legal instrument is  a Directive based  on Article 82(1)(d) of the Treaty on the 
Functioning of the European Union. Article 82(1)(d) is the legal basis for the Union’s right to 
act  in  the  field  of  judicial  cooperation  in  criminal  matters  to  facilitate  cooperation  between 
judicial or equivalent authorities of the Member States in relation to proceedings in criminal 
matters and the enforcement of decisions. The proposed action falls squarely within this area. 
The proposal amends the existing EU legislation in this area. 

• 

Subsidiarity (for non-exclusive competence) 

Improvement  of  the  existing  system  to  exchange  criminal  record  information  on  convicted 
TCN cannot be done at Member State level. A common mechanism aiming at a standardised, 
rapid,  coordinated  and  efficient  information  exchange  between  Member  States  requires 
concerted  action.  This  can  neither  be  achieved  unilaterally  at  Member  State  level  nor 
bilaterally between Member States. It is by its nature a task to be undertaken at EU level. 

• 

Proportionality 

Efficient exchange of criminal record information is instrumental in combating cross-border 
crime and contributes considerably to putting into practice the principle of mutual recognition 
of  judgments  and  judicial  decisions  in  a  common  area  of  justice  and  security  where  people 
move freely. Action at EU level is therefore proportionate to the objectives of the initiative. 

The proposed changes do not go beyond what is necessary to achieve the objective of cross-
border  judicial  cooperation,  and  build  on  what  is  already  applied  in  the  existing  ECRIS  for 

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Council  Framework Decision  2008/675/JHA  of 24  July 2008  on  taking  account of  convictions in  the 
Member States of the European Union in the course of new criminal proceedings, OJ L 220, 15.8.2008, 
p. 32.   

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EU  nationals.  The  obligation  to  store  TCN  fingerprints  is  deemed  necessary  to  ensure  the 
more  secure  identification  of  TCN.  Establishing  the  identity  of  TCN  is  often  particularly 
difficult if not impossible, for example because reliable identity documents do not exist or are 
missing, or because of widely used common surnames. 

Amongst  several  existing  options,  the  most  proportionate  option  has  been  chosen:  a 
decentralised system to identify the Member State(s) holding criminal record information on 
TCN,  based  on  an  index-filter  containing  anonymised  identity  data  of  convicted  TCN 
extracted from national criminal record registers and on a hit/no hit search mechanism. A ‘hit’ 
indicates  that  criminal  record  information  on  the  TCN  is  available  and  shows  the  Member 
State  which  can  provide  the  information.  The  identified  Member  State(s)  can  then  be 
requested to provide complete information through the established ECRIS. 

The  system  will  be  organised  in  a  decentralised  way.  Member  States  will  have  to  extract 
identity data from their criminal record and feed it into a separate file. Specific software will 
irreversibly convert the personal identity data into locks and keys, the index-filter. The index-
filter will be distributed to all other Member States, enabling them to search independently at 
their own premises. The index-filter will thus not contain personal data, but it will allow the 
receiving  Member  States  to  match  their  own  data  against  it  and  to  find  out  whether  further 
entries  in  criminal  records  exist  in  other  Member  States.  Member  States  will  have  to  send 
updated national index-filters to all other Member States if any data contained in the index-
filters are changed or deleted.  

This solution satisfactorily fulfils the objectives of the legislative proposal, as it introduces a 
mechanism into the ECRIS framework to efficiently identify Member States holding criminal 
record information on TCN. This avoids costly and inefficient ‘blanket’ requests and will thus 
eliminate the reason why Member States currently refrain from using ECRIS for TCN.  

The decentralised system does not require establishing an additional layer at EU level where 
personal  data  of  TCN  are  centralised,  which  does  not  exist  for  EU  nationals  either.  It  does 
therefore not require additional data protection and security at EU level. 

• 

Choice of the instrument 

The  legislative  text  to  be  amended  is  a  Framework  Decision,  i.e.  an  instrument  which  is 
binding on the Member States as to the result  to be achieved but  shall leave to the national 
authorities  the  choice  of  form  and  methods.  A  similar  legal  instrument,  i.e.  a  directive,  has 
therefore  been  chosen  for  the  amending  legislative  act,  since  many  of  the  obligations  will 
have to be enacted in national law. 

A  directive  allows  the  national  authorities  to  choose  the  form  and  method  of  transposition, 
e.g. as regards the information and communication technology and the national registers to be 
used to extract identity data for the purpose of subsequent exchange with the other Member 
States. Because Member States need to adapt their national criminal record registers to be able 
to  deal  with  the  new  demands  placed  on  them,  a  directive  is  more  appropriate  as  a  legal 
instrument  than  a  regulation,  which  would  be  directly  applicable  in  all  Member  States  and 
leave the national authorities less flexibility. 

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3. 

• 

RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EX-POST 

EVALUATIONS, 

OF 

STAKEHOLDER 

Ex-post evaluations/fitness checks of existing legislation 

The  first  report  on  the  implementation  of  Council  Framework  Decision 2009/315/JHA  will 
provide  further  information  on  how  the  existing  system  is  working,  but  will  not  focus 
specifically on the exchange of information on TCN. However, consultation with the Member 
States has shown clearly the very limited extent to which ECRIS is currently used to exchange 
information on convicted TCN, and the reasons why. 

• 

Stakeholder consultations 

In  line  with  the  Commission’s  minimum  standards  regarding  participation  and  openness  to 
stakeholders views presented in the Better Regulation Guidelines11, an extensive consultation 
strategy has been developed to ensure a wide participation throughout the policy cycle of this 
initiative.  This  strategy  was  based  on  a  mix  of  targeted  consultations  (bilateral  contacts, 
stakeholder-  and  experts  meetings,  written  consultations),  providing  the  Commission  with 
knowledgeable and representative options. The Commission has sought a wide and balanced 
range of views on this issue by giving the opportunity to all relevant parties (Member States, 
national  authorities,  lawyers  and  academics,  fundamental  right  stakeholder,  data  protection 
stakeholders)  to  express  their  opinions,  in  particular  the  European  Union  Agency  for 
Fundamental Rights (FRA), the European Data Protection Supervisor (EDPS) and the Art.29 
Working Party composed of Member States data protection supervisory authorities. 

All  Member  States  supported  a  regulatory  option  and  an  index-filter-based  hit/no  hit 
mechanism.  A  decentralised  approach  gained  substantial  support,  provided  that  the 
implementation  software  can  be  installed,  integrated  and  maintained  smoothly  at  Member 
State  level  and  that  financial  support  (grants)  would  be  available.  Some  Member  States 
less 
favoured 
implementation  effort  at  Member  State  level,  would  be  less  costly  for  Member  States  and 
would better secure a common approach of the Member States. A few Member States were 
undecided. 

the  centralised  solution,  as 

it  would  demand 

they  considered 

that 

Practical advantages of fingerprints with regard to the secure identification of a person were 
acknowledged by many Member States. Indeed, this is the only way to be sure of the identity 
of the person. This is extremely important since the judicial authorities are responsible for the 
accuracy  of  the  information  held  in  a  criminal  record.  Some  Member  States  expressed 
constitutional  concerns  and  drew  the  attention  to  problems  regarding  the  practical 
implementation of mandatory fingerprints in ECRIS. Many Member States' central authorities 
do  currently  not  store  fingerprints  in  their  national  criminal  record  registers  and  are  not 
connected  to  the  national  automated  fingerprint  identification  system  (AFIS).Some  Member 
States  are concerned about  possible double standards for  EU nationals on the one  hand and 
TCN on the other hand. The situation is different for TCN because some of them come from 
countries  which  do  not  have  any  appropriate  or  any  valid  civil  registry.  Against  this 
background, the inclusion of fingerprints becomes a priority. 

Fundamental  rights  stakeholders  acknowledged  in  general  the  positive  effects  of  a  future 
ECRIS-TCN  system  from  an  overall  justice  perspective  by  helping  to  ensure  appropriate 
sentencing and protect children from abuse, as well as the positive effect on TCN by enabling 

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SWD(2015) 111 

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them  to  prove  a  clean  criminal  record  throughout  the  Union12.  They  are  in  favour  of  a 
decentralised system accompanied by adequate anonymisation techniques. 

These  stakeholders  pointed  out  that  introducing a  TCN-specific  system  is  possible  from  the 
point  of  view  of  equality,  provided  that  it  is  necessary  and  proportionate.  The  EDPS 
considered that creating a different regime for the information to be stored and exchanged of 
TCN on the one hand and on nationals of the Member States on the other hand needed to be 
duly  justified.  The  stakeholders  drew  attention  to  the  safeguards  needed  to  address  the 
specific situation of TCN in the context of migration, to aspects related to the creation of an 
index-filter and the use of fingerprints, to the rights of the child, as well as to the rights of data 
subjects and to the need for effective remedies. 

In  that  context,  it  should  be  noted  that  the  current  proposal  is  not  meant  to  be  a  tool  for 
regulating migration. It does not change any existing provisions and guarantees in this area. 
The recitals of the proposed legal instrument explicitly acknowledge respect of the guarantees 
contained  in  EU  and  national  law  on  asylum  and  migration.  These  are  to  be  upheld  in  the 
future system. 

to  TCN  and 

Certain  crimes,  such  as  irregular  entry  or  stay,  or  travelling  with  false  visa  or  travel 
documents  are  specific 
impact 
disproportionately on the rights of TCN convicted for such offences. The FRA suggested in 
this respect that convictions relating to irregular entry and stay should not be processed under 
ECRIS-TCN  for  purposes  other  than  criminal  proceedings.  However,  the  Commission 
considers that the extent to which criminal record information is processed for purposes other 
than criminal proceedings is a matter of national law, as is currently the case for EU nationals. 

the  future  ECRIS-TCN  should  not 

Fundamental rights stakeholders acknowledged that the secure identification of TCN can be 
more  difficult  than  the  identification  of  EU  nationals.  However,  according  to  the  FRA,  the 
necessity  and  proportionality  of  using  fingerprints  for  the  index-filter,  as  well  as  the 
alternatives  of  using  passports  and/or  residence  permits,  and  the  possibilities  offered  by 
existing  EU  and  national  databases,  need  to  be  taken  into  account.  These  need  to  be 
considered in comparison to the inclusion of fingerprints of all or certain categories of TCN. 

However, the proposal does provide for the mandatory storage of fingerprints of TCN in order 
to  overcome  the  problems  in  identifying  TCN.  The  problems  are  different  to  those 
encountered  when  identifying  EU  nationals,  where  information  can  be  more  easily  gained 
from the Member State of nationality.  

Stakeholders also identified that TCN children may be particularly exposed to risks stemming 
from the exchange of information on their convictions. The FRA suggested that in the light of 
the vulnerability of children, consideration should be given to either excluding children from 
the  scope  of  ECRIS  altogether  or  from  the  index-filter,  or  to  limiting  exchanges  to  very 
serious  crimes  committed  by  children.  At  the  same  time,  stakeholders  would  like  to  ensure 
that  the  proposal  should  make  it  possible  for  employers  to  verify  in  an  effective  manner 
whether  a  particular  TCN  has  been  barred  from  exercising  activities  involving  direct  and 
regular contacts with children as a result of past criminal convictions. 

In  this  context,  it  should  be  noted  that  ECRIS  is  a  decentralised  tool  for  exchanging 
information contained in the Member States' criminal record registers. It is up to the national 

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Opinion  of  the  European  Union  Agency  for  Fundamental  Rights  (FRA)  concerning  the  exchange  of 
information  on  third-country  nationals  under  a  possible  future  system  complementing  the  European 
Criminal Records Information System of 4.12.2015, FRA – 2015/1 – ECRIS. 

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law of the Member States to decide whether or not the convictions of children are entered into 
the national criminal records and can thus be exchanged between Member States. With regard 
to access to criminal record information through ECRIS during recruitment to posts involving 
direct  and  regular  contacts  with  children,  the  implementation  of  the  Directive  will  facilitate 
the verification of previous convictions of TCN in this area. 

Some stakeholders referred to the need to ensure that TCN have the right to access their own 
data  and  have  it  rectified,  since  inaccurate  criminal  records  may  be  more  common  in  cases 
involving TCN. However, the ECRIS legal instruments only cover the exchange of criminal 
record  information,  and  do  not  touch  upon  the  rights  of  individuals  to  have  access  to  data 
concerning themselves stored at national level. This area is governed by data protection law, 
both at national and EU levels. 

• 

Collection and use of expertise 

A  feasibility  study  on  the  ‘Establishment  of  a  European  Index  of  Convicted  Third  Country 
Nationals’ provided a better understanding of future mechanism for exchanges on convicted 
TCN  and  evaluated  the  impact  of  an  index  from  a  technical,  legal  and  organisational  point  of 
view.13 A study to assess the ICT impact of the legislative proposal for an ECRIS TCN system 
provided  an  overview  of  the  costs  which  the  EU  and  the  Member  States  would  incur  in 
implementing  the  various  options.14  Eurostat  migration  and  population  statistics  provided 
evidence  regarding  the  size  of  the  problem.  In-depth  interviews  were  also  held  with 
representatives  of  FIU.net15,  in  particular  on  the  Match  software,  an  intelligent  information 
and  knowledge  sharing  program  based  on  an  anonymous  index-filter  and  developed  for 
FIU.net. 

• 

Impact assessment 

The  Commission  conducted  an  impact  assessment.  The  links  to  the  summary  sheet  and  the 
positive opinion of the Regulatory Scrutiny Board have been inserted below: 

http://ec.europa.eu/justice/criminal/european-e-justice/ecris/index_en.htm  

Three  policy  alternatives  were  examined:  i)  maintaining  the  status  quo;  ii)  a  voluntary 
Member  State  project  for  a  more  efficient  mechanism  to  exchange  criminal  record 
information  on  TCN,  co-financed  by  the  Commission;  and  iii)  legislation  on  a  search 
mechanism to identify Member States holding criminal record information on TCN consisting 
of  identity  data  of  convicted  TCN  (index-filter) that  can  be searched  by  a  hit-/no-hit  search 
mechanism. Two sub-options were examined for the latter alternative: either a decentralised 
index-filter  that  would  be  anonymised  and  distributed  to  all  other  Member  States  enabling 
them to search at their own premises; or an index-filter that would be stored at a central EU-
body.  

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Project Final Report ‘Feasibility Study: Establishment of a European Index of Convicted Third Country 
Nationals’ dated 11 June 2010 (‘Unisys study’). 
Study on Assessment of ICT impacts of the legislative proposal for ECRIS TCN system regarding the 
exchange of convictions for third country nationals and stateless people (TCN) dated from 04 December 
2015 (‘Kurt Salmon study’, to be published) 
FIU.net, located in the Netherlands, is a platform connecting Financial Intelligence Units (FIUs) from 
the  Member  States.  The  purpose  of  the  FIUs  is  to  detect  and  disrupt  terrorist  financing  and  money 
laundering activities. 

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As  regards  fingerprints,  three  sub-options  were  examined:  i)  the  mandatory  storage  of 
fingerprints for TCN and their inclusion in the index/index-filter; ii) obliging Member States 
to verify the identity of a TCN in existing data exchange systems based on fingerprints before 
using ECRIS; iii) extending  ECRIS to  support the voluntary use  of fingerprints  by Member 
States for TCN.    

The decentralised index-filter is the preferred option because it offers a mechanism to identify 
efficiently which Member States hold criminal record information on a particular TCN. As it 
implies a legal obligation for all Member States, it will guarantee a common approach. It does 
not  require  an  additional  EU-level  system,  making  it  more  cost-efficient  than  the  centrally-
stored  index-filter.  To  secure  effective  identification  of  third  country  nationals,  fingerprints 
should be included in the identification data to be stored in the person's criminal record and in 
the  index-filter.  Establishing  the  identity  of  TCN  is  often  particularly  difficult  if  not 
impossible,  for  example  because  reliable  identity  documents  do  not  exist  or  are  missing,  or 
because of widely used common surnames. 

There would not be any significant direct impact in economic, social or environmental areas. 
Businesses, SMEs and micro-enterprises would not be affected. There would be the following 
impact on the EU and national budgets: one-off costs for the EU of approximately EUR 1 089 
000,  for  the  Member  States  approx.  EUR  768  000  (a total  of  approx.  EUR  1  857  000);  on-
going costs for the EU of approximately EUR 668 000; for the Member States, the on-going 
costs  are  expected  to  gradually  increase  over  the  years,  starting  at  EUR  5  304  000  and 
increasing up to a maximum EUR 12 804 000. This means that the total on-going costs are 
expected to increase gradually over the years, starting at EUR 5 972 000 and increasing up to 
maximum  EUR  13  472  000.  The  additional  cost  of  handling  fingerprints  will  be 
approximately  EUR  5  million 
and  EUR  
1 million in on-going costs for the EU per year. Set-up costs for Member States would range 
from EUR 2 million to EUR 3 million per Member State depending on the volume of TCN 
convictions. 

the  EU, 

set  up 

costs 

for 

in 

Member States currently use ECRIS to search for TCN only in 5% of the cases. The benefits 
of the proposed solution are expected to increase the use of ECRIS considerably.  If Member 
States were to systematically send ‘blanket’ requests, the administrative burden in responding 
to them has been identified as the most costly element (estimated up to EUR 78 million) of 
the ECRIS-workflow; the proposed solution saves such costs.  

• 

Fundamental rights 

Article 6(1) of the Treaty on European Union states that the Union recognises the rights, freedoms 
and principles set out in the Charter of Fundamental Rights. 

The  proposed  measures  include  legal  provisions  to  ensure  that  information  related  to  convicted 
third-country nationals is exchanged more efficiently. These provisions are in line with relevant 
provisions  of  the  Charter,  including  the  protection  of  personal  data;  the  principle  of  equality 
before the law; and the general prohibition of discrimination.  

The proposed measures are without prejudice to the respect of the right to respect for private and 
family life, the right to an effective remedy and to a fair trial and the presumption of innocence. 
The  proposed  measures  are  also  without  prejudice  to  the  respect  of  the  principle  of  non-
refoulement,  protection  in  the  event  of  removal,  expulsion  or  extradition  and  other  relevant 
standards and guarantees enshrined in EU law on asylum and borders.  

EN 

9 

   EN 

The provisions do not affect fundamental rights, including the right to protection of personal data, 
any more than what is strictly necessary to achieve the objective judicial cooperation in criminal 
matters, in line with the requirements of Article 52(1) of the Charter. It builds on what is already 
applied in the existing ECRIS for nationals of Member States by choosing a decentralised system 
to identify the Member States holding criminal record information on TCN and the use of state-
of-the-art  data  minimisation  technology.  The  jurisprudence  of  the  Court  of  Justice  in  the  cases 
Digital  Rights  Ireland  Ltd16  and  Maximilian  Schrems  v.  Data  Protection  Commissioner17  has 
thereby been taken into account. 

Given  the  potential  impact  on  fundamental  rights  of  the  use  of  fingerprinting,  the  use  of 
anonymisation techniques and of effective tools to avoid at the same time the risk of false matches 
shall  be  ensured,  thus  preventing  any  disproportionate  interference  with  fundamental  rights, 
including the right to protection of personal data and the right to respect for private life. 

One  of  the purposes of  the  proposed measures  is  to  protect  children from  the  risk  of  abuse  and 
exploitation by ensuring that people who work with children undergo proper vetting procedures. 
This  will  enable  employers  to  verify  in  an  effective  manner  whether  someone  has  been  banned 
from  activities  involving  direct  and  regular  contacts  with  children  as  a  result  of  past  criminal 
convictions. 

Member  States  are  obliged  to  ensure  that  the  provisions  are  implemented  in  full  respect  of 
fundamental rights and principles as enshrined in the Charter. 

The  implementation  and  application  of  the  provisions  on  ECRIS  TCN  should  not  interfere 
disproportionately with migrants and asylum seekers’ fundamental rights, in particular protection 
in  the  event  of  removal  and  expulsion;  the  right  to  asylum;  and  the  protection  of  personal  data 
(also in light of the need to prevent the risk of data transfers to third countries, especially as far as 
persons  in  need  of  international  protection  are  concerned).  The  necessity  and  proportionality  of 
any potential negative impact on fundamental rights should be carefully assessed according to EU 
law on asylum and migration. 

Member  States  should  consider  allowing  TCN,  in  certain  circumstances,  to  request  and  receive 
criminal  record  certificates,  using  the  ECRIS  system,  particularly  in  case  of  bona  fide  persons 
seeking employment where there are no doubts about their previous stay in other Member States. 

Member States must also ensure that data subjects have the right to access data in order to have it 
rectified,  and  that  effective  remedies  are  in  place  to  allow  data  subjects  to  challenge  inaccurate 
criminal  records,  in  full  compliance  with  the  standards  stemming  from  the  right  to  an  effective 
remedy, including as regards the availability of legal aid, interpretation and translation services. 

When reporting on the application of the provisions, the Commission will also assess the impact 
of the proposed measures and of their implementation on fundamental rights. Its assessment will 
be based in part on an evaluation of the effect on the fundamental rights of third-country nationals 
in  comparison  with  the  effect  on  the  fundamental  rights  of  EU  nationals.  The  Commission's 
review will pay particular attention to the necessity and proportionality of the use of fingerprints, 
other  biometric  data  and  identification  data  in  light  of  the  experience  gained  and  the  tools  and 
techniques used to ensure anonymisation and avoid the risk of false matches. Any proposals for 
the future revision of the system must take the outcome of this assessment into account. 

16 

17 

EN 

the  Court  of 

Judgement  of 
ECLI:EU:C:2014:238. 
Judgement of the Court of Justice, 6.10.2015, Maximillian Schrems v Data Protection Commissioner, 
C-362/14, ECLI:EU:C:2015:650. 

Justice,  8.4.2014,  Digital  Rights 

Ireland  Ltd,  C-293/12, 

10 

   EN 

                                                 
This  proposal  in  no  way  precludes  Member  States'  responsibilities  under  their  national  laws, 
including  rules  on  entering  convictions  against  minors  and  children  into  the  national  criminal 
record register. Similarly, it does not prevent the application of Member States' constitutional law 
or  international  agreements  to  which  they  are  bound,  in  particular  those  deriving  from  the 
European Convention on Human Rights and Fundamental Freedoms, to which all Member States 
are party. 

4. 

BUDGETARY IMPLICATIONS 

The financial envelope foreseen for the implementation of the Directive for the period January 
2017 to December 2020 is EUR 10 760 000.18 The proposed envelope is compatible with the 
current  Multi-annual  Financial  Framework  and  costs  will  be  met  through  the  Justice 
programme. The commitment profile is the result of the expected adjustments needed at EU 
and national level in the first three years. The maintenance costs will stabilise at EUR 1 602 
000 million a year from the third year of implementation. Further details are provided in the 
legislative financial statement accompanying this proposal. 

5. 

• 

OTHER ELEMENTS 

Implementation plans and monitoring, evaluation and reporting arrangements 

Two years after the legislative instrument has been adopted, the Commission will evaluate the 
extent to which it has been implemented in the Member States, and of the effectiveness of the 
actions that Member States have taken in terms of achieving the objectives set out above. On 
the basis of this evaluation, the Commission will decide on the appropriate follow-up. 

The implementation of the Directive in the Member States will be monitored continuously by 
the  existing  ECRIS  expert  group.  This  group  will  also  act  as  a  forum  for  exchanging  best 
practices  on  the  exchange  of  information  on  criminal  records  at  EU  level,  including 
information on TCN. 

• 

Detailed explanation of the specific provisions of the proposal  

Article 1 

Point 1: 

Article 1 of the Framework Decision has been extended with a view to improve the exchange 
of  information  on  convictions  of  TCN.  The  purpose  of  the  instrument  now  includes  an 
obligation  of  the  convicting  Member  State  to  store  criminal  record  information  on  a  TCN, 
including fingerprints. 

Point 2: 

The definition of  ‘convicting  Member State’ in Article 1(a) of the Framework Decision has 
been  transferred  to  the  Article  on  definitions,  Article  2.  This  definition  now  covers 
convictions,  irrespective  of  whether  they  were  handed  down  against  a  national  of  another 
Member State or a TCN.  

18 

Details  are  provided  in  Section  3.2.1  of  the  legislative  financial  statement  under  the  total  operational 
appropriation table. 

EN 

11 

   EN 

                                                 
A definition of ‘third country national’ is added to clarify that this group of persons includes 
stateless persons and persons whose nationality is not known. 

Point 3: 

Article  4(1)  of  the  current  Framework  Decision  is  amended  to  ensure  that  Member  States’ 
obligation to add the nationality (or nationalities) of a convicted person to the criminal record 
now also applies to the nationality or nationalities of TCN. The information on nationality is 
indispensable for central authorities to find out which Member State holds information on the 
person concerned. 

Point 4: 

The  new  Article  4a  lays  down  the  following  obligations  of  a  Member  State  as  regards 
convictions  on  TCN  handed  down  in  its  territory:  an  obligation  to  store  criminal  record 
information;  the  obligation  to  distribute  to  the  other  Member  States  an    anonymised  index-
filter  with    identity  information  on  the  TCN  convicted  in  its  territory  for  the  purpose  of 
identifying  the  Member  States  holding  criminal  record  information  on  a  TCN;  and  the 
obligation to update the index-filter in line with any deletion or alteration of the data included 
in it. A Member State complies with the storage obligation even if the information is stored in 
another database than the criminal record database, as long as the central authority has access 
to the database in which the information is stored.  

Finally, the Article stipulates that it applies regardless of whether a person also holds an EU 
nationality in order to ensure that the information can be found whether or not the additional 
nationality is known; his/her criminal record and the index-filter will contain the information 
stored in his/her quality as a national of a Member State. 

Point 5: 

The corresponding right of the Member States which receive the index-filter is stipulated, i.e. 
the right to search it.  

Point 6: 

Provisions  of  the  Framework  Decision  have  been  deleted  if  their  deadline  has  elapsed 
(paragraph 2 and the introductory part of paragraph 3), to make Article 6 more readable. 

In addition, Article 6(3) puts the obligation on a Member State to supplement an extract of a 
criminal  record  for which  a TCN  has  asked (his/her  own record)  with information  from the 
other Member States in the same way that it would for EU nationals. 

Point 7: 

Under  the  newly  inserted  paragraph  4a  of  Article  7,  a  request  for  information  on  a  TCN  is 
treated  similarly  to  a  request  for  information  on  EU  nationals;  paragraphs  1  and  4a  are 
construed in the same way. So the requested central authority has to transmit information on a 
conviction  handed  down  in  its  Member  State  against  the  TCN  plus  any  convictions  handed 
down in third countries that have been entered in its criminal record. 

Consequently, the reference to TCN in paragraph 4 of Article 7 of the Framework Decision 
has been deleted. 

EN 

12 

   EN 

Point 8: 

The references to personal data are extended to the new provisions on TCN. 

Point 9: 

Article  11(3)  includes  an  explicit  reference  to  the  European  Criminal  Record  Information 
System  and  to  the  standardised  format.  The  first  sentence  of  Article  11(3)  has  become 
redundant because the deadline has elapsed, and has therefore been deleted. 

Article 11(5) sets out the technical obligations of Member States in relation to the tasks to be 
fulfilled by the Directive. This concerns both the current information exchange system and the 
new  ‘hit’/‘no  hit’  system  based  on  an  anonymised  index-filter.  The  technical  and 
administrative  arrangements  for  facilitating  the  exchange  of  information  will  be  set  out  in 
implementing acts. 

Article 11(4) governs the transmission of information if ECRIS is not available; it combines 
the current paragraphs 5 and 3 of Article 11. The content of the current Article 11(4) can now 
be found in Article 11b (implementing acts). 

Article  11(5)  replaces  the  current  Article  11(5)  and  requires  Member  States  to  notify  the 
Commission instead of the Council in future when they are able to use ECRIS and the new 
index-filter. 

The  current  Article  11(7)  is  deleted  and  the  obligation  of  Member  States  to  carry  out  the 
necessary technical alterations within a fixed deadline can now be found in Article 3(3) of this 
Directive. 

Point 10: 

The  new  Article  11a  incorporates  the  main  points  contained  in  Council  Decision 
2009/316/JHA,  which  established  ECRIS,  in  order  to  organise  the  exchange  of  information 
from criminal records between the Member States. 

Points 11 and 12: 

A comitology procedure has been introduced to give the Commission the necessary tools in 
order  to  implement  the  technical  aspects  of  the  exchange  of  information  so  it  will  work  in 
practice. The procedure chosen is the examination procedure. This will be used in particular 
to  take implementing  measures relating  to  the  standardised  format  currently  provided  for  in 
Council Decision 2009/316/JHA. 

Point 13: 

The new Article 13a concerns the Commission's reporting and reviewing obligations.  

The  current  reporting  requirement  of  Article  7  of  Council  Decision  2009/316/JHA,  i.e.  the 
regular  report  on  the  exchange  of  information  through  ECRIS,  is  incorporated  into  the 
Framework Decision (Article 13a(4)). 

Article 2: 

EN 

13 

   EN 

This provision replaces Council Decision 2009/316/JHA. The content of the latter has largely 
been  incorporated in the Framework Decision and will be further taken up in  implementing 
measures in accordance with Article 11b. 

Article 3: 

A  transposition  period  of  12  months  seems  to  be  adequate  given  that  the  Commission  and 
Member States can build on existing technology and on existing, functioning criminal records 
in the Member States. 

Article 4 and 5: 

These  Articles govern the entry  into force and the addressees of the  Directive (the Member 
States). 

EN 

14 

   EN 

   
2016/0002 (COD) 

Proposal for a 

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Council Framework Decision 2009/315/JHA, as regards the exchange of 
information on third country nationals and as regards the European Criminal Records 
Information System (ECRIS), and replacing Council Decision 2009/316/JHA 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 82(1)(d) thereof, 

Having regard to the proposal from the European Commission, 

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

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

19 

20 

21 

The  Union  has  set  itself  the  objective  of  offering  its  citizens  an  area  of  freedom, 
security and justice without internal frontiers, in which the free movement of persons 
is ensured in conjunction with appropriate measures with respect to the prevention and 
combating of crime. 

This objective requires that it be possible for information on convictions handed down 
in  the Member States  to be taken into  account outside the convicting Member State, 
both in the course of new criminal proceedings, as laid down in Council Framework 
Decision 2008/675/JHA19, and in order to prevent new offences. 

This  objective  presupposes  the  exchange  of  information  extracted  from  criminal 
records  between  the  competent  authorities  of  the  Member  States.  Such  information 
exchange  is  organised  and  facilitated  by  the  rules  set  out  in  Council  Framework 
Decision 2009/315/JHA20 and by the European Criminal Record Information System 
(ECRIS)  which  has  been  established 
in  accordance  with  Council  Decision 
2009/316/JHA21. 

The ECRIS legal framework, however, does not sufficiently cover the particularities of 
requests concerning third country nationals. Although it is now possible to exchange 
information  on  third  country  nationals  through  ECRIS,  there  is  no  procedure  or 
mechanism in place to do so efficiently. 

Council  Framework Decision  2008/675/JHA  of 24  July 2008  on  taking  account of  convictions in  the 
Member States of the European Union in the course of new criminal proceedings (OJ L 220, 15.8.2008, 
p. 32).  
Council  Framework  Decision  2009/315/JHA  of  26  February  2009  on  the  organisation  and  content  of 
the  exchange  of  information  extracted  from  the  criminal  record  between  Member  States  (OJ  L  93, 
7.4.2009, p. 23). 
Council  Decision  2009/316/JHA  of  6  April  2009  on  the  establishment  of  the  European  Criminal 
Records  Information  System  (ECRIS)  in  application  of  Article  11  of  Framework  Decision 
2009/315/JHA (OJ L 93, 7.4.2009, p. 33).  

EN 

15 

   EN 

                                                 
(5) 

(6) 

(7) 

(8) 

(9) 

Information on third country nationals is not gathered within the Union in the Member 
State  of  nationality  as  it  is  for  nationals  of  Member  States,  but  only  stored  in  the 
Member States where the convictions have been handed down. A complete overview 
of  the  criminal  history  of  a  particular  individual  can  therefore  only  be  ascertained  if 
information is requested from all Member States. 

Such  blanket  requests  impose  an  administrative  burden  on  all  Member  States, 
including  those  not  holding  information  on  the  particular  third  country  national.  In 
practice,  this  negative  effect  deters  Member  States  from  requesting  information  on 
third  country  nationals  and  leads  to  Member  States  limiting  the  criminal  record 
information on information stored in their national register. 

The  exchange  of  information  on  criminal  convictions  is  important  in  any  strategy  to 
combat  crime  and  counter  terrorism.  It  would  contribute  to  the  criminal  justice 
response to radicalisation leading to terrorism and violent extremism if Member States 
used ECRIS to its full potential. 

The  recent  terrorist  attacks  demonstrated  in  particular  the  urgency  of  enhancing 
relevant  information  sharing,  notably  as  regards  the  extension  of  ECRIS  to  third 
country nationals. 

As a result, a system should be established by which the central authority of a Member 
State  finds  out  quickly  and  efficiently  in  which  other  Member  State  criminal  record 
information on a third country national is stored so that the existing ECRIS framework 
can then be used.  

(10)  The  obligations  of  Member  States  as  regards  convictions  of  third  country  nationals 
should  also  include  fingerprints  to  secure  identification.  This  obligation  includes  to 
store  information,  including  fingerprints,  to  reply  to  requests  on  information  from 
other central authorities, to ensure that a criminal record extract requested by a third 
country national is supplemented as appropriate with information from other Member 
States,  and  to  make  the  technical  changes  to  apply  state-of-the-art  technologies 
necessary to make the information exchange system work.  

(11) 

In  order  to  compensate  the  lack  of  a  single  Member  State  where  information  on  a 
particular third country national is stored, decentralised information technology should 
enable the central authorities of the Member States to find out in which other Member 
State  criminal  record  information  is  stored.  For  this  purpose,  each  central  authority 
should  distribute  to  the  other  Member  States  an  index-filter  which  includes,  in  an 
anonymised form, the identification data of the third country nationals convicted in its 
Member  State.  The  personal  data  should  be  rendered  anonymous  in  such  a  way  that 
the data subject is not identifiable. The receiving Member State may then match these 
data with their own information on a ‘hit’/‘no hit’ basis, thus finding out whether or 
not criminal record information is available in other Member States and, in case of a 
‘hit’, in  which Member States. The receiving Member State should then follow up a 
‘hit’  using  the  ECRIS  framework.  With  respect  to  third  country  nationals  who  also 
hold the nationality of a Member State, the information included in the index should 
be limited to information available as regards nationals of Member States. 

EN 

16 

   EN 

(12)  Council  Framework  Decision  2008/977/JHA22  should  apply  in  the  context  of 
computerised  exchange  of  information  extracted  from  criminal  records  of  Member 
States,  providing  for  an  adequate  level  of  data  protection  when  information  is 
exchanged  between  Member  States,  whilst  allowing  for  Member  States  to  require 
higher standards of protection to national data processing. 

(13)  The common communication infrastructure used for the exchange of criminal record 
information  should  be  the  secure  Trans  European  Services  for  Telematics  between 
Administrations  (sTESTA)  or  any  further  development  thereof  or  any  alternative 
secure network. 

(14)  Notwithstanding  the  possibility  of  using  the  Union’s  financial  programmes  in 
accordance  with  the  applicable  rules,  each  Member  State  should  bear  its  own  costs 
arising from the implementation, administration, use and maintenance of its criminal 
records  database,  and  from  the  implementation,  administration,  use  and  maintenance 
of the technical alterations needed to be able to use ECRIS. 

(15)  This  Directive  respects  the  fundamental  rights  and  freedoms  and  observes  the 
principles  recognised  in  particular  by  the  Charter  of  Fundamental  Rights  of  the 
European  Union,  including  the  right  to  protection  of  personal  data,  the  principle  of 
equality  before  the  law  and  the  general  prohibition  of  discrimination.  This  Directive 
should be implemented in accordance with these rights and principles. 

(16)  Since the objective of this Directive, namely to enable rapid and efficient exchange of 
criminal record information on third country nationals, cannot be sufficiently achieved 
by  the  Member  States,  but  can  rather,  by  reason  of  the  necessary  synergy  and 
interoperability, be better achieved at Union level, the Union may adopt measures, in 
accordance  with  the  principle  of  subsidiarity  as  set  out  in  Article  5  of  the  Treaty  on 
European Union. In accordance with the principle of proportionality, as set out in that 
Article, this Directive does not go beyond what is necessary to achieve that objective. 

(17) 

(18) 

(19) 

22 

23 

In order to ensure uniform conditions for the implementation of Framework Decision 
2009/315/JHA, 
the  principles  of  Council  Decision  2009/316/JHA  should  be 
incorporated  in  the  Framework  Decision,  and  implementing  powers  should  be 
conferred on the Commission. Those powers should be exercised in accordance with 
Regulation (EU) No 182/2011 of the European Parliament and the Council23. 

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

In  accordance  with  Articles  1  and  2  and  Article  4a(1)  of  Protocol  No  21  on  the 
position of the United Kingdom and Ireland in respect of the area of freedom, security 
and  justice,  annexed  to  the  Treaty  on  European  Union  and  to  the  Treaty  on  the 
Functioning  of  the  European  Union,  and  without  prejudice  to  Article  4  of  that 

Council Framework Decision 2008/977/JHA of 27 November 2008 on the protection of personal data 
processed  in  the  framework  of  police  and  judicial  cooperation  in  criminal  matters  (OJ  L  350, 
30.12.2008, p. 60). 
Regulation (EU) No 182/2011 of the European Parliament and 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 powers (OJ L 55, 28.2.2011, p.13). 

EN 

17 

   EN 

                                                 
Protocol, those Member States are not taking part in the adoption of this Directive and 
are not bound by it or subject to its application. 

[or] 

In accordance with Article 3 and Article 4a(1) of Protocol No 21 on the position of the 
United  Kingdom  and  Ireland  in  respect  of  the  area  of  freedom,  security  and  justice, 
annexed to the Treaty on European Union and to the Treaty on the Functioning of the 
European  Union,  those  Member States  have  notified  their  wish  to  take  part  in  the 
adoption and application of this Directive. 

(20)  The  European  Data  Protection  Supervisor  was  consulted  in  accordance  with  Article 
28(2) of Regulation (EC) No 45/2001 of the European Parliament and of the Council24 
and delivered an opinion on …25. 

(21)  Framework Decision 2009/315/JHA should therefore be amended accordingly, 

HAVE ADOPTED THIS DIRECTIVE: 

Framework Decision 2009/315/JHA is amended as follows: 

(1) 

Article 1 is replaced by the following: 

Article 1 

"Article 1 

Subject Matter 

This Framework Decision 

(a) 

(b) 

(c) 

 defines  the  ways  in  which  a  convicting  Member  State  shares  information  on 
convictions with other Member States; 

 defines storage obligations for the convicting Member State, and specifies the 
methods  to  be  followed  when  replying  to  a  request  for  information  extracted 
from criminal records; 

 establishes a decentralised information technology system for the exchange of 
information  on  convictions  based  on  the  criminal  records  databases  in  each 
Member State, the European Criminal Record Information System (ECRIS)."; 

(2) 

in Article 2, the following points are added: 

"(d)  ‘convicting  Member  State’  means  the  Member  State  where  a  conviction  is 

handed down; 

(e) 

‘third  country  national’  means  a  national  of  a  country  other  than  a  Member 
State,  or  a  stateless  person,  or  a  person  whose  nationality  is  unknown  to  the 
Member State where a conviction is handed down against the person."; 

(3) 

in Article 4, paragraph 1 is replaced by the following: 

"1.  Each  Member  State  shall  take  the  necessary  measures  to  ensure  that  when 
convictions  handed  down  within  its  territory  are  entered  into  its  criminal 

24 

25 

Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 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 data (OJ L 8, 12.1.2001, p.1). 
OJ C … 

EN 

18 

   EN 

                                                 
records, information on the nationality or nationalities of the convicted person 
is  included  if  the  person  is  a  national  of  another  Member  State  or  a  third 
country national."; 

(4) 

the following article is inserted: 

"Article 4a 

Obligations  of  the  convicting  Member  State  concerning  convictions  of  third 
country nationals 

1.   The Member State where a conviction is handed down against a third country 
national shall store the following information, unless, in exceptional individual 
cases, this is not possible: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

information  on  the  convicted  person  (full  name,  date  of  birth,  place  of 
birth  (town  and  country),  gender,  nationality  and  –  if  applicable  – 
previous name(s); 

information on the nature of the conviction (date of conviction, name of 
the court, date on which the decision became final); 

information  on  the  offence  giving  rise  to  the  conviction  (date  of  the 
offence underlying the conviction and name or legal classification of the 
offence as well as reference to the applicable legal provisions);  

information  on  the  contents  of  the  conviction  (notably  the  sentence  as 
well  as  any  supplementary  penalties,  security  measures  and  subsequent 
decisions modifying the enforcement of the sentence); 

the convicted person's parents' names; 

the reference number of the conviction; 

the place of the offence; 

if applicable, disqualifications arising from the conviction; 

the  convicted  person's  identity  number,  or  the  type  and  number  of  the 
person's identification document; 

(j) 

fingerprints of the person; 

(k) 

if applicable, pseudonym and/or alias name(s).  

2.  

3. 

4. 

 The  central  authority  shall  create  an  index-filter  containing  anonymised 
information  of  the  types  referred  to  in  points  (a),  (e),  (i),  (j)  and  (k)  of 
paragraph 1 concerning third country nationals convicted in its Member State. 
The central authority shall transmit this index-filter, and any updates to it, to all 
Member States. 

 Any  alteration  or  deletion  of  the  information  referred  to  in  paragraph  1  shall 
immediately entail identical alteration or deletion of the information stored in 
accordance  with  paragraph  1  and  contained  in  the  index-filter  created  in 
accordance with paragraph 2 by the central authority of the convicting Member 
State. 

Paragraph  2  and  paragraph  3  apply  with  respect  to  the  index-filter  also 
regarding third country nationals who hold the nationality of a Member State, 
to the extent that the information referred to in points (a), (e), (i), (j) and (k) of 

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paragraph 1 is stored by the central authority in respect of nationals of Member 
States. 

5. 

Paragraph  1  shall  apply  to  convictions  handed  down  after  [12  months  after 
adoption]. 

Paragraph 2 shall apply to information already included in the criminal record 
on [12 months after adoption] and to information on convictions handed down 
after [12 months after adoption]."; 

(5) 

the following article is inserted: 

"Article 4b 

Use of the index-filters 

1. 

For  the  purpose  of  identifying  those  Member  States  holding  criminal  record 
information on a third country national, the central authorities of the Member 
States may search the index-filters transmitted in accordance with Article 4a in 
order  to  match  any  information  in  these  index-filters  with  their  own 
information of the types referred to in Article 4a(2). The index-filters shall not 
be used for other purposes than those referred to in Article 6. 

2. 

This  Article  applies  also  regarding  a  third  country  national  who  holds  the 
nationality of a Member State."; 

(6) 

Article 6 is amended as follows: 

(a)  paragraph 2 is deleted; 

(b)  paragraph 3 is replaced by the following: 

"3.  Whenever  a  national  of  a  Member  State  asks  the  central  authority  of  a 
Member State other than the Member State of the person’s nationality for 
information  on  his  own  criminal  record,  that  central  authority  shall, 
provided that the person concerned is or was a resident or a national of 
the requesting or requested Member State, submit a request to the central 
authority of the Member State of the person’s nationality for information 
and  related  data  to  be  extracted  from  the  criminal  record  in  order  to  be 
able  to  include  such  information  and  related  data  in  the  extract  to  be 
provided to the person concerned. 

Where  a  third  country  national  who  does  not  hold  the  nationality  of  a 
Member  State  asks  the  central  authority  of  a  Member  State  for 
information  on  his  own  criminal  record,  that  central  authority  shall 
submit  a  request  only  to  those  central  authorities  of  the  Member  States 
which  hold  information  on  the  criminal  record  of  this  person  for 
information and related data to be extracted from the criminal record in 
order  to  be  able  to  include  such  information  and  related  data  in  the 
extract to be provided to the person concerned."; 

(7) 

in Article 7, paragraph 4 is replaced by the following: 

"4.  When  information  extracted  from  the  criminal  record  on  convictions  handed 
down against  a national of a  Member State  is requested under Article 6 from 
the  central  authority  of  a  Member  State  other  than  the  Member  State  of  the 
person’s nationality, the requested Member State shall transmit information on 
convictions handed down in the requested Member State to the same extent as 

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provided for in Article 13 of the European Convention on Mutual Assistance in 
Criminal Matters. 

4a.  When  information  extracted  from  the  criminal  record  on  convictions  handed 
down against third country nationals is requested under Article 6 for purposes 
of criminal proceedings, the requested Member State shall transmit information 
to  the  central  authority  of  the  requesting  Member  State  on  any  conviction 
handed  down  in  the  requested  Member  State  and  on  any  conviction  handed 
down  in  third  countries  and  subsequently  transmitted  to  it  and  entered  in  the 
criminal record. 

If  such  information  is  requested  for  any  purpose  other  than  that  of  criminal 
proceedings, paragraph 2 of this Article shall apply accordingly."; 

(8) 

Article 9 is amended as follows: 

(a) 

(b) 

(c) 

in  paragraph 1, the phrase "Article 7(1) and (4)" is replaced by "Article 7(1), 
(4) and (4a)"; 

in  paragraph 2, the phrase "Article 7(2) and (4)" is replaced by "Article 7(2), 
(4) and (4a)"; 

in paragraph 3, the phrase "Article 7(1), (2) and (4) is replaced by "Article 7(1), 
(2), (4) and (4a)"; 

(9) 

in Article 11, paragraphs 3 to 7 are replaced by the following: 

"3.  Central authorities of Member States shall transmit the information referred to 
in  Article  4,  the  index-filter  referred  to  in  Article  4a,  requests  referred  to  in 
Article  6,  replies  referred  to  in  Article  7  and  other  relevant  information 
electronically  using  ECRIS  and  a  standardised  format  in  accordance  with  the 
standards laid down in implementing acts. 

 4. 

 If the mode of transmission referred to in paragraph 3 is not available and for 
as long as it is not available, central authorities of Member States shall transmit 
all information referred to in paragraph 3, with the exception of the index-filter 
referred to in Article 4a, by any means capable of producing a written record 
under conditions allowing the central authority of the receiving Member State 
to establish the authenticity thereof. 

5.   Each Member State shall carry out the necessary technical alterations to be able 
to  use  the  standardised  format  referred  to  in  paragraph  3  and  the  index-filter 
referred to in Articles 4a and 4b and to electronically transmit all information 
referred to in paragraph 3 to other Member States via ECRIS. It shall notify the 
Commission  of  the  date  from  which  it  will  be  able  to  carry  out  such 
transmissions and use the index-filter referred to in Articles 4a and 4b."; 

(10) 

the following article is inserted: 

"Article 11a 

European Criminal Records Information System (ECRIS) 

1. 

In order to exchange information extracted from criminal records in accordance 
with  this  Framework  Decision  electronically,  a  decentralised  information 
technology  system  based  on  the  criminal  records  databases  in  each  Member 
State,  the  European  Criminal  Records  Information  System  (ECRIS),  is 
established. It is composed of the following elements: 

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21 

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(a) 

(b) 

interconnection  software  built  in  compliance  with  a  common  set  of 
protocols enabling the exchange of information between Member States' 
criminal record databases; 

index-filter software built in compliance with a common set of protocols 
enabling the central authorities to match their data pursuant to Articles 4a 
and 4b with that of other central authorities while ensuring full protection 
of personal data; 

(c) 

a common communication infrastructure between central authorities that 
provides an encrypted network. 

ECRIS  shall  ensure  the  confidentiality  and  integrity  of  criminal  record 
information transmitted to other Member States. 

2.  All  criminal  records  data  shall  be  stored  solely  in  databases  operated  by  the 

Member States. 

3. 

4. 

5. 

6. 

7. 

Central authorities of the Member States shall not have direct online access to 
criminal records databases of other Member States. 

The  software  and  databases  storing,  sending  and  receiving  information 
extracted  from  criminal  records  shall  operate  under  the  responsibility  of  the 
Member State concerned. 

The  common  communication  infrastructure  shall  be  operated  under  the 
responsibility  of  the  Commission.  It  shall  fulfil  the  necessary  security 
requirements and fully meet the needs of ECRIS. 

The Commission shall provide the software referred to in paragraph 1, general 
support  and  technical  assistance,  including  the  collection  and  drawing  up  of 
statistics. 

Each Member State shall  bear its own costs arising  from the implementation, 
administration,  use  and  maintenance  of  its  criminal  records  database  and  the 
software referred to in paragraph 1. 

The  Commission  shall  bear  the  costs  arising  from  the  implementation, 
administration,  use,  maintenance  and  future  development  of  the  common 
communication infrastructure of ECRIS, together with the implementation and 
future development of the interconnection software and the software referred to 
in paragraph 1."; 

(11) 

the following article is inserted:  

"Article 11b 

Implementing Acts 

1. 

The Commission shall lay down the following in implementing acts: 

(a) 

(b) 

(c) 

the standardised format referred to in Article 11(3), including as regards 
information on the offence giving rise to the conviction and information 
on the content of the conviction;   

the rules concerning the technical implementation  of ECRIS, the index-
filter  referred to in Articles 4a and 4b and the exchange of fingerprints;  

any other means of organising and facilitating exchanges of information 
on convictions between central authorities of Member States, including: 

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22 

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(i) 

(ii) 

the  means  of  facilitating 
translation of transmitted information; 

the  understanding  and  automatic 

the means by which information may be exchanged electronically, 
particularly as regards the technical specifications to be used and, if 
need be, any applicable exchange procedures.  

2. 

The  implementing  acts  referred  to  in  paragraph  1  shall  be  adopted  in 
accordance with the examination procedure referred to in Article 12a(2)."; 

(12) 

the following article is inserted: 

"Article 12a 

Committee procedure 

1. 

The Commission shall be assisted by a committee. That committee shall be a 
committee  within  the  meaning  of  Regulation  (EU)  No  182/2011  of  the 
European Parliament and of the Council26. 

2.  Where  reference  is  made  to  this  Article,  Article  5  of  Regulation  (EU)  No 

182/2011 shall apply."; 

(13) 

the following article is inserted: 

"Article 13a 

Reporting by the Commission and review 

1.   By [24 months after implementation], the Commission shall submit a report on 
the application of this Framework Decision to the European Parliament and the 
Council.  The  report  shall  assess  the  extent  to  which  the  Member  States  have 
taken  the  necessary  measures  to  comply  with  this  Framework  Decision, 
including the technical implementation. 

2. 

3. 

The  report  shall  be  accompanied,  where  appropriate,  by  relevant  legislative 
proposals. 

The  Commission  services  shall  regularly  publish  a  report  concerning  the 
exchange,  through  ECRIS,  of  information  extracted  from  the  criminal  record 
based  in  particular  on  the  statistics  referred  to  in  Article  11a(6).  This  report 
shall  be  published  for  the  first  time  one  year  after  the  report  referred  to  in 
paragraph 1 is submitted.". 

Article 2 

Replacement of Decision 2009/316/JHA 

Decision 2009/316/JHA is replaced with regard to the Member States bound by this Directive, 
without  prejudice  to  the  obligations  of  those  Member  States  with  regard  to  the  date  for 
implementation of that Decision into national law. 

26

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 powers (OJ L 55, 28.2.2011, p. 13).  

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23 

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Article 3 

Transposition 

1. 

2. 

3. 

Member  States  shall  bring  into  force  the  laws,  regulations  and  administrative 
provisions necessary to comply with this Directive by [12 months after adoption] at 
the  latest.  They  shall  forthwith  communicate  to  the  Commission  the  text  of  those 
provisions. 

When  Member  States  adopt  those  provisions,  they  shall  contain  a  reference  to  this 
Directive  or  be  accompanied  by  such  a  reference  on  the  occasion  of  their  official 
publication. Member States shall determine how such reference is to be made. 

Member States shall communicate to the Commission the text of the main provisions 
of national law which they adopt in the field covered by this Directive. 

Member States shall carry out the technical alterations referred to in Article 11(5) by 
[12 months after adoption]. 

Article 4 

Entry into force 

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

Article 2 shall apply from [the date for transposition of this Directive] 

Article 5 

Addressees 

This Directive is addressed to the Member States in accordance with the Treaties. 

Done at Strasbourg, 

For the European Parliament 
The President 

For the Council 
The President 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

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

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management mode(s) planned  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party contributions  

3.3.  Estimated impact on revenue

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   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Directive  of  the  European  Parliament  and  of  the  Council  amending  Council 
Framework Decision 2009/315/JHA, as regards the exchange of information on third 
country nationals and as regards the European Criminal Records Information System 
(ECRIS), and replacing Council Decision 2009/316/JHA 
Policy area(s) concerned in the ABM/ABB structure27  

1.2. 

Policy area    

33  

Justice and Consumers 

ABB activity  

33 03   Justice 

1.3. 

Nature of the proposal/initiative  

 The proposal/initiative relates to a new action  

  The  proposal/initiative 
project/preparatory action28  

relates 

to  a  new  action 

following  a  pilot 

 The proposal/initiative relates to the extension of an existing action  

 The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objective(s) 

1.4.1.  The  Commission's  multiannual 

strategic  objective(s) 

targeted  by 

the 

proposal/initiative  

To  improve  the  functioning  of  a  common  area  of  security  and  justice  by 

• 
improving information exchange in criminal matters with regard to TCN.  

• 

To reduce crime and foster crime prevention (also with regard to terrorism). 

To ensure equal treatment of TCN and EU nationals with regard to an efficient 

• 
exchange of criminal record information. 

1.4.2. 

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

Specific objective 

To increase the exchanges of criminal record information with regard to TCN 

• 
through ECRIS.  

ABM/ABB activity(ies) concerned 

Activity N° 33 03 

27 
28 

ABM: activity-based management; ABB: activity-based budgeting. 
As referred to in Article 54(2)(a) or (b) of the Financial Regulation. 

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26 

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1.4.3.  Expected result(s) and impact 

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

The  initiative  is  expected  to  provide  for  a  common  mechanism  aiming  at  a 
standardised,  rapid,  coordinated  and  efficient  information  exchange  between 
Member  States.  The  objective  to  have  a  common  mechanism  for  the  exchange  of 
criminal  convictions  cannot  be  achieved  by  Member  States  alone  but  requires 
concerted  action  of  all  Member  States.  It  cannot  be  expected  that  uncoordinated 
action at Member State level would produce sufficient effects of scale to overcome 
the deficiencies of the current use of the system. 

1.4.4. 

Indicators of results and impact  

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

Measurement of the level of exchanges of TCN criminal record as compared to the 
number of convictions for TCN and convicted TCN. 

1.5. 

Grounds for the proposal/initiative  

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

Implementation  of  a  technical  mechanism  which  will  increase  the  criminal  record 
information exchanges through ECRIS with regard to TCN. 

1.5.2.  Added value of EU involvement 

The  initiative  is  expected  to  provide  for  a  common  mechanism  aiming  at  a 
standardised,  rapid,  coordinated  and  efficient  information  exchange  of  criminal 
convictions between Member States. This objective cannot be achieved by Member 
States  alone  but  requires  concerted  action  of  all  Member  States.  It  cannot  be 
expected that uncoordinated  action at Member State level would produce  sufficient 
effects of scale to overcome the deficiencies of the current use of the system. 

1.5.3.  Lessons learned from similar experiences in the past 

The ECRIS was successfully established in due time in April 2012. The intention is 
to apply the same best practices. 

1.5.4.  Compatibility and possible synergy with other appropriate instruments 

See  paragraphs  above  ‘Consistency  with  existing  and  other  Union  policies’.  The 
improvement  of  information  exchange  regarding  criminal  convictions  through 
ECRIS  cannot  be  replaced  by  any  other  instruments  of  information  exchange 
mentioned in the agenda (such as SIS II, Prüm and Eurodac), as these are designed to 
serve different purposes. 

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1.6. 

Duration and financial impact  

 Proposal/initiative of limited duration  

–    Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY  

–    Financial impact from YYYY to YYYY  

 Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from 2017 to 2018, 

–  followed by full-scale operation. 
1.7.  Management mode(s) planned29  

 Direct management by the Commission 

–   by its departments, including by its staff in the Union delegations;  

–    by the executive agencies  

 Shared management with the Member States  

 Indirect management by entrusting budget implementation tasks to: 

–   third countries or the bodies they have designated; 

–   international organisations and their agencies (to be specified); 

–  the EIB and the European Investment Fund; 

–   bodies referred to in Articles 208 and 209 of the Financial Regulation; 

–   public law bodies; 

–   bodies governed by private law with a public service mission to the extent that 

they provide adequate financial guarantees; 

–   bodies governed by the private law of a Member State that are entrusted with 
the  implementation  of  a  public-private  partnership  and  that  provide  adequate 
financial guarantees; 

–    persons  entrusted  with  the  implementation  of  specific  actions  in  the  CFSP 

pursuant to Title V of the TEU, and identified in the relevant basic act. 

– 

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

Comments  

- 

29 

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 

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

Regular monitoring of programme implementation is planned in accordance with the 
principle  of  sound  financial  management  and  the  Commission’s  administrative 
procedures. Monitoring will include annual reporting to the management committee 
on progress made in implementing the supported activities. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

A continuous risk management process will be established, under the authority of the 
Programme management Authority. 

2.2.2. 

Information concerning the internal control system set up 

 Existing  control  methods  applied  by  the  Commission  will  cover  appropriations 
under the Programme. 

2.2.3.  Estimate of the costs and benefits of the controls and assessment of the expected level 

of risk of error  

A large number of financial and administrative control mechanisms are provided for. 
The Programme will be implemented through public procurement in accordance with 
the rules and procedures in the Financial Regulation.  

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

The rules and procedures of public procurement apply throughout the process; these 
include:  

– Establishment of the work programme, subject to the opinion of the management 
committee, with milestones for the release of funding to ensure the controllability of 
achievements and costs;  

–  Appropriate  drafting  of  tender  specifications  to  ensure  the  controllability  of 
achievement of the required results and of incurred costs; 

– Qualitative and financial analysis of the tenders; 

– Involvement of other Commission departments throughout the process; 

–  Verification  of  results  and  examination  of  invoices  before  payment,  at  several 
levels; and 

– Internal audit.  

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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  

  Existing budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

MFF 
heading 

Number  

 33 03 02 

Facilitating and supporting judicial 
cooperation in civil and criminal matters 

 33 01 01 

3 

5 

Type of  
expenditure 

Diff./Non-
diff.30 

Contribution  

from 
EFTA 
countries
31 

from 
candidate 
countries32 

from third 
countries 

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

Diff. 

NO 

NO 

NO 

NO 

Expenditure related to officials and 
temporary staff in the Justice and 
Consumers policy area 

Non-
Diff. 

NO 

NO 

NO 

NO 

30 
31 
32 

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

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3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial  
framework  

3 

Security and Citizenship 

DG Justice and Consumers 

201733 

2018 

2019 

2020 

 Operational appropriations  

Number of budget line: 33 03 0234  

Commitments 

Payments 

(1) 

(2) 

3,247 
1,624 

3,381 
3,314 

1,602 
3,942 

1,602 
1,802 

Appropriations  of  an  administrative  nature  financed  from  the 
envelope of specific programmes35  

Number of budget line:  

(3) 

TOTAL appropriations 
for DG Justice and Consumers 

Commitments 

=1+3 

3,247 

3,381 

1,602 

1,602 

Payments 

=2+3 

1,624 

3,314 

3,942 

1,802 

EUR million (to three decimal places) 

TOTAL 

10,232 
10,681 

10,232 

10,681 

 TOTAL operational appropriations  

Commitments 

(4) 

3,247 

3,381 

1,602 

1,602 

10,232 

33 
34 

35 

Year N is the year in which implementation of the proposal/initiative starts. 
Member States costs for the extraction of identification information may be compensated by EU funding under the form of co-financing. In addition given that some 
Member  States  are  not  yet  exchanging  information  through  ECRIS,  some  EU  funding  may  be  foreseen  for  upgrading  their  national  systems.  From  2019  on,  the 
maintenance costs are assessed to stabilise at 0.602 million per year. 
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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  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

Payments 

(5) 

(6) 

1,624 

3,314 

3,942 

1,802 

0,000 

0,000 

0,000 

0,000 

TOTAL appropriations  
under HEADING 3 
of the multiannual financial framework 

Commitments 

=4+ 6 

3,247 

3,381 

1,602 

1,602 

Payments 

=5+ 6 

1,624 

3,314 

3,942 

1,802 

10,681 

0,000 

10,232 

10,681 

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

 TOTAL operational appropriations  

Commitments 

Payments 

  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

(4) 

(5) 

(6) 

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

Commitments 

=4+ 6 

Payments 

=5+ 6 

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Heading of multiannual financial  
framework  

5 

‘Administrative expenditure’ 

2017 

2018 

2019 

2020 

TOTAL 

EUR million (to three decimal places) 

DG: Justice and Consumers 

 Human resources  

 Other administrative expenditure  

0,198 

0,000 

0,198 

0,000 

0,066 

0,000 

0,066 

0,000 

TOTAL DG Justice and Consumers 

Appropriations  

0,198 

0,198 

0,066 

0,066 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total  commitments  = 
Total payments) 

0,198 

0,198 

0,066 

0,066 

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

Commitments 

Payments 

201736 

2018 

2019 

2020 

3,445 

3,579 

2,068 

1,668 

1,822 

3,512 

4,008 

1,868 

0,528 

0,000 

0,528 

0,528 

EUR million (to three decimal places) 

TOTAL 

10,760 

11,209 

36 

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

EN 

33 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations  

–    The proposal/initiative does not require the use of operational appropriations  

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

2017 

2018 

2019 

2020 

TOTAL 

OUTPUTS 

Commitment appropriations in EUR million (to three decimal places) 

o
N

Cost  N

o

Cost 

o
N

Cost 

o
N

Cost  N

o

Cost  N

o

Cost  N

o

Cost 

Total 
No 

Total 
cost 

3,247 

3,381 

2,002 

1,602 

Subtotal for specific objective 

3,247 

3,381 

TOTAL COST 

3,247 

3,381 

2,002 

2,002 

1,602 

1,602 

10,232 

10,232 

10,232 

Indicate 
objectives and 
outputs  

 

Type37 

Avera
ge 
cost 

SPECIFIC OBJECTIVE a sper 
paragraph 1.4.2 

- Increase the   
ECRIS 
exchanges with 
regard to TCN  

37 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 

EN 

34 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–    The  proposal/initiative  does  not  require  the  use  of  appropriations  of  an 

administrative nature  

–    The proposal/initiative requires the use of appropriations of an administrative 

nature, as explained below: 

EUR million (to three decimal places) 

201738 

2018 

2019 

2020 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

0,198 

0,198 

0,066 

0,066 

0,528 

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 539 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

0,198 

0,198 

0,066 

0,066 

0,528 

The  appropriations  required  for  human  resources  and  other  expenditure  of  an  administrative  nature  will  be  met  by 
appropriations from the DG that are already assigned to management of the action and/or have been redeployed within the 
DG,  together  if  necessary  with  any  additional  allocation  which  may  be  granted  to  the  managing  DG  under  the  annual 
constraints.
allocation 

procedure 

budgetary 

light 

and 

the 

of 

in 

38 
39 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of 
EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research. 

EN 

35 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources 

–    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 equivalent units 

2017 

2018 

2019 

2020 

 Establishment plan posts (officials and temporary staff) 

XX 01 01 01 (Headquarters and Commission’s 
Representation Offices) - AD 

1.5 

1.5 

0.5  

0.5 

XX 01 01 02 (Delegations) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

 External staff (in Full Time Equivalent unit: FTE)40 

XX 01 02 01 (AC, END, INT from the ‘global 
envelope’) 

XX 01 02 02 (AC, AL, END, INT and JED in the 
delegations) 

XX 01 04 yy 41 

- at Headquarters 

- in Delegations  

XX 01 05 02 (AC, END, INT - Indirect research) 

10 01 05 02 (AC, END, INT - Direct research) 

Other budget lines (specify) 

TOTAL 

1.5 

1.5 

0.5 

0.5 

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. 

Description of tasks to be carried out: 

Officials and temporary staff 

External staff 

The AD posts cover the management of the Programme: elaboration of the work 
Programme, management of the budget, management of the public calls for tender(s) 
associated with the execution of the Programme, management of the contract 
associated with the execution of the Programme, follow-up of projects, contacts with 
Commission services and Member State experts, organisation of expert meetings, 
workshops and conferences. 

40 

41 

AC=  Contract  Staff;  AL  =  Local  Staff;  END=  Seconded  National  Expert;  INT  =  agency  staff; 
JED= Junior Experts in Delegations.  
Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines). 

EN 

36 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.4.  Compatibility with the current multiannual financial framework  

–    The  proposal/initiative  is  compatible  the  current  multiannual  financial 

framework. 

–    The 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. 

–    The  proposal/initiative  requires  application  of  the  flexibility  instrument  or 

revision of the multiannual financial framework. 

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.  

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

Appropriations in EUR million (to three 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  

TOTAL appropriations 
co-financed  

EN 

37 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.3. 

Estimated impact on revenue  

–    The proposal/initiative has no financial impact on revenue. 

–    The proposal/initiative has the following financial impact: 

– 

– 

 

 

on own resources  

on miscellaneous revenue  

Appropriation
s available for 
the current 
financial year 

Budget revenue line: 

Article …………. 

EUR million (to three decimal places) 

Impact of the proposal/initiative42 

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) 

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

Specify the method for calculating the impact on revenue. 

42 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 25 % for collection costs. 

EN 

38 

   EN