COMMISSION STAFF WORKING DOCUMENT EXECUTIVE SUMMARY OF THE IMPACT ASSESSMENT Accompanying the document PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND THE COUNCIL on establishing a framework for interoperability between EU information systems (borders and visa) and amending Council Decision 2004/512/EC, Regulation (EC) No 767/2008, Council Decision 2008/633/JHA, Regulation (EU) 2016/399 and Regulation (EU) 2017/2226 and PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND THE COUNCIL on establishing a framework for interoperability between EU information systems (police and judicial cooperation, asylum and migration)
Date: 2017-12-12
Institutions: Directorate-General for Migration and Home Affairs, European Commission
Subjects: EU migration policy, Schengen Agreement, admission of aliens, area of freedom, security and justice, biometrics, border control, data protection, exchange of information, external border of the EU, information system, personal data

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   EUROPEAN COMMISSION  Strasbourg, 12.12.2017  SWD(2017) 474 final  COMMISSION STAFF WORKING DOCUMENT  EXECUTIVE SUMMARY OF THE IMPACT ASSESSMENT  Accompanying the document PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND THE COUNCIL on establishing a framework for interoperability between EU information systems (borders and visa) and amending Council Decision 2004/512/EC, Regulation (EC) No 767/2008, Council Decision 2008/633/JHA, Regulation (EU) 2016/399 and Regulation (EU) 2017/2226   and   PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND THE COUNCIL  on establishing a framework for interoperability between EU information systems (police and judicial cooperation, asylum and migration)    {COM(2017) 793 final} - {SWD(2017) 473 final}  
 
 
Executive Summary Sheet 

Impact assessment on Proposal for a Regulation establishing the interoperability of EU information 
systems for security, border and migration management 

A. Need for action 

Why? What is the problem being addressed? Maximum 11 lines 
The  lack  of  interoperability  between  EU  information  systems  impedes  the  work  of  authorised  users 
(border guards, law enforcement officers, immigration officers, visa officials or judicial authorities). The 
fragmented architecture of data management for security, border and migration management, where 
information is stored separately in unconnected systems, can also lead to blind spots with implications 
for the EU's internal security. External border controls on persons are not as effective as they should 
be,  to  enable  effective  management  of  migration  and  to  contribute  to  internal  security.  This  is 
evidenced  by  the  ongoing  irregular  border  crossings  into  the  EU,  and  an  evolving  threat  to  internal 
security as demonstrated by a series of terrorist attacks. 
In this light, the following specific problems were identified: 

Lack of fast, seamless and systematic access by authorised users to necessary information; 

- 
-  No possibility for authorised users to detect multiple identities and identity fraud; 
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Limited  access  to  information  systems for  the purpose  of  identity  checks  in  the  territory  of a 
Member State; and 

-  Varied and complex law enforcement access procedures to border management systems. 

Four drivers of the problems have been analysed:  

Inadequate organisation of access to information systems;  
Imbalance between law enforcement access safeguards and operational needs; 

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-  Restrictive interpretation of the purpose of border management systems; and 
-  Repeated and separate storage of personal data in different systems. 

What is this initiative expected to achieve? Maximum 8 lines 
Two general objectives: 

• 

• 

Improve  the  management  of  the  Schengen  external  borders,  building  on  the  European 
Agenda  on  Migration  and  subsequent  communications,  including  the  Communication  on 
preserving and strengthening Schengen. 
Contribute  to  the  internal  security  of  the  European  Union,  building  on  the  European 
Agenda  on  Security  and  the  Commission's  work  towards  an  effective  and  genuine 
Security Union; 

Four specific objectives: 

• 

• 

• 

• 

Ensuring that end-users, particularly border guards, law enforcement officers, immigration 
officials and judicial authorities have fast, seamless, systematic and controlled access to 
the information that they need to perform their tasks, whilst respecting the existing access 
rights laid down in the respective EU legal instruments. 
Providing a solution to detect multiple identities linked to the same set of biometric data, 
with the dual purpose of facilitating identity checks for bona fide travellers and combating 
identity fraud. 
Facilitating  identity  checks  of  third-country  nationals,  on  the  territory  of  a  Member  State, 
by authorised officers. 
Facilitating  and  streamlining  access  by 
to  non-law 
enforcement  information  systems  at  EU  level,  where  necessary  for  the  prevention, 
investigation, detection or prosecution of serious crime and terrorism. 

law  enforcement  authorities 

What is the value added of action at the EU level? Maximum 7 lines  
Key common databases at EU level are in place or in the process of being put in place, managed by 
the  European  Agency  for  the  operational  management  of  large-scale  IT  systems  in  the  area  of 
freedom, security and  justice  (eu-LISA). The  fundamental objectives of enhanced interoperability, by 
reason  of  the  scale,  effects  and  impact  of  envisaged  actions,  can  only  be  achieved  efficiently  and 
systematically  at  EU  level.  A  Special  Eurobarometer  survey  shows  that  the  proposed  strategy  of 
sharing information at EU level to combat crime and terrorism has widespread public support. 

B. Solutions 

What  legislative  and  non-legislative  policy  options  have  been  considered?  Is  there  a 
preferred choice or not? Why? Maximum 14 lines  
Options have been considered as a direct response to calls from both the Council and the European 
Parliament to address structural shortcomings related to existing information systems and to enhance 
information  sharing.  Legislation  is  required  to  effectively  improve  the  interoperability  of  existing  and 

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future  systems.  Options  have  been  assessed  from  the  baseline  (option  1)  of  current  existing  (SIS, 
Eurodac, VIS) and planned or proposed (EES, ETIAS, ECRIS-TCN) systems. Option 2 assessed the 
following  possible  interoperability  components  as  endorsed  by  the  Commission  in  the  Seventh 
progress report towards an effective and genuine Security Union: 

• 

• 

• 

European  search  portal  (ESP)  enabling  the  simultaneous  search  of  multiple  systems, 
primarily using biographical data 
Shared biometric matching service (shared BMS) enables the searching of biometric data 
from several central systems 
Common identity repository (CIR) will bring together existing biographical identity data (of 
third-country nationals) otherwise stored in the various central systems. 

Option 3 built on option 2 by adding a multiple-identity detector (MID) to enable verification of multiple 
identities, establishing rules on the use of EU information systems for checks within the territory, and 
streamlining  access  to  EU  information  systems  for  law  enforcement  purposes  through  flagging.  It  is 
the combination of options 2 and 3 that will enable all the objectives to be met as a whole. 

Who supports which option? Maximum 7 lines  
As indicated above, both the Council and the European  Parliament have expressed general support 
for measures to improve interoperability and information sharing. In response to a public consultation, 
responses were broadly in favour of the underlying principles of this interoperability proposal. The vast 
majority of respondents agreed that the issues the consultation identified were the correct ones, and 
that  the  objectives  the  interoperability  package  seeks  to  achieve  are  correct.  While  supporting  the 
initiative, respondents consistently underlined the need for strong and clear data protection measures. 

C. Impacts of the preferred option 

What are the benefits of the preferred option (if any, otherwise main ones)? Maximum 12 
lines                                       
On a general level, interoperability is a means to improve security of the EU which is indispensable for 
growth  of  tourism.  The  major  social  impact  of  the  measure  will  be  the  enhancement  of  border 
management  and  increased  internal  security,  and  therefore  a  reassurance  to  EU  citizens.  Police 
cooperation  and  law  enforcement  should  experience  a  very  positive  effect  through  more  consistent 
identity management and through streamlining access to border control and immigration systems. In 
addition, interoperability implies direct cost savings, which are estimated at an annual €77.5m, almost 
totally for Member State administrations. These savings mainly result from reducing recurrent training 
costs  and  from  savings  on  the  effort  otherwise  required  to  resolve  cases  of  multiple  identities  and 
detecting identity fraud. 

What are the costs of the preferred option (if any, otherwise main ones)? Maximum 12 lines                                       
Immediate  economic  impacts  will  be  limited  to  the  marginal  design  and  operation  of  the  new  facilities 
building on  the existing systems. The costs will fall to the EU budget and to Member State authorities 
operating the systems. The one-off total cost is estimated at €169.8m. Costs are estimated to be shared 
almost  shared  equally  between  Member  States  (50.3%)  and  the  EU  centrally  (49.7%).  For  ongoing 
annual costs of €28.5m, the proportion would be more 60% for Member States. 

How will businesses, SMEs and micro-enterprises be affected? Maximum 8 lines 
The proposed measures are expected to have no direct impact on small and medium-sized enterprises. 
For airports, seaports  and carriers,  the  impact will  be positive, in particular because of expedited border 
control. 

Will there be significant impacts on national budgets and administrations? Maximum 4 lines 
Member States are estimated to save some €76m/year from reduced training and IT costs, and through 
identification of multiple identities. One-off set-up costs to Member States are estimated at €85.5m.  

Will there be other significant impacts? Max 6 lines  
Given  the  personal  data  involved,  interoperability  will  have  an  impact  on  the  right  to  the  protection  of 
personal data. Interoperability will be designed and implemented in full respect of legislation, such as the 
General Data Protection Regulation, and the principles of data protection by design and default and be 
accompanied by a range of safeguards. The measures are proportionate and the minimum necessary to 
achieve the objective. 

D. Follow up 

When will the policy be reviewed? Maximum 4 lines  
Every  four  years,  eu-LISA  will  report  on  the  technical  functioning  of  the  interoperability  components. 
One  year  later,  the  Commission  will  produce  an  overall  evaluation  of  their  impact,  including  on 
fundamental rights impacts. 

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