CELEX: 52013PC0095
Language: en
Date: 2013-02-28
Title: Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing an Entry/Exit System (EES) to register entry and exit data of third country nationals crossing the external borders of the Member States of the European Union

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		52013PC0095
		
			Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing an Entry/Exit System (EES) to register entry and exit data of third country nationals crossing the external borders of the Member States of the European Union /* COM/2013/095 final - 2013/0057 (COD) */
			
				
		
		
			
			   	EXPLANATORY MEMORANDUM
1.           CONTEXT OF THE PROPOSAL
·      Grounds for and objectives of the proposal
In its Communication of 13 February 2008 preparing
the next steps in border management in the European Union[1] the
Commission suggested the establishment of an entry/exit system (EES). Such a
system entails essentially the electronic register of the dates and places of entry
and exit of each
third-country national admitted for a short stay.
This proposal was endorsed in the Stockholm
Programme[2]
agreed by the European Council in December 2009.
Following the
European Council of 23 and 24 June 2011 asking the smart borders package to be
pushed forward rapidly, i.e. work on legislative proposals for an entry/exit
system (EES) and a Registered Traveller Programme (RTP)[3], the Commission published a
Communication on 25 October 2011,[4]
on the implementation options for the EES and the RTP. 
This proposal is presented together with a
proposal to establish a Registered Traveller Programme and a proposal to amend
the Community Code on the rules governing checks at external border crossing
points and surveillance at the external border (Schengen Borders Code)[5] for the purpose of the functioning of the
two new systems. Impact assessments are presented for each system.
·      General context
According to the Schengen Borders Code, EU
citizens and other persons enjoying the right of free movement under Union law (e.g.
family members of EU citizens) crossing the external border shall be subject to
a minimum check, both at entry and exit, consisting of the verification of the
travel document in order to establish the identity of the person. All other
third country nationals however must be subject, at entry, to a thorough check,
which implies a check of their purpose of stay, possession of sufficient means
of subsistence, as well as a search in the Schengen Information System (SIS)
and in national databases. 
There are no provisions in the Schengen
Borders Code on the recording of travellers' cross border movements. Currently,
stamping the travel document is the sole method to indicate the dates of entry
and exit which can be used by border guards and immigration authorities to
calculate the duration of the stay of a third-country national in the Schengen
area, which shall not exceed 90 days within a period of 180 days. Other
measures and tools available at border crossing points, such as databases (SIS
and the Visa Information System – VIS), the consultation of which is compulsory
at entry, but not at exit, are not intended for the purpose of recording border
crossings and do not provide for this functionality. The main purpose of the
VIS is to permit the verification of the visa application history and, at entry,
to verify whether the person presenting the visa at the border is the same
person to whom the visa has been issued.
There are currently no electronic means to
check if, where and when a third-country national has entered or left the
Schengen area. Difficulties in monitoring the authorised stay of third country
nationals are also caused by the use and quality of the stamps (e.g.
readability, lengthy process of calculating the stay, forgery and
counterfeiting).
For these reasons, there is no consistent EU-wide record of
entries and exits of travellers to and from the Schengen area and thus no reliable
means for Member States to determine if a third-country national has exceeded
his/her right to stay. Thirteen Member States[6]
run their own national entry/exit systems collecting alphanumeric data of
travellers. All 13 Member States give access for border management as well as law
enforcement purposes. To the extent that a person lawfully exits the same
Member State through which he or she entered, an overstay would be detected by
these systems. Beyond that, the possibilities for using such systems to detect
overstayers are none, as entry and exit records cannot be matched when persons
leave the Schengen area through another Member State than the one from which
they entered and in which their entry was recorded. 
Reliable data on the number of irregular
immigrants currently staying in the EU does not exist either. Conservative
estimates of the number of irregular immigrants within the EU vary between 1.9
and 3.8 million. It is generally agreed that a clear majority of irregular
immigrants are so-called overstayers, i.e. persons who have entered legally for
a short stay, with a valid visa when required, and then remained in the EU when
their authorised stay has expired. In terms of apprehensions of irregular
immigrants[7]
in the EU the total for 2010 (EU 27) was 505 220, which shows in comparison to
the above estimate that only a small proportion of overstayers is apprehended. 
In case third country nationals destroy
their documentation once they have entered the Schengen area it is very
important for the authorities to have access to reliable information to establish the
identity of such persons. 
The legislative financial statement annexed
to this proposal is based on the study on the costs of an EES and an RTP
carried out by an external contractor.
The objectives of the present proposal for
a Regulation of the European Parliament and the Council are: 
–     
to create an EES and establish a legal basis for
the development and implementation of the technical system; 
–     
to define the purpose, the functionalities and
responsibilities for use of the EES; and 
–     
to confer on the Agency for the operational
management of large-scale information systems in the area of freedom, security
and justice[8]
(the Agency), the development and operational management of the central system.

This Regulation shall constitute the core
instrument for the legal framework for the EES. To complement this legal
framework, a proposal for amending the Schengen Borders
Code as regards the use of the
system as part of the border management process, is presented in parallel with
this proposal.
The purpose of the EES will be to improve the
management of the external border and the fight against irregular migration, by
providing a system that will
·      Calculate the authorised stay of each traveller; this includes at
entry, in case of a traveller having visited the Schengen area frequently, to
quickly and precisely calculate how many days there are left of the maximum of
90 days within 180 days; at exit, to verify that the traveller has respected
the authorised stay; and within the territory, in relation to carrying out
checks on third-country nationals to verify the legality of their stay;
·      Assist in the identification of any person who may not, or may no
longer, fulfil the conditions for entry to, or stay on the territory of the
Member States; this concerns notably persons who are found during checks within
the territory not in possession of their travel documents or any other means of
identification;
·      To support the analysis of the entries and exits of third-country
nationals; this includes notably getting a precise picture of travel flows at
the external borders and the number of overstayers eg by nationality of
travellers.
The expected impact of the system is further
assessed and detailed in the impact assessment and can be summarised as
follows:
·      Providing precise information in a rapid way to border guards during
border checks, by replacing the current slow and unreliable system of manual
stamping of passports; this will allow for both a better monitoring of the
authorised stay as well as more efficient border checks;
·      Providing precise information to travellers on the maximum length of
their authorised stay;
·      Providing precise information on who is overstaying their authorised
stay, which will support controls within the territory and to apprehend
irregular migrants; 
·      Support the identification of irregular migrants; by storing biometrics
in the EES on all persons not subject to the visa requirement, and taking into
account that the biometrics of visa holders are stored in the VIS, Member
States' authorities will be able to identify any undocumented irregular migrant
found within the territory that crossed the external border legally; this will
in turn facilitate the return process;
·      The analysis generated by the system will allow for an evidence-based
approach to e.g. visa policy, as the EES will provide precise data on whether
there is problem with overstayers of a given nationality or not, which would be
an important element when deciding whether to impose or lift, as the case may
be, the visa obligation on the third country in question; 
·      By abolishing the manual element of stamping of passports from the
border check it becomes possible to provide for fully automated border controls
for certain third-country nationals, under the conditions laid down in the
proposal for a Registered Traveller Programme presented in parallel with this
proposal.
·      Existing provisions in the area of the proposal
Regulation of the European Parliament and
of the Council (EC) No 562/2006 establishing a Community Code on the rules
governing the movement of persons across borders (Schengen Borders Code).
Regulation of the European Parliament and
of the Council (EC) No 1931/2006 laying down rules on local border traffic at
the external land borders of the Member States and amending the provisions of
the Schengen Convention.
Regulation of the European Parliament and
of the Council (EC) No 767/2008 concerning the Visa Information System (VIS)
and the exchange of data between Member States on short-stay visas (VIS
Regulation).
Regulation of the European Parliament and
of the Council (EC) No 810/2009 establishing a Community Code on Visas.
Regulation of the European Parliament and
of the Council (EU) No 1077/2011 establishing a European Agency for the
operational management of large-scale IT systems in the area of freedom,
security and justice.
2.           CONSULTATION OF INTERESTED PARTIES AND IMPACT
ASSESSMENT
·      Consultation of interested parties
This is described in the accompanying
impact assessment.
·      Impact assessment
The first impact assessment[9] was carried out in 2008 when
preparing the Commission Communication on this subject and the second one was
finalised in 2012[10].
The former analysed the policy options and their most likely impacts and
concluded that an EES should be established. 
Following a consultations and pre-screening
process the latter impact assessment analysed key implementation options.
Analysis of the different options and
sub-options showed that the preferred solution for an EES should be the
following:
The EES will be designed as a centralised system
containing both alphanumeric and biometric data. The data retention period would
be for ordinary cases six months and in case of overstay five years.
The use of biometrics would be subject to a
transitional period of three years to allow for Member States' adapting
processes at the border crossing points.
After a period of two years, the EES should
be evaluated and, in this context the Commission would evaluate in particular the
possible access to the system for law enforcement purposes as well as the
retention period, also taking into account the experience of access for such
purposes to the VIS. The evaluation would be accompanied, as appropriate, by a
Commission proposal to amend the Regulation to define the conditions for such
access. Those conditions would need to be strictly defined in order to provide
an accurate data protection regime and could be modelled on those foreseen by
the VIS legal basis. 
The Impact Assessment Board (IAB) reviewed
the draft impact assessment and delivered its opinion on 14 March 2012 and (on
a revised version) on 8 June 2012. The recommendations for improvement were
accommodated in the revised version of the report. In particular, the following
changes were made: further information is provided on the consultation of
interested parties; the overall logic has been reviewed and streamlined; the
problem definition has been further developed and made more detailed, both in
relation to the overall problem of irregular migration and in relation to
specific implementation problems; the baseline scenario has been extended to
better describe how it would evolve without further EU action; the options have
been restructured and simplified; the assessment of the options have been
refined and done in a more logical manner showing which options are linked and
which are not; the explanation of the method used for calculating the costs was
expanded; the analysis and description of the preferred option have been
revised and linked more directly to data that will become available in the
future.
3.           LEGAL ELEMENTS OF THE PROPOSAL
·      Summary of the proposed actions
The purpose, functionalities and
responsibilities for the EES must be defined. Furthermore, a mandate needs to
be given to the Agency for the operational management of large-scale IT systems
in the area of freedom, security and justice to develop and operationally
manage the system. A detailed explanation of the proposal by article can be
found in a separate Commission Staff Working Paper.
·      Legal basis
Articles 74 and 77(2)(b)
and (d) of the Treaty on the Functioning of the European Union is the legal
basis for this Regulation. Article 77(2)(b) and (d) is the appropriate legal
basis for further specifying the measures on the crossing of the external
borders of the Member States and developing standards and procedures to be
followed by Member States in carrying out checks on persons at such borders. Article
74 provides the appropriate legal basis for setting-up and maintaining the EES
and for procedures for the exchange of information between Member States,
ensuring cooperation between the relevant authorities of the Member States’ as
well as between those authorities and the Commission in the areas covered by
Title V of the Treaty.
·      Subsidiarity principle
Under Article 77(2)(b) of the Treaty on the
Functioning of the European Union, the Union has the power to adopt measures
relating to the checks on persons and efficient monitoring of the crossing of
external borders of the Member States. The current EU provisions on the
crossing of the external borders of the Member States need to be modified to
take into account that there are currently no reliable means to monitor the
travel movements of third-country nationals admitted for a short stay given the
complexity and slowness of the current stamping obligation, which is
insufficient for allowing Members States' authorities to assess the authorised
stay at the border check of the traveller or at checks within the territory and
the very limited value of national systems for such purposes in an area without
internal border control.
The information on who is on EU territory
and who complies with the maximum allowed short stay of 90 days within 180 days,
on nationalities and groups (visa exempt/required) of travellers overstaying
and to support random checks within the territory to detect irregularly staying
persons should be available to increase the efficiency of migration
management.
A common regime is needed in order to establish
harmonised rules on the records of cross border
movements and monitoring of authorised stays for the Schengen area as a whole.
Therefore, the objective of the proposal
cannot be sufficiently achieved by the Member States. 
·      Proportionality principle
Article 5 of the Treaty on the European
Union states that action by the Union shall not go beyond what is necessary to
achieve the objectives of the Treaty. The form chosen for this EU action must
enable the proposal to achieve its objective and be implemented as effectively
as possible. The proposed initiative constitutes a further development of the
Schengen acquis in order to ensure that common rules at external borders are
applied in the same way in all the Schengen Member States. It creates an
instrument providing to the European Union information on how many third
country nationals enter and leave the territory of the EU, which is
indispensible for sustainable and evidence based policy making in the field of
migration and visa. Furthermore, it is proportionate in
terms of the right to protection of personal data in that it does not require
the collection and storage of more data for a longer period than is absolutely
necessary to allow the system to function and meet its objectives. It is also
proportionate in terms of costs, taking into account the benefits the system
will provide to all Member States in managing the common external border and
progressing towards a common EU migration policy.
The proposal therefore complies with the
proportionality principle.
·      Choice of instrument 
Proposed instruments: Regulation.
Other means would not be adequate for the following
reason(s):
The present proposal will set up a
centralised system through which Member States cooperate with each other, something
which requires a common architecture and operating rules. Moreover it will lay down rules on border checks at the
external borders which are uniform for all Member States. As a consequence,
only a Regulation can be chosen as a legal instrument.
•           Fundamental rights
The proposed regulation has an impact on
fundamental rights, notably on the protection of personal data (Article 8 of
the Charter of Fundamental Rights of the EU), right to liberty and security
(Article 6 of the Charter), respect for private and family life (Article 7 of
the Charter), right to asylum (Article 18 of the Charter) and protection in the
event of removal, expulsion or extradition (Article 19 of the Charter).
The proposal contains safeguards as regards
personal data, in particular access thereto, which should be strictly limited
only to the purpose of this Regulation and to the therein designated competent
authorities. Safeguards as regards personal data also include the right of
access to or the right of correction or deletion of data. 
4.           BUDGETARY IMPLICATION
The Commission's
proposal for the next multi-annual financial framework (MFF) includes a
proposal of 4,6 billion EUR for the internal security Fund (ISF) for the period
2014-2020. In the proposal, 1,1 billion EUR is set aside as an indicative
amount for the development of an EES and an RTP assuming development costs
would start from 2015[11]. 

This financial support would cover not only
the costs of central components for the entire MFF period (EU level, both
development and operational cost) but also the development costs for the
national, Member States, components of these two systems, within the resources
available. Providing financial support for national development costs would
ensure that difficult economic circumstances at national level do not
jeopardise or delay the projects. This includes an amount on 146 million EUR
for costs at national level related to hosting the IT systems, the space for
hosting the end-user equipment, and the space for operators' offices. It also
includes an amount of 341 million EUR for costs at national level related to
maintenance such as for hardware and software licenses.
Once the new
systems would be operational, future operational costs in the Member States
could be supported by their national programmes. It is proposed that Member
States may use 50% of the allocations under the national programmes to support
operating costs of IT systems used for the management
of migration flows across the external borders of the Union. These costs may
include the cost for the management of VIS, SIS and new systems set up in the
period, staff costs, service costs, rental of secure premises etc. Thus, the
future instrument would ensure continuity of funding, where appropriate. 
5.           ADDITIONAL INFORMATION
·      Participation
This proposal builds upon the Schengen acquis
in that it concerns the crossing of external borders. Therefore the following
consequences in relation to the various protocols and agreements with
associated countries have to be considered:
Denmark: In
accordance with Articles 1 and 2 of the Protocol (no 22) on the position of
Denmark, annexed to the Treaty on European Union (TEU) and the Treaty on the
Functioning of the European Union (TFEU), Denmark does not take part in the
adoption by the Council of measures pursuant to Title V of part Three of the
TFEU. 
Given that this Regulation builds upon the
Schengen acquis, Denmark shall, in accordance with Article 4 of that
Protocol decide within a period of six months after the Council has decided on this
Regulation whether it will implement it in its national law.
United Kingdom and Ireland: In accordance with Articles 4 and 5 of the Protocol integrating the
Schengen acquis into the framework of the European Union and Council Decision
2000/365/EC of 29 May 2000 concerning the request of the United Kingdom of
Great Britain and Northern Ireland, and Council Decision 2002/192/EC of 28
February 2002 concerning Ireland's request to take part in some of the
provisions of the Schengen acquis, the United Kingdom and Ireland do not take
part in Regulation (EC) No 562/2006 (Schengen Borders Code). Therefore, the
United Kingdom and Ireland are not taking part in the adoption of the this
Regulation and are not bound by it or subject to its application.
Iceland and Norway: The procedures laid down in the Association Agreement concluded by
the Council and the Republic of Iceland and the Kingdom of Norway concerning
the latter's association with the implementation, application and development
of the Schengen acquis are applicable, since the present proposal builds on the
Schengen acquis as defined in Annex A of this Agreement[12].
Switzerland: This
Regulation constitutes a development of the provisions of the Schengen acquis, as provided for by the Agreement between the European Union, the European Community and the
Swiss Confederation on the latter's association with the implementation,
application and development of the Schengen acquis[13].
Liechtenstein: This Regulation constitutes a development
of the provisions of the Schengen acquis, as provided for by the Protocol between the European Union, the European Community,
the Swiss Confederation and the Principality of Liechtenstein on the accession
of the Principality of Liechtenstein to the Agreement between the European
Union, the European Community and the Swiss Confederation on the Swiss
Confederation's association with the implementation, application and
development of the Schengen acquis[14].
Cyprus, Bulgaria and
Romenia: This Regulation establishing the EES replaces the respective
obligation to verify the length of the stay and to stamp the passport of third
country nationals. These provisions were to be applied by the acceding Member
States upon accession to the European Union.
2013/0057 (COD)
Proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT
AND OF THE COUNCIL
establishing an Entry/Exit System (EES) to
register entry and exit data of third country nationals crossing the external
borders of the Member States of the European Union
THE EUROPEAN PARLIAMENT AND THE
COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty of the
Functioning of the European Union, and in particular Article 74 and Article 77(2)(b)
and (d) thereof,
Having regard to the proposal from the European
Commission[15],
After transmission of the draft legislative
act to the national parliaments,
Having regard to the opinion of the
European Economic and Social Committee[16],
Having regard to the opinion of the
Committee of the Regions[17],
After consulting the European Data
Protection Supervisor,
Acting in accordance with the ordinary
legislative procedure, 
Whereas:
(1)                   
The Communication of the Commission of 13
February 2008 entitled 'preparing the next steps in border management in the
European Union'[18]
outlined the need, as part of the European integrated border management
strategy, to establish an Entry/Exit System which registers electronically the
time and place of entry and exit of third-country nationals admitted for a
short stay to the Schengen area and which calculates the duration of their
authorised stay.
(2)                   
The European Council of 19 and 20 June 2008
underlined the importance of continuing to work on the development of the EU's
integrated border management strategy, including better use of modern
technologies to improve the management of external borders.
(3)                   
The Communication of the Commission of 10 June
2009, entitled 'An area of freedom, security and justice serving the citizens',
advocates establishing an electronic system for recording entry to and exit
from Member States' territory via the crossing of external borders to ensure more effective
management of access to this territory.
(4)                   
The European Council of 23 and 24 of June 2011
called for work on "smart borders" to be pushed forward rapidly. The Commission published a
Communication "Smart borders – options and the way ahead" on 25
October 2011.
(5)                   
It is necessary to specify the objectives of the
Entry/Exit System (EES) and its technical architecture, to lay down rules
concerning its operation and use and to define responsibilities for the system,
the categories of data to be entered into the system, the purposes for which
the data are to be entered, the criteria for their entry, the authorities
authorised to access the data, the interlinking of alerts and further rules on
data processing and the protection of personal data.
(6)                   
The EES should not apply to third country
nationals who are family members of Union citizens holding a residence card as provided
for in Directive 2004/38/EC of the European Parliament and of the Council of 29
April 2004 on the right of citizens of the Union and their family members to move
and reside freely within the territory of the Member States[19], or to holders of residence
permits referred to in the Schengen Borders Code as their stay is not limited
to 90 days within 180 days.
(7)                   
The EES should have the objective of enhancing border control, preventing illegal
immigration and facilitating the management of migration flows. The EES should in
particular contribute to the identification of any person who may not, or may
no longer fulfil the conditions of duration of stay whithin the territory of
the Member States.
(8)                   
To meet those objectives, the EES should process
alphanumeric data and, after a transitional period, fingerprints. The impact on
the privacy of travellers which the fingerprinting constitutes is justified by
two reasons. Fingerprints are a reliable method to identify persons who are
found within the territory of the Member States not in possession of their
travel documents or any other means of identification, a common modus operandi
of irregular migrants. Fingerprints also provide for more reliable matching of
entry and exit data of legal travellers. 
(9)                   
Ten fingerprints should be enrolled in the EES,
if physically possible, to allow for accurate verification and identification
and to guarantee that sufficient data is available in every circumstance.
(10)               
The use of fingerprints should be subject to a
transitional period to allow Member States to adapt the border check process
and handling of passenger flows to avoid increasing waiting time at the border.
(11)               
The technical development of the system should
provide for the possibility of access to the system for law enforcement
purposes should this Regulation be amended in the future to allow for such
access.
(12)               
The Agency for the operational management of
large-scale information systems in the area of freedom, security and justice,
established by Regulation (EU) No 1077/2011 of the European Parliament and of
the Council of 25 October 2011[20],
should be responsible for the development and operational management of a centralised EES. Such a system should consist of a Central Unit,
a Back-up Central Unit, the Uniform Interfaces in each Member State, and the
Communication Infrastructure between the Central EES and the Network Entry
Points. Member States should be responsible for the development and operational
management of their own national systems.
(13)               
To allow synergies and cost-efficiency, the EES should,
to the extent possible, be implemented in parallel with the Registered
Traveller System established pursuant to Regulation COM(2013)97 final. 
(14)               
This Regulation should define the authorities of
the Member States which can be authorised to have access to the EES to enter,
amend, delete or consult data for the specific purposes of the EES and to the
extent necessary for the performance of their tasks. 
(15)               
Any processing of EES data should be
proportionate to the objectives pursued and necessary for the performance of
tasks of the competent authorities. When using the EES, the competent
authorities should ensure that the human dignity and integrity of the person,
whose data are requested, are respected and should not discriminate against
persons on grounds of sex, racial or ethnic origin, religion or belief,
disability, age or sexual orientation.
(16)               
The personal data stored in the EES should be
kept for no longer than is necessary for the purposes of the EES. It is
appropriate to keep the data for six months since it is the minimum period
required for the calculations of the duration of the stay. A longer period of
maximum five years would be necessary for persons who have not exited the
territory of the Member States within the authorised period of stay. The data should
be deleted after the period of five years, unless there are grounds to delete
it earlier.
(17)               
Precise rules should be laid down as regards the
responsibilities for the development and operation of the EES, the
responsibilities of the Member States for the national systems and the access
to data by the national authorities.
(18)               
Rules on the liability of the Member States in
respect to damage arising from any breach of this Regulation should be laid
down. The liability of the Commission in respect of such damage is governed by
the second paragraph of Article 340 of the Treaty.
(19)               
Directive 95/46/EC of the European Parliament
and of the Council of 24 October 1995 on the protection of individuals with
regard to the processing of personal data and on the free movement of such data[21] applies to the processing of
personal data by the Member States in the application of this Regulation. 
(20)               
Regulation (EC) No 45/2001 of 18 December 2000
of the European Parliament and the Council on the protection of individuals
with regard to the processing of personal data by the Community institutions
and bodies and on the free movement of such data[22] applies to the activities of
the Union institutions or bodies when carrying out their tasks as responsible
for the operational management of EES. 
(21)               
The independent supervisory authorities
established in accordance with Article 28 of Directive 95/46/EC should monitor
the lawfulness of the processing of personal data by the Member States, whilst
the European Data Protection Supervisor as established by Regulation (EC) No
45/2001 should monitor the activities of the Union institutions and bodies in
relation to the processing of personal data. The European Data Protection
Supervisor and the supervisory authorities should cooperate with each other in
the monitoring of the EES.
(22)               
This Regulation respects the fundamental rights
and observes the principles recognised by the Charter of Fundamental Rights of
the European Union, in particular the protection of
personal data (Article 8 of the Charter), the right to liberty and security
(Article 6 of the Charter), the respect for private and family life (Article 7
of the Charter), the right to asylum (Article 18 of the Charter), protection in
the event of removal, expulsion or extradition (Article 19 of the Charter), the
right to an effective remedy (Article 47 of the Charter) and has to be applied
in accordance with those rights and principles. 
(23)               
The effective monitoring of the application of
this Regulation requires evaluation at regular intervals. The conditions of
giving access to the data stored in the system for law enforcement purposes and
to third countries, and of retaining the data for different periods should further
be evaluated in order to assess whether and, if so, how the system can
contribute most effectively in the fight against terrorist offences and other
serious criminal offences. Given the high number of personal data contained in
the EES and the need to fully respect the private life of individuals whose
personal data are processed in the EES, this evaluation should take place two years
after the start of operations and take into
consideration the results of the implementation of the VIS.
(24)               
The Member States should lay down rules on
penalties applicable to infringements of the provisions of this Regulation and
ensure that they are implemented.
(25)               
In order to ensure uniform conditions for the
implementation of this Regulation, 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 of the Council of 16 February 2011
laying down the rules and general principles concerning mechanisms for control
by Member States of the Commision's exercise of implementing powers[23].
(26)               
The establishment of a common EES at the level
of the area without controls at internal borders and the creation of common
obligations, conditions and procedures for use of data cannot be sufficiently
achieved by the Member States and can therefore, by reason of the scale and
impact of the action, be better achieved at Union level in accordance with the
principle of subsidiarity as set out in Article 5 of the Treaty on European
Union. In accordance with the principle of proportionality, as set out in that
Article, the Regulation does not go beyond what is necessary in order to
achieve this objective.
(27)               
In accordance with Articles
1 and 2 of the Protocol (No 22) on the position of Denmark, annexed to the
Treaty on European Union and to the Treaty on the Functioning of the European
Union, Denmark is not taking part in the adoption of this Regulation and is not
bound by it or subject to its application. Given that this Regulation builds
upon the Schengen acquis, Denmark shall, in accordance with Article 4 of
that Protocol, decide within a period of six months after the Council has
decided on this Regulation whether it will implement it in its national law.
(28)               
This Regulation constitutes
a development of the provisions of the Schengen acquis in which the
United Kingdom does not take part, in accordance with Council Decision
2000/365/EC of 29 May 2000 concerning the request of the United Kingdom of
Great Britain and Northern Ireland to take part in some of the provisions of
the Schengen acquis[24];
the United Kingdom is therefore not taking part in its adoption and is not
bound by it or subject to its application.
(29)               
This Regulation constitutes
a development of the provisions of the Schengen acquis in which Ireland
does not take part, in accordance with Council Decision 2002/192/EC of 28
February 2002 concerning Ireland’s request to take part in some of the
provisions of the Schengen acquis[25];
Ireland is therefore not taking part in its adoption and is not bound by it or
subject to its application.
(30)               
As regards Iceland and
Norway, this Regulation constitutes a development of the provisions of the
Schengen acquis within the meaning of the Agreement concluded by the
Council of the European Union and the Republic of Iceland and the Kingdom of
Norway concerning the latters' association with the implementation, application
and development of the Schengen acquis[26],
which fall within the area referred to in Article 1, point A of Council
Decision 1999/437/EC of 17 May 1999 on certain arrangements for the application
of that Agreement[27].
(31)               
As regards Switzerland, this Regulation constitutes a
development of the provisions of the Schengen acquis
within the meaning of the Agreement
between the European Union, the European Community and the Swiss Confederation
on the Swiss Confederation's association with the implementation, application
and development of the Schengen acquis[28] which fall within the area referred to in
Article 1, point A of Council
Decision 1999/437/EC of 17 May 1999 read in conjunction with Article 3 of
Council Decision 2008/146/EC[29].
(32)               
As regards Liechtenstein, this Regulation constitutes a development of the provisions of
the Schengen acquis, as provided
for by the Protocol between the European Union, the European
Community, the Swiss Confederation and the Principality of Liechtenstein on the
accession of the Principality of Liechtenstein to the Agreement between the
European Union, the European Community and the Swiss Confederation on the Swiss
Confederation's association with the implementation, application and
development of the Schengen acquis[30]
which fall within the area referred to in Article 1, point
A of Council Decision 1999/437/EC of 17 May 1999 read in conjunction with
Article 3 of Council Decision 2011/350/EU[31].
HAVE ADOPTED THIS REGULATION:
CHAPTER 1
General Provisions
Article 1
Subject matter 
A system referred to as the 'Entry/Exit
System' (EES) is hereby established for the recording and storage of
information on the time and place of entry and exit of third country nationals crossing
the external borders and admitted for a short stay in the territory of the
Member States, for the calculation of the duration of their stay,
and for the generation of alerts to Member States when authorised periods for
stay have expired.
Article 2
Set-up of the EES
1.           The EES shall have the
structure determined in Article 6.
2.           The Agency for the
operational management of large-scale information systems in the area of
freedom, security and justice (hereinafter the Agency) is hereby entrusted with
the tasks of development and operational management of the EES, including the
functionalities for processing biometric data referred to in Article 12.
Article 3 
Scope
1.           This Regulation shall
apply to any third country national admitted for a short stay in the territory
of the Member States subject to border checks in accordance with the Schengen
Borders Code when crossing the external borders of the Member States.
2.           This Regulation shall not
apply to the crossing of external borders by:
(a)     members of the family of a Union
citizen to whom Directive 2004/38/EC applies who hold a residence card referred
to in that Directive;
(b)     members of the family of nationals of
third countries enjoying the right of free movement under Union law who hold a residence
card referred to in Directive 2004/38/EC;
This Regulation shall not apply to family
members mentioned in points (a) and (b) even if they are not accompanying or
joining the Union citizen or a third-country national enjoying the right of
free movement;
(c)     holders of residence permits referred
to in Article 2 (15) of the Schengen Borders Code;
(d)     nationals of Andorra, Monaco and San
Marino.
Article 4
Purpose
The EES shall have the purpose of improving
the management of the external borders and the fight against irregular
immigration, the implementation of the integrated border management policy, the
cooperation and consultation between border and immigration authorities by
providing access by Member States to the information of the time and place of
the entry and exit of third country nationals at the external borders and
facilitating decisions relating thereto, in order:
–     
to enhance checks at external border crossing
points and combat irregular immigration;
–     
to calculate and monitor the calculation of the
duration of the authorised stay of third-country nationals admitted for a short
stay; 
–     
to assist in the identification of any person
who may not, or may no longer, fulfil the conditions for entry to, or stay on
the territory of the Member States;
–     
to enable national authorities of the Member
States to identify overstayers and take appropriate measures; 
–     
to gather statistics on the entries and exits of
third country nationals for the purpose of analysis.
Article 5
Definitions
For the purposes of
this Regulation, the following definitions shall apply:
(1)              
‘external borders' means external borders as
defined in Article 2(2) of the Schengen Borders Code;
(2)              
'border authorities' means the competent
authorities assigned, in accordance with national law, to carry out checks on
persons at the external border crossing points in accordance with the Schengen
Borders Code;
(3)              
‘immigration authorities’ means the competent
authorities assigned, in accordance with national law, to examine the conditions and take decisions related to
the stay of third country nationals on the territory of the Member States;
(4)              
'visa authorities' means the authorities which
are responsible in each Member State for examining and for taking decisions on
visa applications or for decisions whether to annul, revoke or extend visas,
including the central visa authorities and the authorities responsible for
issuing visas at the border in accordance with the Visa Code[32];
(5)              
'third‑country national' means any person
who is not a citizen of the Union within the meaning of Article 20 of the
Treaty, with the exception of persons who under agreements between the Union or
the Union and its Member States, on the one hand, and third countries, on the
other, enjoy rights of free movement equivalent to those of Union citizens; 
(6)              
‘travel document’ means a passport or other
equivalent document, entitling the holder to cross the external borders and to
which a visa may be affixed;
(7)              
'short stay' means stays in the territory of the
Member States of a duration of no more than 90 days in any 180 days period; 
(8)              
'Member State responsible’ means the Member
State which has entered the data in the EES;
(9)              
'verification’ means the process of comparison
of sets of data to establish the validity of a claimed identity (one-to-one
check);
(10)          
'identification’ means the process of
determining a person’s identity through a database search against multiple sets
of data (one-to-many check);
(11)          
'alphanumeric data’ means data represented by
letters, digits, special characters, space and punctuation marks;
(12)          
'biometric data' means fingerprints; 
(13)          
‘overstayer’ means a third country national who
does not fulfil, or no longer fulfils the conditions relating to the duration
of a short stay on the territory of the Member States;
(14)          
'Agency' means the agency established by Regulation
(EU) No 1077/2011[33];
(15)          
'Frontex' means the European Agency for the
Management of Operational Cooperation at the External Borders of the Member
States of the European Union established by Regulation (EC) No 2007/2004[34];
(16)          
'supervisory authority' means the supervisory authority
established in accordance with Article 28 of Directive 95/46/EC; 
(17)          
'operational management' means all the tasks
necessary to keep large-scale IT systems functioning, including responsibility
for the communication infrastructure used by them;
(18)          
'development' means all the tasks necessary to
create a large-scale IT system, including the communication infrastructure used
by it.
Article 6 
Technical architecture of the EES
The EES shall be composed of:
(a)                   
a Central System comprising a Central Unit and a
Back-up Central Unit, capable of ensuring all the functionalities of the
Central Unit in the event of the failure of the system;
(b)                   
a National System comprising the required
hardware, software and national communication infrastructure to connect the end
user devices of the competent authorities as defined in Article 7(2) with the
Network Entry Points in each Member State;
(c)                   
a Uniform Interface in each Member State based
on common technical specifications and identical for all Member States;
(d)                   
the Network Entry Points, which are part of the
Uniform Interface and are the national points of access connecting the National
System of each Member State to the Central System and 
(e)                   
the Communication Infrastructure between the
Central System and the Network Entry Points.
Article 7
Access for entering, amending, deleting and consulting data
1.           In accordance with Article
4, access to the EES for entering, amending, deleting and consulting the data
referred to in Articles 11 and 12 in accordance with this Regulation shall be
reserved exclusively to duly authorised staff of the authorities of each Member
State which are competent for the purposes laid down in Articles 15 to 22,
limited to the extent needed for the performance of the tasks in accordance
with this purpose, and proportionate to the objectives pursued.
2.           Each Member State shall
designate the competent authorities, including border, visa and immigration
authorities, the duly authorised staff of which shall have access to enter,
amend, delete or consult data in the EES. Each Member State shall without delay
communicate to the Agency a list of these authorities. That list shall specify
for which purpose each authority may have access to the data in the EES.
Within three months after the EES has become
operational in accordance with Article 41, the Agency
shall publish a consolidated list in the Official Journal of the European
Union. Where there are amendments thereto, the Agency shall publish once a
year an updated consolidated list.
Article 8 
General principles
1.           Each competent authority
authorised to access the EES in accordance with this Regulation shall ensure
that the use of the EES is necessary, appropriate and proportionate to the
performance of tasks of the competent authorities. 
2.           Each competent authority
shall ensure that in using the EES, it does not discriminate against third
country nationals on grounds of sex, racial or ethnic origin, religion or
belief, disability, age or sexual orientation and that it fully respects the
human dignity and the integrity of the person.
Article 9
Automated calculator
The EES shall incorporate an automated
mechanism that indicates the maximum authorised duration of stay in accordance
with Article 5(1) of the Schengen Borders Code for each
third-country national registered in the EES. 
The automated calculator shall:
(a)          inform the competent authorities
and the third-country national of the authorised length of stay on border
entry;
(b)          identify third country nationals
upon exit who have overstayed.
Article 10
Information mechanism
1.           The EES shall include a mechanism
that shall automatically identify which entry/exit records do not have exit
data immediately following the date of expiry of the authorised length of stay
and identify records for which the maximum stay allowance has been exceeded.
2.           A list, generated by the
system, containing the data referred to in Article 11 of all identified
overstayers shall be available to the designated competent national authorities.
CHAPTER II
 Entry and use of data by border authorities
Article 11
Personal data for visa holders
1.           In the absence of a
previous registration of a third country national in the EES where a decision
to authorise the entry of a visa holder has been taken in accordance with the
Schengen Borders Code, the border authority shall create the individual file of
the person by entering the following data:
(a)          surname (family name), surname at
birth (earlier family name(s)), first name(s) (given names); date of birth,
place of birth, country of birth, nationality or nationalities and sex;
(b)          type and number of the travel
document or documents, the authority which issued it or them and the date of
issue;
(c)          three letter code of the issuing country, and the the date
of expiry of the validity of the travel document(s);
(d)          the visa sticker number,
including the three letter code of the issuing Member State, and the date of
expiry of the validity of the visa, if applicable;
(e)          at the first entry on the basis
of the visa, the number of entries and the authorised period of stay as
indicated on the visa sticker;
(f)           if applicable, information that the
person has been granted access to the Registered Traveller Programme in
accordance with Regulation COM(2013)97 final, the unique identifier number and
status of participation.
2.           On each entry of that
person the following data shall be entered in an entry/exit record, which shall
be linked to the individual file of that person using the individual reference
number created by the EES upon creation of that file:
(a)          date and time of the entry;
(b)          Member State of entry, the border crossing point and authority that authorised the
entry; 
(c)          the
calculation of the number of days of the authorised stay(s) and the date of the
last day of authorised stay. 
3.           On exit the
following data shall be entered in the entry/exit record linked to the
individual file of that person:
(a)          date and time
of the exit;
(b)          the Member
State and the border crossing point of the exit.
Article 12
Personal data for third country nationals exempt from the visa obligation
1.           In the absence of a previous
registration of a third country national in the EES where a decision has been
taken to authorise the entry in accordance with the Schengen Borders Code of a
national of a third country exempt from the visa obligation, the border
authority shall create an individual file and enter ten fingerprints in the
individual file of that person, in addition to the data referred to in Article
11, with the exception of the information referred to in Article 11 paragraph
1(d) and(e).
2.           Children under the age of 12
shall be exempt from the requirement to give fingerprints for legal reasons.
3.           Persons for whom fingerprinting
is physically impossible shall be exempt from the requirement to give fingerprints
for factual reasons.
However, should the impossibility be of a
temporary nature, the person shall be required to give the fingerprints at the
following entry. The border authorities shall be entitled to request further
clarification on the grounds for the temporary impossibility to provide
fingerprints.
Member States shall ensure that appropriate
procedures guaranteeing the dignity of the person are in place in the event of
encountered difficulties with capturing fingerprints.
4.           Where the person concerned is
exempt from the requirement to give fingerprints for legal or factual reasons
pursuant to paragraphs 2 or 3, the specific data field shall be marked as ‘not
applicable’. The system shall permit a distinction to be made between the cases
where fingerprints are not required to be provided for legal reasons and the
cases where they cannot be provided for factual reasons.
5.           For a period of three years after
the EES has started operation only the alphanumeric data referred to in
paragraph 1 shall be recorded.
Article 13
Procedures for entering data at border crossing points
where a previous file has been registered 
If a previous file has been registered, the
border authority shall, if necessary, update the file data, enter an entry/exit
record for each entry and exit in accordance with Articles 11 and 12 and link
that record to the individual file of the person concerned. 
Article 14
Data to be added where an authorisation to stay is revoked or extended
1.           Where a decision has been
taken to revoke an authorisation to stay or to extend the duration of the authorised stay, the competent
authority that has taken the decision shall add the following data to the entry/exit
record:
(a)          the status information indicating
that the authorisation to stay has been revoked or that the duration of the
authorised stay has been extended;
(b)          the authority that revoked the authorisation
to stay or extended the duration of the authorised stay;
(c)          the place and date of the
decision to revoke the authorisation to stay or to extend the duration of the
authorised stay;
(d)          the new expiry date of the authorisation
to stay. 
2.           The entry/exit record
shall indicate the ground(s) for revocation of the authorisation to stay, which
shall be: 
(a)          the grounds on which the person
is being expelled;
(b)          any other decision taken by the
competent authorities of the Member State, in accordance with national
legislation, resulting in the removal or departure of the third country
national who does not fulfil or no longer fulfils the conditions for the entry
to or stay in the territory of the Member States.
3.           The entry/exit record
shall indicate the grounds for extending the duration of an authorised stay.
4.           When a person has departed
or been removed from the territories of the Member States pursuant to a
decision, as referred to in paragraph 2(b), the competent authority shall enter
the data in accordance with Article 13 in the entry/exit record of that
specific entry.
Article 15
Use of data for verification at the external borders
1.           Border authorities shall
have access to the EES for consulting the data to the extent the data is
required for the performance of border control tasks.
2.           For the purposes referred
to in paragraph 1, the border authorities shall have access to search with the
data referred to in Article 11(1)(a) in combination with some or all of the
following data: 
–     
the data referred to in Article 11(1)(b);
–     
the data referred to in Article 11(1)(c);
–     
the visa sticker number referred to in Article 11(1)(d);
–     
the data referred to in Article 11(2)(a);
–     
the Member State and border crossing point of
entry or exit;
–     
the data referred to in Article 12.
CHAPTER
III
Entry of data and use of the EES by other authorities 
Article 16
Use of the EES for examining and deciding on visa applications
1.           Visa authorities shall
consult the EES for the purposes of the examination of visa applications and
decisions relating to those applications, including decisions to annul, revoke
or extend the period of validity of an issued visa in accordance with the
relevant provisions of the Visa Code.
2.           For the purposes referred
to in paragraph 1, the visa authority shall be given access to search with one
or several of the following data:
(a)          the data referred to in Article 11(1)(a),
(b) and (c);
(b)          the visa sticker number,
including the three letter code of the issuing Member State referred to in
Article 11(1)(d);          
(c)          the data referred to in Article 12.
3.           If the search with the
data listed in paragraph 2 indicates that data on the third country national
are recorded in the EES, visa authorities shall be given access to consult the
data of the individual file of that person and the entry/exit records linked to
it solely for the purposes referred to in paragraph 1.
Article 17 
Use of the EES for examining applications for access to the RTP
1.           The competent authorities
refered to in Article 4 of Regulation COM(2013)97 final shall consult the EES
for the purposes of the examination of RTP applications and decisions relating
to those applications, including decisions to refuse, revoke or extend the
period of validity of access to the RTP in accordance with the relevant
provisions of that Regulation.
2.           For the purposes referred
to in paragraph 1, the competent authority shall be given access to search with
one or several of the data referred to in Article 11(1)(a), (b) and (c). 
3.           If the search with the data
listed in paragraph 2 indicates that data on the third country national are
recorded in the EES, the competent authority shall be given access to consult
the data of the individual file of that person and the entry/exit records
linked to it solely for the purposes referred to in paragraph 1.
Article 18
Access to data for verification within the territory of the Member States 
1.           For the purpose of
verifying the identity of the third country national and/or whether the
conditions for entry to or stay on the territory of the Member States are
fulfilled, the competent authorities of the Member States, shall have access to
search with the data referred to in Article 11(1)(a), (b) and (c), in combination
with fingerprints refered to in Article 12.
2.           If the search with the
data listed in paragraph 1 indicates that data on the third country national is
recorded in the EES, the competent authority shall be given access to consult
the data of the individual file of that person and the entry/exit record(s)
linked to it solely for the purposes referred to in paragraph 1.
Article 19
Access to data for identification
1.           Solely for the purpose of the
identification of any person who may not, or may no longer, fulfil the
conditions for entry to, stay or residence on the territory of the Member
States, the authorities competent for carrying out checks at external border
crossing points in accordance with the Schengen Borders Code or within the
territory of the Member States as to whether the conditions for entry to, stay
or residence on the territory of the Member States are fulfilled, shall have
access to search with the fingerprints of that person.
2.           If the search with the
data listed in paragraph 1 indicates that data on the person are recorded in
the EES, the competent authority shall be given access to consult the data of
the individual file and the linked entry/exit records), solely for the purposes
referred to in paragraph 1.
CHAPTER
IV
Retention and amendment of the data
Article 20
 Retention period for data storage
1.           Each entry/exit record
shall be stored for a maximum of 181 days.
2.           Each individual file
together with the linked entry/exit record(s) shall be stored in the EES for a
maximum of 91 days after the last exit record, if there is no entry record
within 90 days following that last exit record. 
3.           By way of derogation from
paragraph 1, if there is no exit record following the date of expiry of
the authorised period of stay, the data shall be stored for a maximum period of
five years following the last day of the authorised stay. 
Article 21
Amendment of data
1.           The competent authorities
of the Member States designated in accordance with Article 7 shall have the
right to amend data which has been introduced into the EES, by correcting or
deleting such data in accordance with this Regulation.
2            The information on persons
referred to in Article 10(2) shall be deleted without delay where the
third-country national provides evidence in accordance with the national law of
the Member State responsible, that he or she was forced to exceed the
authorised duration of stay due to unforeseeable and serious event, that he or
she has acquired a legal right to stay or in case of errors. The third-country
national shall have access to an effective judicial remedy to ensure the data
is amended. 
Article 22
Advance data deletion
Where, before expiry of the period referred
to in Article 20, a third country national has acquired the nationality of a
Member State, or has fallen under the derogation of Article
3(2), the individual file and the records linked to it in accordance with Articles
11 and 12, shall be deleted without delay from the EES by the Member State the nationality
of which he or she has acquired or the Member State that issued the residence
card. The individual shall have access to an effective judicial remedy to
ensure the data is deleted.
CHAPTER
V
Development, Operation and Responsibilities
Article 23
Adoption of implementation measures by the Commission
prior to development
              The Commission shall
adopt the following measures necessary for the development and technical
implementation of the Central System, the Uniform Interfaces, and the
Communication Infrastructure including specifications with regard to: 
(a)         
the specifications for the resolution and use of
fingerprints for biometric verification in the EES; 
(b)         
the design of the physical architecture of the
system including its communication infrastructure;
(c)         
entering the data in accordance with Article 11
and 12; 
(d)         
accessing the data in accordance with Articles
15 to 19;
(e)         
keeping, amending, deleting and advance deleting
of data in accordance with Articles 21 and 22;
(f)           
keeping and accessing the records in accordance
with Article 30; 
(g)         
performance requirements.
Those implementing acts shall be adopted in
accordance with the procedure referred to in Article 42.
The technical specifications and their
evolution as regards the Central Unit, the Back-up Central Unit, the Uniform Interfaces,
and the Communication Infrastructure shall be defined by the Agency after
receiving a favorable opinion of the Commission.
Article 24
Development and operational management
1.           The Agency shall be
responsible for the development of the Central Unit, the Back-Up Central Unit,
the Uniform Interfaces including the Network Entry Points and the Communication
Infrastructure. 
The Central Unit, the Back-up Central Unit, the
Uniform Interfaces, and the Communication Infrastructure shall be developed and
implemented by the Agency as soon as possible after entry into
force of this Regulation and adoption by the Commission of the measures provided
for in Article 23(1).
The development shall consist of the
elaboration and implementation of the technical specifications, testing and
overall project coordination. 
2.           The Agency shall be
responsible for the operational management of the Central Unit, the Back-Up
Central Unit, and the Uniform Interfaces. It shall ensure, in cooperation with
the Member States at all times the best available technology, subject to a
cost-benefit analysis.
The Agency shall also be responsible for the
operational management of the Communication Infrastructure between the Central
system and the Network Entry Points.
Operational management of the EES shall consist
of all the tasks necessary to keep the EES functioning 24 hours a day, 7 days a
week in accordance with this Regulation, in particular the maintenance work and
technical developments necessary to ensure that the system functions at a satisfactory
level of operational quality, in particular as regards the time required for
interrogation of the central database by border crossing points, which should
be as short as possible.
3.           Without prejudice to
Article 17 of the Staff Regulations of Officials of the European Union, the Agency
shall apply appropriate rules of professional secrecy or other equivalent
duties of confidentiality to its entire staff required to work with EES data.
This obligation shall also apply after such staff leave office or employment or
after the termination of their activities.
Article 25
National Responsibilities
1.           Each Member State shall be
responsible for:
(a)          the development of the National
System and the connection to the EES;
(b)          the organisation, management,
operation and maintenance of its National System; and
(c)          the management and arrangements
for access of duly authorised staff of the competent national authorities to
the EES in accordance with this Regulation and to establish and regularly
update a list of such staff and their profiles.
2.           Each Member State shall
designate a national authority, which shall provide the access of the competent
authorities referred to in Article 7 to the EES, and connect that national
authority to the Network Entry Point.
3.           Each Member State shall
observe automated procedures for processing the data.
4.           Before being authorised to
process data stored in the EES, the staff of the authorities having a right to
access the EES shall be given appropriate training about data security and data
protection rules.
5.           Costs incurred by the National
System as well as by hosting the National Interface shall be borne by the Union
budget.
Article 26
Responsibility for the use of data
1.           Each Member State shall
ensure that the data recorded in the EES is processed lawfully, and in particular
that only duly authorised staff have access to the data for the performance of their
tasks in accordance with Articles 15 to 19 of this Regulation. The Member State
responsible shall ensure in particular that:
(a)          the data is collected lawfully;
(b)          the data is registered lawfully into
the EES;
(c)          the data is accurate and
up-to-date when it is transmitted to the EES.
2.           The Agency shall ensure
that the EES is operated in accordance with this Regulation and the implementing
acts referred to in Article 23. In particular, the Agency shall:
(a)          take the necessary measures to
ensure the security of the Central System and the communication infrastructure
between the Central System and the Network Entry Points, without prejudice to
the responsibilities of each Member State;
(b)          ensure that only duly authorised
staff has access to data processed in the EES for the performance of the tasks
of the Agency in accordance with this Regulation.
3.           The Agency shall inform
the European Parliament, the Council and the Commission of the measures it
takes pursuant to paragraph 2 for the start of operations of the EES.
Article 27
Communication of data to third countries, international organisations and
private parties
1.           Data stored in the EES
shall not be transferred or made available to a third country, to an
international organisation or any private party. 
2.           By way of derogation from
paragraph 1, the data referred to in Article 11(1)(a), (b) and (c) and Article
12 (1) may be transferred or made available to a third country or to an
international organisation listed in the Annex if necessary in individual cases
for the purpose of proving the identity of third-country nationals, including
for the purpose of return, only where the following conditions are satisfied:
(a)          the Commission has adopted
a decision on the adequate protection of personal data in that third country in
accordance with Article 25(6) of Directive 95/46/EC, or a readmission agreement
is in force between the Community and that third country, or Article 26(1)(d)
of Directive 95/46/EC applies;
(b)          the third country or
international organisation agrees to use the data only for the purpose for
which they were provided;
(c)          the data are transferred
or made available in accordance with the relevant provisions of Union law, in
particular readmission agreements, and the national law of the Member State
which transferred or made the data available, including the legal provisions
relevant to data security and data protection; and
(d)          the Member State which
entered the data in the EES has given its consent.
3.           Transfers of personal data
to third countries or international organisations pursuant to paragraph 2 shall
not prejudice the rights of refugees and persons requesting international
protection, in particular as regards non-refoulement.
Article 28
Data security 
1.           The Member State
responsible shall ensure the security of the data before and during the
transmission to the Network Entry Point. Each Member State shall ensure the
security of the data it receives from the EES.
2.           Each Member State shall,
in relation to its National System, adopt the necessary measures,
including a security plan, in order to:
(a)          physically protect data,
including by making contingency plans for the protection of critical
infrastructure;
(b)          deny unauthorised persons access
to national installations in which the Member State carries out operations in
accordance with the purposes of the EES (checks at entrance to the
installation);
(c)          prevent the unauthorised reading,
copying, modification or removal of data media (data media control);
(d)          prevent the unauthorised input of
data and the unauthorised inspection, modification or deletion of stored
personal data (storage control);
(e)          prevent the unauthorised
processing of data in the EES and any unauthorised modification or deletion of
data processed in the EES (control of data entry);
(f)           ensure that persons authorised
to access the EES have access only to the data covered by their access
authorisation, by means of individual user identities and confidential access
modes only (data access control);
(g)          ensure that all authorities with
a right of access to the EES create profiles describing the functions and
responsibilities of persons who are authorised to enter, amend, delete, consult
and search the data and make their profiles available to the supervisory
authorities without delay at their request (personnel profiles);
(h)          ensure that it is possible to
verify and establish to which bodies personal data may be transmitted using
data communication equipment (communication control);
(i)           ensure that it is possible to
verify and establish what data has been processed in the EES, when, by whom and
for what purpose (control of data recording); 
(j)           prevent the unauthorised
reading, copying, modification or deletion of personal data during the
transmission of personal data to or from the EES or during the transport of
data media, in particular by means of appropriate encryption techniques
(transport control);
(k)          monitor the effectiveness of the
security measures referred to in this paragraph and take the necessary
organisational measures related to internal monitoring to ensure compliance with this Regulation (self-auditing).
3.           The Agency shall take the
necessary measures in order to achieve the objectives set out in paragraph 2 as
regards the operation of the EES, including the adoption of a security plan.
Article 29
Liability
1.           Any person who, or Member
State which, has suffered damage as a result of an unlawful processing
operation or any act incompatible with this Regulation shall be entitled to
receive compensation from the Member State which is responsible for the damage
suffered. That State shall be exempted from its liability, in whole or in part,
if it proves that it is not responsible for the event giving rise to the
damage.
2.           If any failure of a Member
State to comply with its obligations under this Regulation causes damage to the
EES, that Member State shall be held liable for such damage, unless and insofar
as the Agency or another Member State participating in EES failed to take
reasonable measures to prevent the damage from occurring or to minimise its
impact.
3.           Claims for compensation
against a Member State for the damage referred to in paragraphs 1 and 2 shall
be governed by the provisions of national law of the defendant Member State.
Article 30
Keeping of records
1.           Each Member State and the Agency
shall keep records of all data processing operations within the EES. These
records shall show the purpose of access referred to in Article 7, the date and
time, the type of data transmitted as referred to in Article 11 to 14, the type
of data used for interrogation as referred to in Articles 15 to 19 and the name
of the authority entering or retrieving the data. In addition, each Member State
shall keep records of the staff duly authorised to put in or retrieve the data.
2.           Such records may be used
only for the data protection monitoring of the admissibility of data processing
as well as to ensure data security. The records shall be protected by
appropriate measures against unauthorised access and deleted after a period of
one year after the retention period referred to in Article 20 has been expired,
if they are not required for monitoring procedures which have already begun.
Article 31
Self-monitoring
Member States shall ensure that each
authority entitled to access EES data takes the measures necessary to comply
with this Regulation and cooperates, where necessary, with the supervisory authority.
Article 32
Penalties
Member States shall take the necessary
measures to ensure that any misuse of data entered in the EES is punishable by
penalties, including administrative and/or criminal penalties in accordance
with national law, that are effective, proportionate and dissuasive. 
CHAPTER
VI
Rights and supervision on data protection
Article 33
Right of information
1.           Persons whose data are
recorded in the EES shall be informed of the following by the Member State
responsible:
(a)          the identity of the controller
referred to in Article 37(4);
(b)          the purposes for which the data
will be processed within the EES;
(c)          the categories of recipients of
the data;
(d)          the data retention period;
(e)          that the collection of the data
is mandatory for the examination of entry conditions;
(f)           the existence of the right of
access to data relating to them, the right to request that inaccurate data
relating to them be corrected or that unlawfully processed data relating to
them be deleted, including the right to receive information on the procedures
for exercising those rights and contact details of the national supervisory
authorities, or of the European Data Protection Supervisor if applicable, which
shall hear claims concerning the protection of personal data.
2.           The information referred
to in paragraph 1 shall be provided in writing. 
Article 34
Right of access, correction and deletion
1.           Without prejudice to the
obligation to provide other information in accordance with Article 12(a) of
Directive 95/46/EC, any person shall have the right to obtain communication of
the data relating to him or her recorded in the EES and of the Member State
which transmitted it to the EES. Such access to data may be granted only by a
Member State. Each Member State shall record any requests for such access.
2.           Any person may request that
data relating to him or her which is inaccurate be corrected and that data
recorded unlawfully be deleted. The correction and deletion shall be carried
out without delay by the Member State responsible, in accordance with its laws,
regulations and procedures.
3.           If the request as provided
for in paragraph 2 is made to a Member State, other than the Member State
responsible, the authorities of the Member State to which the request has been
lodged shall contact the authorities of the Member State responsible within a
time limit of 14 days. The Member State responsible shall check the accuracy of
the data and the lawfulness of its processing in the EES within a time limit of
one month.
4.           In the event that data
recorded in the EES are inaccurate or have been recorded unlawfully, the Member
State responsible shall correct or delete the data in accordance with Article 21.
The Member State responsible shall confirm in writing to the person concerned
without delay that it has taken action to correct or delete data relating to
him.
5.           If the Member State
responsible does not agree that data recorded in the EES is inaccurate or has
been recorded unlawfully, it shall explain in writing to the person concerned
without delay why it is not prepared to correct or delete data relating to him.
6.           The Member State
responsible shall also provide the person concerned with information explaining
the steps which he can take if he does not accept the explanation provided.
This shall include information on how to bring an action or a complaint before
the competent authorities or courts of that Member State and any assistance,
including from the supervisory authorities that is available in accordance with
the laws, regulations and procedures of that Member State.
Article 35
Cooperation to ensure the rights on data protection
1.           The Member States shall
cooperate actively to enforce the rights laid down in Article 34.
2.           In each Member State, the
supervisory authority shall, upon request, assist and advise the person
concerned in exercising his/her right to correct or delete data relating to
him/her in accordance with Article 28(4) of Directive 95/46/EC.
3.           The supervisory authority
of the Member State responsible which transmitted the data and the supervisory
authorities of the Member States to which the request has been lodged shall
cooperate to this end. 
Article 36
Remedies
1.           In each Member State any
person shall have the right to bring an action or a complaint before the
competent authorities or courts of that Member State which refused the right of
access to or the right of correction or deletion of data relating to him,
provided for in Article 35.
2.           The assistance of the
supervisory authorities shall remain available throughout the proceedings.
Article 37
Supervision by the supervisory authority
1.           The supervisory authority
shall monitor the lawfulness of the processing of personal data, referred to in
Articles 11 to 14 by the Member State in question, including their transmission
to and from the EES.
2.           The supervisory authority shall
ensure that an audit of the data processing operations in the National System
is carried out in accordance with relevant international auditing standards at
least every four years. 
3.           Member States shall ensure
that their supervisory authority has sufficient resources to fulfil the tasks
entrusted to it under this Regulation.
4.           In relation to the
processing of personal data in the EES, each Member State shall designate the
authority which is to be considered as controller in accordance with Article
2(d) of Directive 95/46/EC and which shall have central responsibility for the
processing of data by this Member State. Each Member State shall communicate
this authority to the Commission.
5.           Each Member State shall
supply any information requested by the supervisory authorities and shall, in
particular, provide them with information on the activities carried out in
accordance with Article 28 and grant them access to their records as referred
to in Article 30 and allow them access at all times to all their premises.
Article 38
Supervision by the European Data Protection Supervisor
1.           The European Data
Protection Supervisor shall check that the personal data processing activities
of the Agency are carried out in accordance with this Regulation. The duties and
powers referred to in Articles 46 and 47 of Regulation (EC) No 45/2001 shall
apply accordingly.
2.           The European Data
Protection Supervisor shall ensure that an audit of the Agency's personal data
processing activities is carried out in accordance with relevant international
auditing standards at least every four years. A report of such audit shall be
sent to the European Parliament, the Council, the Agency, the Commission and
the supervisory authorities. The Agency shall be given an opportunity to make comments
before the report is adopted.
3.           The Agency shall supply
information requested by the European Data Protection Supervisor, give him/her
access to all documents and to its records referred to in Article 30 and allow
him/her access to all its premises, at any time. 
Article 39
Cooperation between supervisory authorities 
and the European Data Protection Supervisor
1.           The supervisory authorities
and the European Data Protection Supervisor, each acting within the scope of
their respective competences, shall actively cooperate within the framework of
their responsibilities and shall ensure coordinated supervision of the EES and
the National Systems.
2.           They shall, each acting
within the scope of their respective competences, exchange relevant information,
assist each other in carrying out audits and inspections, examine difficulties
over the interpretation or application of this Regulation, study problems with
the exercise of independent supervision or with the exercise of the rights of
the data subject, draw up harmonised proposals for joint solutions to any
problems and promote awareness of data protection rights, as necessary.
3.           The supervisory authorities
and the European Data Protection Supervisor shall meet for that purpose at
least twice a year. The costs of these meetings shall be borne by the European
Data Protection Supervisor. Rules of procedure shall be adopted at the first
meeting. Further working methods shall be developed jointly as necessary. 
4.           A joint report of
activities shall be sent to the European Parliament, the Council, the
Commission and the Agency every two years. This report shall include a chapter
of each Member State prepared by the supervisory authority of that Member
State.
CHAPTER
VII
Final provisions
Article 40
Use of data for reporting and statistics
1.           The duly authorised staff
of the competent authorities of Member States, of the Agency and of Frontex
shall have access to consult the following data, solely for the purposes of
reporting and statistics without allowing individual identification: 
(a)          status information;
(b)          nationality of the third country
national;
(c)          Member State, date and border
crossing point of the entry and Member State, date and border crossing point of
the exit;
(d)          the type of the travel document;
(e)          number of overstayers referred to
in Article 10;
(f)           the data entered in respect of
any stay revoked or whose validity is extended; 
(g)          the authority that issued the
visa, if applicable;
(h)          the number of persons exempt from
the requirement to give fingerprints pursuant to Article 12(2) and (3).
Article 41
Start of operations
1.           The Commission shall
determine the date from which the EES is to start operations, after the
following conditions are met: 
(a)          the measures referred to in
Article 23 have been adopted;
(b)          the Agency has declared the
successful completion of a comprehensive test of the EES, which shall be
conducted by the Agency in cooperation with the Member States, and; 
(c)          the Member States have validated the
technical and legal arrangements to collect and transmit the data referred to
in Articles 11 to 14 to the EES and have notified them to the Commission. 
2.           The Commission shall
inform the European Parliament of the results of the test carried out pursuant
to paragraph 1(b).
3.           The Commission decision
referred to in paragraph 1 shall be published in the Official Journal.
Article 42
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.
2.           Where reference is made to
this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Article 43
Notifications
1.         Member States shall notify the
Commission of:
(a)          the authority which is to be
considered as controller referred to in Article 37;
(b)          the necessary technical and legal
arrangements referred to in Article 41.
2.           Member States shall notify the
Agency of the competent authorities which have access to enter, amend, delete,
consult or search data, referred to in Article 7.
3.           The Agency shall notify
the Commission of the successful completion of the test referred to in Article 41
paragraph 1 (b).
The Commission shall make the information notified
pursuant to paragraph 1(a) available to the Member States and the public via a
constantly updated electronic public register. 
Article 44
Advisory group 
An Advisory Group shall be established by the
Agency and provide it with the expertise related to the EES in particular in
the context of the preparation of its annual work programme and its annual
activity report. 
Article 45
 Training 
The Agency shall perform tasks related to
training referred to in Article 25 (4). 
Article 46
Monitoring and evaluation
1.           The Agency shall ensure
that procedures are in place to monitor the functioning of the EES against objectives
relating to the technical output, cost-effectiveness, security and quality of
service.
2.           For the purposes of
technical maintenance, the Agency shall have access to the necessary
information relating to the data processing operations performed in the EES.
3.           Two years after the start
of operations of the EES and every two years thereafter, the Agency shall
submit to the European Parliament, the Council and the Commission a report on
the technical functioning of EES, including the security thereof.
4.           Two years after the EES is
brought into operation and every four years thereafter, the Commission shall
produce an overall evaluation of the EES. This overall evaluation shall include
an examination of results achieved against objectives, an assessement of the
continuing validity of the underlying rationale, the application of the
Regulation, the security of the EES and any implications on future operations.
The Commission shall transmit the evaluation report to the European Parliament
and the Council.
5.           The first evaluation shall
specifically examine the contribution the entry-exit system could make in the
fight against terrorist offences and other serious criminal offences and will
deal with the issue of access for law enforcement purposes to the information
stored in the system, whether, and if so, under which conditions such access
could be allowed, whether the data retention period shall be modified and
whether access to authorities of third countries shall be granted, taking into
account the operation of the EES and the results of the implementation of the
VIS.
6.           Member States shall
provide the Agency and the Commission with the information necessary to draft
the reports referred to in paragraphs 3 and 4 according to the quantitative indicators
predefined by the Commission and/or the Agency.
7.           The Agency shall provide
the Commission with the information necessary to produce the overall
evaluations referred to in paragraphs 4 and 5.
Article 47
Entry into force and applicability
1.           This Regulation shall
enter into force on the twentieth day following that of its publication in the Official
Journal of the European Union.
2.           It shall apply from the
date referred to in the first paragraph of Article 41.
3.           Articles 23 to 25, 28 and 41
to 45 shall apply as from the date referred to in paragraph 1.
This Regulation shall be binding
in its entirety and directly applicable in the Member States in accordance with
the Treaties.
Done at Brussels, 
For the European Parliament                       For
the Council
The President                                                 The
President 
Annex
List of international organisations referred to in Article 27 (2)
1.         UN organisations (such as
UNHCR);
2.         International Organization for
Migration (IOM);
3.         The International Committee of
the Red Cross. 
LEGISLATIVE FINANCIAL STATEMENT
FOR PROPOSALS
1.           FRAMEWORK OF THE PROPOSAL/INITIATIVE 
              1.1.    Title of the proposal/initiative 
              1.2.    Policy
area(s) concerned in the ABM/ABB structure
              1.3.    Nature
of the proposal/initiative 
              1.4.    Objective(s)

              1.5.    Grounds
for the proposal/initiative 
              1.6.    Duration
and financial impact 
              1.7.    Management
method(s) envisaged 
2.           MANAGEMENT MEASURES 
              2.1.    Monitoring
and reporting rules 
              2.2.    Management
and control system 
              2.3.    Measures
to prevent fraud and irregularities 
3.           ESTIMATED FINANCIAL IMPACT OF THE
PROPOSAL/INITIATIVE 
              3.1.    Heading(s)
of the multiannual financial framework and expenditure budget line(s) affected 
              3.2.    Estimated
impact on expenditure 
              3.2.1. Summary of
estimated impact on expenditure 
              3.2.2. Estimated impact
on operational appropriations 
              3.2.3. Estimated impact
on appropriations of an administrative nature
              3.2.4. Compatibility
with the current multiannual financial framework
              3.2.5. Third-party
participation in financing 
              3.3.    Estimated impact on revenue
LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS

1.                      
FRAMEWORK OF THE PROPOSAL/INITIATIVE 
1.1.                
Title of the proposal/initiative

Regulation of the European Parliament and of the Council
establishing the Entry/Exit System (EES) to register entry and exit data of
third country nationals crossing the external borders of the Member States of
the European Union subject to the adoption by the Legislative Authority of the
proposal establishing, as part of the Internal Security Fund, the instrument
for financial support for external borders and visa (COM(2011)750) and subject
to the adoption by the Legislative Authority of the proposal for a Council
Regulation laying down the multiannual financial framework for the years
2014-2020 (COM(2011)398) and a sufficient level of resources being available
under the expenditure ceiling of the pertinent budget heading.

1.2.                
Policy area(s) concerned in the ABM/ABB
structure[35] 

Policy area: Area of Home Affairs (title 18)

1.3.                
Nature of the proposal/initiative 

x The
proposal/initiative relates to a new action 
¨ The
proposal/initiative relates to a new action following a pilot
project/preparatory action[36]

¨ 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.                
Objectives
1.4.1.          
The Commission's multiannual strategic
objective(s) targeted by the proposal/initiative 

The Stockholm Programme agreed by the European Council in December
2009 reaffirmed the potential for an Entry/Exit System (EES) allowing Member
States to share data effectively while safeguarding data protection. The
proposal to set up an EES was therefore included in the Action Plan
Implementing the Stockholm Programme. Financing of the development of the Smart
Borders package is one of the priorities of the Internal Security Fund (ISF)[37]. 

1.4.2.          
Specific objective(s) and ABM/ABB activity(ies) concerned 

The EES shall have the purpose of improving the management of the
external borders and the fight against irregular immigration in order:
to register entry and exit records of third-country nationals
admitted for a short stay; 
to calculate and monitor the duration of the authorised stay of
third-country nationals admitted for a short stay;
to gather statistics on the entries and exits of third country
nationals for the purpose of analysis.
ABM/ABB activity(ies) concerned
Activities: Solidarity – External borders, return, visa policy and
free movement of people (chapter 18.02)

1.4.3.          
Expected result(s) and impact

Specify the effects
which the proposal/initiative should have on the beneficiaries/groups targeted.
It will generate precise information on overstayers for all
competent authorities in the Member States, which will help to apprehend and
return irregular immigrants and thereby counteract irregular immigration in
general.
It will provide precise information on the number of persons
crossing the external border of the EU each year, further broken down by
nationality and place of border crossing. The same detailed information will be
provided specifically on overstayers, which will provide a much stronger
evidence base as to whether nationals of a given third country should be
subject to the visa obligation or not.
It will provide key data for the purposes of examining the
applications of third-country nationals for the Registered Traveller Programme
(RTP) (new and subsequent ones). In addition, it will give the competent
authorities the information needed to ensure that third-country nationals
benefitting from access to the RTP comply fully with all the necessary
conditions, including the respect for the duration of the authorised
stay. 
It will permit the verification by the authorities that regular
travellers holding multiple-entry visas do not overstay in the Schengen area.

1.4.4.          
Indicators of results and impact 

Specify the indicators
for monitoring implementation of the proposal/initiative.
During the development
After the approval of the draft proposal and the adoption of the
technical specifications the technical system will be developed by an external
contractor. The development of the systems will take place at central and
national level under the overall coordination of the IT Agency. The IT Agency
will define an overall governance framework in cooperation with all the
stakeholders. As usual in the development of such systems an overall Project
Management Plan, together with a Quality Assurance Plan will be defined at the
beginning of rhe project. They should include dashboards that will include
specific indicators related in particular to
          The overall project status
the timely development according to the agreed
schedule (milestones), the risk management,the management of resources ( human
and financial) according to the agreed allocations the organisational
readiness…
Once the system is operational
According to Article 46 on monitoring and evaluation
"3.      Two years after the start of operations of the EES and
every two years thereafter, the Agency shall submit to the European Parliament,
the Council and the Commission a report on the technical functioning of EES,
including the security thereof.
4.       Two years after the EES is brought into operation and every
four years thereafter, the Commission shall produce an overall evaluation of
the EES. This overall evaluation shall include an examination of results
achieved against objectives, an assessement of the continuing validity of the
underlying rationale, the application of the Regulation, the security of the EES
and any implications on future operations. The Commission shall transmit the
evaluation report to the European Parliament and the Council"
Of particular importance for that evaluation would be the indicators
related to the number of overstayers and data on the border crossing time,
where for the latter information would be gathered from experiences from the
VIS also, as well as an in-depth analysis of the necessity of giving access to
data for law enforcement purposes. The Commission should submit the reports on
the evaluation to the European Parliament and the Council. 
Specific objective: To enhance the
efficiency of border checks through monitoring of the rights to authorised stay
at entry and exit, and to improve the assessment of the risk of overstay;
Indicator: Processing time at the border
crossing points
Numbers of overstayers identified at border crossing points
System availability
Specific objective: To generate reliable
information to allow the EU and Member States to make informed policy choices
concerning visa and migration;
Indicator: Number of alerts on
overstayers by category visa-required/visa-exempt, by type of border
land/sea/air, by Member State, by country of origin/nationality
Specific objective: To identify and
detect irregular immigrants, especially overstayers, also within the territory
and to increase the possibilities for return;
Indicator: Numbers of alerts leading to
the apprehension of overstayers
Specific objective: To safeguard the
fundamental rights, especially protection of personal data and right to
privacy, of third country nationals.
Indicator: Number of false matches of
entry/exit records
Number of complaints by individuals to national data protection
authorities

1.5.                
Grounds for the proposal/initiative
1.5.1.          
Requirement(s) to be met in the short or long
term 

Irregular immigration into the EU poses a challenge to every Member
State. The vast majority are "overstayers", persons having legally
entered the European Union but stayed after their entitlement to do so had
expired. EU law stipulates that third-country nationals have, as a general
rule, the right to enter for a short-stay of up to three months per six months
period.
The EES will be an instrument providing the European Union with
basic information on the third country nationals entering and leaving the
territory of the EU. This information is indispensable to shape sustainable and
reasonable policies in the field of migration and visa. The current system of
stamps in the passport poses a problem not only for enforcement but also in
terms of informing persons of their rights, for example, the exact number of
days they are entitled to remain in the Schengen area, following a series of
stays lasting a few days each. Moreover, as long as data are not recorded
elsewhere than the passport, sharing of data between Member States is
physically impossible. It also means that such data would not be available in
case the stamped travel documents are replaced or lost.
The EES will allow to calculate the duration of the stay of third
country nationals (TCN) and to verify if someone is overstaying, also when
carrying out checks within the Schengen area. Currently the stamping of the
travel document indicating the dates of entry and exit is the sole instrument
available to border guards and immigration authorities. The time a TCN has
spent in the Schengen area is calculated based on the stamps, which are however
often difficult to interpret; they may be illegible or the target of
counterfeiting. Exact calculation of time spent in the Schengen area on the
basis of stamps in the travel documents is thus both time-consuming and
difficult.

1.5.2.          
Added value of EU involvement

No Member State is able to build up a common, interoperable
entry/exit system alone. As all activities linked to the managemement of
migration flows and security threats it is an area where there is obvious added
value in mobilising the EU budget. 
The abolition of internal border controls must be accompanied by
common measures for the effective control and surveillance of the Union's
external borders. Some Member States bear a heavy burden due to their specific
geographic situation and the length of the external borders of the Union that
they have to manage. The entry conditions and border checks for third-country
nationals are harmonised through EU law. As persons may enter the Schengen area
at a border crossing point in a Member State where a national register of
entries/exits is used, but exit through a border crossing point where no such
system is used no action can be achieved by the Member States acting alone but
only at EU level.

1.5.3.          
Lessons learned from similar experiences in the
past

The experience with the development of the second generation
Schengen Information System (SIS II) and of the Visa Information System (VIS)
showed the following lessons:
1) As a possible safeguard against cost overruns and delays
resulting from changing requirements, any new information system in the area of
freedom, security and justice, particularly if it involves a large-scale IT
system, will not be developed before the underlying legal instruments setting
out its purpose, scope, functions and technical details have been definitely
adopted.
2) It proved difficult to fund the national developments for Member
States that have not foreseen the respective activities in their multi-annual
programming or lack precision in their programming in the framework of the
External Border Fund (EBF). Therefore, it is now proposed to include these
development costs in the proposal. 

1.5.4.          
Coherence and possible synergy with other
relevant instruments

This proposal should be seen as part of the continuous development
of the Integrated Border Management Strategy of the European Union, and in
particular the Smart Borders Communication[38],
as well as in conjunction with the ISF borders proposal[39], as part of the MFF. The
legislative financial statement attached to the amended Commission proposal for
the Agency[40]
covers the costs for the existing IT systems EURODAC, SIS II, VIS but not for
the future border management systems that are not yet entrusted to the Agency
via a legal framework. Therefore, in the annex to the proposal for a Council
Regulation laying down the multi-annual financial framework for the years
2014-2020[41],
under heading 3 "Security and Citizenship" it is foreseen to cover
the existing IT systems in the rubrique 'IT systems' (822 mio €) and the future
border management systems in the rubrique 'Internal Security' (1.1 mio € out of
4.648 mio €). Within the Commission DG HOME is the Directorate General
responsible for the establishment of an area of free
movement in which persons can cross internal borders without being submitted to
border checks and external borders are controlled and managed coherently at the
EU level. The system has the following synergies with
the Visa Information System:
a) For visa holders, the Biometric Matching System will also be used
for the purpose of Entry/Exit;
b) the Entry/Exit System will complement the VIS. The VIS contains
only visa applications and issued visas, whereas for visa holders the EES will
store also concrete entry and exit data related to the issued visas;
c) There will also be synergies with the
RTP, as the entry and exit of the registered travellers will be recorded in the
EES, which will monitor the duration of their authorised stay within the
Schengen area. Without the EES, fully automated border crossings could not be
implemented for the registered travellers.In addition,
there is no risk of an overlap with similar initiatives carried out in other
DGs.

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 
x Proposal/initiative of unlimited
duration
–     
Preparatory period from 2013 to 2015
(establishment of the legal framework)
–     
Development period from 2015 to 2017,
–     
followed by full-scale operation.

1.7.                
Management mode(s) envisaged[42]

x Centralised direct management by the Commission
x Centralised indirect management with the delegation of implementation tasks to:
–     
¨  executive agencies 
–     
x bodies set up by the Communities[43]

–     
¨  national public-sector bodies/bodies with public-service mission 
–     
¨  persons entrusted with the implementation of specific actions
pursuant to Title V of the Treaty on European Union and identified in the
relevant basic act within the meaning of Article 49 of the Financial Regulation

¨ Shared management with the Member States 
¨ Decentralised management with third countries 
¨ Joint management with international organisations (to be specified)
If more than one
management mode is indicated, please provide details in the
"Comments" section.
Comments 
The
proposal for a Regulation of the European Parliament and of the Council
establishing, as part of the Internal Security Fund, the instrument for
financial support for external borders and visa for the period 2014-2020 (COM(2011)750),
foresees the financing of the development of the Entry/Exit System in its
Article 15. In accordance with Articles 58 1c) and 60 of the new Financial
Regulation (centralised indirect management) the implementing tasks of the
abovementioned financial programme will be delegated to the IT Agency.
During the
2015-2017 period, all development activities will be entrusted to the IT Agency
through a delegation agreement. This will cover the development part of all
strands of the project, i.e. Central system, Member States systems, networks
and infrastructure in Member States.
In 2017, at
the time of the mid term review, it is envisaged to transfer remaining credits
from the 513.000 Mio € to the IT Agency line for operation and maintenance
costs of the central system and of the network and to national programmes for
operation and maintenance costs of national systems including infrastructure
costs (see table below). The Legislative Financial Statement will be revised
accordingly by the end of 2016.
 Blocks || Management mode || 2015 || 2016 || 2017 || 2018 || 2019 || 2020 
 Development Central System || Indirect centralised || X || X || X ||   ||   ||   
 Development Member States || Indirect centralised || X || X || X ||   ||   ||   
 Maintenance Central System || Indirect centralised ||   ||   || X || X || X || X 
 Maintenance National Systems || Indirect centralised ||   ||   || X || X || X || X 
 Network (1) || Indirect centralised || X || X || X || X || X || X 
 Infrastructure Member States || Indirect centralised || X || X || X || X || X || X 
(1) network development in 2015-2017,
network operations in 2017-2020

2.                      
MANAGEMENT MEASURES
2.1.                
Monitoring and reporting rules 

Specify frequency
and conditions.
The rules on monitoring and evaluation of the EES are foreseen in
Article 46 of the EES proposal
Article 46       Monitoring and evaluation
1. The Agency shall ensure that procedures are in place to monitor
the functioning of the EES against objectives relating to the technical output,
cost-effectiveness, security and quality of service.
2. For the purposes of technical maintenance, the Agency shall have
access to the necessary information relating to the data processing operations
performed in the EES.
3. Two years after the start of operations of the EES and every two
years thereafter, the Agency shall submit to the European Parliament, the
Council and the Commission a report on the technical functioning of EES,
including the security thereof.
4. Two years after the EES is brought into operation and every four
years thereafter, the Commission shall produce an overall evaluation of the
EES. This overall evaluation shall include an examination of results achieved
against objectives, an assessment of the continuing validity of the underlying
rationale, the application of the Regulation, the security of the EES and any
implications on future operations. The Commission shall transmit the evaluation
report to the European Parliament and the Council.
5. The first evaluation shall specifically examine the contribution the
entry-exit system could make in the fight against terrorist offences and other
serious criminal offences and will deal with the issue of access for law
enforcement purposes to the information stored in the system, whether, and if
so, under which conditions such access could be allowed, whether the data
retention period shall be modified and whether access to authorities of third
countries shall be granted, taking into account the operation of the EES and
the results of the implementation of the VIS.
6. Member States shall provide the Agency and the Commission with
the information necessary to draft the reports referred to in paragraphs 3 and
4 according to the quantitative indicators predefined by the Commission and/or
the Agency.
7. The Agency shall provide the Commission with the information
necessary to produce the overall evaluations referred to in paragraph 4.

2.2.                
Management and control system 
2.2.1.          
Risk(s) identified 

1) Difficulties with the technical development of the system
Member States have technically different national IT systems.
Furthermore, border control processes may differ according to the local
circumstances (available space at the border crossing point, travel flows,
etc.). The EES needs to be integrated into national IT architecture and the
national border control processes. Additionally, the development of the national
components of the system needs to be fully aligned with central requirements.
There are two main risks identified in this area:
a) The risk that technical and legal aspects of the EES may be
implemented in different ways by different Member States, due to insufficient
coordination between the central and national sides.
b) The risk of inconsistency in how this future system is used
depending on how Member States implement the EES into the existing border
control processes.
2) Difficulties with the timely development
From the experience gained during the development of the VIS and the
SIS II, it can be anticipated that a crucial factor for a successful
implementation of the EES will be the timely development of the system by an
external contractor. As a center of excellence in the field of development and
management of large-scale IT systems, the IT Agency will also be responsible
for the award and management of contracts, in particular for sub-contracting
the development of the system. There are several risks related to the use of an
external contractor for this development work:
a) in particular, the risk that the contractor fails to allocate
sufficient resources to the project or that it designs and develops a system
that is not state-of-the-art;
b) the risk that administrative techniques and methods to handle
large-scale IT projects are not fully respected as a way of reducing costs by
the contractor;
c) finally, in the current economic crisis, the risk of the
contractor facing financial difficulties for reasons external to this project
cannot be entirely excluded.

2.2.2.          
Control method(s) envisaged 

1) The Agency is meant to become a center of excellence in the field
of development and management of large-scale IT systems. It shall be entrusted
with the development and the operations of the central part of the system
including uniform interfaces in the Member States. This will allow to avoid
most of the drawbacks that the Commission met when developing the SIS II and
the VIS.
During the development phase (2015-2017), the Commission will keep
the overall responsibility, as the project will be developed via indirect
central management. The Agency will be responsible for the technical and
financial management, notably the award and management of contracts. The delegation
agreement will cover the central part via procurements and the national part
via grants. According to Article 40 of the Implementing Rules, the Commission
will conclude an Agreement laying down the detailed arrangements for the
management and control of funds and the protection of the financial interests
of the Commission. Such agreement will include the provisions set out in
paragraph 2 of Article 40. It will thus enable the Commission to manage the
risks described in 2.2.1.
In the context of the mid-term review (foreseen in 2017 in the
framework of the Internal Security Fund, Article 15 of the Horizontal
Regulation) the management mode will be re-examined.
2) In order to avoid delays at national level, an efficient
governance between all stakeholders is foreseen. The Commission has proposed in
the draft Regulation that an Advisory Group composed of Member States national
experts shall provide the Agency with the expertise related to the EES/RTP.
This advisory group shall meet on a regular basis on the system implementation,
share gathered experience and provide advice to the Management Board of the
Agency. Furthermore, the Commission intends to recommend to Member States to
set up a national project infrastructure / project group for both the technical
and the operational development including a reliable communication
infrastructure with single points of contact.

2.3.                
Measures to prevent fraud and irregularities 

Specify existing or
envisaged prevention and protection measures.
The measures foreseen to combat fraud are laid down in Article 35 of
Regulation (EU) 1077/2011 which provides as follows: 
1.       In order to combat fraud, corruption and other unlawful
activities, Regulation (EC) No 1073/1999 shall apply.
2.       The Agency shall accede to the Interinstitutional Agreement
concerning internal investigations by the European Anti‑fraud Office
(OLAF) and shall issue, without delay, the appropriate provisions applicable to
all the employees of the Agency.
3.       The decisions concerning funding and the implementing agreements
and instruments resulting from them shall explicitly stipulate that the Court
of Auditors and OLAF may carry out, if necessary, on‑the‑spot
checks among the recipients of the Agency's funding and the agents responsible
for allocating it.
In accordance with this provision, the decision of the Management
Board of the European Agency for the operational management of large-scale IT
systems in the area of freedom, security and justice concerning the terms and
conditions for internal investigations in relation to the prevention of fraud,
corruption and any illegal activity detrimental to the Union's interests was
adopted on 28 June 2012.
Moreover, DG HOME is currently drafting its fraud prevention and
detection strategy.

3.                      
ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE
3.1.                
Heading(s) of the multiannual financial
framework and expenditure budget line(s) affected 

Via the delegation agreement the Agency will be
entrusted with the task to set up the appropriate tools at the level of its
local financial systems in order to guarantee an efficient monitoring,
follow-up and reporting of the costs linked to the implementation of the EES in
compliance with Article 60 of the new Financial Regulation. It will take the
appropriate measures, in order to be able to report whatever the final budget
nomenclature will be.
·      Existing expenditure budget lines 
In order of
multiannual financial framework headings and budget lines.
 Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution 
 Number [Description………………………...……….] || DA/NDA ([44]) || from EFTA[45] countries || from candidate countries[46] || from third countries || within the meaning of Article 21(2)(b) of the Financial Regulation 
   || [XX.YY.YY.YY]   || DA/ || YES/NO || YES/NO || YES/NO || YES/NO 
·                                 
New budget lines requested
In order of multiannual financial framework
headings and budget lines.
 Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution 
 Number [Heading……………………………………..] || Diff./non-diff. || from EFTA countries || from candidate countries || from third countries || within the meaning of Article 21(2)(b) of the Financial Regulation 
 3 || [18.02.CC] ISF borders || DA/ || NO || NO || YES || NO 

3.2.                
Estimated impact on expenditure 
3.2.1.          
Summary of estimated impact on expenditure 

EUR million (to 3 decimal places)
 Heading of multiannual financial framework: || 3 || Security and Citizenship 
 DG: HOME ||   ||   || Year 2015 || Year 2016 || Year 2017[47] || Year 2018 || Year 2019 || Year 2020 || Following years || TOTAL 
  Operational appropriations ||   ||   ||   ||   ||   ||   ||   ||   
 Number of budget line 18.02.CC || Commitments || (1) || 122.566 || 30.142 || 119.477 || 80.272 || 80.272 || 80.271 ||   || 513.000 
 Payments || (2) || 61.283 || 82.382 || 92.677 || 83.993 || 80.271 || 80.271 || 32.122 || 513.000 
 Number of budget line || Commitments || (1a) ||   ||   ||   ||   ||   ||   ||   ||   
 Payments || (2a) ||   ||   ||   ||   ||   ||   ||   ||   
 Appropriations of an administrative nature financed  from the envelop of specific programs[48] ||   ||   ||   ||   ||   ||   ||   ||   
 Number of budget line ||   || (3) ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL appropriations for DG HOME || Commitments || =1+1a +3 || 122.566 || 30.142 || 119.477 || 80.272 || 80.272 || 80.271 ||   || 513.000 
 Payments || =2+2a +3 || 61.283 || 82.382 || 92.677 || 83.993 || 80.271 || 80.271 || 32.122 || 513.000 
  TOTAL operational appropriations || Commitments || (4) ||   ||   ||   ||   ||   ||   ||   
 Payments || (5) ||   ||   ||   ||   ||   ||   ||   
  TOTAL appropriations of an administrative nature financed from the envelop of specific programs || (6) ||   ||   ||   ||   ||   ||   ||   
 TOTAL appropriations under HEADING <….> of the multiannual financial framework || Commitments || =4+ 6 ||   ||   ||   ||   ||   ||   ||   
 Payments || =5+ 6 ||   ||   ||   ||   ||   ||   ||   
If more than one heading is affected by the proposal /
initiative:
  TOTAL operational appropriations || Commitments || (4) ||   ||   ||   ||   ||   ||   ||   
 Payments || (5) ||   ||   ||   ||   ||   ||   ||   
  TOTAL appropriations of an administrative nature financed from the envelop of specific programs || (6) ||   ||   ||   ||   ||   ||   ||   
 TOTAL appropriations under HEADINGS 1 to 4 of the multiannual financial framework (Reference amount) || Commitments || =4+ 6 ||   ||   ||   ||   ||   ||   ||   
 Payments || =5+ 6 ||   ||   ||   ||   ||   ||   ||   
 Heading of multiannual financial framework: || 5 || " Administrative expenditure " 
EUR million (to 3 decimal places)
   ||   ||   || Year 2013 || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Follwing years || TOTAL 
 DG: HOME ||   ||   ||   || 
  Human resources || 0.254 || 0.254 || 0.254 || 0.190 || 0.190 || 0.190 || 0.191 || 0.191 ||   || 1.715 
  Other administrative expenditure || 0.201 || 0.201 || 0.201 || 0.200 || 0.200 || 0.200 || 0.200 || 0.200 ||   || 1.602 
 TOTAL DG HOME || Appropriations || 0.455 || 0.455 || 0.455 || 0.390 || 0.390 || 0.390 || 0.391 || 0.391 ||   || 3.317 
 TOTAL appropriations under HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) || 0.455 || 0.455 || 0.455 || 0.390 || 0.390 || 0.390 || 0.391 || 0.391 ||   || 3.317 
EUR million (to 3 decimal places)
   ||   ||   || Year 2013 || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Follwing years || TOTAL 
 TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments || 0.455 || 0.455 || 123.021 || 30.533 || 119.867 || 80.662 || 80.662 || 80.662 ||   || 516.317 
 Payments || 0.455 || 0.455 || 61.738 || 82.773 || 93.067 || 84.383 || 80.662 || 80.662 || 32.122 || 516.317 
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.

3.2.2.          
Estimated impact on operational appropriations 

–     
¨  The proposal/initiative does not require the use of operational
appropriations 
–     
x The proposal/initiative requires the use of operational
appropriations, as explained below:
Commitment appropriations in EUR million (to 3 decimal
places)
 Indicate objectives and outputs   ò ||   ||   || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || TOTAL ||
 ||
 Type of output[49] || Average cost of the ouput || Number of ouputs || Cost || Number of ouputs || Cost || Number of ouputs || Cost || Number of ouputs || Cost || Number of ouputs || Cost || Number of ouputs || Cost || Total number of ouputs || Total cost ||
 SPECIFIC OBJECTIVE No 1[50]: System Development (Central and National) ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||
 - Output || 1 || 122.566 || 1 || 30.142 || 1 || 43.143 ||   ||   ||   ||   ||   ||   || 1 || 195.851 ||
 Sub-total for specific objective N° 1[51] ||   || 122.566   ||   || 30.142 ||   || 43.143   ||   ||   ||   ||   ||   ||   ||   || 195.851   ||
 SPECIFIC OBJECTIVE No 2: System Operations (Central and National)   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||
 - Output ||   ||   ||   ||   || 1  || 76.334 ||  1 ||  80.271 ||   1 ||  80.272 ||  1 ||  80.272   || 1 || 317.149 ||
 Sub-total for specific objective N° 2[52] ||   ||   ||   ||   ||   || 76.334 ||   ||  80.271 ||   ||  80.272 ||   ||  80.272 ||   || 317.149 ||
 TOTAL COST || 1 || 122.566 ||  1 || 30.142 || 2 || 119.477 || 1 || 80.271 || 1 || 80.272 || 1 || 80.272 || 2 || 513.000 || 

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 administrative
appropriations 
–     
x The proposal/initiative requires the use of administrative
appropriations, as explained below:
EUR million (to 3
decimal places)
   || Year 2013 || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || TOTAL 
 HEADING 5 of the multiannual financial framework ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Human resources || 0.254 || 0.254 || 0.254 || 0.190 || 0.190 || 0.190 || 0.191 || 0.191 || 1.715 
 Other administrative expenditure || 0.201 || 0.201 || 0.201 || 0.200 || 0.200 || 0.200 || 0.200 || 0.200 || 1.602 
 Subtotal HEADING 5 of the multiannual financial framework || 0.455 || 0.455 || 0.455 || 0.390 || 0.390 || 0.390 || 0.391 || 0.391 || 3.317 
 Outside HEADING 5[53] of the multiannual financial framework ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Human resources ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Other expenditure of an administrative nature ||   ||   ||   ||   ||   ||   ||   ||   ||   
 Subtotal outside HEADING 5 of the multiannual financial framework ||   ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL || 0.455 || 0.455 || 0.455 || 0.390 || 0.390 || 0.390 || 0.391 || 0.391 || 3.317 

3.2.3.2.    
 Estimated requirements of human resources 

–     
¨  The proposal/initiative does not require the use of human
resources 
–     
x The proposal/initiative requires the use of human resources, as
explained below:
Estimate to be expressed in full time
equivalent units (or at most to one decimal place)
   || Year 2013 || Year 2014 || Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 
 ·         Establishment plan posts (officials and temporary agents) 
 XX 01 01 01 (Headquarters and Commission’s Representation Offices) || 2 || 2 || 2 || 1,5 || 1,5 || 1,5 || 1,5 || 1,5 
 XX 01 01 02 (Delegations) ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 05 01 (Indirect research) ||   ||   ||   ||   ||   ||   ||   ||   
 10 01 05 01 (Direct research) ||   ||   ||   ||   ||   ||   ||   ||   
 ·         External personnel (in Full Time Equivalent unit: FTE)[54] 
 XX 01 02 01 (CA, INT, SNE from the "global envelope") ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 02 02 (CA, INT, JED, LA and SNE in the delegations) ||   ||   ||   ||   ||   ||   ||   ||   
   XX 01 04 yy [55] || - at Headquarters[56] ||   ||   ||   ||   ||   ||   ||   ||   
 - in delegations ||   ||   ||   ||   ||   ||   ||   ||   
 XX 01 05 02 (CA, INT, SNE - Indirect research) ||   ||   ||   ||   ||   ||   ||   ||   
 10 01 05 02 (CA, INT, SNE - Direct research) ||   ||   ||   ||   ||   ||   ||   ||   
 Other budget lines (specify) ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL || 2 || 2 || 2 || 1,5 || 1,5 || 1,5 || 1,5 || 1,5 
XX is the
policy area or budget title concerned.
The human
resources required will be met by staff from the DG who are already assigned to
management of the action and/or have been redeployed within the DG, together if
necessary with any additional allocation which may be granted to the managing
DG under the annual allocation procedure and in the light of budgetary
constraints.
Description of tasks to be carried out:
 Officials and temporary agents || 2 during preparatory period from 2013 to 2015 1 administrator for the legislative negotiation, coordination of tasks with the Agency and supervision of the delegation agreement 0,5 administrator for supervision of financial activities and expertise on border control and technical matters 0,5 assistant for administrative and financial activities 1,5 during development period from 2016 to 2020 1 administrator for the follow-up of the delegation agreement (reports, preparation comitology, validation functional and technical specifications, supervision financial activities and coordination Agency), as well as expertise on border control and technical matters 0,5 assistant for administrative and financial activities 
 External personnel || 0 

3.2.4.          
Compatibility with the current multiannual
financial framework 

–     
x Proposal/initiative is compatible with the current and the next multiannual
financial framework.
–     
¨  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.
–     
¨  Proposal/initiative requires application of the flexibility
instrument or revision of the multiannual financial framework[57].
Explain what is required, specifying the
headings and budget lines concerned and the corresponding amounts.

3.2.5.          
Third-party contributions 

–     
x The proposal/initiative does not provide for co-financing by third
parties 
–     
¨ The proposal/initiative provides 
Appropriations in EUR million (to 3 decimal places)
   || Year N || Year N+1 || Year N+2 || Year N+3 || … enter as many years as necessary to show the duration of the impact (see point 1.6) || Total 
 Specify the co-financing body ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL appropriations cofinanced ||   ||   ||   ||   ||   ||   ||   ||   

3.3.                
Estimated impact on revenue

–     
¨  Proposal/initiative has no financial impact on revenue.
–     
x Proposal/initiative has the following financial impact:
                                                             
i.     
¨         on own resources 
                                                           
ii.     
x        on miscellaneous revenue 
EUR million (to 3 decimal places)
 Budget revenue line: || Appropriations available for the ongoing budget exercise || Impact of the proposal/initiative[58] 
 Year 2015 || Year 2016 || Year 2017 || Year 2018 || Year 2019 || Year 2020 || Following years 
 Article 6313…………. ||   || 3,729 || 5,013 || 5,639 || 5,111 || 4,884 || 4,884 || 1,954 
For miscellaneous
assigned revenue, specify the budget expenditure line(s) affected.
18.02.CC ISF borders
Specify the method for
calculating the impact on revenue.
The budget shall include a
contribution from countries associated with the implementation, application and
development of the Schengen acquis and the Eurodac related measures as laid
down in the respective agreements. The estimates provided are purely indicative
and are based on recent calculations for revenues for the implementation of the
Schengen acquis from the States that currently
contribute (Iceland, Norway and Switzerland) to the general budget of the
European Union (consumed payments) an annual sum for the relevant financial
year, calculated in accordance with its gross domestic product as a percentage
of the gross domestic product of all the participating States. The calculation
is based on June 2012 figures from EUROSTAT which are subject to considerable
variation depending on the economic situation of the participating States.
[1]               COM (2008) 69 final. The Communication was accompanied by an Impact Assessment SEC(2008)
153.
[2]               'An open and secure Europe serving and
protecting the citizens', Official Journal of the European Union of 4.5.2010, C
115/1.
[3]               EUCO
23/11.
[4]               COM
(2011) 680 final.
[5]               OJ
L 105, 13.4.2006.
[6]               Bulgaria,
Estonia, Spain, Cyprus, Latvia, Lithuania, Hungary Malta, Poland, Portugal, Romania,
Slovakia, and Finland.
[7]               http://epp.eurostat.ec.europa.eu/portal/page/portal/population/data/database
This figure includes overstayers as well as persons
having entered irregularly, and includes persons apprehended at the border as
well as within the Schengen territory.
[8]               OJ
L 286, 1.11.2011.
[9]               SEC
(2008) 153.
[10]             SWD
(2013) 48.
[11]             Subject
to the adoption by the Legislative Authority of the proposal establishing, as
part of the Internal Security Fund, the instrument for financial support for
external borders and visas (COM(2011) 750 final) and subject to the adoption by
the Legislative Authority of the proposal for a Council Regulation laying down
multiannual financial framework for the years 2014-2020 (COM(2011)398) and a
sufficient level of resources being available under the expenditure ceiling of the
pertinent budget heading.
[12]             OJ
L 176, 10.7.1999, p. 36.
[13]             OJ
L 53, 27.2.2008, p. 52.
[14]             OJ
L 160, 18.6.2011, p. 19.
[15]             OJ C , , p. .
[16]             OJ C , , p. .
[17]             OJ C , , p. .
[18]             COM
(2008) 69 final
[19]             OJ
L 158, 30.4.2004, p. 77.
[20]             OJ
L 286, 1.11.2011, p 1.
[21]             OJ
L 281, 23.11.1995, p. 31.
[22]             OJ
L 8, 12.1.2001, p. 1.
[23]             OJ
L 55, 28.2.2011, p. 13.
[24]             OJ
L 131, 1.6.2000, p. 43.
[25]             OJ
L 64, 7.3.2002, p. 20.
[26]             OJ
L 176, 10.7.1999, p. 36.
[27]             OJ
L 176, 10.7.1999, p. 31.
[28]             OJ
L 53, 27.2.2008, p. 52.
[29]             OJ
L 53, 27.2.2008, p. 1.
[30]             OJ L 160, 18.6.2011, p. 21.
[31]             OJ
L 160, 18.6.2011, p. 19.
[32]             OJ
L 243,15.9.2009, p.1
[33]             OJ
L 286,1.11.2011,p.1
[34]             OJ
L 349,25.11.2004,p.1
[35]             ABM:
Activity-Based Management – ABB: Activity-Based Budgeting.
[36]             As
referred to in Article 49(6)(a) or (b) of the Financial Regulation.
[37]             Proposal
for a Regulation of the European Parliament and of the Council establishing, as
part of the Internal Security Fund, the instrument for financial support for
external borders and visa (COM(2011)750.
[38]             Communication
from the Commission to the European Parliament and the Council – Smart Borders
– options and the way ahead (COM(2011)680.
[39]             Proposal
for a Regulation of the European Parliament and of the Council establishing, as
part of the Internal Security Fund, the instrument for financial support for
external borders and visa (COM(2011)750.
[40]             COM(2010)93
of 19 March 2010.
[41]             COM(2011)398
of 29 June 2011. 
[42]             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
[43]             As
referred to in Article 185 of the Financial Regulation.
[44]             DA=
Differentiated appropriations / DNA= Non-Differentiated Appropriations
[45]             EFTA:
European Free Trade Association. 
[46]             Candidate
countries and, where applicable, potential candidate countries from the Western
Balkans.
[47]             The
variation of costs and especially the high costs in 2015 and 2017 can be
explained as follows: at the beginning of the development period, in 2015,
commitments for the development will be made (one-time costs to cover three
years of hardware, software and contractor costs). At the end of the
development period, in 2017, the required commitments for the operations will
be made. Costs for the administration of hardware and software vary depending
on the period.
[48]             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.
[49]             Outputs
are products and services to be supplied (e.g.: number of student exchanges
financed, number of km of roads built, etc.).
[50]             As
described in Section 1.4.2. "Specific objective(s)…"
[51]             This
amount includes for the central development in particular the network
infrastructure, required hardware and software licenses and costs for the
external contractor to develop the central system. For the national development
it also includes the costs for the required hardware and software licenses as well
as external contractual development
[52]             This
amount covers the required costs to keep the central system up and running, in
particular the running of the network, the maintenance of the central system by
an external contractor and the required hardware and software licenses. For the
national operations, it covers the required costs for the running the national
systems, in particular licenses for hardware and software, incident management,
and costs for required external contractors.
[53]             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.
[54]             CA=
Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune
Expert en Délégation" (Young Experts in Delegations); LA= Local Agent;
SNE= Seconded National Expert;
[55]             Under the ceiling for external personnel from operational appropriations (former "BA"
lines).
[56]             Essentially
for Structural Funds, European Agricultural Fund for Rural Development (EAFRD) and European
Fisheries Fund (EFF).
[57]             See
points 19 and 24 of the Interinstitutional Agreement.
[58]             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.