Annexes to COM(2010)93 - Establishing an Agency for the operational management of large-scale IT systems in the area of freedom, security and justice (presented by the Commission pursuant to Article 293(2) of the Treaty on the Functioning of the EU)

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dossier COM(2010)93 - Establishing an Agency for the operational management of large-scale IT systems in the area of freedom, security and justice ...
document COM(2010)93 EN
date March 19, 2010
Agreement[74] (i.e. flexibility instrument or revision of the financial perspective).

4.1.3. Financial impact on Revenue

X Proposal has no financial implications on revenue

( Proposal has financial impact – the effect on revenue is as follows:

EUR million (to one decimal place)

Prior to action [Year n-1] | Situation following action |

Total number of human resources | 10 | 12 | 7 | 5 |

5. CHARACTERISTICS AND OBJECTIVES

5.1. Need to be met in the short or long term

In the short term there is a necessity to carry out several preparatory and start-up activities for the Agency to become fully operational. This work potentially includes carrying out feasibility studies on potential sites, acquiring new sites to host the systems, construction or adaptation works, relocating the systems, recruiting and training of staff and ensuring that the Agency has all the necessary equipment, resources and procedures in place.

In the long term, the Agency will provide an effective management solution for SIS II, VIS, EURODAC and other large-scale IT systems in the area of freedom, security and justice.

There is a need to set up an Agency that would meet the following key requirements:

- Effective and secure operation and management of the systems, guaranteeing adequate quality of service for users of these systems, continuity and uninterrupted service, data security and integrity and compliance with data protection rules;

- Provision of an adequate governance structure addressing the requirements of EU institutions, participating Member States and other stakeholders. The structure should accommodate the multi-pillar elements of the legal bases of these systems;

- Sound continuous, efficient and accountable financial management of these IT systems, optimising possible synergies and economies of scale, creating critical mass, ensuring the highest possible utilisation rate of capital and human resources and increasing productivity of staff;

- Effective organisation, optimising the use of human resources and productivity.

5.2. Value-added of EU involvement and coherence of the proposal with other financial instruments and possible synergy

This proposal will provide a long term solution for managing SIS II, VIS, EURODAC and other large-scale IT systems in the area of freedom, security and justice, optimising synergies and ensuring economies of scale.

5.3. Objectives, expected results and related indicators of the proposal in the context of the ABM framework

The objective of this proposal is, first of all, to establish an Agency responsible for the long-term operational management of SIS II, VIS and EURODAC.

In addition, the Agency should be given a responsibility for the operational management of other large-scale IT systems in the area of freedom, security and justice.

The indicators would be the statistics associated with the hits recorded for the various alerts (system by system).

5.4. Method of Implementation (indicative)

X Centralised Management

( directly by the Commission

( indirectly by delegation to:

( executive Agencies

X bodies set up by the Union as referred to in art. 185 of the Financial Regulation

( national public-sector bodies/bodies with public-service mission

( Shared or decentralised management

( with Member states

( with Third countries

6. MONITORING AND EVALUATION

6.1. Monitoring system

The Executive Director will be responsible for establishing and implementing effective monitoring and evaluation of the Agency's performance. The Executive Director will prepare an annual report on the activities of the Agency which will compare, in particular, the results achieved with the objectives of the annual work programme. This report, following consultation of the Advisory Groups and adoption by the Management Board, will be forwarded by 15 June of the subsequent year at the latest to the European Parliament, the Council, the Commission, the European Economic and Social Committee and the Court of Auditors. The first report will be delivered in 2013 and published.

Each year the Agency shall publish statistics showing the number of records per category of alert, the number of hits per category of alert and how many times the SIS II was accessed, in total and for each Member State.

Within two years from the date of the Agency having taken up its responsibilities, and every two years thereafter, the Agency shall submit to the European Parliament and the Council a report on the technical functioning of the Central SIS II system and the Communication Infrastructure, including the security thereof and the bilateral and multilateral exchange of supplementary information between Member States.

Within two years from the date of the Agency having taken up its responsibilities, 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 VIS, including the security thereof.

As far as EURODAC is concerned, the Agency should, every two years, submit to the European Parliament, the Council and the Commission a report on the technical functioning of the Central System, including the security thereof as well as an annual report on the activities of the Central System.

Within three years from the date of the Agency having taken up its responsibilities, and every five years thereafter, the Management Board shall commission an independent external evaluation on the implementation of this Regulation. The evaluation shall examine how effectively the Agency fulfils its mission. It shall also assess the impact of the Agency and its working practices. The evaluation shall take into account the views of stakeholders, at both European and national level. The Management Board shall receive the evaluation and issue recommendations to the Commission regarding changes to this Regulation, the Agency and its working practices. The Commission shall forward these recommendations together with its own opinion as well as appropriate proposals, to the Council and the European Parliament. An action plan with a timetable shall be included, if appropriate. Both the evaluation and the recommendations shall be made public.

6.2. Evaluation

6.2.1. Ex-ante evaluation

The ex-ante evaluation has been included in the impact assessment.

6.2.2. Measures taken following an intermediate/ex-post evaluation (lessons learned from similar experiences in the past)

The establishment of a Regulatory Agency to manage SIS II, VIS and EURODAC is a new and innovative approach to exchanging information. Consequently there is no previous comparable experience to draw direct lessons from.

However, best practices from setting up other Union agencies have been duly taken into account.

6.2.3. Terms and frequency of future evaluation

Within three years from the date on which the Agency takes up its responsibilities, and every five years thereafter, the Management Board shall commission an independent external evaluation on the implementation of this Regulation.

7. ANTI-FRAUD MEASURES

In order to combat fraud, corruption and other unlawful activities, the provisions of Regulation (EC) No 1073/1999 shall apply without restriction to this Agency.

The Agency shall accede to the Inter institutional Agreement of 25 May 1999 concerning internal investigations by OLAF and shall issue, without delay, the appropriate provisions applicable to its entire staff.

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 of the recipients of the Agency's funding and the agents responsible for allocating it.

8. DETAILS OF RESOURCES[76]

8.1. OBJECTIVES OF THE PROPOSAL IN TERMS OF THEIR FINANCIAL COST

Commitment appropriations in EUR million (to 1 decimal place)

Year 2010 | Year 2011 | Year 2012 | Year 2013 | Year n+4 | Year n+5 |

Officials or temporary staff[82] (XX 01 01) | A*/AD | 6 | 7 | 4.5 | 3.5 |

B*, C*/AST | 4 | 5 | 2.5 | 1.5 |

Staff financed[83] by art. XX 01 02 |

Other staff[84] financed by art. XX 01 04/05 |

TOTAL | 10 | 12 | 7 | 5 |

8.2.2. Description of tasks deriving from the action

Preparatory activities related to entrusting the Agency with the long-term operational management of SIS II, VIS and EURODAC then coordination and follow-up of the Agency by the Commission.

8.2.3. Sources of human resources (statutory)

( Posts currently allocated to the management of the programme to be replaced or extended

( Posts pre-allocated within the APS/PDB exercise for year n

X Posts to be requested in the next APS/PDB procedure

X Posts to be redeployed using existing resources within the managing service (internal redeployment)

( Posts required for year n although not foreseen in the APS/PDB exercise of the year in question

The needs for human and administrative resources shall be covered within the allocation that can be granted to the Directorate General in charge in the framework of the annual allocation procedure in the light of budgetary constraints.

Number of human resources in the agency (start-up and operational phase)

The information below is indicative. It will be detailed at a later stage once the final tasks and needs of the Agency as regards the human and administrative resources are known.

Year | Staff to be recruited gradually |

2011 1st semester | 15 |

2011 2nd semester | 60 |

2012 | 40 |

2013 | 5 |

TOTAL | 120 |

External recruitment will be managed by the Agency.

The staff in the Agency will comprise both operational and administrative staff giving a total of 120 people. This is an estimate of the human resources needed based on updated figures from the impact assessment.

An estimated 75 persons are needed for the operational management of the SIS II and VIS (including the biometric capacity). The remaining 45 persons would be allocated to the operational management of EURODAC and all administrative tasks within the Agency. This figure also takes into account responsibilities allocated to the agency related to the monitoring of research, the implementation of pilot schemes upon specific and precise request of the Commission as well as the assistance to Advisory Groups.

Description of tasks deriving from the action (start-up and operational phase)

Ensuring the operational management of SIS II, VIS, EURODAC, ensuring training on VIS and SIS II including training related to the exchange of supplementary information, monitoring of research activities and implementation of pilot schemes upon specific and precise request of the Commission.

8.2.4. Other Administrative expenditure included in reference amount (XX 01 04/05 – Expenditure on administrative management)

EUR million (to 1 decimal place)

Budget line (number and heading) | Year n | Year n+1 | Year n+2 | Year n+3 | Year n+4 | Year n+5 and later | TOTAL |

Other technical and administrative assistance | N/A | N/A | N/A | N/A |

- intra muros | N/A | N/A | N/A | N/A |

- extra muros | N/A | N/A | N/A | N/A |

Total Technical and administrative assistance |

8.2.5. Financial cost of human resources and associated costs not included in the reference amount

EUR million (to 1 decimal place)

Type of human resources | Year 2010 | Year 2011 | Year 2012 | Year 2013 | Year n+4 | Year n+5 and later |

Officials and temporary staff (18 01 01) | 1.2 | 1.5 | 0.9 | 0.6 |

Staff financed by Art XX 01 02 (auxiliary, END, contract staff, etc.)[86] (specify budget line) |

Total cost of Human Resources and associated costs (NOT in reference amount) | 1.2 | 1.5 | 0.9 | 0.6 |

This is the cost of the staff devoted to preparing, evaluating, controlling and coordinating the Agency within the Commission.

Calculation– Officials and temporary staff - average annual cost: 122000 EUR /per capita

8.2.6. Other administrative expenditure not included in reference amount EUR million (to 1 decimal place) |

Year 2010 | Year 2011 | Year 2012 | Year 2013 | Year n+5 | Year n+6 and later | TOTAL |

18 01 02 11 01 – Missions | 0.3 | 0.3 | 0.3 | 0.3 | 1.2 |

XX 01 02 11 02 – Meetings & Conferences |

XX 01 02 11 03 – Committees[87] |

XX 01 02 11 04 – Studies & consultations |

XX 01 02 11 05 - Information systems |

2 Total Other Management Expenditure (XX 01 02 11) |

3 Other expenditure of an administrative nature (specify including reference to budget line) |

Total Administrative expenditure, other than human resources and associated costs (NOT included in reference amount) | 0.3 | 0.3 | 0.3 | 0.3 | 1.2 |

Calculation - Other administrative expenditure not included in reference amount

Missions include visits to the Member States that host the systems and to the headquarters of the Agency including participation in the meetings of the Management Board and Advisory Groups.

The needs for human and administrative resources shall be covered within the allocation that can be granted to the Directorate General in charge in the framework of the annual allocation procedure in the light of budgetary constraints.

[1] Commission Staff Working Document, Accompanying document to the Proposal for a Regulation of the European Parliament and of the Council establishing an Agency for the operational management of large-scale IT systems in the area of freedom, security and justice and Proposal for a Council Decision conferring upon the Agency established by Regulation XX tasks regarding the operational management of SIS II and VIS in application of Title VI of the EU Treaty, COM (2009) 293 final.

[2] Regulation (EC) No 1987/2006 of the European Parliament and of the Council of 20 December 2006 on the establishment, operation and use of the Second Generation Schengen Information System (SIS II), OJ L 381, 28.12.2006, p. 4.

Regulation (EC) No 1986/2006 of the European Parliament and of the Council of 20 December 2006 regarding the access to the Second Generation Schengen Information System (SIS II) by the services in the Member States responsible for issuing vehicle registration certificates, OJ L 381, 28.12.2006, p. 1.

Council Decision 2007/533/JHA of 12 June 2007 on the establishment, operation and use of the second generation Schengen Information System (SIS II), OJ L 205, 7.8.2007, p. 63.

Regulation (EC) No 767/2008 of the European Parliament and of the Council of 9 July 2008 concerning the Visa Information System (VIS) and the exchange of data between Member States on short-stay visas (VIS Regulation), OJ L 218, 13.8.2008, p. 60.

Council Decision 2008/633/JHA of 23 June 2008 concerning access for consultation of the Visa Information System (VIS) by designated authorities of Member States and by Europol for the purposes of the prevention, detection and investigation of terrorist offences and of other serious criminal offences, OJ L218, 13.8.2008, p. 129.

[3] Convention implementing the Schengen Agreement of 14 June 1985 between the Governments of the States of the Benelux Economic Union, the Federal Republic of Germany and the French Republic on the gradual abolition of checks at their common borders, OJ L 239, 22.9.2000, p. 19.

[4] OJ L 381, 28.12.2006, p. 4. and OJ L 205, 7.8.2007, p. 63.

[5] OJ L 218, 13.8.2008, p. 60.

[6] OJ C 254, 19.8.1997, p. 1.

[7] OJ L 50, 25.2.2003, p. 1.

[8] OJ L 328, 13.12.2001, p. 4.

[9] OJ L 328, 13.12.2001, p. 1.

[10] OJ L 381, 28.12.2006, p. 4.

[11] OJ L 381, 28.12.2006, p. 1.

[12] OJ L 205, 7.8.2007, p. 63.

[13] OJ L 79, 20.3.2007, p. 20.

[14] OJ L 57, 1.3.2008, p. 1.

[15] OJ L 57, 1.3.2008, p. 14.

[16] OJ L 123, 8.5.2008, p. 1.

[17] OJ L 299, 8.11.2008, p. 1.

[18] OJ L 299, 8.11.2008, p. 43.

[19] OJ L 213, 15.6.2004, p. 5.

[20] OJ L 305, 4.11.2006, p. 13.

[21] OJ L 267, 27.9.2006, p. 41.

[22] OJ L 194, 23.7.2008, p. 3.

[23] OJ L 218, 13.8.2008, p. 60.

[24] OJ L218, 13.8.2008, p. 129.

[25] OJ L 316, 15.12.2000, p. 1. A recast version has been submitted to the European Parliament and the Council COM (2008) 825 final

[26] OJ L 62, 5.3.2002, p. 1.

[27] Assessment of options for the long-term management of the second- generation Schengen Information System (SIS II), the Visa Information System (VIS) and EURODAC and other large-scale IT systems in the area of Justice, Freedom and Security, Final report, 15 October 2007, RAND Europe.

[28] Commission proposal submitted to the European Parliament and the Council, COM(2009) 342 final (Recast version)

[29] Agreement between the European Community and the Kingdom of Denmark on the criteria and mechanisms for establishing the State responsible for examining a request for asylum lodged in Denmark or any other Member State of the European Union and "Eurodac" for the comparison of fingerprints for the effective application of the Dublin Convention, O.J. L66, 8.3.2006, p. 38.

[30] OJ L 176, 10.7.1999, p. 36.

[31] Agreement between the European Community and the Republic of Iceland and the Kingdom of Norway concerning the criteria and mechanisms for establishing the State responsible for examining a request for asylum lodged in a Member State or in Iceland or Norway, OJ L 93, 3.4.2001, p. 40-47.

[32] OJ L 53, 27.2.2008, p. 52

[33] Council Decision of 28 January 2008 on the conclusion on behalf of the European Community of the Agreement between the European Community and the Swiss Confederation concerning the criteria and mechanisms for establishing the State responsible for examining a request for asylum lodged in a Member State or in Switzerland, OJ L 53, 27.2.2008, p. 3.

[34] OJ L 83, 26.3.2008, p. 3.

[35] Protocol between 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 Community and the Swiss Confederation concerning the criteria and mechanisms for establishing the State responsible for examining a request for asylum lodged in a the Member State or in Switzerland, OJ …

[36] Protocol between the European Community, Switzerland and Liechtenstein to the Agreement between the European Community and the Swiss Confederation concerning the criteria and mechanisms for establishing the State responsible for examining a request for asylum lodged in a member State, in Switzerland or in Liechtenstein OJ…. and Protocol to the Agreement between the European Community, the Republic of Iceland and the Kingdom of Norway concerning the criteria and mechanisms for establishing the State responsible for examining a request for asylum lodged in a Member State or in Iceland or Norway OJ L 57, 28.2.2006, p.16.

[37] OJ…

[38]

[39] OJ…

[40] Opinion of the European Parliament of xxx and Council Decision of xxx (not yet published in the Official Journal).

[41] OJ L 381, 28. 12. 2006, p. 4.

[42] OJ L 205, 7. 8. 2007, p. 63.

[43] OJ L 213, 15. 6. 2004, p. 5.

[44] OJ L 218, 13.8.2008, p. 60.

[45] OJ L 316, 15.12.2000, p. 1.

[46] OJ L 8, 12.1.2001, p. 1.

[47] OJL 145, 31.5.2001, p. 43.

[48] OJ L 136, 31.5.1999, p. 1.

[49] OJ L 136, 31.5.1999, p. 15.

[50] OJ L 248, 16.9.2002, p. 1.

[51] OJ L 357, 31.12.2002, p. 72.

[52] O.J. L66, 8.3.2006, p. 38.

[53] OJ L 131, 1.6.2000, p. 43.

[54] OJ L 64, 7.3.2002, p. 20.

[55] OJ L 176, 10.7.1999, p. 36.

[56] OJ L 176, 10.7.1999, p. 31.

[57] OJ L 53, 27.2.2008, p. 52.

[58] OJ L 83, 26.3.2008, p. 3.

[59] OJ…

[60] OJ…

[61] OJ 17, 6.10.1958, p. 385.

[62] OJ L 145, 31.5.2001, p. 43.

[63] OJ L 8, 12.1.2001, p. 1.

[64] OJ L 317, 03.12.2001, p. 1.

[65] OJ L 248, 16.9.2002, p. 1.

[66] OJ L 357, 31.12.2002, p. 72.

[67] OJ L 136, 31.5.1999, p.1.

[68] Regulation (EC) No 1987/2006 of the European Parliament and the Council of 20 December 2006 on the establishment, operation and use of the second generation Schengen Information System (SIS II), OJ L 381, 28.12.2006, p. 4.

[69] Regulation (EC) No 767/2008 of the European Parliament and the Council of 9 July 2008 concerning the Visa Information System (VIS) and the exchange of data between Member States on short-stay visas (VIS Regulation), OJ L 218, 13.8.2008, p. 60.

[70] Differentiated appropriations

[71] Expenditure that does not fall under Chapter xx 01 of the Title xx concerned.

[72] Expenditure within article xx 01 04 of Title xx.

[73] Expenditure within chapter xx 01 other than articles xx 01 04 or xx 01 05.

[74] See points 19 and 24 of the Interinstitutional agreement.

[75] Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years

[76] The figures are principally based on the impact assessment

[77] The costs include: running costs, energy, security control, insurance.

[78] Estimated figures that will need adjustment.

[79] This appropriation is intended to cover the operating expenses including travel and subsistence expenses and interpretation costs (2 meetings for the Management Board, 6 meetings of the Advisory groups per year).

[80] The translation work will mainly be carried out by the Translation Centre for the bodies of the EU in Luxembourg.

[81] This figure includes feasibility studies and pilot schemes to be carried out in accordance with Article 5 and 6 respectively of this Regulation.

[82] Cost of which is NOT covered by the reference amount

[83] Cost of which is NOT covered by the reference amount

[84] Cost of which is included within the reference amount

[85] Reference should be made to the specific legislative financial statement for the Executive Agency(ies) concerned.

[86] At this stage, no need for external staff (auxiliary, END, contract staff, etc.) has been identified.

[87] Specify the type of committee and the group to which it belongs.