Annexes to COM(2020)796 - Amendment of the regulation on Europol’s cooperation with private parties, their processing of personal data in support of criminal investigations, and research and innovation

Please note

This page contains a limited version of this dossier in the EU Monitor.

annex II of the Europol Regulation, the agency needs to verify first if the data it received from Member States fall within those categories. If so, Europol is allowed to process the personal data under its legal mandate, including for preventive action and criminal intelligence, while ensuring full compliance with fundamental rights.

n°3:

enabling

Member States

to use new technologies for law

Specific objective enforcement.

Responding to the gaps identified at national level on innovation and research relevant for law enforcement, the aim is to enable Europol to provide effective support to Member States the development and use of new technologies for law enforcement. This will support efforts to strengthen the technological sovereignty and strategic autonomy of the EU in the field of security.

Specific objective n°4: providing frontline officers with the result of Europol’s analysis of data received from third countries

The aim is to provide frontline officers with the result of Europol’s analysis of data received from third countries on suspects and criminals when and where this is necessary. The underlying goal is to enable frontline officers to take informed decisions when they check a person at the external border or within the area without controls at internal borders.


Specific objective n°5: facilitating Europol’s cooperation with third countries

The aim is to facilitate operational cooperation between Europol and third countries including the transfer of personal data where this is necessary for law enforcement and EU internal security, exploiting the full potential of the different legal grounds for data transfers, while ensuing full compliance with EU data protection requirements. In that way, Europol will be able to better support national law enforcement authorities through its cooperation with third countries.

Specific objective n°6: strengthening Europol’s capacity to request the initiation of criminal investigations

The aim is to strengthen Europol’s capacity to request the initiation of criminal investigations, both at national level and by the EPPO, and in full respect of Member States’ prerogatives on maintaining law and order and safeguarding internal security as well as the independence of the EPPO. In doing so, this objective will also strengthen the ability of the EPPO to initiate and effectively conduct criminal investigations and prosecutions for crimes falling under its jurisdiction.


1.4.3.     Expected result(s)

and impact

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

The proposal will primarily benefit individuals and society at large by improving Europol’s ability to support Member States in countering crime and protecting EU citizens. Citizens will directly and indirectly benefit from lower crime rates, reduced economic damages, and less security related costs. The proposal does not contain regulatory obligations for citizens/consumers, and does not create additional costs in that regard.

The proposal will create economies of scale for administrations as it will shift the resource implications of the targeted activities from the national level to the EU level. Public authorities in Member States will directly benefit from the proposal thanks to economies of scale leading to savings in administrative costs.

The proposal will also have a positive impact on the environmental area to the extent that law enforcement authorities in the EU will be able to fight environmental crimes more effectively.

1.4.4.     Indicators

of performance

Specify

the indicators for monitoring progress and achievements.

The following main indicators will allow the monitoring of the implementation and performance of the specific objectives:

Specific objective n°1: enabling Europol to cooperate effectively with private parties.

- Number of contributions received from private parties

- Number of contributions from private parties shared with Member States concerned

- Number of requests to Member States to obtain personal data from private parties

- Number of requests to channel Member States’ requests to private parties

Specific objective n°2: enabling law enforcement to analyse large and complex datasets to detect cross-border links, in full compliance with fundamental rights

- Number of entities cross-checked for the purpose of verifying if the data received relates to the specific categories of data subjects set out in annex II of the Europol Regulation

- Number of cases where high volumes of personal data is received

- Number of ‘information alerts’ issued by Europol

- Number of ‘hits’ generated by ‘information alerts’

Specific objective n°3: enabling Member States to use new technologies for law enforcement

- Amount of personal data processed for the purpose of innovation

- Number of digital tools for law enforcement created

Specific objective n°4: providing frontline officers with the result of Europol’s analysis of data received from third countries

- Number of Schengen evaluations supported

- Number of ‘information alerts’ issued by Europol


Number of ‘hits’ generated by ‘information alerts’ Specific objective n°5: facilitating Europol’s cooperation with third countries

Number

of cases where personal data has been transferred subject to appropriate

safeguards or for specific situations

Specific objective n°6: strengthening Europol’s capacity to request the initiation of criminal investigations and support to the EPPO

Number of requests by Europol to Member States

Number of positive replies by Member States

Number of requests by Europol to the EPPO

Number of contributions by Europol to the EPPO

Number of EPPO’s cases and investigations supported

Number of hits in Europol’s database generated by EPPO’s information

Indicators linked to other amendments including data protection alignment:-Number of international investigations/operations supported (including in the framework of Joint Investigations Teams65, Operational Task Forces66, and involving third countries)

Number and amount of High Value Grants (HVGs) and Low Value Grants (LVGs) awarded

Number of data protection incidents reported and EDPS Decisions

Number of requests from private persons to Europol’s data protection officer

In line with Article 28 of the FFR and to ensure sound financial management, Europol already monitors progress in the achievement of its objectives with performance indicators. The agency currently has 35 Key Performance Indicators, further complemented by 60 Corporate Performance Indicators. These indicators are reported in Europol’s Consolidated Annual Activity Report, which include a clear monitoring of the target by end of year as well as comparison with the previous year. These indicators will be adapted as needed following adoption of the proposal.

Moreover, concerning in particular the specific objective n°4 which foresees the introduction of a new SIS alert category in joint work with eu-LISA, the following indicators are identified for eu-LISA:

Successful completion of

comprehensive pre-launch testing

at Central level,

65

66

Joint Investigation Team (JIT) is an international cooperation tool based on an agreement between competent authorities - both judicial (judges, prosecutors, investigative judges) and law enforcement - of two or more States, established for a limited duration and for a specific purpose, to carry out criminal investigations in one or more of the involved States. JITs constitute an efficient and effective cooperation tool that facilitates the coordination of investigations and prosecutions conducted in parallel in several States or in cases with a cross-border dimension. Operational Task Force (OTF) is a temporary group of representatives of Member States, Third Parties and Europol and a specific multi-national/disciplinary project consisting of intelligence and investigative activities against selected High Value Targets. High Value Target (HVT) is a person whose criminal activity fulfils specified risk criteria and therefore constitutes a high risk of serious and organised crime to two or more Member States.


1.5.       Grounds for the legislative initiative

1.5.1.     Requirement(s) to be met in the short or long term including a detailed timeline for roll-out of

the implementation of the legislative initiative

The roll-out of the implementation of the legislative initiative requires technical and procedural measures at EU and national level, which should start when the revised legislation

in particular human resources - should be scaled up

enters into force.

The

relevant resources

over time in line with the increase in demand for Europol’s services.

The main requirements following entry into force of the proposal are as follows:

To enable Europol to cooperate effectively with private parties:

- Companies to adapt their internal procedures.

- Europol and Member States to agree on procedure ensuring that Europol requests are in line with national requirements.

- Member States to adapt their national procedure to ensure that they can enforce national request based on need to obtain such information for Europol.

- Europol to set up IT structure for channelling Member States’ requests to private parties.

To enable law enforcement to analyse large and complex datasets to detect cross-border links, in full compliance with fundamental rights

- Europol to ensure availability of necessary infrastructure and expertise to process large and complex datasets in support of specific criminal investigations by the Member States, and to retain such datasets when necessary for judicial proceedings in the Member States

To enable Member States to use new technologies for law enforcement

- Europol to ensure availability of necessary infrastructure, including the Decryption Platform, and capabilities to support the implementation of innovation projects and to adapt internal procedures.

To provide frontline officers with the result of Europol’s analysis of data received from third countries

- Members States to update their national systems and SIRENE workflows (“Supplementary Information Request at the National Entries”) to allow for the introduction of a new SIS alert category.

- Europol and eu-LISA to adapt the IT systems to allow for the introduction of a new SIS alert category.

To facilitate Europol cooperation with priority third countries:

-Member States and European Data Protection Supervisor to provide guidance and best practices.


-Europol to make

efficient use of possibilities to exchange personal data with third country

To strengthen Europol’s capacity to request the initiation of criminal investigations:

-Europol to align its working arrangement (negotiated or concluded) with the EPPO, according to the provisions of the amended Europol Regulation

-Europol to report suspected PIF cases, to provide relevant information, on-the-spot-support, operational analysis, forensic and technical expertise and specialised training, upon request of the EPPO.

-Europol to adapt its internal data processing and operational workflows and procedures to provide the aforementioned support to the EPPO.

-Europol to make the necessary IT arrangements to allow the EPPO to have indirect access to Europol’s database on the basis of a hit/no hit system. FTEs to be scaled up in the first years of implementation, as the volume of EPPO investigations and prosecutions increases.

Following entry into application, the implementation of the activities will be rolled-out in a gradual timeline, to follow the expected gradual increase of data flows, demands on Europol’s services and activities, as well as necessary time for absorption of new resources.

1.5.2.

Added value of Union involvement (it may result from different factors, e.g. coordination gains, legal certainty, greater effectiveness or complementarities). For the purposes of this point ‘added value of Union involvement’ is the value resulting from Union intervention which is additional to the value that would have been otherwise created by Member States alone.

Serious crime and terrorism are of a transnational nature. Therefore, action at national level alone cannot counter them effectively. This is why Member States choose to work together within the framework of the EU to tackle the threats posed by serious crime and terrorism.

Moreover, evolving security threats, driven by the way criminals exploit the advantages that the digital transformation, globalisation and mobility bring about, also call for effective EU level support to the work of national law enforcement authorities. EU action provides for an effective and efficient way to step up the support to Member States in fighting serious crime and terrorism to keep pace with these threats.

The proposal will create significant economies of scale at an EU level, as it will shift tasks and services, which can be performed more efficiently at an EU level, from the national level to Europol. The proposal therefore provides for efficient solutions to challenges, which would otherwise have to be addressed at higher costs by means of 27 individual national solutions, or to challenges which cannot be addressed at the national level at all in view of their transnational nature.

1.5.3.     Lessons

learned from similar experiences in the past

The proposal builds on the need to address continuously-evolving transnational security challenges in Europol beyond the national level alone.

Europe faces a security landscape in flux, with evolving and increasingly complex security threats. Criminals exploit the advantages that the digital transformation, new technologies,


globalisation and mobility bring about, including the inter-connectivity and blurring of the boundaries between the physical and digital world. The COVID-19 crisis only added to this, as criminals quickly seized the opportunities to exploit the crisis by adapting their modes of operation or developing new criminal activities.

These evolving security threats call for effective EU level support to the work of national law enforcement authorities. Member States’ law enforcement authorities have increasingly made use of the support and expertise that Europol offers to counter serious crime and terrorism.

This proposal also builds on the lessons learned and progress achieved since the entry into application of the 2016 Europol Regulation, while recognising that the operational importance of the agency’s tasks has already changed substantially. The new threat environment has changed the support Member States need and expect from Europol to keep citizens safe, in a way that was not foreseeable when the co-legislators negotiated the current Europol mandate.

Previous reviews of Europol’s mandate and the growing demand for services by Member States has also shown that Europol’s tasks need to be backed by adequate financial and human resources.

1.5.4.     Compatibility with the Multiannual Financial Framework and possible synergies with other

appropriate instruments

The proposal responds to the changing security landscape as it will equip Europol with the necessary capabilities and tools to support Member States effectively in countering serious crime and terrorism. The Communication “Europe’s moment: Repair and Prepare for the Next Generation”67 underlined the necessity of building a more resilient Union as the COVID-19 crisis “revealed a number of vulnerabilities and a significant increase in certain crimes, such as cybercrime. This shows the need to reinforce the EU Security Union”.

The proposal is fully in line with the Commission Work Programme for 2020 which

announced a legislative initiative to “strengthen the Europol mandate in order to reinforce operational police cooperation”68.

This strenghtening of Europol’s mandate is one of the key actions identified in the July 2020 EU Security Union Strategy69. A more effective Europol will ensure that the agency can fully perform its tasks and can assist in reaching the strategic priorities for the Security Union.

In line with the call by the Political Guidelines70 to “leave no stone unturned when it comes to protecting our citizens”, this proposal addresses those areas where stakeholders ask for

reinforced support by

Europol to help Member States keeping

citizens safe.

Moreover, the proposal takes account of a range of Commission initiatives, including the legislative initiative on the removal of terrorist content online71. The proposed objective to strengthen Europol’s support for innovation takes account of the European strategy for data72 and the White Paper on Artificial Intelligence.73

67 68 69 70

COM(2020) 456 (27.5.2020)

COM(2020) 440 final – Annexes 1 to 2 (27.5.2020)

COM(2020) 605 final (24.7.2020).

https://ec.europa.eu/commission/sites/beta-political/files/political-guidelines-next-commission_en.pdf.

COM(2018) 640 final (12.9.2018).

COM(2020) 66 final (19.2.2020).

COM(2020) 65 final (19.2.2020).


7

2

3


The

proposal will also create synergies with the activities of relevant authorities at

EU

and in particular Eurojust, the European Public Prosecutor’s Office and OLAF by strenghtening overall cooperation with Europol, in line with the bodies’ respective mandates

and competences.

1.5.5.     Assessment of

the different available financing options, including scope for redeployment

The Multiannual Financial Framework proposal for 2021-2027 recognises the need to reinforce Europol in order to increase support to Member States’ law enforcement authorities in 2021.

Since 2016 and the last revision of Europol’s mandate, the trend has been towards an exponential growth of the agency’s data flows and of the demand on its services74, leading to yearly budget and staff reinforcements above the levels initially programmed.

Since the proposal will introduce important new tasks in Europol Regulation and will also clarify, codify and detail other tasks, hereby extending Europol’s capabilities within the context of the treaties, it therefore cannot be covered by a stable level of resources. The proposal needs to be backed by financial and human reinforcements.

74

Europol’s 2019 operational indicators show that: the number of operations has tripled since 2014; the deployment of mobile office on the spot has more than doubled; the number of messages exchanged via the SIENA network has increased by 300%; the number of objects inserted in the Europol Information System has increased by more than 500%.


level


1.6.

Duration

and financial impact of the legislative initiative


1.7.

limited duration

D Proposal/initiative in effect from [ DD/M M] YYYY to [DD/MM]YYYY D Financial impact from YYYY to YYYY


unlimited duration

Implementation with a start-up period from 2022 to 2027 followed by full-scale operation.

Management mode(s) planned75

D Direct


management by

the Commission through

executive agencies D Shared m an age m e n t with the Member States

El Indirect management by entrusting budget implementation tasks to: IZI international organisations and their agencies (to be specified); Dthe EIB and the European Investment Fund; \E1 bodies referred to i n Arti c les 70 a nd 71;


public law bodies;

bodies governed by private law with a public service mission to the extent that they provide adequate financial guarantees;

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

IZI persons entrusted with the implementation of specific actions in the CFSP pursuant to Title V of the T EU, and identified in the relevant basic act.

Comments

The baseline for the EU contribution to Europol’s budget has been identified based on the MFF Fiche n°6876 and on the Working Document III accompanying the Draft Budget 2021. The information is this LFS is without prejudice to the adoption of the MFF 2021-2027 and the Budget 2021.

In the absence of a voted MFF 2021-2027 and Budget 2021, the estimated financial impact of the legislative initiative includes only the resources needed in addition to Europol’s baseline EU contribution (additional costs compared to the baseline – Fiche n°68).

Details of management modes and references to the Financial Regulation may be found on the BudgWeb site: https://myintracomm.ec.europa.eu/budgweb/EN/man/budgmanag/Pages/budgmanag.aspx.

Working

document of the commission services

Decentralised

agencies and

EPPO.


5

6


2. MANAGEMENTMEASURES

2.1.       Monitoring and reporting rules

Specify frequency and conditions.

The monitoring and reporting of the proposal will follow the principles outlined in Europol’s Regulation77, Financial Regulation78 and in line with the Common Approach on decentralised agencies79.

Europol must notably send each year to the Commission, the European Parliament and the Council a Single Programming Document containing multi-annual and annual work programmes and resources programming. The Document sets out the objectives, expected results and performance indicators to monitor the achievement of the objectives and the results. Europol must also submit a Consolidated Annual Activity Report to the management board. This report notably includes information on the achievement of the objectives and results set out in the Single Programming Document. The report must also be sent to the Commission, the European Parliament and the Council.

Moreover, as outlined in Article 68 of Europol’s Regulation, the Commission must commission an evaluation of Europol by 1 May 2022 and every five years after that. This evaluation will assess, in particular, the impact, effectiveness and efficiency of Europol and of its working practices. The evaluation reports must be submitted to the specialised Joint Parliamentary Scrutiny Group, which politically monitors Europol’s activities in fulfilling its mission, including as regards the impact of those activities on the fundamental rights and freedoms of natural persons. The reports are also submitted to the Council, the national parliaments and Europol’s Management Board. Where appropriate, the main findings of the evaluation reports are made public.

To regularly monitor the provision of information by the Member States, Europol will also report annually to the Commission, European Parliament, the Council and national parliaments on the information provided by each Member State as concerns the information Europol needs to fulfil its objectives, including information relating to forms of crime the prevention or combating of which is considered a priority by the Union. The reports are drawn up on the basis of the quantitative and qualitative evaluation criteria defined by Europol’s Management Board.

Finally, the proposal includes a provision requiring an assessment of the impact on fundamental rights two years after their entry into application.

77 78

Regulation (EU) 2016/794

https://www.europol.europa.eu/sites/default/files/documents/decision_of_the_europol_management_board_on_the _adoption_of_the_financial_regulation_applicable_to_europol_.pdf https://europa.eu/european-union/sites/europaeu/files/docs/body/joint_statement_and_common_approach_2012_en.pdf


79


2.2.       Management and control system(s)

2.2.1.     Justification of the management mode(s), the funding implementation mechanism(s), the

payment modalities and the control strategy proposed

Considering that the proposal impacts the annual EU contribution to Europol, the EU budget will be implemented via indirect management.

Pursuant to the principle of sound financial management, the budget of Europol shall be implemented in compliance with effective and efficient internal control80. Europol is therefore bound to implement an appropriate control strategy coordinated among appropriate actors involved in the control chain.

Regarding ex-post controls, Europol, as a decentralised agency, is notably subject to :

- internal audit by the Internal Audit Service of the Commission

- annual reports by the European Court of Auditors, giving a statement of assurance as to the reliability of the annual accounts and the legality and regularity of the underlying transactions

- annual discharge granted by the European Parliament

- possible investigations conducted by OLAF to ensure, in particular, that the resources allocated to agencies are put to proper use.

As partner DG to Europol, DG HOME will implement its Control Strategy on decentralised agencies to ensure reliable reporting in the framework of its Annual Activity Report (AAR). While decentralised agencies have full responsibility for the implementation of their budget, DG HOME is responsible for regular payment of annual contributions established by the Budgetary Authority.

Finally, Europol.

European Ombudsman

provides a further layer of control and accountability at

2.2.2.     Information concerning the risks identified and the internal control system(s) set up to

mitigate them

The following risks are identified:

strained operational resources due to increasing data flows and constantly evolving criminal activities landscape

fragmentation of Europol’s core business due to multiplication of tasks and requests

lack of adequate levels of financial and human resources to match operational needs

lack of ICT resources, resulting in delays in necessary core system developments and updates

risks related to Europol’s processing of personal data and the need to regularly evaluate and adapt procedural and technical safeguards in order to ensure the protction of personal data and fundamental rights.

depedencies between the preparations to be done by eu-LISA with regard to Central SIS and the preparations to be done by Europol with regard to setting up a technical interface to transmit data to SIS

Article 30 of Europol’s Financial Regulation


80


Europol implements a specific Internal Control Framework based on the Internal Control Framework of the European Commission and on the original Committee of Sponsoring Organisations’ integrated internal control framework. The Single Programming Document must provide information on the internal control systems, while the Consolidated Annual Activity Report (CAAR) must contain information on the efficiency and effectiveness of the internal control systems, includind as regards risk assessment. The CAAR 2019 reports that, based on the analysis of the internal control components and principles which have been monitored in the course of 2019, using both quantitative and qualitative elements, the Europol Internal Control System is assessed as present and functioning in an integrated manner across the agency.

Another level of internal supervision is also provided by Europol’s Internal Audit Capability, on the basis of an annual audit plan notably taking into consideration the assessment of risks in Europol. The Internal Audit Capability helps Europol in accomplishing its objectives by bringing a systematic and disciplined approach to evaluate the effectiveness of risk management, control, and governance processes, and by issuing recommendations for their improvement.

Moroever, the EDPS and Europol’s data protection officer (an independent function attached directly to the Mangement Board Secretariat) supervise Europol’s processing of personal data.

Finally,

as partner

DG

Europol, DG HOME

runs an annual risk management exercise to

identify and assess potential high risks related to agencies’ operations, including Europol. Risks considered as critical are reported annually in DG HOME management plan and are accompanied by an action plan stating the mitigating action.

2.2.3.     Estimation and justification of the cost-effectiveness of the controls (ratio of "control costs ÷

value of the related funds managed"), and assessment of the expected levels of risk of error (at payment & at closure)

The ratio of “control costs/value of the related funds managed” is reported on by the Commission. The 2019 AAR of DG HOME reports 0.28% for this ratio in relation to Indirect Management Entrusted Entities and Decentralised Agencies, including Europol.

The European Court of Auditors confirmed the legality and regularity of Europol’s annual accounts for

2019,

which implies an error rate below

2%. There

are no indications that the error rate will worsen in the

coming years.

Moreover, article 80 of Europol’s Financial Regulation provides for the possibility for the agency to share an internal audit capability with other Union bodies functioning in the same policy area if the internal audit capability of a single Union body is not cost-effective.


of


2.3.       Measures to prevent fraud and irregularities

Specify existing or envisaged prevention and protection measures, e.g. from the Anti-Fraud Strategy.

measures related to combating fraud, corruption and any other illegal activities are

The

outlined, inter alia, in article 66 of Europol’s Regulation and under Title X of Europol’s

Financial Regulation.

Europol shall notably participate in fraud prevention activities of the European Anti-fraud Office and inform the Commission without delay on cases of presumed fraud and other financial irregularities – in line with its internal anti-fraud strategy.

An update to the Europol anti-fraud strategy is planned to be proposed for adoption to the Management Boad in 2020.

Moreover, as partner DG, DG HOME has developed and implemented its own anti-fraud strategy on the basis of the methodology provided by OLAF. Decentralised agencies, including Europol, fall within the scope of the strategy. DG HOME 2019 AAR concluded that the fraud prevention and detection processes worked satisfactorily and therefore contributed to the assurance on the achievement of the internal control objectives.

3.

ESTIMATEDFINANCIALIMPACTOFTHE LEGISLATIVE INITIATIVE

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

affected

Existing budget lines

In order of multiannual financial framework headings and budget lines.

Heading of multiannual

financial framework
Budget lineType of expenditureContribution
NumberDiff./Non-

diff.81
from

EFTA

countries 82
from

candidate

countries83
from third countrieswithin the meaning

of Article 21(2)(b)

of the Financial

Regulation
512 10 01Diff./non-

d iff.
NONONOYES/NO

New budget lines requested

In order of multiannual financial framework headings and budget lines.

Heading of multiannual

financial framework
Budget lineType of expenditureContribution
NumberDiff./non-

d iff.
from

EFTA

countries
from candidate countriesfrom third countrieswithin the meaning

of Article 21(2)(b)

of the Financial

Regulation

81 82 83

Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.

EFTA: European Free Trade Association.

Candidate countries and, where applicable, potential candidates from the Western Balkans.

[XX.YY.YY.YY]YES/NOYES/NOYES/NOYES/NO


3.2.       Estimated

impact on expenditure

3.2.1.     Summary of estimated impact on expenditure

In the absence of a voted MFF 2021-2027 and Budget 2021, the estimated financial impact of the legislative initiative includes only the resources needed in addition to Europol’s baseline EU contribution (additional costs compared to the baseline – Fiche n°68).

EUR million (to three decimal places)
Heading of multiannual financial frameworkNumberHeading 5 –Security and Defence
[Body]:EuropolYear

2022
Year

2023
Year

2024
Year

2025
Year

2026
Year

2027
TOTAL
Title 1:Commitments(1)
Payments(2)
Title 2:Commitments(1.)
Payments(2.)
Title 3:Commitments(3.)
Payments(3b)
TOTAL appropriations for EuropolCommitments= 1+1, + 3,
15,98723,94629,42730,96540,01937,524177,867
Payments=2+2, + 3»15,98723,94629,42730,96540,01937,524177,867

EN

61

Heading of multiannual financial framework5‘Administrative expenditure’

EUR

(to

three decimal

places)

Year

2021
Year

2022
Year

2023
Year

2024
Year

2025
Year

2026
Year

2027
TOTAL
DG: HOME
Human Resources
0,8350,8350,8350,8350,8350,8350,8355,845
Other administrative expenditure
0,2680,5180,2680,5180,2680,5180,2682,626
TOTAL DG HOMEAppropriations

of the

TOTAL appropriations under HEADING 7

al financial framework

commitments

(Total

Total payments)

1,103

1,353

1,103

1,353

1,103

1,353

1,103

8,471

EUR

(to

million (to three decimal

places)

Year

2021
Year

2022
Year

2023
Year

2024
Year

2025
Year

2026
Year

2027
TOTAL
TOTAL appropriations under HEADINGS 1 to 5

of the multiannual financial framework
Commitments
Payments

EN

62

million


3.2.2. Estimated impact on Europol ’s appropriations

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

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

In the absence of a voted M FF 2021 - 2027 and Budget 2021, the estimated financial impact of the legislative initiative includes

only the resources needed in addition to Europol’s baseline EU contribution (additional costs compared to the baseline - Fche

n°68).

Commitment appropriations in EUR

(to

million (to three decimal

places)

Indicate
objectivesYearYearYearYearYearYearTOTAL
and
outputs
202220232024202520262027
.n.TypeAver age
CostCostCostCostCostCostCost
84
SPECIFIC OBJECTIVE NO 1
Enabling Europol to
cooperate effectively with
private parties
Personal data
- Output
forwarded to Member States concerned - 75%3,4535,6697,1928,1729,6369,30643,428
Europol used as
channel to
- Output
transmit Member States request -25%1,1511,8902,3972,7243,2123,10214,476

Due to their specific operational nature, it is not possible to identify a precise, unit costs per output, nor exact expected volume of outputs, notably as some outputs are related to law enforcement activities reactive to unpredictable criminal activities.

EN

63

EN

84

Subtotal for specific objective N°14,6047,5599,58910,89612,84812,40957,905
SPECIFIC OBJECTIVE NO 2
Enabling law enforcement to analyse large and complex datasets to detect crossborder links, in full

compliance with fundamental rights
- Output
Investigative case files supported in ongoing investigations -90%0,5340,9771,2721,4431,6411,7747,639
- Output
Investigative case files stored for judicial proceedings -10%0,0590,1090,1410,1600,1820,1970,849
Subtotal for specific objective N°20,5931,0851,4131,6031,8231,9718,488
SPECIFIC OBJECTIVE NO 3
enabling Member States to

use new technologies for law

enforcement
- Output
Innovation projects implemented -75%3,2903,4706,3655,6688,2067,27234,269
- Output
IT solutions tested in Europol's IT environment -25%1,0971,1572,1221,8892,7352,42411,423
- Output
-
Subtotal for specific objective N°34,3874,6268,4867,55710,9419,69645,693
SPECIFIC OBJECTIVE NO 4

EN

64

EN

Providing frontline officers

with the result of Europol’s

analysis of data received

from third countries
- Output
Alerts in the Schengen Information System created -50%1,5262,7372,3862,5923,2892,85515,385
- Output
24/7 follow-up provided to MS -50%1,5262,7372,3862,5923,2892,85515,385
- Output
-
Subtotal for specific objective N°43,0525,4744,7725,1836,5795,71030,770
SPECIFIC OBJECTIVE NO 5
Facilitating Europol’s

cooperation with third

countries
- Output
Operations with third countries supported - 75%1,1471,6481,2511,3071,9161,8639,132
- Output
Information exchanged with third countries -25%0,3820,5490,4170,4360,6390,6213,044
- Output
-
Subtotal for specific objective N°51,5292,1971,6681,7432,5542,48412,175
SPECIFIC OBJECTIVE NO 6
Strengthening Europol’s

capacity to request the

initiation of criminal

investigations
- Output
Initiation of criminal investigations requested - 25%0,4560,7510,8750,9961,3181,3145,709
- Output
Investigations of the EPPO1,3672,2522,6242,9873,9553,94117,127

EN

65

EN

supported - 75%
Subtotal for specific objective N°61,8233,0033,4983,9835,2745,25522,836
1
TOTAL COSTS15,98723,94629,42730,96540,01937,524177,867

EN

66

EN

3.2.3. Estimated impact on Europol ’s human resources

3.2.3.1. Summary

IZI The proposal/initiative does not require the use of appropriations of an administrative nature

El The proposal/initiative requires the use of appropriations of an administrative nature, as explained below:

EUR million (to three deci mal places)

Year

2022
Year

2023
Year

2024
Year

2025
Year

2026
Year

2027

Temporary agents -

Baseline (Draft Budget

Request 2021)85

102,859

102,859 102,859

102,859 102,859

Temporary agents –

Additional compared to

the baseline

(cumulative)

5,937

14,384          19,067

22,830          25,171

TOTAL

102,859 617,153

26,342          113,730

Temporary agents86 -TOTAL108,796117,242121,925125,688128,030129,201730,883
Contract staff -Baseline 8720,96220,96220,96220,96220,96220,962125,772
Seconded National

Experts - Baseline

(Draft Budget Request

2021)88
6,7296,7296,7296,7296,7296,72940,374
TOTAL only additional costs5,93714,38419,06722,83025,17126,342113,730
TOTAL – including

baseline and

additional costs
136,487144,933149,616153,379155,721156,892897,029

Staff requirements (FTE):

Year

2022

Year

2023

Year

2024

Year

2025

Year

2026

Year

2027

Staff levels indicated in Draft Budget 2021, calculated on the basis of the average staff unit costs to be used

for LFS, indexed to the correction coefficient for the Netherlands (111,5%).

It is not possible at this stage to provide the detailed allocation between temporary agent – AD and

temporary agents – AST. The costs estimates for staff have been made on the basis of the average costs for

temporary agent, indexed to the correction coefficient for the Netherlands (111,5%).

The authorized levels of contract staff will be reinforced in the 2021 EU contribution of Europol and will

stay stabilised at this level for the entire MFF 2021-2027. No increase of contract agents is foreseen in the

LFS.

Staff levels indicated in Draft Budget 2021, calculated on the basis of the average staff unit costs to be used

for LFS, indexed to the correction coefficient for the Netherlands (111,5%).

85

86

87

88

Temporary agents –

Baseline (Draft Budget

Request 2021)
615615
Temporary agents –

Additional compared to

the baseline

(cumulative)
71101
Temporary agents – TOTAL686716
Contract staff235235
Seconded National Experts7171
TOTAL9921022
615615
127146
742761
235235
7171
10481067
615615
155160
770775
235235
7171
10761081

Recruitement dates are planned at mid-year. The amounts have been adapted accordindly: the costs of newly recruited staff have been estimated at 50% of the average costs for their recruitment year.

The human ressources necessary to implement the objectives of the new mandate have been estimated in cooperation with Europol. The estimates take into consideration the expected increase in workload as stakeholders make more use of Europol’s services over time, as well as the time needed for Europol to absorb resources in order to avoid a situation where the agency would not be able to fully implement its EU contribution and commit appropriations in due time.

No increase in contract agents is foreseen in the LFS. The Commission intends to propose to increase its recommendation for the level of contract agents from 191 to 235 to provide IT and administrative support to the operational activities. The maximum level of contract agents will be set at 235 in 2021 and should be stabilised at this level for the entire MFF 2021-2027.

Details of the staff increase

Specific objectiveAdditional staffAllocation in Europol
Specific objective n°1Additional staff needed to analyse additional data coming from private parties.

Estimated FTEs needed – additional FTE to be hired per year (not-cumulative):

2022: +27; 2023: +13; 2024: +10; 2025: +9; 2026: +1; 2027: +2
Operations Directorate :

* Europol Cybercrime Centre (EC3)

* European Counter-Terrorism Centre – Operations (CT) and EU Internet Referral Unit (IRU)

Capabilities Directorate -ICT
Specific objective n°2Additional staff needed to manage, process and analyse large and complex datasets and maintain IT systems, including in the context of EU Policy Cycle for organised and serious international crime and investigations in “high-value targets”.

Additional staff is also needed for the Data Protection Function to ensure large and complex data is processed in full compliance with fundamental rights.

Estimated FTEs needed – additional FTE to be hired per year (not-cumulative):

2022: +4; 2023: +2; 2024: +2; 2025: +1; 2026: +1; 2027: +1
Operations Directorate -*Europol Cybercrime Centre (EC3) * European Counter-Terrorism Centre – Operations (CT) and EU Internet Referral Unit (IRU)
Specific objective n°3Additional staff needed to run Europol’s innovation lab, support the EU innovation hub for internal security, and to support the management of security research.

Estimated FTEs needed – additional FTE to be hired per year (not-cumulative):

2022: +12; 2023: +10; 2024: +5; 2025: +5; 2026: +1; 2027: +0
Operations Directorate : Europol Cybercrime Centre (EC3)

Capabilities Directorate -ICT

Innovation Lab
Specific objective n°4Additional staff needed to create alerts in the Schengen Information System and to provide 24/7 follow up to Member States in case of a hit. FTEs to be scaled up in the first years of implementation, to follow expansion of the new system’s users. The need of 24/7 support implies necessary human resources (shift work).

Additional staff is also needed to support Schengen evaluations.

Estimated FTEs needed – additional FTE to be hired per year (not-cumulative):

2022: +15; 2023: +2; 2024: +5; 2025: +0; 2026: +0; 2027: +0
Operations Directorate : *Operational Centre (24/7)

* European Counter-Terrorism Centre – Operations (CT) and EU Internet Referral Unit (IRU)

Capabilities Directorate – ICT
Specific objective n°5Additional staff needed to make use of its mechanism to exchange personal data with third countries where necessary.

No additional staff is foreseen for the activities related to best practices and guidance.

Estimated FTEs needed – additional FTE to be hired per year (not-cumulative):

2022: +5; 2023: +0; 2024: +2; 2025: +0; 2026: +3; 2027: +0
Capabilities Directorate -ICT
Specific objective n°6Additional staff needed to coordinate with the Member States and to support Member States in their investigation (incl. on-the-spot-support, access to criminal databases and analytical tools, operational analysis, forensic and technical expertise).Operations Directorate :

- European Serious & Organised Crime Centre (ESOCC)

- European Counter-

Additional staff is also needed to coordinate with EPPO and to actively support EPPO in its investigations and prosecutions.

Estimated FTEs needed – additional FTE to be hired per year (not-cumulative):

2022: +8; 2023: +3; 2024: +2; 2025: +4; 2026: +3; 2027: +2

Terrorism Centre Operations (CT)

European Financial & Economic Crime Centre (EFECC)

Capabilities Directorate ICT

3.2.3.2. Estimated requirements of human resources for the parent DG

IZI The proposal/initiative does not require the use of human resources.

SThe proposal/initiative requires the use of human resources, as explained below:

Estimate to be expressed in full amounts (or at most to one decimal place)

•Establishment plan posts (officials and temporary sta f f )

Year

2022
Year

2023

Year

2024

Year

2025

Year

2026

Year

2027

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

XX 01 01 02 (Delegations)
XX 01 05 01 (Indirect research)
10 01 05 01 (Direct research)
External staff (in Full Time Equivalent

unit: FTE)89
XX 01 02 01 (AC, END, INT from the ‘global envelope’)111111
XX 01 02 02 (AC, AL, END, INT and JPD in the Delegations)
XX 01 04

yy90
- at Headquarters91
- in Delegations
XX 01 05 02 (AC, END, INT – Indirect research)
10 01 05 02 (AC, END, INT – Direct research)
Other budget lines (specify)
TOTAL

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:

Seconded National Expert; INT

staff; JPD = Junior

AC = Contract Staff; AL = Local Staff; END

Professionals in Delegations .

Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).

Mainly for the Structural Funds, the European Agricultural Fund for Rural Development (EAFRD)

European Fisheries Fund (EFF).

and the

5

5

5

5

5

5

89

90

9

Officials

External

and temporary staff

Represent the Commission in the Management Board of the Agency. Draw up Commission opinion on the annual work programme and monitor its implementation. Monitor implementation of the budget. Assist the Agency in developing its activities in line with EU policies, including by participating in experts meetings.

One SNE will support the officials and temporary staff in the above tasks and assist the Agency in developing its activities in line with EU policies, including by participating in experts meetings.

Description section 3.

of the calculation of cost for

FTE

units should be included in the

Annex V,

staff

3.2.4.       Compatibility with the current multiannual financial framework

DThe proposal/initiative is compatible IZI The proposal/initiative will entail reprogramming of the relevant heading in the

the current multiannual financial framework.

multiannual financial framework.

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

The proposal includes additional financial and human resources for Europol compared to what is currently foreseen in the MFF proposal (Fiche N°68). The budgetary impact of the additional financial resources for Europol will be offset through a compensatory reduction from programmed spending under Heading 4.

IZI The proposal/initiative requires application of the flexibility instrument or revision of the multiannual financial framework

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

[•••]

3.2.5.     Third-party contributions

The proposal/initiative does not provide for co-financing by third parties. The proposal/initiative provides for the co-financing estimated below:

EUR million (to three decimal places)

Year

N
Year

N+1
Year

N+2
Year

N+3
Enter as many years as necessary

to show the duration of the

impact (see point 1.6)
Total
Specify the co-financing body
TOTAL appropriations co-financed

See Articles 11

17

Council Regulation (EU, Euratom) No 1311/2013 laying

down the multiannual

financial framework for the years

2014-2020.

92

and

of

3.3.

Estimated im p act on revenue

SThe proposal/initiative has no financial impact on revenue.

DThe proposal/initiative has the f oll owing fina nc ial impact:


on own resources

on other revenue

please indicate, if the revenue is assigned to expenditure lines

EUR million (to three decimal places)

Budget revenue line:Appropriation s available for

the current financial year
Impact of the proposal/initiative93
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)
Article ………….

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

[…]

Specify

the method for calculating the impact on revenue.

[•••]

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net amounts, i.e. gross amounts after deduction of 20 % for collection costs.

93