Legal Fundaments

THE EUROPEAN OMBUDSMAN,

Having regard to Articles 8d and 138e of the Treaty establishing the European Community, Article 20d of the Treaty establishing the European Coal and Steel Community and Article 107d of the Treaty establishing the European Atomic Energy Community;

Having regard to Article 14 of the decision of the European Parliament on the regulations and general conditions governing the performance of the Ombudsman's duties, calling for the Ombudsman to adopt implementing provisions for this decision;

Whereas the implementing provisions adopted on an indicative and provisional basis on 4 September 1996 foresee the adoption of formal and durable implementing provisions during 1997;

Considering that experience in the functioning of his office makes it desirable to revise and consolidate the implementing provisions adopted on an indicative and provisional basis on 4 September 1996 and the Decision of the European Ombudsman of 24 March 1997 on public access to non complaints-related documents held by the Office of the European Ombudsman,

ADOPTS THE FOLLOWING IMPLEMENTING PROVISIONS:

Article l
Definitions

l. l. In these implementing provisions, "citizen" means any natural or legal person who addresses a complaint to the European Ombudsman;

1.2. "Institution concerned" means the Community Institution or body which is the object of a complaint or an own initiative inquiry;

1.3. "the Statute" means the regulations and general conditions governing the performance of the Ombudsman's duties.

Article 2
Receipt of complaints

2.1. Complaints are identified, registered and numbered upon receipt.

2.2. An acknowledgement of receipt is sent to the citizen, quoting the registration number of the complaint and identifying the legal officer who is dealing with the case.

2.3. A petition transferred to the Ombudsman by the European Parliament with the consent of the petitioner is treated as a complaint.

2.4. In appropriate cases and with the consent of the complainant, the Ombudsman may transfer a complaint to the European Parliament to be dealt with as a petition.

2.5. In appropriate cases and with the consent of the complainant, the Ombudsman may transfer a complaint to another competent authority.

Article 3
Admissibility of complaints

3.1. On the basis of the criteria laid down in the Treaty and the Statute, the Ombudsman determines whether a complaint is within his mandate and if so, whether it is admissible; he may request the citizen to provide further Information or documents before making the determination.

3.2. If a complaint is outside the mandate, or inadmissible, the Ombudsman closes the file on the complaint. He informs the citizen of his decision and of the reasons for it. The Ombudsman may advise the citizen to apply to another authority.

Article 4
Inquiries into admissible complaints

4. l. The Ombudsman decides whether there are sufficient grounds to justify making inquiries into an admissible complaint.

4.2. If he does not find sufficient grounds to justify making inquiries, the Ombudsman closes the file on the complaint and informs the citizen accordingly.

4.3. If the Ombudsman finds sufficient grounds to justify making inquiries he informs the citizen and the Institution conceded. He transmits a copy of the complaint to the institution concerned and invites it to submit an opinion within a specified time that is normally no more man three months. The invitation to the institution concerned may specify particular aspects of the complaint, or specific issues, to which the opinion should be addressed.

4.4. The Ombudsman sends the opinion of the institution concerned to the citizen, unless he decides that it is inappropriate to do so in a specific case. The citizen has the opportunity to submit observations to the Ombudsman, within a specified time that is normally no more man one month.

4.5. After considering the opinion and any observations made by a citizen to whom it has been sent, the Ombudsman may either decide to dose the case with a reasoned decision or to continue his inquiries. He informs the citizen and the institution concerned accordingly.

Article 5
Powers of investigation

5.1. Subject to the conditions laid down in the Statute, the Ombudsman may require Community institutions and bodies and the authorities of Member States to supply, within a reasonable time, Information or documents for the purposes of an inquiry.

5.2. The Ombudsman may require officials or other servants of Community institutions or bodies to give evidence under the conditions laid down in the Statute. Where an individual official or other servant is specifically criticised m a complaint, he or she is normally invited to submit observations.

5.3. The Ombudsman may request Community institutions and bodies to make arrangements for him to pursue his inquiries on the spot.

5.4. The Ombudsman may commission such studies or expert reports as he considers necessary to the success of an inquiry; the costs are charged to his budget.

Article 6
Friendly solutions

6.1. If the Ombudsman finds maladministration, as far as possible he cooperates with the institution concerned in seeking a friendly solution to eliminate it and to satisfy the citizen.

6.2. If the Ombudsman considers that such cooperation has been successful, he closes the case with a reasoned decision. He informs the citizen and the institution concerned of the decision.

6.3. If the Ombudsman considers that a friendly solution is not possible, or that the search for a friendly solution has been unsuccessful, he either closes the case with a reasoned decision that may include a critical remark or makes a report with draft recommendations.

Article 7
Critical remarks

7.1. The Ombudsman makes a critical remark if he considers:

a. that it is no longer possible for the institution or body concerned to eliminate the instance of maladministration and

b. that the instance of maladministration has no general implications.

7.2. When the Ombudsman closes the case with a critical remark, he informs the citizen and the institution concerned of his decision.

Article 8
Reports with draft recommendations

8.1. The Ombudsman makes a report with draft recommendations to the institution or body concerned if he considers either

a. that it is possible for the Institution or body concerned to eliminate the instance of maladministration, or

b. that the instance of maladministration has general implications.

8.2. the Ombudsman sends a copy of his report and draft recommendations to the institution concerned and to the citizen.

8.3. The Institution concerned sends the Ombudsman a detailed opinion within three months. The detailed opinion could consist of acceptance of the Ombudsman's decision and a description of the measures taken to implement the recommendations.

8.4. If the Ombudsman does not consider that the detailed opinion is satisfactory he draws up a report in relation to the instance of maladministration. The report may contain recommendations.

8.5. A report under the preceding paragraph takes the form of a special report to the European Parliament. The Ombudsman sends a copy of the report to the Institution concerned and to the citizen.

Article 9
Own-initiative inquiries

9.1. The Ombudsman may decide to undertake inquiries on his own initiative.

9.2. The Ombudsman's powers of investigation when conducting own initiative inquiries are the same as in inquiries instituted following a complaint.

9.3. The procedures followed in inquiries instituted following a complaint also apply, by analogy, to own initiative inquiries.

Article 10
Points of procedure

10.1. If the citizen so requests, the Ombudsman classifies a complaint as confidential. If he considers that it is necessary to protect the interests of the complainant or of a third party, the Ombudsman may classify a complaint as confidential on his own initiative.

10.2. If he considers it appropriate to do so, the Ombudsman may take Steps to ensure that a complaint is dealt with as a matter of priority.

10.3. If legal proceedings are instituted in relation to matters under investigation by the Ombudsman, he closes the case. The outcome of any inquiries he has carried out up to that point is filed without further action.

10.4. The Ombudsman informs the relevant national authorities and if appropriate, a Community Institution or body of such criminal law matters as may come to his notice in the course of an inquiry. The Ombudsman may also inform a Community Institution or body of facts which, in his view, could justify disciplinary proceedings.

Article 11
Reports to the European Parliament

11.1. The Ombudsman submits an annual report to the European Parliament on his activities as a whole, including the outcome of his inquiries.

11.2. A report made under paragraph 8.4 above takes the form of a special report by the Ombudsman to the European Parliament.

11.3. The Ombudsman may make such other special reports to the European Parliament as he thinks appropriate to fulfil his responsibilities under the Treaty and the Statute.

11.4. The annual and special reports of the Ombudsman may contain such recommendations as he thinks appropriate to fulfil his responsibilities under the Treaty and the Statute.

11.5. The Ombudsman publishes his annual and special reports in the Official Journal of the European Communities (C series).

Article 12
Cooperation with national ombudsmen

The Ombudsman may work in conjunction with ombudsmen and similar bodies in the Member States with a view to enhancing the effectiveness both of his own inquiries and of those carried out by ombudsmen and similar bodies in the Member States and of making more effective Provision for safeguarding the rights and interests of European citizens.

Article 13
Public access to documents held by the Ombudsman

13.1. The following are public documents:

a. the general register of non-confidential complaints;

b. complaints and documents annexed thereto by the citizen;

c. opinions and detailed opinions from institutions concerned and any observations thereon made by the citizen;

d. the Ombudsman's decisions closing cases;

e. reports and draft recommendations made under paragraph 8.4 above.

13.2. Documents (b) to (e) in the preceding paragraph are treated as confidential if the complaint has been classified as confidential, in accordance with paragraph 10.1 above.

13.3. Reports of the Ombudsman to the European Parliament concerning a complaint that is confidential are published in a form that does not allow the citizen to be identified.

13.4. Other documents held by the Ombudsman's office are public documents unless the Ombudsman considers that confidentiality is required either:

a. by the Treaties, the Statute of the Ombudsman, or any other provision of Community law, or

b. in order to protect his interest in the confidentiality of his proceedings or the running of his office.

13.5. The Ombudsman provides access to public documents held by his office in response to requests made in writing that sufficiently identify the documents concerned.

13.6. Access is given on the Spot or by providing the applicant with a copy. The Ombudsman may impose reasonable charges for the supply of copies of documents. The method of calculation of any Charge is explained.

13.7. The decision on a request for public access is taken without undue delay and in any case within 15 working days from receipt of the request.

13.8. If a request for access to a document is refused in whole or in part reasons are given for the refusal.

13.9. The above provisions do not apply in the case of published documents of which the Ombudsman is not the author.

Article 14
Languages

14.1. A complaint may be submitted to the Ombudsman in any of the official languages of the Union. The Ombudsman is not required to deal with complaints submitted in other languages.

14.2. The language of proceedings conducted by the Ombudsman is one of the official languages of the Union; in the case of a complaint, the official language in which it is written

14.3. The Ombudsman determines which documents are to be drawn up in the language of the proceedings.

14.4. Correspondence with the authorities of Member States is conducted in the official language of the state concerned.

14.5. The annual report, special reports and, where possible, other documents published by the Ombudsman are produced in all official languages.

Article 15
Entry into force

15.1. This decision shall come into effect on l January 1998.

15.2. From l January 1998, the implementing provisions adopted on an indicative and provisional basis on 4 September 1996 and the Decision of the European Ombudsman of 24 March 1997 on public access to non complaints-related documents held by the Office of the European Ombudsman shall cease to have effect.

		Legal Fundaments: European Union
		THE EUROPEAN OMBUDSMAN, Having regard to Articles 8d and 138e of the Treaty establishing the European Community, Article 20d of the Treaty establishing the European Coal and Steel Community and Article 107d of the Treaty establishing the European Atomic Energy Community; Having regard to Article 14 of the decision of the European Parliament on the regulations and general conditions governing the performance of the Ombudsman's duties, calling for the Ombudsman to adopt implementing provisions for this decision; Whereas the implementing provisions adopted on an indicative and provisional basis on 4 September 1996 foresee the adoption of formal and durable implementing provisions during 1997; Considering that experience in the functioning of his office makes it desirable to revise and consolidate the implementing provisions adopted on an indicative and provisional basis on 4 September 1996 and the Decision of the European Ombudsman of 24 March 1997 on public access to non complaints-related documents held by the Office of the European Ombudsman, ADOPTS THE FOLLOWING IMPLEMENTING PROVISIONS: Article l Definitions l. l. In these implementing provisions, "citizen" means any natural or legal person who addresses a complaint to the European Ombudsman; 1.2. "Institution concerned" means the Community Institution or body which is the object of a complaint or an own initiative inquiry; 1.3. "the Statute" means the regulations and general conditions governing the performance of the Ombudsman's duties. Article 2 Receipt of complaints 2.1. Complaints are identified, registered and numbered upon receipt. 2.2. An acknowledgement of receipt is sent to the citizen, quoting the registration number of the complaint and identifying the legal officer who is dealing with the case. 2.3. A petition transferred to the Ombudsman by the European Parliament with the consent of the petitioner is treated as a complaint. 2.4. In appropriate cases and with the consent of the complainant, the Ombudsman may transfer a complaint to the European Parliament to be dealt with as a petition. 2.5. In appropriate cases and with the consent of the complainant, the Ombudsman may transfer a complaint to another competent authority. Article 3 Admissibility of complaints 3.1. On the basis of the criteria laid down in the Treaty and the Statute, the Ombudsman determines whether a complaint is within his mandate and if so, whether it is admissible; he may request the citizen to provide further Information or documents before making the determination. 3.2. If a complaint is outside the mandate, or inadmissible, the Ombudsman closes the file on the complaint. He informs the citizen of his decision and of the reasons for it. The Ombudsman may advise the citizen to apply to another authority. Article 4 Inquiries into admissible complaints 4. l. The Ombudsman decides whether there are sufficient grounds to justify making inquiries into an admissible complaint. 4.2. If he does not find sufficient grounds to justify making inquiries, the Ombudsman closes the file on the complaint and informs the citizen accordingly. 4.3. If the Ombudsman finds sufficient grounds to justify making inquiries he informs the citizen and the Institution conceded. He transmits a copy of the complaint to the institution concerned and invites it to submit an opinion within a specified time that is normally no more man three months. The invitation to the institution concerned may specify particular aspects of the complaint, or specific issues, to which the opinion should be addressed. 4.4. The Ombudsman sends the opinion of the institution concerned to the citizen, unless he decides that it is inappropriate to do so in a specific case. The citizen has the opportunity to submit observations to the Ombudsman, within a specified time that is normally no more man one month. 4.5. After considering the opinion and any observations made by a citizen to whom it has been sent, the Ombudsman may either decide to dose the case with a reasoned decision or to continue his inquiries. He informs the citizen and the institution concerned accordingly. Article 5 Powers of investigation 5.1. Subject to the conditions laid down in the Statute, the Ombudsman may require Community institutions and bodies and the authorities of Member States to supply, within a reasonable time, Information or documents for the purposes of an inquiry. 5.2. The Ombudsman may require officials or other servants of Community institutions or bodies to give evidence under the conditions laid down in the Statute. Where an individual official or other servant is specifically criticised m a complaint, he or she is normally invited to submit observations. 5.3. The Ombudsman may request Community institutions and bodies to make arrangements for him to pursue his inquiries on the spot. 5.4. The Ombudsman may commission such studies or expert reports as he considers necessary to the success of an inquiry; the costs are charged to his budget. Article 6 Friendly solutions 6.1. If the Ombudsman finds maladministration, as far as possible he cooperates with the institution concerned in seeking a friendly solution to eliminate it and to satisfy the citizen. 6.2. If the Ombudsman considers that such cooperation has been successful, he closes the case with a reasoned decision. He informs the citizen and the institution concerned of the decision. 6.3. If the Ombudsman considers that a friendly solution is not possible, or that the search for a friendly solution has been unsuccessful, he either closes the case with a reasoned decision that may include a critical remark or makes a report with draft recommendations. Article 7 Critical remarks 7.1. The Ombudsman makes a critical remark if he considers: a. that it is no longer possible for the institution or body concerned to eliminate the instance of maladministration and b. that the instance of maladministration has no general implications. 7.2. When the Ombudsman closes the case with a critical remark, he informs the citizen and the institution concerned of his decision. Article 8 Reports with draft recommendations 8.1. The Ombudsman makes a report with draft recommendations to the institution or body concerned if he considers either a. that it is possible for the Institution or body concerned to eliminate the instance of maladministration, or b. that the instance of maladministration has general implications. 8.2. the Ombudsman sends a copy of his report and draft recommendations to the institution concerned and to the citizen. 8.3. The Institution concerned sends the Ombudsman a detailed opinion within three months. The detailed opinion could consist of acceptance of the Ombudsman's decision and a description of the measures taken to implement the recommendations. 8.4. If the Ombudsman does not consider that the detailed opinion is satisfactory he draws up a report in relation to the instance of maladministration. The report may contain recommendations. 8.5. A report under the preceding paragraph takes the form of a special report to the European Parliament. The Ombudsman sends a copy of the report to the Institution concerned and to the citizen. Article 9 Own-initiative inquiries 9.1. The Ombudsman may decide to undertake inquiries on his own initiative. 9.2. The Ombudsman's powers of investigation when conducting own initiative inquiries are the same as in inquiries instituted following a complaint. 9.3. The procedures followed in inquiries instituted following a complaint also apply, by analogy, to own initiative inquiries. Article 10 Points of procedure 10.1. If the citizen so requests, the Ombudsman classifies a complaint as confidential. If he considers that it is necessary to protect the interests of the complainant or of a third party, the Ombudsman may classify a complaint as confidential on his own initiative. 10.2. If he considers it appropriate to do so, the Ombudsman may take Steps to ensure that a complaint is dealt with as a matter of priority. 10.3. If legal proceedings are instituted in relation to matters under investigation by the Ombudsman, he closes the case. The outcome of any inquiries he has carried out up to that point is filed without further action. 10.4. The Ombudsman informs the relevant national authorities and if appropriate, a Community Institution or body of such criminal law matters as may come to his notice in the course of an inquiry. The Ombudsman may also inform a Community Institution or body of facts which, in his view, could justify disciplinary proceedings. Article 11 Reports to the European Parliament 11.1. The Ombudsman submits an annual report to the European Parliament on his activities as a whole, including the outcome of his inquiries. 11.2. A report made under paragraph 8.4 above takes the form of a special report by the Ombudsman to the European Parliament. 11.3. The Ombudsman may make such other special reports to the European Parliament as he thinks appropriate to fulfil his responsibilities under the Treaty and the Statute. 11.4. The annual and special reports of the Ombudsman may contain such recommendations as he thinks appropriate to fulfil his responsibilities under the Treaty and the Statute. 11.5. The Ombudsman publishes his annual and special reports in the Official Journal of the European Communities (C series). Article 12 Cooperation with national ombudsmen The Ombudsman may work in conjunction with ombudsmen and similar bodies in the Member States with a view to enhancing the effectiveness both of his own inquiries and of those carried out by ombudsmen and similar bodies in the Member States and of making more effective Provision for safeguarding the rights and interests of European citizens. Article 13 Public access to documents held by the Ombudsman 13.1. The following are public documents: a. the general register of non-confidential complaints; b. complaints and documents annexed thereto by the citizen; c. opinions and detailed opinions from institutions concerned and any observations thereon made by the citizen; d. the Ombudsman's decisions closing cases; e. reports and draft recommendations made under paragraph 8.4 above. 13.2. Documents (b) to (e) in the preceding paragraph are treated as confidential if the complaint has been classified as confidential, in accordance with paragraph 10.1 above. 13.3. Reports of the Ombudsman to the European Parliament concerning a complaint that is confidential are published in a form that does not allow the citizen to be identified. 13.4. Other documents held by the Ombudsman's office are public documents unless the Ombudsman considers that confidentiality is required either: a. by the Treaties, the Statute of the Ombudsman, or any other provision of Community law, or b. in order to protect his interest in the confidentiality of his proceedings or the running of his office. 13.5. The Ombudsman provides access to public documents held by his office in response to requests made in writing that sufficiently identify the documents concerned. 13.6. Access is given on the Spot or by providing the applicant with a copy. The Ombudsman may impose reasonable charges for the supply of copies of documents. The method of calculation of any Charge is explained. 13.7. The decision on a request for public access is taken without undue delay and in any case within 15 working days from receipt of the request. 13.8. If a request for access to a document is refused in whole or in part reasons are given for the refusal. 13.9. The above provisions do not apply in the case of published documents of which the Ombudsman is not the author. Article 14 Languages 14.1. A complaint may be submitted to the Ombudsman in any of the official languages of the Union. The Ombudsman is not required to deal with complaints submitted in other languages. 14.2. The language of proceedings conducted by the Ombudsman is one of the official languages of the Union; in the case of a complaint, the official language in which it is written 14.3. The Ombudsman determines which documents are to be drawn up in the language of the proceedings. 14.4. Correspondence with the authorities of Member States is conducted in the official language of the state concerned. 14.5. The annual report, special reports and, where possible, other documents published by the Ombudsman are produced in all official languages. Article 15 Entry into force 15.1. This decision shall come into effect on l January 1998. 15.2. From l January 1998, the implementing provisions adopted on an indicative and provisional basis on 4 September 1996 and the Decision of the European Ombudsman of 24 March 1997 on public access to non complaints-related documents held by the Office of the European Ombudsman shall cease to have effect.