Eiropas ombuds

Please note: The draft recommendations contained below were already made to the Commission on 28 July 1999. On 29 July 1999, the same draft recommendations were also addressed to the Parliament and the Council. The three institutions were requested to send their opinion by no later than 30 November 1999.

THE REASONS FOR THE INQUIRY

On 11 November 1998 I started an own initiative inquiry into the existence and the public accessibility, in the different Community institutions and bodies, of a Code of Conduct on good administrative behaviour of the officials in their relations with the public.
One of the reasons for this own initiative inquiry was that during my time in office, I received numerous complaints which brought to my attention instances of maladministration which could have been avoided if clear information had been available about the administrative duties of Community staff towards the citizens.
The more general reason was that part of the Ombudsman's mission is to enhance relations between the European citizens and the Community institutions and bodies. The creation of the Ombudsman's office was meant to underline the commitment of the Union to democratic, transparent and accountable administration. The Ombudsman should promote good administrative practices by improving the quality of administration.
I therefore observed in my own-initiative inquiry that, in order to improve the quality of the Community administration, Codes of Conduct on good administrative behaviour could play a valuable role. Such codes would be very helpful for the staff when they have to deal with requests/complaints from citizens. The Code would inform them in a detailed manner of which rules to respect in dealing with the citizens who contact their institution. If the codes are made easily accessible to the public, for instance in the form of a decision published in the Official Journal, they would provide the citizens with information on what are their rights and which standards of good administration they may expect from the Community institutions and bodies.
The European Parliament has welcomed very positively the idea of such a Code for the European institutions and bodies (1) and had stressed "the importance for such a Code to be, for reasons of public accessibility and understanding, as identical as possible for all European institutions and bodies".

THE INQUIRY

On the basis of these considerations, and in accordance with Article 3.1 of the Regulations and the general conditions governing the performance of the Ombudsman's duties, I started an own initiative inquiry which was addressed to eighteen Community institutions and bodies (four Community institutions in the sense of Article 4 of the Treaty, four bodies established by the Treaty, and ten "decentralised Community agencies") (2). The inquiry had the following subject:
Firstly, I asked the institution or body if it had adopted a Code of good administrative behaviour for its officials in their relations with the public, which is easily accessible to the citizens. If such a Code did not exist, I asked if the institution or body would agree to take the necessary steps in order to adopt a Code of Conduct. As to the contents of this Code, I observed that it could include, in a list of provisions, general applicable rules on the substantive and procedural principles which were set out in the annex to my letter of 11 November 1998.
Secondly, considering that such a code would be most effective if it is a publicly accessible document containing precise provisions, I equally asked the institution or body if it could indicate in which form it would adopt the Code.
The Commission's opinion
On 10 February 1999, the Secretary General of the Commission sent to the Ombudsman, as well as to the Secretaries General of the Parliament and the Council, a copy of the draft "Code of Conduct applicable at the European Commission" which would be submitted to the Commission on 10 March 1999. The letter to the Secretaries General indicated that the adoption of this Code by the Commission and the implementing measures were also meant to give effect to the initiative of the Ombudsman.
The draft Code contained five sections: a) basic values, b) rights, c) obligations, d) professional qualities to be fostered and e) serving the public. The Ombudsman made observations on the draft Code on 23 February and 9 March 1999. This draft was also the subject of a meeting on 2 March 1999 between the Secretaries General of the Parliament, the Council, the Commission and the Ombudsman.
The last section of the draft Code entitled "Serving the public", which corresponded to the subject of the own initiative inquiry, took into account most of the substantive and procedural principles which were suggested in the annex to the letter of the Ombudsman of 11 November 1998.
On 11 March 1999, the Secretary General of the Commission informed the Ombudsman of three Codes of Conduct, concerning respectively the Commissioners, the relations between the Commissioners and the Commission departments, and the draft Code of Conduct for staff of the European Commission. The Ombudsman was informed that the two first Codes had been adopted by the Commission on 9 March 1999. However, as regards the Code of Conduct for staff of the European Commission, the Commission informed the Ombudsman that it was still a draft which had to be further discussed through consultations with staff representatives and the other European institutions, after which it would be formally adopted by the Commission.
Finally, on 19 April 1999, Mr Ebermann, Director in the Secretariat General, informed the Ombudsman that, unfortunately, in the present circumstances no formal follow-up to the draft Code of Conduct was possible for the time being, but that the Commission services hope to be able to finalize the Code quickly once the new Commission is in place.
The Parliament's opinion
In his reply of 12 February 1999, the President of the Parliament welcomed the initiative and indicated that the Parliament had already started the examination of the matter of a Code of good administrative behaviour. He observed that the question had been on the agenda of the meeting between the Secretary General and the Directors General of 8 January 1999. He indicated that, in function of the progression of the works, the Bureau of the Parliament would be seized of a draft Code of good administrative behaviour which would be transmitted to the Ombudsman. Since the letter of 12 February 1999, no draft Code has been received from the Parliament.
The Council's opinion
In his reply of 30 March 1999, the Secretary General of the Council referred to the meeting of 2 March 1999 between the Secretaries General of the Parliament, the Council, the Commission and the Ombudsman, in which he had indicated that the measure proposed by the Ombudsman would undoubtedly contribute to bring the citizens closer to the Community institutions. The Secretary General also observed that a Code should be adopted in the form of a Council decision rather than in the form of a decision of the Secretary General. He stated that he had given instruction to the Council's services to examine the question in the light of the specific circumstances of the Council and of the initiatives taken by the other Community institutions. The Secretary General finally indicated that he would keep the Ombudsman informed about the follow-up given to this matter. Since the letter of 30 March 1999, no new information has been received from the Council.
The opinions from the other Community institutions, bodies and decentralised agencies
The Court of Auditors informed the Ombudsman on 24 November 1998 that it envisaged the elaboration of a Code in the future which should be precise and accessible to the public.
Both the Economic and Social Committee and the Committee of the Regions welcomed, respectively on 6 January 1999 and 4 December 1998, the Ombudsman's proposal and indicated that they were prepared to take the necessary steps in order to adopt a Code of good administrative behaviour. The Committee of the Regions indicated that the Code would be adopted in the form of a decision of its Bureau. Both Committees stressed also the importance of the Code to be common to all European institutions and bodies.
The European Investment Bank informed the Ombudsman on 2 December 1998 that a Code of Conduct applicable at the EIB had already been adopted in April 1997 and enclosed a copy of this Code. The Code had been formally approved by the Management Committee of the Bank and is complementary to the Staff Regulations. The Bank informed the Ombudsman that the Chapter 2 of the Code, "External Relations", contains the principles of good administrative behaviour for the staff in their relations with the public, and that the legal department of the Bank would examine the possibility of giving greater publicity to this part of the document.
The European Central Bank informed the Ombudsman on 4 February 1999 that it has few administrative relations with the general public, given that its contacts are primarily with central banks, the financial industry, governmental bodies and suppliers of goods and services. The Bank however observed that, for its dealings with the citizens, it would consider the adoption of a Code of good administrative behaviour as soon as circumstances allow and inform the Ombudsman of the steps taken.
Nine of the ten decentralised Community agencies welcomed positively the Ombudsman's proposal and expressed their intention to adopt a Code of good administrative behaviour, which should be approved by their respective Governing/Management Boards. On behalf of all the decentralised agencies, the Director of Cedefop, in his capacity of President of the group of agency directors/presidents, informed the Ombudsman on 26 February 1999 that an inter-agency working group had been set up to examine the matter and that the various decentralised agencies would adopt a concerted approach, based on the Commission's draft Code of conduct which should guide the code of conduct for the agencies. The Ombudsman would be kept informed of the progress.
On 2 December 1998, the Office for Harmonization in the Internal Market (OHIM) indicated to the Ombudsman that, given its special activity of intellectual property, it functions not as a common administration but rather like a private company which has to satisfy at its utmost its clients. The OHIM therefore described in detail the numerous procedural and substantial guarantees (contained in various Commission and Council Regulations) it offers for those who deposit a Community trademark. For this reason the OHIM indicated that, at this stage, it already complied with the substantial and procedural principles contained in the Ombudsman's proposal for a Code of good administrative behaviour (such as the acknowledgement of receipt within 15 days, a direct contact with the responsible official, the rights of the defence, the obligation to state reasons for decisions, an appeal procedure, an information service and a complaint coordination unit).
Evaluation of the present situation as regards a Code of good administrative behaviour
On the basis of the information obtained from the different Community institutions, bodies and decentralised agencies, it appears that, for the moment, none of them have adopted a Code of good administrative behaviour as proposed by the Ombudsman.
The Commission has started to elaborate a draft Code of Conduct for staff of the European Commission, section 5 of which deals with the relations of the Commission officials with the public. The Ombudsman was however informed that this Code had not yet been adopted and that in the given circumstances no formal follow-up to the draft Code was possible.
The Parliament, the Council, the Court of Auditors, the Economic and Social Committee, the Committee of the Regions and the European Central Bank agreed to but have not yet adopted a Code of good administrative behaviour for their officials in their relations with the public.
On the other hand, the European Investment Bank has already in April 1997 adopted a detailed Code of Conduct applicable at the EIB. However, it appears that this Code, which is complementary to the Staff Regulations, mainly concerns the relations of the staff of the EIB with the institution itself and that even Chapter 2 entitled "External Relations" does not really contain provisions which effectively deal with relations with the citizens.
It further appears that nine of the ten decentralised agencies agreed to take the necessary steps in order to adopt a Code of good administrative behaviour, but are still waiting for the Commission's Code to be definitively approved in order to adopt, in a concerted manner, similar Codes.
Finally, from its reply it appears that the Office for Harmonization in the Internal Market already complies with most of the substantial and procedural principles contained in the Ombudsman's proposal for a Code of good administrative behaviour. However, those guarantees do not concern all relations with the citizens, but are limited to the Community trademark procedure.
Draft Recommendations already made to the Commission, the Parliament and the Council
In March and April 1999 the Ombudsman was informed that the Commission's Code of Conduct had not been adopted and that no formal follow-up was possible in the given circumstances. Therefore, and given also that the decentralised agencies in particular are waiting for the Commission's Code to be adopted in order to approve similar Codes, the Ombudsman made the present draft recommendations to the Commission already on 28 July 1999. On 29 July 1999, the same draft recommendations were also addressed to the Parliament and the Council. The three institutions were requested to send their opinion by no later than 30 November 1999.

THE DECISION

1 The necessity of a Code of good administrative behaviour for the Community officials in their relations with the public
1.1 During his mandate the Ombudsman has received numerous complaints which brought to his attention instances of maladministration by the different Community institutions and bodies. These have been reported in the Ombudsman's annual reports. The Ombudsman considers that many of these instances of maladministration could have been avoided if clear information had been available, in the form of a Code of good administrative behaviour, about the administrative duties of the Community staff towards the citizens.
1.2 Part of the Ombudsman's mission is to enhance relations between the Community institutions and bodies and European citizens. The creation of the Ombudsman's office was meant to underline the commitment of the Union to democratic, transparent and accountable forms of administration. The Ombudsman should in particular help to secure the position of citizens by promoting good administrative practices and improving the quality of administration.
1.3 The Ombudsman notes that the Amsterdam Treaty has explicitly introduced the concept of openness into the Treaty on European Union, by stating that "This Treaty marks a new stage in the process of creating an ever closer union among the people of Europe, in which decisions are taken as openly as possible and as closely as possible to the citizen" (Article 1 of the Treaty on European Union). With this regard, the Ombudsman considers that, in order to bring the administration closer to the citizens and to guarantee a better quality of administration, a Code which contains the basic principles of good administrative behaviour for officials when dealing with the public is necessary. Such a Code is useful for both the Community officials, as it informs them in a detailed manner of the rules they have to follow when dealing with the public, and the citizens, as it can provide them with information on which principles apply in the Community administration and on the standard of conduct which they are entitled to expect in dealings with the Community administration.
1.4 A Code of good administrative behaviour can only be efficient if it is a publicly accessible document for the citizens. Therefore it is appropriate that it is published in the form of a decision, like has been the case for the Code of Conduct concerning public access to Commission documents, contained in the Commission decision (94/90/ECSC, EC, Euratom) of 8 February 1994(3). Also, in order to be understandable and not confusing for the public, such a Code should be a unique document which contains rules exclusively on the relations of the officials with the public, and not on the relations of the officials with their institution (rights and obligations, explanation of provisions of the Staff Regulations), as in the draft Code of Conduct for staff of the European Commission.
1.5 The Ombudsman further notes that, in its Resolutions C4-0270/98(4) and C4-0138/99, the European Parliament has stressed the urgent need to draw up as soon as possible a Code of good administrative behaviour, and the importance for such a Code to be, for reasons of public accessibility and understanding, as identical as possible for all European institutions and bodies. The Parliament has equally indicated that such a Code should be accessible to all European citizens, and be published in the Official Journal.
1.6 On the basis of the information supplied to the Ombudsman by the different Community institutions, bodies and decentralised agencies, it appears that, for the moment, none of them have adopted a Code of good administrative behaviour as proposed by the Ombudsman.
2 Conclusion
On the basis of the above considerations, the Ombudsman concludes that during his mandate various instances of maladministration by the different Community institutions and bodies have been found. One of the reasons for these instances of maladministration is that for the moment clear rules do not exist on the principles of good administrative behaviour which the Community officials should respect in their relations with the public. Therefore, in order to prevent that similar instances of maladministration recur in the future, the Community institutions and bodies should adopt a Code of good administrative behaviour for their officials in their relations with the public. Such a Code can only be efficient if it is a publicly accessible document for citizens. Therefore it should be adopted in the form of a decision published in the Official Journal.
3 Draft Recommendations
In view of the above, the European Ombudsman makes, in accordance with Article 3(6) of the Statute of the Ombudsman, the following draft recommendations to the different Community institutions, bodies and decentralised agencies:
1. The institution or body should adopt rules concerning good administrative behaviour of its officials in their relations with the public. For adopting these rules, the institution or body might take guidance from the provisions contained in the annexed Code of good administrative behaviour.
2. In order to ensure that they can be easily understood by citizens, the rules should deal only with the relations of the officials with the public. If the institution or body also intends to adopt rules concerning the relations of officials with the institution, it could do so in a separate, publicly available, document.
3. In order to be efficient and accessible to the citizens, the rules should be adopted in the form of a decision and be published in the Official Journal.
The institution or body is hereby informed of these draft recommendations. In accordance with Article 3 (6) of the Statute of the Ombudsman, it shall send a detailed opinion within three months. In the present case, the opinion should be sent by no later than 31 December 1999. The detailed opinion could consist of acceptance of the Ombudsman's decision and a description of the measures taken to implement the recommendations.
Yours sincerely,
Jacob SÖDERMAN
Strasbourg, 13 September 1999

(1) See the Resolution of 16 July 1998 on the Annual Report on the activities of the European Ombudsman in 1997 (C4-0270/98).

(2) The European Parliament, the Council of the European Union, the European Commission, the Court of Auditors, the Economic and Social Committee, the Committee of the Regions, the European Investment Bank, the European Central Bank, the European Centre for the Development of Vocational Training (CEDEFOP), the European Foundation for the improvement of Living and Working Conditions, the European Environment Agency, the European Agency for the Evaluation of Medicinal Products (EMEA), the Office for Harmonisation in the Internal Market, the European Training Foundation, the European Drugs and Drug Addiction Monitoring Centre, the Translation Centre for bodies of the European Union, the European Agency for Safety and Health at Work, and the Community Plant Variety Office.

(3) OJ 1994 L 46/58.

(4) OJ 1998 C 292/168.

Enclosures:
ADFÆRDSKODEKS FOR GOD FORVALTNINGSPRAKSIS (PDF)
KODEX FÜR GUTE VERWALTUNGSPRAXIS (PDF)
ΚΩΔΙΚΑΣ ΚΑΛΗΣ ΔΙΟΙΚΗΤΙΚΗΣ ΣΥΜΠΕΡΙΦΟΡΑΣ (PDF)
CODE OF GOOD ADMINISTRATIVE BEHAVIOUR (PDF)
CÓDIGO DE BUENA CONDUCTA ADMINISTRATIVA (PDF)
CODE DE BONNE CONDUITE ADMINISTRATIVE (PDF)
CODICE DI BUONA CONDOTTA AMMINISTRATIVA (PDF)
CODE VAN GOED ADMINISTRATIEF GEDRAG (PDF)
CÓDIGO DE BOA CONDUTA ADMINISTRATIVA (PDF)
HYVÄN HALLINTOTAVAN SÄÄNNÖSTÖ (PDF)
KODEX FÖR GOD FÖRVALTNINGSSED (PDF)