1. 1 EIB Complaints Mechanism Brussels, 5 November 2014 Communication & Outreach Presentation to Trade Unions Communication & Outreach

2. 2 EIB Complaints Mechanism 5 November 2014 Brussels Recent developments Key features Statistics Challenges 1 2 3 4

3. 3 The EIB and the EU Institutional framework 5 November 2014 Brussels Working within an institutional setup: Council, Parliament Court of Justice, Court of Auditors Ombudsman, OLAF, EDPS Commission Working on the basis of EU environmental and social legal framework: e.g. EU Charter of Fundamental Rights European Principles for Environment Subject to principles and practices laid down by Treaties and Conventions to which the EU subscribed: e.g. Aarhus Convention

4. 4 EIB-CM key features The “right to appeal” is a fundamental right of all EIB stakeholders Based on a Memorandum of Understanding signed between the EIB and the European Ombudsman Two tiers mechanism: Internal – Complaints Mechanism Division (operationally independent) External – European Ombudsman (fully independent) Complainants are obliged to use the first tier and then may escalate if not happy with the outcome. Founding principles - Recognition of EU institutional framework, Independence, Effectiveness, Accessibility, Transparency, Timeliness, Consultative 5 November 2014 Brussels

5. 5 One physical or legal person is enough Any EIB action and/or decision (not only project-related) Two tiers approach (external review) Concept of “maladministration” Problem solving oriented Participation to the decision –making process 5 November 2014 Brussels EIB-CM – What is “unique”?

6. 6 5 November 2014 Brussels Effectiveness and the two-tier process

7. 7 Compliance Review as part of Problem Solving Independence: sole responsibility for Admissibility, type of Investigation, Findings and Conclusions Beyond compliance – ensuring citizens’ right to good administration by public institutions (part of the new EU treaty) and ensuring that no harm is made, which is not properly mitigated and/or compensated Capacity to recommend the Bank to redress and/or to improve its policies and practices (final decision to the Bank) Enforcement capability Monitoring mandate 5 November 2014 Brussels Effectiveness

8. 8 Enforcement capabilities Well defined legal framework to be complied with EIB-CM (internal) is part of the Bank’s decision making process Capacity to negotiate solutions Mandate to follow-up on recommendations issues and/or actions agreed, up to full implementation Access to the Bank’s governing bodies (Management Committee and Board of Directors) The European Ombudsman, the European Parliament (democratic control) and the EDPS The European Court of Justice (judicial) Public scrutiny (public reports) and reputational risks 5 November 2014 Brussels

9. 9 Framework 2008: Approval of first Policy by the EIB Management Committee. Signature of Memorandum of Understanding with the European Ombudsman. 2009: Public Consultation. 2010: Approval of the revised CM Principles, Terms of Reference and Rules of Procedure by the EIB Board of Directors. 2011: Approval of the CM Operating Procedures by the EIB Management Committee. 2015: Planned review of the Policy and Procedures, with Public Consultation. 5 November 2014 Brussels

10. 10 Organisation One of the four independent Divisions under the EIB Inspector General Composition Head of Division 5 Case Officers 1 Mediation Officer 1 Programme Officer Communication & Outreach 1 Senior Advisor (part-time external) 3 Assistants 5 November 2014 Brussels

11. 11 Functions Complaints Investigation (possibility of own initiative) Mediation Function Advisory Function (within the scope of responsibilities) Monitoring Function (in the context of past complaints) 5 November 2014 Brussels

12. 12 EIB Complaints Mechanism 5 November 2014 Brussels Recent developments Key features Statistics Challenges 1 2 3 4

13. 13 Recent Developments End of 2013 – full staffing. Steady increase of complaints received and increase of the complexity of cases. Diminishing stock of outstanding complaints in 2013 for the first time. An increasing number of complaints being handled within the delays prescribed by the policy (2013). Implementation of the Mediation Office. Client survey: Implementation of the system and systematic launch of the surveys. External Quality Review: ongoing. Preparing the 2015 Policy review + public consultation. Internal Quarterly Reports to the EIB Management Committee. 5 November 2014 Brussels

14. 14 Recent Developments Publication of the Activity Report 2009-2012. Development of a IAMs Coordination Agreement - setting the basis for the harmonisation of procedures between IFIs and ways of improving co-operation and mutual reliance in co-financed operations. Internal and external outreach plans (3 years) have been developed. Communication: Brochures and flyers; Reviewed graphics and visual presentation of all publications, including reports; full EIB-CM Website ready and available to the public (cases currently being uploaded). Participation to Rio +20, as part of the IAM Group – common publications, participation to side events and conferences and civil society outreach. 5 November 2014 Brussels

15. 15 EIB Complaints Mechanism 5 November 2014 Brussels Recent developments Key features Statistics Challenges 1 2 3 4

16. 16 EIB-CM Statistics & current trends 5 November 2014 Brussels Since 2007 the number of complaints has more than doubled and between 2009 and 2012 the number of admissible complaints increased by one third.

17. 17 EIB-CM Statistics & current trends 5 November 2014 Brussels 200520062007200820092010201120122013 Complaints received121724395263545563 Inadmissible---41215836 Admissible Complaints121724354048465257 Complaints dealt with1217274461858292117 Outstanding year end03592227375442 Inadmissible complaints may be complaints concerning fraud or corruption (which are dealt with by a separate Fraud Investigations Division), complaints from EIB staff, complaints concerning international organisations, EU bodies, or national and local authorities, complaints that have been brought with, or settled by, other administrative or judicial review mechanisms; anonymous complaints (confidentiality is assumed, anonymity is inadmissible); complaints seeking an unfair competitive economic advantage and complaints that are excessive, repetitive or malicious in nature. Admissible complaints are complaints relating to a decision, action or omission by the EIB, even at the stage the EIB is only considering offering support.

18. 18 EIB-CM Statistics & current trends 5 November 2014 Brussels Breakdown of complaints registered by the EIB-CM 200520062007200820092010201120122013 Environment/Social/ Developmental aspects 39271116181412 Governance----244711 Procurement related complaints -310151814 1923 Access to information211-54213 Human resources3185-4326 Customer relations---61321- Total81421333745434455

19. 19 EIB-CM Statistics & current trends 5 November 2014 Brussels Outcome of complaints registered by the EIB-CM 2009-2013 Dropped by the complainant12 Financing request dropped by the Promoter7 Prevention33 No grounds72 Areas for improvement39 Friendly solution13 Declared inadmissible during initial assessment14 Total190

20. 20 EIB-CM Statistics & current trends 5 November 2014 Brussels Complaints brought to other institutions 200520062007200820092010201120122013 European Ombudsman 433133363 European Data Protection Officer -------1- Aarhus Convention Compliance Committee ---1-----

21. 21 EIB Complaints Mechanism 5 November 2014 Brussels Recent developments Key features Statistics Challenges 1 2 3 4

22. 22 EIB-CM Global Challenges ahead 5 November 2014 Brussels Emerging institutional, environmental, and socio-cultural trends and challenges require new capabilities. The EIB-CM is, much as the other IFIs Accountability Mechanism, likely to face more and more intermediation of development finance through financial intermediaries. If not well understood by these intermediaries, this could pose challenges to the effectiveness of accountability mechanisms. Various sorts of new lending instruments pose new accountability challenges.

23. 23 EIB-CM Global Challenges ahead 5 November 2014 Brussels On-going social and cultural changes are raising people’s expectations with regard to participation, self-determination, and the fulfilment of human rights. The capability and desire of communities to assert their own vision of what constitutes progress through development will put extra pressure on IFIs’ accountability. Also, as more and more projects are co-financed by more than one IFI, there is room for strengthening the coordination amongst the IAMs, also seeking some degree of harmonisation.

24. 24 EIB-CM Specific Challenges ahead 5 November 2014 Brussels Maintain and further ensure Bank’s top management awareness and support. Further reduce processing delays (indicators & reporting). Better measure outcomes. Establish a formal follow-up system. Bring the EIB-CM close to the project affected people. Better communicate and report on its processes and outcomes.

25. 25 EIB Complaints Mechanism Communication & Outreach Thank you for your attention