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ETHICAL MANAGEMENT WORKSHOP

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1 ETHICAL MANAGEMENT WORKSHOP
Good Governance: Openness Participation Accountability Effectiveness Coherence 1

2 Contents 1. Slides presentation 2. Pre-workshop questionnaire 3. Exercises 4. Annexes: Staff Regulations Title II Guidelines on Gifts and Hospitality Guidelines on the Use of Social Media Documents on ethics or their links can be found on: Good Governance: Openness Participation Accountability Effectiveness Coherence

3 Enhancing the Environment for Professional Ethics in the Commission
ETHICAL MANAGEMENT Enhancing the Environment for Professional Ethics in the Commission Awareness-raising and Prevention

4 Our guiding principle of all staff
“TO PROVIDE HIGH QUALITY PUBLIC SERVICE TO 500 MILLION EU CITIZENS” Good Governance: Openness Participation Accountability Effectiveness Coherence 4

5 Purpose of the course To raise awareness To prevent wrongdoings
Good Governance: Openness Participation Accountability Effectiveness Coherence 5

6 Outcome of the course The course should contribute to :
Understanding staff conduct rules; Prevention of wrongdoings; Protection of staff in working relationships and delivery of work; Recognising and minimising risk situations. Not all the rules can be covered by 100%. Training is seen by majority of EU states as the most efficient instrument to combat wrongdoings/ misconduct. Other instruments e.g. (ASK PARTICIPANTS IF THEY KNOW) Disciplinary legislation Setting-up of effective control and monitoring bodies Code of Staff Conduct Registering private interests Job rotation (mobility) Policies on Whistleblower protection Ethics is considered a key principle of good governance Instruments should lead to a self-regulating system.

7 Main references of ethics
Staff Regulations; Title II, Art 11-26a Code of Good Administrative Behaviour Internal Control Standards Communication on ethics of 5th March 2008 Guidelines for all staff on the use of social media 2011 New guidelines on gifts and hospitality 2012 Covers most of minimum requirements ICS N°1 This is not a course on Finance! Administrative guide, values

8 Main topics of the course
PART I: Principles of professional ethics in the European Commission PART II: Main staff obligations including: Conflicts of interest, External activities, Freedom of Expression and discretion, Gifts and Interest Groups Proper conduct, internally and externally Financial liability, Whistle-blowing and Disciplinary proceedings Highlight the ethical reasoning here Refer to legal aspects

9 PART I: Principles of professional ethics in the European Commission
Highlight the ethical reasoning here Refer to legal aspects 9

10 Enhancing the environment for professional ethics in the Commission
“Ensuring a Culture of Integrity, Loyalty and Trust in the Commission and in its external relations” (Communication 5 March 2008) SEC(2008) 301 fin

11 Management and staff are aware of and share :
Appropriate ethical and organisational values Uphold these through their own behaviour and decision-making Internal Control Standards ICS N°1 requires that the awareness of staff for the necessity of keeping the highest standards of ethics and integrity in the conduct of their work is updated regularly.=> Ongoing/ continuous process. Training is instrument to give you guidance concerning the rules, conduct expected at work and private lives, greater awareness of risk situation with an eye on prevention and not just on penalisation. =>Baseline of rules Common Language Training is a useful tool to give a sense of ownership to staff of the rules because they are better informed and aware of their purpose. It also may give for the same reason a shared responsibility and greater involvement in implementing and enforcing the rules. Understand Staff Regulations and other rules relating to Staff conduct Prevent wrongdoing through awareness and understanding of Staff rules Protect you in your working relationships and delivery of work Recognise and Minimise risk situations

12 What does it mean in the European Commission?
Ethics: Professional staff conduct standards within and outside the Commission (Deontology) in order to provide high quality service to EU citizens Integrity: Individual conduct in the light of the Commission’s standards ETHICS ARE: What is right and wrong Doing what is right in regards to: The job we perform and the services we deliver The relationship with our stakeholders Taking into account that our private behaviour may have an impact on our job INTEGRITY IS: Decide on what is right or wrong Act on your decision what is right Saying openly that you are acting on your understanding of right and wrong Rules, conventions, standards and norms, (moral values and principles). Deontology: Corporate ethics, rules of the profession.

13 Dimensions of ethics ( 3 “R’s” of ethics)
RULES RESPONSIBILITY RESPECT Kant’s Categorical Imperative Respect thyself! Non-observing these sources has negative impact on organisational performance. In modern organisation you need both Rules (Ethics) and Respect/Responsibility (Integrity: Behaviour)

14 Respect EU Resources and Property Relations
Citizen (external stakeholders) EU Resources and Property Economy, Efficiency, Effectiveness Relations Working Together, Communication Diversity and Tolerance, Resolving conflicts RESPECT THYSELF! Resources/ property: Money, people (competencies) and property Respect for the environment, Commission’s time Do we get the right results?

15 A culture of integrity …
...is in everybody’s interest because it: Gives Citizens a better service Promotes public trust and enhances public image of the Commission and its staff Makes the Commission a better place to work Ethics is a key to better performance! Good Governance: be more efficient, effective, better use of resources, trust culture, better working environment, motivation, corporate identity Openness Participation Accountability Effectiveness Coherence

16 Fish bowl Transparency Accountability

17 Ethics are a key principle of good governance!
Our image High ethical standards and behaviour help to improve the reputation of the Commission and its staff The diffusion of a good image stimulates higher ethical performance Ethics are a key principle of good governance!

18 Instruments for ensuring ethical behaviour
Staff Conduct Rules Communication policy/ Training Control and monitoring systems/ bodies Disciplinary legislation Registering private interests Job rotation (mobility) Whistleblower policy Mediator/ Ethics correspondent DG Leadership / Role modelling management Instruments should lead to a self-regulating system Ethics is considered a key principle of good governance Kant’s Categorical Imperative

19 Instruments for ensuring ethical behaviour
Who is looking at what? Inside Commission: Internal audit capabilities in DGs Internal Audit Service (Commission) DG Budget, IDOC, OLAF Data Protection Officer DG HR B1 - Ethics, Rights and Obligations 

20 Instruments for ensuring ethical behaviour
Who is looking at what? Outside Commission: Other EU institutions European Parliament Council Court of Justice Court of Auditors Ombudsman European Data Protection Supervisor

21 Fundamental EU values – Treaty
“Liberty, democracy and respect for human rights and fundamental freedoms and the rule of law…solidarity” “United in diversity” Peace and worldwide perspective (Founding fathers’ vision) “Sharing a common destiny” (basis for solidarity)

22 Commission staff... ...must offer the highest standards of : Ability
Efficiency Integrity Basis is Art. 27 Staff. Regulations. Your responsibilities start once you are appointed. Also the basis of Art 43/45 (CDR) Ability includes competences to do your job effectively, as known from the conduct and competency framework (CDR). Competencies (Skills), Results and Conduct (attitude, behaviour). Integrity should be demonstrated in private life well. Golden rules can be seen as “values” of the Commission and Commission staff as expressed in the White Paper of July 2001 on Good Governance and as spelled out by Commissioner Kinnock in different addresses, e.g. Reform papers.

23 Key principles of staff conduct
INDEPENDENCE (Art 11, 11a) IMPARTIALITY and OBJECTIVITY (Art11, 11a) LOYALTY (Art 11, Art 16, Art 17a) By acting with: RESPONSIBILITY (Art 21, 21a,22, 22a/b) CIRCUMSPECTION (Art 12, 12a, 16, 17, 17a, 23) Rights and obligations of officials covered in Staff Regulations Title II Articles 11-26a Independence, objective, impartial, loyalty, circumspection see Art. 11/11a, 12, 17, 17a Circumspection degree of moderation , due sense of proportion and propriety.

24 Relations with the public
Code of Good Administrative Conduct (external): “Citizens First” Principles of relations between Commission and public Respecting the rights of EU citizens, they are our ultimate customers. The Commission adopted the Code of good administrative behaviour (CGAB) on the relations between the Commission and the public on 13 September 2000. The aim of the CGAB is to guarantee a high-quality service in all circumstances and to inform the public of the standards of conduct that citizens have a right to expect in their dealings with the Commission.

25 Relations with the public
Principles: Lawfulness Non-discrimination and Equal Treatment Proportionality and Consistency Objectivity and Impartiality Transparency and accountability The CGAB lays down the principles on which relations between the Commission and the public should be based: Lawfulness: The Commission acts in accordance with the law and applies the rules and procedures laid down in Community legislation. Therefore – respect the deadlines Non-discrimination and equal treatment: The Commission guarantees equal treatment for members of the public irrespective of nationality, gender, racial or ethnic origin, religion or beliefs, disability, age or sexual orientation. Proportionality: The Commission ensures that the measures taken are proportional to the aim pursued. In particular, the Commission will ensure that the CGAB never leads to the imposition of administrative fees out of proportion to the benefit expected. All aspects/ elements need to be taken into account. Consistency: The Commission shall be consistent in its administrative behaviour and shall follow its normal practice. Any exceptions to this principle must be duly justified.

26 Relations with the public
Citizens have the Right : To be heard; Reasons for decisions; Procedure for complaints; Response in the same EU language.

27 Relations with the public
ACCESS TO DOCUMENTS General rule: Right of access to all documents (Art 255 EU Treaty) Unless: Disclosure would undermine for example public or private interest, relating to data protection, security and discretion Charter of Fundamental Rights Art 42

28 Relations with the public
HANDLING OF THE MEDIA: Refer to the spokesperson and /or ask for instructions from hierarchy Situation and circumstances differ from service to service. Many services have a policy. Inform yourself.

29 Relations with the public
Complaints from the public: European Ombudsman in cases of administrative malpractices Right of petition to the European Parliament Court of Justice “15 working days”

30 Ethical dilemma Situation is not always straightforward
Not always obvious what is right or wrong Which choice to make? How to act? Do not confuse with temptations! Officials may face dilemmas when they have to make decisions regarding issues where different values are contradictory. Example: Rule of law versus efficiency. Sometimes also : Balancing act between individual freedom against the needs of the institution However, for much activities in the Commission the problem is not uncertainty in knowing what ought to be done, but ensuring that everybody behaves ethically when the right course of action is clear! ACT in case of Dilemmas Analyse the situation Consider the consequences Take appropriate action The best way to handle ethical dilemmas is to avoid their occurrence in the first place!=> Training, code of conduct, clear rules MESSAGE: When in doubt ask or look at rules.

31 Ethical reasoning Reflect before you act, Be Transparent!
Analyse the situation Consider the consequences Check (Rules, Hierarchy, Ethical correspondent DG, DG HR) Take action/Decide on best option Evaluate Ethical Reflex: “Is my behaviour risking the Commission’s position?” Ethical reflex, distance

32 Part II: Main staff obligations
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33 Conflict of interest Situations that compromise independence in decision making or are perceived or might be perceived as compromising such independence When in doubt, duty to ask and inform in advance!

34 Conflict of interest OBLIGATION to inform in advance! Avoid situations which might impair your independence or impartiality (Art 11, 11a) Undertakings and independence Inform about your interests (Art 11a) Inform about employment of spouse (Art 13) No misuse of insider information (Art 11a, 17a) CONFLICT OF INTEREST (Non-exhaustive examples): You are risking damaging and harming the interest of the Communities …if you posses any kind of direct interest in a contractor's or a beneficiary's business through for example: ownership of shares or through any other rights of assets derived from the past, present or future action or if such shares or other participations are owned by: your spouse, co-habitee or other relatives an under aged child in the care of yourself or of your relatives, or a legal person over whose operations you have an influence or with whom you or someone who is defined above or several of them together have a financial relationships …or if you have an indirect relationship with the contractor or the beneficiary, example: A person in your service's management or some other person in the service who is superior to you owns shares or other participations or if you administer any holdings or shares in the contractor or beneficiary have a joint financial relationship with a contractor or a beneficiary, one of its employees, a member of the board or a shareholder or if you have a loan to and from a contractor or a beneficiary or from one of its employees in a management position a board member or a shareholder or if you have given guarantees or incurred other contingent liabilities or benefits to/from the contractor or beneficiary or to/from any of the persons described previously CONFLICT OF INTEREST (Non-exhaustive examples) …or if you have an indirect relationship with the contractor or the beneficiary Example: A person in your service's management or some other person in the service who is superior to you owns shares or other participations

35 Outside/external activities
Obligation to ask for permission for “outside” activities, paid or not paid, in advance (Art 12b) Refused if activity impairs independence and/or is detrimental to the interest of the Institution or work in the Commission (Art 11a, 12, 23 and 55) Amount of the net remuneration Ceiling of € 4500 per year Obligations after leaving the service (Art 16) Commission Decision on Outside activities and assignments, : “Public office” means any public office, paid or unpaid, that is filled following an election or otherwise; “Assignment” means the taking-on of a defined, time-limited task; “Outside activity” means any other activity, paid or unpaid, that is of an occupational character or goes otherwise beyond what can be reasonably considered a leisure activity. ART23 :Protocol “Being a Fonctionnaire is a full time job” Additional activities may not be allowed when linked with work in Commission Concentrate on position in Commission only Additional activities must remain secondary Focus of all professional activities should be on the tasks entrusted by the Commission No interference with duties Commission; no conflict of interest; not against the dignity of European public function Why the ceiling? – it needs to stay modest moneywise and timewise Obligations after leaving the service – practical guide p.23

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37 Sysper 2 CONFLICT OF INTEREST (Non-exhaustive examples): You are risking damaging and harming the interest of the Communities …if you posses any kind of direct interest in a contractor's or a beneficiary's business through for example: ownership of shares or through any other rights of assets derived from the past, present or future action or if such shares or other participations are owned by: your spouse, co-habitee or other relatives an under aged child in the care of yourself or of your relatives, or a legal person over whose operations you have an influence or with whom you or someone who is defined above or several of them together have a financial relationships …or if you have an indirect relationship with the contractor or the beneficiary, example: A person in your service's management or some other person in the service who is superior to you owns shares or other participations or if you administer any holdings or shares in the contractor or beneficiary have a joint financial relationship with a contractor or a beneficiary, one of its employees, a member of the board or a shareholder or if you have a loan to and from a contractor or a beneficiary or from one of its employees in a management position a board member or a shareholder or if you have given guarantees or incurred other contingent liabilities or benefits to/from the contractor or beneficiary or to/from any of the persons described previously CONFLICT OF INTEREST (Non-exhaustive examples) …or if you have an indirect relationship with the contractor or the beneficiary Example: A person in your service's management or some other person in the service who is superior to you owns shares or other participations 37

38 Sysper 2 CONFLICT OF INTEREST (Non-exhaustive examples): You are risking damaging and harming the interest of the Communities …if you posses any kind of direct interest in a contractor's or a beneficiary's business through for example: ownership of shares or through any other rights of assets derived from the past, present or future action or if such shares or other participations are owned by: your spouse, co-habitee or other relatives an under aged child in the care of yourself or of your relatives, or a legal person over whose operations you have an influence or with whom you or someone who is defined above or several of them together have a financial relationships …or if you have an indirect relationship with the contractor or the beneficiary, example: A person in your service's management or some other person in the service who is superior to you owns shares or other participations or if you administer any holdings or shares in the contractor or beneficiary have a joint financial relationship with a contractor or a beneficiary, one of its employees, a member of the board or a shareholder or if you have a loan to and from a contractor or a beneficiary or from one of its employees in a management position a board member or a shareholder or if you have given guarantees or incurred other contingent liabilities or benefits to/from the contractor or beneficiary or to/from any of the persons described previously CONFLICT OF INTEREST (Non-exhaustive examples) …or if you have an indirect relationship with the contractor or the beneficiary Example: A person in your service's management or some other person in the service who is superior to you owns shares or other participations 38

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40 What to know about: Candidates for elective office (Art 15) => Notify the Appointing Authority Witness in legal proceedings => Ask permission for disclosing information related to duties (Art 19)

41 Every staff member should:
Refrain from acts/behaviour inside or outside the Commission that could bring the image and the reputation of the Commission and its Staff into disrepute (Art 12) Refrain from any form of harassment (Art 12a, 24) TREATING COLLEAGUES WITH RESPECT Teamwork Polite and clear communication Respect Resolve conflicts

42 Publications and speeches
Circumspection, confidentiality and discretion (Art 12, Art 17 and Art 18), also after leaving service Freedom of expression, provided loyalty and discretion (Art 17a) Publications on professional and EU matters and speeches (17a)=> Inform Appointing Authority (AIPN) in advance. Communication on Social Networks Remuneration for publications and speeches All contacts with the media about EU matters: Spokesperson Charter of Fundamental Rights: Right to freedom of expression Officials required to refrain from any public comment, which could adversely reflect on their position as officials. Officials are also to be required to preserve the confidentiality of all facts and matters of which they become aware in the course of their work. Confidentiality principle is no longer to apply to information and documents which are publicly accessible. Staff may be entrusted to deal with information, which must be treated with discretion. For example, this applies to sensitive economic data in DG Competition or staff data in DG ADMIN. Professional secrecy is a fundamental obligation for all officials and other servants working in the departments responsible for administering the affairs of the staff of the Commission. Remuneration : same rules as for outside activities if work related. Royalties for publications not work related can be kept. Witness IF not sure look at the RULES!

43 Classified documents Information that is only for staff who need to know it for their work: RESTREINT UE CONFIDENTIEL UE SECRET UE TRES SECRET UE/EU TOP SECRET Consult Local Security Officer and Local Informatics Security Officer See website Administrative guide: Decision 3 Feb 2005, OJ L 31, Be careful with codes/ passwords and confidential documents. Close cupboards, keep keys if you have confidential matters. Since 1 October 2001 all staff on Commission premises have been required to wear their staff card in a visible fashion. In addition, all officials and departments have been reminded of the obligation to take responsibility at all times for visitors to the Commission while they are on Commission premises.

44 Relations with interest groups (incl. lobbyists)
European Transparency Initiative: Code of Conduct-Register for Interest Groups Be Transparent: inform about external contacts and ask for instructions Be aware of Risks, in particular of Conflicts of Interest and Public Image Commission Ethical Reflex: “Is my behaviour risking the Commission’s position?”

45 Be Transparent and consider Consequences!
Gifts In principle NO to gifts/ other favours! Negative for public image and potential conflict of interest (Art 11,12) Possible Exceptions: Gifts <= €50 per year (presumed permission of the Appointing Authority) Gifts between €51 and €150 prior permission by the Appointing Authority Gifts > €150 – refused by the Appointing Authority Be Transparent and consider Consequences! IMAGE Public Function, Common sense, Circumspection Most forms of corruption start with gifts or other perks, e.g. cash or free travel IF not sure look at the RULES! A lot of problems can be avoided with good judgement (“bonne sense”), prudence and above all honesty. It is up to you to judge what the intentions are and to inform hierarchy. CIRCUMSPECTION

46 Hospitality The mission order will cover all predictable offers
Prior permission presumed granted by the Appointing Authority: Lunches/dinners linked to function Occasional offers of simple meals, refreshments, snacks, etc. All other cases or in doubt: prior explicit permission required by the Appointing Authority. The mission order will cover all predictable offers of hospitality and their acceptance declared in expense statement. IMAGE Public Function, Common sense, Circumspection Most forms of corruption start with gifts or other perks, e.g. cash or free travel IF not sure look at the RULES! A lot of problems can be avoided with good judgement (“bonne sense”), prudence and above all honesty. It is up to you to judge what the intentions are and to inform hierarchy. CIRCUMSPECTION 46

47 Staff should know and observe legal obligations, administrative, financial and safety/security rules and procedures. STAFF SHOULD: Carry out tasks without fail Report to superiors Demonstrate commitment and initiative Seek and accept responsibility Suggest relevant improvement Be innovative and creative OBLIGATIONS FOR EVERYBODY: Respect health and safety at work No Smoking! Observe neutrality on competition-selection and other boards Use , internet, telephone properly Be respectful of Commission property

48 Staff Responsibility Staff is responsible for the performance of their duties and shall assist and tender advice to superiors (Art 21) STAFF SHOULD: Carry out tasks without fail Report to superiors Demonstrate commitment and initiative Seek and accept responsibility Suggest relevant improvement Be innovative and creative OBLIGATIONS FOR EVERYBODY: Respect health and safety at work No Smoking! Observe neutrality on competition-selection and other boards Use , internet, telephone properly Be respectful of Commission property 48

49 Instructions from superiors
As a general rule an official must follow instructions, unless they are manifestly illegal or constitute a breach of the relevant safety standards (Art 21a) Do not confuse with disagreements!

50 Relations among staff Refrain from acts/behaviour inside or outside the Commission that could bring the image and the reputation of the Commission and its Staff into disrepute (Art 12) Refrain from Harassment (Art 12a, 24) TREATING COLLEAGUES WITH RESPECT Teamwork Polite and clear communication Respect Resolve conflicts

51 Harassment: Psychological harassment is improper conduct:
Takes place over a period, Is repetitive or systematic, Involves behaviour that may undermine a person. Sexual harassment is unwanted conduct towards the person to whom it is directed. It offends, intimidates or disturbs environment in the workplace. TREATING COLLEAGUES WITH RESPECT Teamwork Polite and clear communication Respect Resolve conflicts 51

52 Finances and budget Fact: 95 % of the EU budget is spent in the form of money transfers benefiting private institutions and people Dealing with finances is sensitive issue: Sound financial management is top priority (Refer: fish in a fishbowl)

53 Public procurement and grants
Public procurement and grants are sensitive area for mistakes! Important as more than 90% of budget is spent this way! Main Principles: Transparency Proportionality Equal treatment and non-discrimination Code of Good Administrative Behaviour Beware of conflicts of interest! DG Budget Vademecum explains the provisions of the Council Directives on the procedures for the award of public service, supply and works contracts (mainly Directive 92/50/EEC, 93/36/EEC, and 93/37/EEC). Contract types and useful information. good share of the EU’s budget is spent in the form of money transfers to private institutions and people. This implies that staff members in executing their work are often in contact with contractors, such as suppliers of services needed for the implementation of the Commission’s policies. For example, the EU administration needs PCs and printers. Staff members have to implement these purchases and are responsible for financing these operations. Equal treatment and non-discrimination: Fairness. There might be a risk that you become subjective in your choice, e.g. that you give preference to those you have work with regularly/ have already good experiences with. Proportionality principle plays also: to whom to address or were to publish e.g. in Official journal or not., small and large projects.

54 Financial liability Staff members may be held responsible for any financial damage as a result of serious personal misconduct in relation with the performance of his/her duties (Art 22) Guidelines

55 REPORTING OF FRAUD AND DISCIPLINARY MATTERS
IDOC: deals with administrative inquiries and disciplinary proceedings, see art. 86 of the Staff Regs "any failure by an official to comply with his obligations under these Staff Regs…shall make him liable to disciplinary action". Disciplinary proceedings might result in disciplinary measures. The new staff regulations provide full respect of the officials right to be heard (including rights of access to certain documents). OLAF deals also with administrative inquiries/ investigations in connection with fight against fraud, corruption and other illegal activities harmful to the Communities financial interests, and OLAF is also charged with investigating serious matters relating to the officials obligations (which could lead to disciplinary action and/or national prosecution). So theft would fall more into IDOC's field. Annex. IX contains general implementing rules about investigations and disciplinary proceedings an Investigation and Disciplinary Office (IDOC) has been set up within DG ADMIN to conduct impartial, coherent and professional inquiries and to prepare disciplinary proceedings for the Appointing Authority (Decision C 2002/540) a permanent and independent Disciplinary Board is foreseen under the reform of the new Staff Regulations.

56 OLAF: Fights against fraud, corruption and other serious illegal financial activities affecting the EU-budget Also charged with investigating serious matters relating to officials’ obligations Commission Decision of 28 April 1999 for setting up OLAF: European Anti-fraud Office

57 Disciplinary measures Title IV, Art 86 and Annex IX Staff Reg.
Failure to comply with staff obligations may lead to disciplinary action Disciplinary investigations: OLAF and/or Appointing Authority (AIPN) IDOC’s main operational task is to ensure that officials comply with their obligations. (prevention and information). 2 big families: administrative inquiries and disciplinary procedures. DETER, Corrective Mechanism. In every human relationship or organisation there are rules. This is also the case at the Commission. If something goes wrong IDOC might intervene. It is not the police, but verifies cases which have been submitted to it and for which it has received a mandate. *Issue must fall under competence of Commission.*Is it a disciplinary issue requiring an investigation? (e.g. harassment person of confidence). But OLAF can decide on its own authority to do the investigation. OLAF should be asked whether OLAF investigates or will investigate (Residual competence IDOC). Person(s) involved should be informed that investigation has been opened. Right to be heard to heard and to be informed of the conclusions of the report (Droit de regard) Investigation should not exceed an appropriate period. IDOC does not deal with abstract matters but with people, investigation must therefore be done with care/ attention. Investigators of IDOC exercise their function independently PIF/ FIP: Financial Irregularities Panel Commission Decision of : General implementing provisions on the conduct of administrative inquiries and disciplinary procedures.

58 Disciplinary measures: IDOC
Investigation and Disciplinary Office of the Commission IDOC: Administrative inquiries (independently) and prepares disciplinary proceedings of Disciplinary Board. IDOC reports are published Rights of staff: to be heard, access to certain documents and of defence AIPN decides on measures. Appeal procedure IDOC’s main operational task is to ensure that officials comply with their obligations. (prevention and information). 2 big families: administrative inquiries and disciplinary procedures. DETER, Corrective Mechanism. In every human relationship or organisation there are rules. This is also the case at the Commission. If something goes wrong IDOC might intervene. It is not the police, but verifies cases which have been submitted to it and for which it has received a mandate. *Issue must fall under competence of Commission.*Is it a disciplinary issue requiring an investigation? (e.g. harassment person of confidence). But OLAF can decide on its own authority to do the investigation. OLAF should be asked whether OLAF investigates or will investigate (Residual competence IDOC). Person(s) involved should be informed that investigation has been opened. Right to be heard to heard and to be informed of the conclusions of the report (Droit de regard) Investigation should not exceed an appropriate period. IDOC does not deal with abstract matters but with people, investigation must therefore be done with care/ attention. Investigators of IDOC exercise their function independently PIF/ FIP: Financial Irregularities Panel Commission Decision of : General implementing provisions on the conduct of administrative inquiries and disciplinary procedures. 58

59 Whistleblowing Art 22a/b Staff Regulations
Duty to report immediately suspicions of illegal acts/ serious failure to comply with staff obligations, in exercise of duties, to Superior/ Director General/ SG and OLAF Staff member has the right to be protected and should suffer no negative consequences, provided he/she acted reasonably and honestly Whistleblower may address the President of the Commission, the Court of Auditors, the Council or the EP or the Ombudsman only if own Institution/ OLAF have not informed about the course of action taken within 60 days

60 A Culture of Integrity and Managers
Identify, analyse and address integrity risks in your area of competence; Promote and ensure compliance with rules; Create an environment of Trust, Loyalty, Responsibility and Respect in workplace; Encourage questions and reward good behaviour; Keep ethics on the agenda of your team; Set the good example yourself! Kant’s Categorical Imperative 60

61 Integrity comes from inside
Keeping the highest ethical standards in the conduct of our work is a continuous process and effort. We cannot afford to be complacent It is our shared responsibility to act and decide in accordance with the Commission’s ethical standards We should set the good example ourselves. A CULTURE OF INTEGRITY is in our own interest Kant’s Categorical Imperative

62 Further sources of information
Staff Regulations and Financial Regulations Code of Good Administrative Behaviour Communication on Ethics Internal Control Standards Practical Guide on Staff Ethics and Conduct Consult DG HR Intranet site Staff Ethics and Conduct:

63 Thanks for your attention
Questions and answers Thanks for your attention


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