Amended Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Regulation (EC) No 1073/1999 concerning investigations conducted by the European Anti-fraud Office (OLAF) and repealing Regulation (EURATOM) No 1074/1999
Date: 2011-03-17
Institutions: European Commission
Subjects: Community budget, EU control, committee of inquiry, corruption, fraud, fraud against the EU

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EUROPEAN COMMISSION 

Brussels, 17.3.2011 
COM(2011) 135 final 

2006/0084 (COD) 

Amended Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Regulation (EC) No 1073/1999 concerning investigations conducted by the 
European Anti-fraud Office (OLAF) and repealing Regulation (EURATOM) No 
1074/1999 

SEC(2011) 343 final 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

The European Anti-fraud Office (”the Office”) was established in 1999. European Parliament 
and  Council  Regulation  (EC)  No  1073/19991  and  Council  Regulation  (Euratom)  No 
1074/1999  of  25  May  19992,  which  lay  down  the  modalities  of  both  internal  and  external 
investigations  conducted  by  the  Office,  and  Commission  Decision  1999/352/EC,  ECSC, 
Euratom  of  28 April 1999  establishing  the  Office3  are  the  key  instruments  in  the  legal 
framework within which it operates. 

In 2006, the Commission put forward  a  proposal for  amending  Regulation 1073/19994. The 
legislative  proposal  focused  on  achieving  better  operational  efficiency  and  improved 
governance for the Office by:  

•  improving the information flow between the Office, the European institutions and 

bodies, the Member States and informers; 

•  clarifying  the  relations  between  the  Supervisory  Committee,  the  Office  and  the 
institutions  and  other  bodies,  offices  and  agencies  and  introducing  a  "structured 
dialogue"  involving  the  Supervisory  Committee,  European  Parliament,  Council 
and Commission on key governance questions; 

•  strengthening the procedural rights of persons concerned by investigations (laying 
down  procedural  guarantees  to  be  respected  during  both  internal  and  external 
investigations and introducing a Review Adviser). 

The  proposal  of  the  Commission  was  discussed  both  in  the  Council  and  the  European 
Parliament. The latter adopted a resolution on 20 November 20085 in first reading under the 
co-decision  procedure.  It  put  forward  approximately  one  hundred  amendments  to  the 
Commission’s proposal. Many amendments have been welcomed by the Commission. At the 
request  of  the  Czech  Presidency  of  the  Council  (January-June  2009)  the  Commission 
presented  in  July  2010  a  Reflection  paper  on  the  reform  of  the  Office6  to  the  European 
Parliament  and  the  Council.  This  document  outlines  possible  solutions  to  take  forward  the 
current  legislative  process.  The  European  Parliament  welcomed  in  October  2010  the 
Reflection paper and asked the Commission to take up the legislative procedure again. On 6 
December 2010, the Council adopted conclusions on the Reflection paper put forward by the 
Commission.  The  Supervisory  Committee  of  OLAF  contributed  to  the  discussion  with  its 

1 
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6 

OJ L 136, 31.5.1999, p.1. 
OJ L 136, 31.5.1999, p. 8. 
OJ L 136, 31.05.1999, p. 20. 
COM (2006)244 
European Parliament legislative resolution of 20 November 2008 on the proposal for a regulation of the 
European  Parliament  and  of  the  Council  amending  Regulation  (EC)  No  1073/1999  concerning 
investigations  conducted  by  the  European  Anti-Fraud  Office  (OLAF),  P6_TA-PROV(2008)  553.  For 
the preparing report see A6-0394/2008. 
SEC (2010)859 

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opinions  on  the  Reflection  paper  and  on  the  respect  for  fundamental  rights  and  procedural 
guarantees in investigations by OLAF. 7 

The Commission has now prepared an amended proposal that takes into account the positions 
expressed  so  far  and  looks  forward  to  achieving  the  current  legislative  reform  as  soon  as 
possible. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

2. 

N/A 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

Strengthening the efficiency of the Office's investigations 

The amended proposal includes further provisions on an increased efficiency of investigations 
and a reinforced cooperation with the Member States to achieve an effective accelerating of 
the procedures of investigations. 

For this purpose, the Commission proposes that the Supervisory Committee should examine 
the length of investigations based on information supplied by the Office. In cases where the 
investigations  cannot  be  closed  after  12  months,  the  Office  should  inform  the  Supervisory 
Committee  of  the  reasons  preventing  the  finalisation  of  the  investigation  at  intervals  of  6 
months. This way, a continuous monitoring of the duration of investigations will be ensured 
until their closure. 

The amended proposal further contributes to making the work of the Office more effective by 
improving  its  cooperation  and  information  exchange  with  the  other  EU  institutions, 
offices,  bodies  and  agencies,  as  well  as  with  the  Member  States  at  all  stages  of  the 
investigative process.  

The  institutions,  bodies,  offices  and  agencies  whose  member/staff  member  or  budget  is 
concerned by an investigation should be informed by the Office without undue delay. This 
way,  the  institutions,  bodies,  offices  and  agencies  may  take  precautionary  administrative 
measures. It is their responsibility to ensure the best protection of the EU's financial interests 
and to avoid any continuation of an irregularity or potential increase of financial loss. Their 
information  is  therefore  absolutely  necessary.  For  exceptional  cases,  in  which  the 
confidentiality of the investigation cannot be ensured (for instance if the highest management 
or political level of an institution, office, body or agency is concerned), the Office should use 
appropriate alternative channels of information.  

7 

Opinion No 2/2010 of 23 September 2010 and Opinion No 5/2010 of 29 November 2010, published in 
the  Annual  Report  of  the  Supervisory  Committee  of  OLAF  (June  2009-  December  2010) 
http://ec.europa.eu/anti_fraud/reports/sup_comm/2009-2010/Activity-report-2009-2010_en.pdf 

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Regarding the Office's access to information held by the institutions, bodies, offices and 
agencies,  pursuant  to  article  4  (2)  of  Regulation  1073/1999  the  Office  continues  to  have 
immediate  and  unannounced  access  to  any  relevant  information  connected  with  the  matter 
under  investigation,  held  by  the  EU  institutions,  offices,  bodies  and  agencies,  without 
prejudice to the exclusions pursuant to the legal basis establishing Europol8.  

This amended proposal confirms and further develops the de minimis approach of the 2006 
proposal,  as  well  as  the  zero  tolerance  policy  towards  fraud:  with  regard  to  the  opening  of 
investigations, the Office should take into account the investigation policy priorities and the 
need  for  efficient  utilisation  of  the  Office’s  resources.  With  specific  reference  to  internal 
investigations, the Office should consider whether such investigations are best carried out by 
the institution, body, office or agency concerned, or by the Office itself. Furthermore, in cases 
where  the  Office,  having  carried  out  an  internal  investigation,  considers  that,  in  the  light  of 
the nature of the facts and the scale of the financial damage, internal measures allow for more 
appropriate follow-up, it should forward the case to the Investigation and Disciplinary Office 
of the Commission (IDOC) or to the institutions, bodies, office or agency concerned, instead 
of sending it to the competent national judicial authorities. Thus, the de minimis policy (cases 
where  the  Office  decides  not  to  open  an  investigation  or  not  to  forward  its  findings  to  the 
competent  national  judicial  authorities)  has  been  clarified  in  the  amended  proposal.  When 
implementing the de minimis policy, the Office should apply precise guidelines, as proposed 
by the Council in its Conclusions of 6 December 2010.  

To step up cooperation between the Office and the competent authorities of the Member 
States, an authority (anti-fraud coordination service) should be designated by each Member 
State to assist the Office in its collaboration with the national competent authorities. This does 
not  mean  that  a  new  authority  would  be  established.  Experience  shows  that  due  to  the 
different structures in each Member State, it is often very difficult for the Office to address the 
competent authority in a given Member State. 

Regular  monitoring  is  especially  important  for  internal  investigations,  to  ensure  that 
disciplinary  action  or  other  measures  can  be  taken  by  IDOC  or  equivalent  entities  in  other 
institutions,  bodies,  offices  or  agencies.  It  is  therefore  proposed  that  Member  States  report 
upon the Office's request on the follow-up given to the information transmitted to them by 
the  Office.  In  order  to  avoid  unnecessary  administrative  burden  for  Member  States,  the 
amended proposal provides that they will report to the Office upon its request on the actions 
taken and progress made following transmission of information by the Office.  

To further encourage cooperation between the Office and Europol and Eurojust, including 
in  the  perspective  of  possible  further  developments  of  their  responsibilities,  as  well  as  with 
third countries' competent authorities and with international organisations, the insertion of 
a  provision  in  the  regulation  is  proposed,  giving  the  Office  the  possibility  to  conclude 
administrative arrangements with these entities to facilitate the exchange of information. The 
Office already has such a cooperation arrangement with  Eurojust. According to the Council 
Decision  setting  up  Eurojust,  Eurojust  may  agree  on  necessary  practical  arrangements  with 

8 

Council Decision 2009/371/JHA of 6 April 2009, OJ L 121, p37. 

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the  Commission.9  The  Office  also  has  such  arrangements  with  some  third  countries. 
Regarding Europol, a new Framework Decision is applicable as of 2010 which stipulates that 
Europol  shall  conclude  working  arrangements  with  the  Office.  Therefore,  a  corresponding 
rule  should  be  established  for  the  Office.  In  line  with  Council  Decision  of  26  July  2010 
establishing  the  organisation  and  functioning  of  the  European  External  Action  Service 
(2010/427/EU)  which  foresees  in  Article  3(4)  the  cooperation  between  EEAS  and  OLAF, 
there is an obligation for all institutions to give the necessary support to enable OLAF's agents 
to  fulfil  their  tasks.  The  modalities  of  cooperation  of  OLAF  with  third  country  authorities 
should  be  set  out  in  memoranda  of  understanding  with  the  EEAS  and  with  relevant 
Commission services. 

While the Director-General of the Office continues to be responsible for the opening and for 
the conduct of investigations, he should be assisted by an internal body which he will consult 
when  opening  an  investigation,  before  closing  an  investigation  and  whenever  he  deems 
necessary. To clarify the internal decision-making procedures with respect to the role of the 
Director-General  of  the  Office,  the  Director-General  may  also  delegate  in  writing  the  direct 
execution of investigations to individual members of the staff of the Office. The term of the 
Director-General should be non-renewable in order to reinforce his independence. The title of 
"Director-General"  which  was  introduced  by  the  2006  proposal  is  maintained.  This  is 
necessary  to  reflect  the  status  of  OLAF  as  a  Commission  Directorate-General  and  to 
distinguish the Director-General from the members of the senior management team which are 
of Director grade. To ensure continuity, and in light of recent experience, deputising rules are 
provided in the amended proposal.  

The distinction between internal and external investigations should be limited to the extent 
strictly  necessary.  This  would  facilitate  the  conduct  of  investigations.  As  experience  has 
shown, investigations can start as external ones and later lead to internal investigations or vice 
versa. Under  the  current legal framework, persons concerned in internal investigations have 
the duty to cooperate with the Office according to the Staff Regulations or the Protocol on the 
Privileges and Immunities of the European Union. The Office's investigative powers are also 
more detailed in internal investigations. The procedural and fundamental rights of the persons 
concerned have to be fully respected, be it in an internal or an external investigation.  

3.2.  The  Office's  governance:  balance  between  independence  and  accountability  of 
the Office 

Enhanced governance, combined with the establishment of a review procedure and provisions 
on  the  flow  of  information  between  the  Office  and  the  institutions,  bodies,  offices  and 
agencies concerned will help strike the balance between independence and accountability of 
the Office.  

The Supervisory Committee of the Office will continue to ensure that the Office exercises 
its mission in full independence. Moreover, the role of the Supervisory Committee is further 
clarified.  It  should  expressly  be  mandated  to  monitor  information  exchanges  between  the 

9 

Council Decision of 28 February 2002, OJ L 63, 6.3.2002, p. 1 (Art. 11(3)) 

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Office and the institutions, bodies, offices and agencies and the developments regarding the 
application of procedural guarantees. It should also monitor in a general and systemic way the 
developments regarding the duration of investigations, without interfering with the conduct of 
investigations.  Regarding  the  appointment of the  members  of  the  Supervisory  Committee,  a 
staggered renewal is envisaged to preserve its expertise. The Supervisory Committee should 
be consulted for the appointment of the Director-General and the designation of the deputising 
Director(s) and should be informed about transmissions to judicial authorities. 

Instead  of  a  formal  structured  dialogue  between  the  Supervisory  Committee  and  the 
institutions on the investigative function of the Office, a periodical exchange of views is now 
proposed  to  increase  the  Office's  governance  while  respecting  its  operational  independence. 
The  Council,  in  its  conclusions  of  6  December  2010,  also  stresses  that  a  formal  structured 
dialogue could weaken the independence of the Office. In substance, the less formal approach 
is  in  line  with  the  original  intention  of  the  Commission  for  increased  governance  while 
guaranteeing the independence of the Office for its investigations. The exchange of views will 
be  established  between  the  European  Parliament,  the  Council,  the  European  Commission, 
with the participation of the Office and the Supervisory Committee. This exchange of views 
should contribute to the exchange of information and opinion between the stakeholders for an 
improved efficiency of the Office's activity. The exchange of views should not interfere with 
the  conduct  of  investigations  and  it  should  relate  to  the  strategic  priorities  for  the  Office's 
investigative policies, the reports on the activities of the Supervisory Committee and that of 
the Director-General of the Office, the relations between the Office and the EU institutions, 
bodies, offices and agencies; the relations between the Office and the competent authorities of 
the  Member  States  and  the  effectiveness  of  the  work  of  the  Office  with  regard  to 
investigations and that of the Supervisory Committee. In line with the opinions expressed by 
the institutions, the exchange of views will be flexible: it will take place periodically or upon 
request of one of the above-mentioned institutions, the Office or the Supervisory Committee.  

One of the main objectives of the amended proposal is to further strengthen the procedural 
rights of persons concerned by the Office's investigations (Article 7a). It is appropriate to 
make  the  procedural  guarantees  clearer  and  more  transparent  and  to  have  them  apply  to  all 
investigations conducted  by the  Office, both internal and  external. These guarantees  respect 
the fundamental rights recognised in particular by the Charter of Fundamental Rights of the 
Union. Common procedural rights for both internal and external investigations are provided 
by this proposal (the right for the person concerned by an investigation to make his/her views 
known before conclusions referring by name to him or her have been drawn, the right to be 
given a summary of the matters under investigations and to be invited to comment on these 
matters; the right to be assisted by a person of his/her choice during an interview, the right to 
use  the  EU  language  of  his  or  her  choice;  the  principle  that  any  person  concerned  by  an 
investigation shall be entitled to avoid self-incrimination). The practical application of these 
rights  should  be  reflected  in  the  Office's  manual  of  procedures  for  investigations  (OLAF 
manual) as adopted by the Director-General.  

In the proposal of 2006, the Commission proposed a Review Adviser to whom cases may be 
referred  for  his  or  her  independent  opinion  regarding  the  procedural  guarantees.  In  order  to 
avoid overlapping with the tasks of the Supervisory Committee and to avoid additional formal 
structures  while  guaranteeing  an  effective,  efficient,  and  independent  handling  of  individual 
complaints,  the  Commission  now  proposes  that  a  review  procedure  be  set  up,  by  the 

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Director-General  within  the  Office.  The  person  or  persons  entrusted  with  the  review 
procedure should act in full independence. The Director-General of the Office will report to 
the institutions about the measures taken for the setting up of the review procedure.  

As to the fundamental right to the protection of personal data, as recognised in Article 8 of 
the Charter and Article 16 TFEU, the amended proposal provides for clarification and more 
detailed  provisions  implementing  the  principles  of  Regulation  (EC)  No  45/200110,  in 
particular the requirement that OLAF appoint a Data Protection Officer. 

The  Office's  communication  to  the  public  needs  to  preserve  the  confidentiality  of 
investigations and the presumption of innocence and should always be cautious and impartial. 
Article  8  of  the  current  Regulation  foresees  obligations  concerning  confidentiality  and  data 
protection. 

The  Director-General  should  adopt,  after  consultation  of  the  Supervisory  Committee,  the 
person  or  persons  entrusted  with  the  review  procedure,  and  the  Office's  Data  Protection 
Officer,  the  OLAF  manual  of  procedures  referred  to  above.  This  manual  shall  provide 
guidelines on the practical application of the administrative investigations by the Office. 

As  the  EURATOM  competences  will  be  covered  under  Article  325  TFEU  as  the  new  legal 
basis  for  Regulation  1073/1999,  following  the  entry  into  force  of  the  Lisbon  Treaty, 
Regulation (Euratom) 1074/1999 should be therefore repealed. 

4. 

BUDGETARY IMPLICATION  

The financial statement attached to the proposal indicates that there will be no impact on the 
EU budget.  

5. 

OPTIONAL ELEMENTS  

N/A 

10 

Regulation EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on 
the  protection  of  individuals  with  regard  to  the  processing  of  personal  data  by  the  Community 
institutions and bodies and on the free movement of such data, OJ L 8, 12.1.2001, p.1-22 

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2006/0084 (COD) 

Amended proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Regulation (EC) No 1073/1999 concerning investigations conducted by the 
European Anti-fraud Office (OLAF) and repealing Regulation (EURATOM) No 
1074/1999 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 325 thereof, in conjunction with the Treaty establishing the European Atomic Energy 
Community, and in particular Article 106a thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the draft legislative act to the national Parliaments, 

Having regard to the opinion of the Court of Auditors11, 

Having regard to the opinion of the European Data Protection Supervisor12, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

11 
12 
13 
14 

In view of the importance of prevention measures to protect the financial interests of 
the Union and as components in the fight against fraud and corruption, there is a need 
to clarify the role of the European Anti-Fraud Office ("the Office") when conducting 
investigations pursuant to Regulation (EC) No 1073/199913. Relying on its operational 
experience,  the  Office  should  also  contribute  to  the  design  and  development  of 
methods of preventing and combating fraud at Union level and it should support joint 
anti-fraud actions undertaken by Member States on a voluntary basis.  

In order to make the Office’s investigative activity more effective and in the light of 
the  evaluations  of  its  activities  made  by  the  Union  institutions,  in  particular  the 
Commission’s  evaluation  report  of  April  2003  and  the  Court  of  Auditors’  special 
report No 1/200514 on the management of the Office, certain aspects of the conduct of 
the investigations of the Office and certain measures it can take when conducting its 
investigations need to be clarified and improved. The Office has been given the power 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ L 136, 31.5. 1999, p.1. 
Special  report  No.  1/2005  (OJ  C  202,  18.8.2005,  p.1)  approved  by  Council  Conclusions  dated  8 
November 2005.  

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to carry out the inspections and checks provided for by Council Regulation (Euratom, 
EC)  No  2185/96  of  11  November  199615  concerning  on-the-spot  checks  and 
inspections  carried  out  by  the  Commission  in  order  to  protect  the  Union's  financial 
interests  against  fraud  and  other 
internal 
investigations  and  in  cases  of  fraud  linked  to  contracts  concerning  Union  funding. 
Therefore the Office should have access to information held by the institutions, bodies, 
offices and agencies of the Union in connection with external investigations. 

in  connection  with 

irregularities 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

The  courses  of  action  which  may  be  taken  by  the  Office  in  external  investigations 
should  be  clarified  where  legal  uncertainties  have  been  found  in  the  existing  system 
and should be strengthened where only more effective action by the Office can ensure 
that reliable external investigations are conducted. 

The  Office's  investigative  tasks  should  be  exercised  without  prejudice  to  the  control 
and audit functions of other Commission services, notably the authorising officers by 
delegation, set out in sector-specific legislation. 

The  Office  should  be  placed  under  precise  obligations  to  inform  the  institutions, 
bodies,  offices  and  agencies  of  the  Union  of  investigations  in  progress  where  a 
member  or  staff  member  is  concerned  by  the  matter  under  investigation  or  where 
precautionary  administrative  or  criminal  law  measures  may  be  required  in  order  to 
protect the financial interests of the Union. 

In  view  of  the  major  benefits  of  strengthening  cooperation  between  the  Office,  the 
European Police Office (Europol) and Eurojust, the Office should be enabled to agree 
on  administrative  arrangements  with  those  two  agencies.  In  order  to  strengthen  the 
cooperation between Eurojust, the Office and the competent authorities of the Member 
States  in  respect  of  deeds  liable  to  criminal  investigation,  the  Office  should  inform 
Eurojust  in  particular  of  those  cases  of  suspected  illegal  activity  damaging  to  the 
financial interests of the Union and which involve serious forms of criminality. 

The  operational  efficiency  of  the  Office  depends  greatly  on  cooperation  with  the 
Member  States.  There  is  a  need  for  the  Member  States  to  identify  their  competent 
authorities  which  are  able  to  provide  the  Office  with  the  assistance  needed  in  the 
exercise  of  its  duties.  In  cases  where  a  Member  State  has  not  set  up  a  specialist 
department  at  national  level  with  the  task  of  coordinating  the  protection  of  the 
financial  interests  of  the  Union  and  the  fight  against  fraud,  an  authority  (anti-fraud 
coordination  service)  should  be  designated  to  ensure  an  effective  cooperation  and 
information exchange with the Office. 

Clear rules should be laid down which, while confirming the priority enjoyed by the 
Office for conducting internal investigations on matters affecting the financial interests 
of the Union, enable the institutions, bodies, offices and agencies of the Union quickly 
to conduct such investigations in cases where the Office decides not to intervene.  

In  order  to  improve  its  efficiency,  the  Office  must  know  how  the  results  of  its 
investigations have been followed up. Hence, the competent authorities of the Member 
States  and  the  institutions,  bodies,  offices  and  agencies  of  the  Union  should  be 

15 

OJ L 292, 15.11.1996, p. 2. 

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required to report to the Office, on its request on the action taken and progress made in 
response to the information sent by the Office. 

(10) 

(11) 

It is necessary, in the interests of legal certainty, to clarify the procedural guarantees 
applicable  to  investigations  conducted  by  the  Office.  The  clarification  of  the 
procedural  guarantees  should  take  into  account  the  administrative  nature  of  the 
Office's investigations. 

In  order  to  strengthen  the  protection  of  the  individual  rights  of  persons  under 
investigation,  conclusions  referring  by  name  to  a  person  concerned  should  not  be 
drawn,  at  the  final  stage  of  an  investigation,  without  that  person  being  given  the 
opportunity  to  comment  in  facts  concerning  him  or  her.  Where  a  member,  staff 
member  or  a  natural  person  considers  that  procedural  guarantees  have  not  been 
complied with, he or she must be entitled to file a request for an opinion of the person 
or persons entrusted with a review procedure as established by this Regulation. 

(12)  Where  it  is  found  that  facts  brought  to  light  by  the  final  report  on  an  internal 
investigation  could  give  rise  to  criminal  proceedings,  this  information  should  be 
transmitted to the national judicial authorities of the Member State concerned, unless 
internal measures allowing for more appropriate follow-up action are available, in the 
light of the nature of the facts and the scale of the financial impact. 

(13)  The fundamental rights of the persons concerned by investigations should be respected 
at all times, in particular when information about ongoing investigations is provided. 
Information on Office investigations supplied to the European Parliament, the Council, 
the  Commission  and  the  Court  of  Auditors,  whether  bilaterally  or  as  part  of  the 
exchange  of  views,  should  be  provided  while  respecting  the  confidentiality  of 
investigations,  the  legitimate  rights  of  the  persons  concerned  and,  where  applicable, 
the  national  provisions  governing  judicial  proceedings.  Information  forwarded  or 
obtained  during  investigations  should  be  treated  in  accordance  with  the  Union 
legislation on data protection. The exchange of information should be governed by the 
proportionality and the need-to-know principles. 

(14)  The  Director-General  should  ensure  that  any  information  supplied  to  the  public 

respects the legitimate rights of the persons concerned. 

(15)  Given the scale of the Union funds allocated to the external-aid sector, the number of 
investigations carried out by the Office in that sector and the existence of international 
cooperation for investigation purposes, the Office should be enabled to seek practical 
assistance  by  administrative  arrangements  from  the  competent  authorities  in  third 
countries and from international organisations in the performance of its tasks.  

(16) 

It  is  appropriate  to  revise  the  criteria  and  procedure  for  appointing  the  Supervisory 
Committee's members and to further specify the tasks of the Supervisory Committee 
arising from its mandate. 

(17) 

In order to ensure that the Supervisory Committee can carry out its mission efficiently, 
the independent functioning of its Secretariat should be guaranteed by the Office. 

(18)  An  exchange  of  views  should  take  place  periodically  between  the  European 
Parliament,  the  Council  and  the  Commission.  Such  exchange  of  views  should  cover 
the  strategic  priorities  for  investigative  policies  and  the  effectiveness  of  the  work  of 

EN 

10 

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the Office without in any way interfering with the independence of the Office in the 
conduct of its investigations. 

(19) 

In order to reinforce complete independence in the running of the Office, the Director-
General should be appointed for a non-renewable term of seven years. 

(20)  Experience  from  operational  practice  has  shown  that  it  would  be  useful  to  allow  the 
Director-General  of  the  Office  to  delegate  the  exercise  of  certain  of  his  functions  to 
one  or  more  members  of  the  staff  of  the  Office.  To  ensure  continuity  explicit 
deputising rules should also be provided.  

(21)  The Director-General should be assisted by an internal body to be consulted by him.  

(22)  The  Director-General  should  be  able  to  adopt  a  manual  of  procedures  providing 
guidelines  on  the  practical  application  of  the  administrative  investigations  by  the 
Office. 

(23)  The  existing  provision  on  judicial  review  should  be  deleted  as  its  content  has  been 

included in Article 90a of the Staff Regulations. 

(24)  Regulation (EC) No 1073/99 should therefore be amended accordingly. 

(25)  Following the entry into force of the Lisbon Treaty, which extends the application of 
Article  325  TFEU  to  the  European  Atomic  Energy  Community  (EURATOM),  the 
rules  governing  the  investigations  conducted  by  Office  as  regards  the  Union  should 
also  apply  as  regards  EURATOM.  Regulation  (Euratom)  No  1074/99  concerning 
investigations  conducted  by  the  European  Anti-Fraud  Office  (OLAF)16should 
therefore be repealed. 

(26)  This Regulation fully respects the principle of subsidiarity as set out in Article 5 of the 
Treaty on the Functioning of the European Union. In accordance with the principle of 
proportionality, as set out in that Article, this Regulation does not go beyond what is 
necessary to achieve those objectives. 

(27)  This  Regulation  respects  fundamental  rights  and  complies  with  the  principles 
recognised in particular in the Charter of Fundamental Rights of the European Union, 
and in particular Articles 41, 47 and 48 thereof, 

HAVE ADOPTED THIS REGULATION: 

Article 1 

1. 

Regulation (EC) 1073/1999 is amended as follows: 

(1) 

Article 1 is replaced by the following: 

"Article 1 

Objectives and tasks 

16 

OJ L 136, 31.5.1999, p.8. 

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11 

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1. 
In  order  to  step  up  the  fight  against  fraud,  corruption  and  any  other  illegal  activity 
affecting  the  financial  interests  of  the  European  Union  and  of  the  European  Atomic  Energy 
Community (hereinafter "the Union" when the context so requires), the European Anti-Fraud 
Office established by Commission Decision 1999/352/EC, ECSC, Euratom (hereinafter “the 
Office”) shall exercise the powers of investigation conferred on the Commission by:  

(a) 

the Union rules and Regulations in force in those areas and  

the cooperation and mutual assistance agreements concluded by the Union with third 

(b) 
countries and international organisations in those areas. 

The Office shall assist the Member States in organising close and regular cooperation 
2. 
between their competent authorities in  order  to coordinate their activities for the  purpose of 
protecting  the  Union's  financial  interests  against  fraud.  The  Office  shall  contribute  to  the 
design and development of methods of preventing and combating fraud, corruption  and any 
other illegal activity affecting the financial interests of the Union. The Office shall promote 
and coordinate, with and among the Member States, the sharing of operational experience and 
best procedural practices in the field of the protection of financial interests of the Union, as 
well as support joint anti-fraud actions undertaken by Member States on a voluntary basis. 

3. 
Within the institutions, bodies, offices and agencies established by, or on the basis of, 
the  Treaties  (hereinafter  "the  institutions,  bodies,  offices  and  agencies"),  the  Office  shall 
conduct  administrative  investigations  for  the  purpose  of  fighting  fraud,  corruption  and  any 
other  illegal  activity  affecting  the  financial  interests  of  the  Union.  To  that  end  it  shall 
investigate serious matters relating to the discharge of professional duties such as to constitute 
a dereliction of the obligations of officials and other servants of the Union liable to result in 
disciplinary or, as the case may be, criminal proceedings, or an equivalent failure to discharge 
obligations on the part of members of institutions and bodies, heads of offices and agencies or 
members  of  the  staff  of  institutions,  bodies,  offices  or  agencies  not  subject  to  the  Staff 
Regulations of officials and the Conditions of employment of other servants of the European 
Union ("the members or staff members")." 

(2) 

Article 2 is replaced by the following: 

"Article 2 

Definitions 

Within the meaning of this Regulation: 

–  "administrative  investigations"  (hereinafter  "investigations")  shall  mean  all  inspections, 
checks and other measures undertaken by the Office, in accordance with Articles 3 and 4, 
with  a  view  to  achieving  the  objectives  set  out  in  Article  l  and  to  establishing,  where 
necessary,  the  irregular  nature  of  the  activities  under  investigation.  These  investigations 
shall not affect the powers of the Member States to bring criminal proceedings. 

EN 

12 

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–  "person concerned" shall mean a person suspected of having committed an irregularity or 

fraud and who is therefore subject to investigation by the Office. 

–  "Staff  Regulations"  shall  mean  the  Staff  Regulations  of  Officials  and  Conditions  of 

Employment of other Servants of the European Union17." 

(3) 

Article 3 is replaced by the following: 

"Article 3 

External investigations 

1. 
The  Office  shall  exercise  the  power  conferred  on  the  Commission  by  Regulation 
(Euratom,  EC)  No  2185/96  to  carry  out  on-the-spot  inspections  and  checks  in  the  Member 
States and, in accordance with the cooperation agreements in force, in third countries and on 
the premises of international organisations. 

As  part  of  its  investigative  function,  the  Office  shall  carry  out  the  inspections  and  checks 
provided  for  in  Article  9(1)  of  Regulation  (EC,  Euratom)  No  2988/9518  and  in  the  sectoral 
rules referred to in Article 9(2) of  that Regulation in the Member States and, in accordance 
with  the  cooperation  agreements  in  force,  in  third  countries  and  on  the  premises  of 
international organisations. 

2. 
With a view to establishing that there has been fraud, corruption or any other illegal 
activity referred to in Article 1 in connection with a grant agreement or decision or a contract 
concerning Union funding, the Office may, in accordance with the procedures laid down by 
Regulation  (Euratom,  EC)  No 2185/96,  conduct  on-the-spot  checks  and  inspections  on 
economic operators concerned directly or indirectly by such funding. 

3. 
During on-the-spot checks and investigations, the Office’s staff shall act in accordance 
with  the  rules  and  practices  governing  administrative  investigations  of  the  Member  State 
concerned, and the procedural guarantees provided in this Regulation.  

At the Office's request, the competent authority of the Member State concerned shall provide 
the Office's staff with the assistance needed in order to carry out their task, as specified in the 
written authorisation referred to in Article 6(2).  

The Member State concerned must ensure that the Office's staff are allowed access, under the 
same terms and conditions as its competent authorities and in compliance with national law, 
to  all  information  and  documents  relating  to  the  matter  under  investigation  which  prove 
necessary  for  the  on-the-spot  checks  and  inspections  to  be  carried  out  effectively  and 
efficiently. 

17 
18 

OJ L56, 4.3.1968. 
OJ L 312, 23.12.1995, p.1-4. 

EN 

13 

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4. 
Member  States shall designate a  service  to facilitate proper coordination  between  all 
competent authorities at national level (hereinafter 'the anti-fraud coordination service'). That 
service shall ensure an effective cooperation and information exchange with the Office. 

During  an  external  investigation,  the  Office  may  have  access  to  any  relevant 
5. 
information  held  by  the  institutions,  bodies,  offices  and  agencies  connected  with  the  matter 
under investigation, where necessary in order to establish that fraud, corruption or any other 
illegal activity affecting the financial interests of the Union has occurred. Article 4(2) and (4) 
shall apply for that purpose. 

Where the Office has to handle, prior to an external investigation, information which 
6. 
suggests  that  there  has  been  fraud,  corruption  or  any  other  illegal  activity  affecting  the 
financial interests of the Union, the Office may inform the competent anti-fraud coordination 
service and the competent authorities of the Member States concerned and, where appropriate, 
the  competent  Commission  services.  Without  prejudice  to  the  sectoral  rules  referred  to  in 
Article 9(2) of Regulation (EC, Euratom) No 2988/95, the competent authorities shall ensure 
that appropriate action is taken and, where necessary, undertake investigations in accordance 
with  national  law,  in  which  the  Office  may  take  part.  The  Member  States  concerned  shall 
inform the Office of the action taken and of their findings on the basis of such information." 

(4) 

Article 4 is amended as follows: 

(a) 

In Paragraph 1, the second subparagraph is replaced by the following: 

"These  internal  investigations  shall  be  conducted  under  the  conditions  provided  for  in  this 
Regulation and in decisions adopted by each institution, body, office and agency." 

(b) 

In Paragraph 2, the second indent is replaced by the following: 

"The Office may request oral and written information from members or staff members of the 
institutions, bodies, offices and agencies." 

(c) 

In Paragraph 3, the first subparagraph is replaced by the following: 

In  accordance  with  the  procedures  laid  down  by  Regulation  (Euratom,  EC)  No 
"3. 
2185/96,  the  Office  may  carry  out  on-the-spot  inspections  at  the  premises  of  economic 
operators  who  are  directly  or  indirectly  concerned  in  order  to  obtain  access  to  information 
relevant to the matter under internal investigation." 

(d)  Paragraphs 4 to 6 are replaced by the following: 

The  institutions,  bodies,  offices  and  agencies  shall  be  informed  whenever  the  Office 
"4. 
conducts  an  investigation  on  their  premises  or  consults  a  document  or  requests  information 
held by them. Without prejudice to Articles 8 and 9 of this Regulation, the Office may at any 
time forward to the institution, body, office or agency concerned the information obtained in 
the course of internal investigations. 

EN 

14 

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The institutions, bodies, offices and agencies shall put in place appropriate procedures 

5. 
and take necessary measures to ensure the confidentiality of the investigations. 

6. 
Where investigations reveal that a member or staff member may be concerned by an 
internal  investigation,  the  institution,  body,  office  or  agency  to  which  he  belongs  shall  be 
informed. 

In  exceptional  cases  where  the  confidentiality  of  the  investigation  cannot  be  ensured,  the 
Office shall use appropriate alternative channels of information. 

The decision to be adopted by each institution, body, office or agency as provided for 
7. 
in paragraph 1, shall in particular include a duty on the part of the members or staff members 
of  the  institutions,  bodies,  offices  and  agencies,  to  cooperate  loyally  with  and  supply 
information to the Office." 

(5) 

Article 5 is replaced by the following: 

"Article 5 

Opening of investigations 

1. 
The  Office  may  open  an  investigation  when  sufficient  suspicions  exist  that  acts  of 
fraud or corruption or other illegal acts affecting the financial interests of the Union have been 
committed. Anonymous information may also be taken into account. The decision whether or 
not  to  open  an  investigation  shall  take  account  of  the  investigation  policy  priorities  and  the 
Office’s annual management plan determined in accordance with Article 12(4). That decision 
shall  also  take  account  of  the  need  for  efficient  utilisation  of  the  Office’s  resources  and  for 
proportionality in the means deployed.  

With regard to internal investigations, specific account shall be taken of the institution, body, 
office or agency best placed to conduct them, based, in particular, on: the nature of the facts, 
the actual or potential financial impact of the case, and the perspective of any judicial follow-
up. 

The decision whether or  not to open an investigation shall be taken by the Director-

2. 
General. 

The decision to open an external investigation shall be taken by the Director-General, acting 
on  his  own  initiative  or  following  a  request  from  a  Member  State  concerned  or  one  of  the 
institutions, bodies, offices or agencies of the Union. 

EN 

15 

   EN 

The decision to open an internal investigation shall be taken by the Director-General, acting 
on his own initiative or following a request from the institution, body, office or agency within 
which the investigation is to be conducted. 

While  the  Office  is  conducting  an  internal  investigation,  the  institutions,  bodies, 

3. 
offices or agencies concerned shall not open a parallel investigation into the same facts. 

Within two months of receipt by the Office of a request as referred to in paragraph 2, a 
4. 
decision on whether or not to open an investigation at this point in time shall be taken. It shall 
be  communicated  without  delay  to  the  Member  State,  institution,  body,  office  or  agency 
which made the request. Reasons shall be given for a decision not to open an investigation. 

Where  a  member  or  staff  member  of  an  institution,  body,  office  or  agency,  acting  in 
accordance  with  Article  22a  of  the  Staff  Regulations,  provides  information  to  the  Office 
relating to a suspected fraud or irregularity, the Office shall inform him or her of the decision 
whether or not to open an investigation into the facts in question. 

5. 
If the Office decides not to open an internal investigation, it shall without delay send 
the information available to the institution, body, office or agency concerned for appropriate 
action to be taken in accordance with the rules that are applicable to it. In appropriate cases 
the  Office  shall  agree  with  that  institution,  body,  office  or  agency  on  suitable  measures  to 
protect the confidentiality of the source of that information and shall ask, if necessary, to be 
informed of the action taken." 

(6) 

Article 6 is amended as follows: 

(a)  Paragraphs 1 to 4 are replaced by the following: 

"1. 
The Director-General shall direct the conduct of investigations. He may issue written 
instructions  to  individual  members  of  the  staff  of  the  Office  to  direct  the  conduct  of 
investigations.  Investigations  shall  be  conducted  under  his  direction  by  staff  nominated  by 
him. 

The  Office's  staff  shall  carry  out  their  tasks  on  production  of  a  written  authorisation 
2. 
showing their identity and their capacity. That authorisation shall be issued by the Director-
General indicating the subject matter and the purpose of the investigation, the legal bases for 
conducting the investigation and the investigative powers stemming from those bases.  

3. 
The  Member  States  shall  ensure  that  their  competent  authorities,  in  conformity  with 
national provisions, give the necessary support to enable the Office's staff to fulfil their tasks. 
The  institutions,  bodies,  offices  and  agencies  shall  ensure  that  their  members  and  staff 
members provide the necessary assistance to enable the Office's staff to fulfil their tasks." 

(b)  Paragraph  5  becomes  Paragraph  4  and  Paragraph  6  is  replaced  by  the 
following: 

EN 

16 

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"5.  Where  investigations  show  that  it  might  be  appropriate  to  take  precautionary 
administrative  measures  to  protect  the  financial  interests  of  the  Union,  the  Office  shall, 
without  undue  delay,  inform  the  institution,  body,  office  or  agency  concerned  of  the 
investigation in progress. The information supplied shall include the following: 

(a) 

(b) 

(c) 

the identity of any member or staff member concerned and a summary of the 
facts in question; 

any  information  that  may  assist  the  institution,  body,  office  or  agency  in 
deciding  whether  it  is  appropriate  to  take  precautionary  administrative 
measures in order to protect the financial interests of the Union; 

any  special  measures  of  confidentiality  recommended  in  particular  in  cases 
entailing  the  use  of  investigative  measures  falling  under  the  competence  of  a 
national judicial authority or, in the case of an external investigation, under the 
competence of a national authority, in accordance with the national provisions 
applicable to investigations.  

The  institution,  body,  office  or  agency  concerned  may  take  at  any  moment  any  appropriate 
precautionary  administrative  measures,  and  shall  inform  the  Office  without  delay  of  the 
decision to take such measures. 

Where it is found that an investigation cannot be closed within 12 months after it has 
6. 
been opened, the Office shall inform the Supervisory Committee of the reasons at intervals of 
6 months." 

(7) 

Article 7 is replaced by the following: 

"Article 7 

Duty to inform the Office 

"1. 
The institutions, bodies, offices and agencies shall forward to the Office without delay 
any information relating to possible cases of fraud or corruption or any other illegal activity 
affecting the financial interests of the Union.  

2. 
The institutions, bodies, offices and agencies and, in so far as national law allows, the 
Member  States  shall,  at  the  request  of  the  Office  or  on  their  own  initiative,  forward  any 
document or information they hold which relates to an ongoing investigation of the Office. 

The institutions, bodies, offices and agencies, and, in so far as national law allows, the 
3. 
Member  States  shall  also  send  the  Office  any  other  document  or  information  considered 
pertinent, which they hold relating to the fight against fraud, corruption and any other illegal 
activity affecting the financial interests of the Union. 

EN 

17 

   EN 

4. 
The  Office,  the  institutions,  bodies,  offices  or  agencies  concerned  and  the  anti-fraud 
coordination services may agree on administrative arrangements regarding the forwarding of 
any information to the Office." 

(8) 

The following Articles 7a and 7b are inserted: 

"Article 7a 

Procedural guarantees 

In  its  investigation  the  Office  shall  seek  evidence  for  and  against  the  person 
"1. 
concerned.  Investigations  shall  be  conducted  objectively  and  impartially  and  in  accordance 
with the principle of  the  presumption  of innocence and  the procedural  guarantees set out in 
this Article.  

2. 
The  invitation  to  an  interview,  whether  with  a  witness  or  with  a  person  concerned, 
must be sent with ten working days’ notice; the period of notice may be shortened with the 
express consent of the person to be interviewed or for duly motivated reasons of the urgency 
of  the  investigation.  The  invitation  shall  include  a  list  of  the  rights  of  the  person  to  be 
interviewed.  The  Office  shall  draw  up  a  record  of  the  interview  and  shall  give  the  person 
interviewed access to it so that he or she may either approve the record or add observations. A 
copy of the records of the interview shall be given to the person interviewed. These rules do 
not apply to the taking of statements in the context of on-the-spot checks. 

When, in the course of the interview, evidence emerges that the person interviewed may be 
concerned by the investigation, the procedural rules provided for in paragraphs 3 and 4 shall 
apply at once. 

3. 
As soon as an investigation reveals that a member or staff member of an institution, 
body,  office  or  agency  may  be  concerned,  that  member  or  staff  member  shall  be  informed, 
provided that this does not prejudice the conduct of the investigation.  

Without prejudice to Articles 4(6) and 6(5) conclusions referring by name to a person 
4. 
concerned may not be drawn once the investigation has been completed without that person 
concerned being given the opportunity to comment on facts concerning him or her in writing 
or  at  an  interview  with  staff  designated  by  the  Office,  and  being  provided  with  the 
information required by Articles 11 and 12 of Regulation 45/2001. The final case report shall 
make reference to those comments. The person concerned must be given a summary of such 
matters  in  the  invitation  to  comment  and  shall  submit  his  or  her  comments  within  the  time 
limits  indicated  by  the  Office  in  accordance  with  paragraph  2.  In  an  interview  the  person 
concerned is entitled to be assisted by a person of his or her choice. Any person concerned is 
entitled  to  use  the  official  Union  language  of  his  or  her  choice;  however,  officials  or  other 
servants of the Union may be required to use an official Union language of which they have a 
thorough knowledge. A person concerned shall be entitled to avoid self-incrimination.  

EN 

18 

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In cases where it is necessary to preserve the confidentiality of the investigation and entailing 
the  use  of  investigative  proceedings  falling  within  the  remit  of  a  national  judicial  authority, 
the  Director-General  may  decide  to  defer  the  fulfilment  of  the  obligation  to  ask  the  person 
concerned to make his or her views known. In case of an internal investigation, the Director-
General  shall  take  the  decision  in  agreement  with  the  institution,  body,  office  or  agency  to 
which the person concerned belongs. Failure of the institution, body, office or agency to reply 
within one month shall be deemed as agreement.  

5. 

The rules of this Regulation shall apply without prejudice to: 

(a) 

The Charter of Fundamental Rights of the European Union;  

(b) 

The Protocol on the Privileges and Immunities of the European Union; 

(c) 

The Statute for Members of the European Parliament;  

(d) 

The Staff Regulations. 

Article 7b 

Review procedure 

1. 

The Director-General shall put in place, within the Office, a review procedure. 

The person or persons entrusted with the review procedure shall not take instructions 

2. 
from anyone in the performance of their duties. 

If the person or persons entrusted with the review procedure consider that a measure taken by 
the Director-General calls their independence into question, they shall immediately inform the 
Supervisory Committee. 

The  Supervisory  Committee  shall  be  consulted  before  any  disciplinary  proceedings 
concerning  the  person  or  persons  entrusted  with  the  review  procedure  are  initiated  in 
accordance with provisions of the Staff Regulations.  

3. 
A  member,  staff  member  or  a  natural  person concerned by an investigation  may ask 
the  person  or  persons  entrusted  with  the  review  procedure  to  give  an  opinion  regarding  the 
procedural  guarantees  provided  for  in  Article  6(4)  and  Article  7a.  The  request  may  be  filed 
during the investigation or at the latest one month after the member, staff member or natural 
person concerned having been informed that the investigation has been closed.  

EN 

19 

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Within  one  month  after  the  receipt  of  the  request,  the  person  or  persons  entrusted  with  the 
review  procedure  shall  communicate  their  opinion  to  the  Director-General  and  shall  send  a 
reasoned  reply  to  the  person  concerned.  The  Director-General  shall  take  the  appropriate 
measures. 

4. 

Submission of a request under paragraph 3 does not suspend the investigation.  

The person or persons entrusted with the review procedure shall report regularly to the 
5. 
Supervisory  Committee  on  their  activities;  they  shall  present  it,  and  the  Commission,  with 
regular  statistical  and  analytical  reports  on  questions  related  to  the  procedural  guarantees. 
These reports may not refer to individual cases under investigation." 

(9) 

In Article 8, Paragraphs 2 to 4 are replaced by the following: 

"2. 
Information forwarded or obtained in the course of internal investigations, in whatever 
form,  shall  be  subject  to  professional  secrecy  and  shall  enjoy  the  protection  given  by  the 
provisions applicable to the institutions of the Union.  

3. 
The  institutions,  bodies,  offices  or  agencies  concerned  shall  ensure  that  the 
confidentiality  of  the  investigations  conducted  by  the  Office  is  respected,  together  with  the 
legitimate  rights  of  the  persons  concerned,  and,  where  judicial  proceedings  have  been 
instituted, that all national provisions applicable to such proceedings have been adhered to. 

The Office shall process only such personal data as necessary to fulfil its tasks under 
4. 
this Regulation. Such processing of personal data shall be done in conformity with Regulation 
(EC) No 45/2001, including the provision of relevant information to the data subject required 
by  articles  11  and  12  of  that  Regulation.  Such  information  may  not  be  communicated  to 
persons other than those within the institutions of the Union or in the Member States whose 
functions require them to know, nor may it be used for purposes other than to prevent fraud, 
corruption or any other illegal activity. 

The  Office  shall  appoint  a  Data  Protection  Officer  in  accordance  with  Article  24  of 
Regulation (EC) No 45/2001. 

The Director-General shall ensure that any information to the public is given neutrally, 

5. 
impartially and in accordance with the principles set out in this Article and in Article 7a." 

(10)  Article 9 is amended as follows: 

(a)  Paragraph 1 is replaced by the following: 

"1. 
On completion of an investigation by the Office, a report shall be drawn up, under the 
authority  of  the  Director-General,  which  shall  give  an  account  of  the  legal  basis  for  the 
investigation, the procedural steps followed, the facts established and their legal qualification, 
the  respect  of  the  procedural  guarantees  in  accordance  with  Article  7a,  the  impact  on  the 

EN 

20 

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financial  interests  of  the  Union,  if  any,  and  the  conclusions  of  the  investigation,  including 
recommendations on follow-up action that should be taken." 

(b)  Paragraphs 3 and 4 are replaced by the following: 

"3. 
Reports  drawn  up  following  an  external  investigation  and  any  useful  related 
documents  shall  be  sent  to  the  competent  authorities  of  the  Member  States  concerned  in 
accordance  with  the  rules  relating  to  external  investigations  and  to  the  Commission.  On 
request of the Office, the competent authorities of the Member States concerned shall in due 
time  forward  to  the  Office  information  on  the  action  taken  and  progress  made  following 
transmission by the Office of its investigation reports.  

4. 
Reports drawn up following an internal investigation and any useful related documents 
shall be sent to the institution, body, office or agency concerned. The institution, body, office 
or  agency  shall  take  such  action,  in  particular  disciplinary  or  legal,  on  the  internal 
investigations,  as  the  results  of  those  investigations  warrant,  and  shall  report  thereon  to  the 
Office, within a deadline laid down in the recommendations of the report. 

5. 
Where the report drawn up after an internal investigation reveals the existence of facts 
which  could  give  rise  to  criminal  proceedings,  this  information  shall  be  transmitted  to  the 
judicial authorities of the Member State concerned unless internal measures allowing for more 
appropriate follow-up action are available in the light of the nature of the facts and the scale 
of the financial impact.  

Without  prejudice  to  the  second  sentence  of  Paragraph  4,  if,  on  completion  of  an 
6. 
investigation,  no  evidence  has  been  found  against  a  member  or  a  staff  member  of  an 
institution, body, office or agency or against a natural or legal person, the investigation into 
that  person  shall  be  closed  by  the  Director-General,  who  shall,  within  ten  working  days, 
inform the person concerned." 

An informer who has provided the Office with information relating to suspected fraud 
7. 
or irregularity may, if he so requests, be informed by the Office that an investigation has been 
closed and, where appropriate, that a final report has been sent to the competent authorities. 
The Office may, however, refuse the request when it considers that it is such as to prejudice 
the legitimate interests of the person concerned, the effectiveness of the investigation and the 
action to be taken subsequent thereto or any confidentiality requirements."  

(11)  Article 10 is replaced by the following: 

EN 

21 

   EN 

"Article 10 

Exchange of information between the Office and the authorities 
of the Member States 

1. 
Without  prejudice  to  Articles  8  and  9  of  this  Regulation  and  to  the  provisions  of 
Regulation (Euratom, EC) No 2185/96, the Office may at any time forward to the competent 
authorities  of  the  Member  States  concerned  information  obtained  in  the  course  of  external 
investigations in due time in order to enable them to take appropriate action.  

2. 
Without  prejudice  to  Articles  8  and  9,  the  Director-General  shall,  in  the  course  of 
internal  investigations,  forward  to  the  judicial  authorities  of  the  Member  State  concerned 
information obtained by the Office concerning facts which require investigative proceedings 
within the jurisdiction of a national judicial authority.  

However,  he  shall  first  inform  the  institution,  body,  office  or  agency  concerned.  The 
information forwarded shall  include the  identity of the person concerned, a  summary of the 
facts established, a preliminary legal evaluation and an estimate of any financial impact.  

Article 7a (4) shall apply.  

3. 
The  competent  authorities,  and  in  particular  the  judicial  authorities,  of  the  Member 
State  concerned  shall,  in  so  far  as  is  not  incompatible  with  national  law,  inform  the  Office 
without  delay,  or  upon  its  request  of  the  action  taken  on  the  basis  of  the  information 
forwarded to them under this Article. 

The Office may provide evidence in proceedings before national courts in conformity 

4. 
with national law and the Staff Regulations." 

(12)  The following Article 10a is inserted: 

"Article 10a 

Cooperation of the Office with Eurojust, Europol and international organisations 

The Office shall cooperate, as appropriate, with Eurojust, the European Police Office 
1. 
(Europol) and international organisations in the area of the fight against fraud, corruption and 
any other illegal activity affecting the financial interests of the Union. 

Where  this  may  support  and  strengthen  coordination  and  cooperation  between  national 
investigating and prosecuting authorities, or when the Office has forwarded to the competent 
authorities in the Member States information giving grounds for suspecting the existence of 

EN 

22 

   EN 

fraud, corruption and any other illegal activity referred to in Article 1 in the form of serious 
crime, it shall transmit relevant information to Eurojust. 

2. 
The  Office  may  agree  on  administrative  arrangements  with  Eurojust  and  Europol 
necessary to facilitate this cooperation. Such working arrangements may concern exchange of 
operational,  strategic  or  technical  information,  including  personal  data  and  classified 
information. 

3. 
The  Office  may  also  agree,  as  appropriate,  on  administrative  arrangements  with 
competent  services  in  third  countries  and  international  organisations.  The  Office  shall 
coordinate  with  the  Commission  services  concerned  and  the  European  External  Action 
Service." 

(13)  Article 11 is amended follows: 

(a)  Paragraphs 1 to 4 are replaced by the following: 

The  Supervisory  Committee  shall  reinforce  the  Office's  independence  by  regular 

"1. 
monitoring of the implementation of the investigative function. 

The Supervisory Committee shall in particular: 

(a) 

(b) 

monitor  the  functioning  of  information  exchange  between  the  Office  and  the 
institutions, bodies, offices and agencies; 

monitor  developments  concerning  the  application  of  procedural  guarantees  and  the 
duration  of  investigations  in  the  light  of  the  information  supplied  by  the  Director-
General  and  the  opinions  and  analysis  reports  regularly  drawn  up  by  the  person(s) 
entrusted with the review procedure. 

The  Supervisory  Committee  shall  address  opinions  to  the  Director-General.  These  opinions 
may  be  delivered  on  its  own  initiative.  They  shall  also  be  delivered  at  the  request  of  the 
Director-General or at the request of an institution, body, office or agency, without however 
interfering with the conduct of investigations in progress.  

The institutions, bodies, offices or agencies shall be provided with a copy of such opinions. 

The Supervisory Committee may ask the Office for additional information on investigations 
in duly justified situations, without however interfering with the conduct of investigations. 

2. 
The Supervisory Committee shall be composed of five independent members having 
experience in senior judicial or investigative functions or comparable functions relating to the 
Office's  area  of  activity.  They  shall  be  appointed  by  common  accord  of  the  European 
Parliament, the Council and the Commission, on the basis of a pre-selection list submitted by 
the Commission. 

EN 

23 

   EN 

3. 
The term of office of members shall be five years and shall not be renewable. Every 30 
months  there  shall  be  a  partial  replacement.  Three  and  two  members  shall  be  replaced 
alternatively. 

On  expiry  of  their  term  of  office,  members  shall  remain  in  office  until  they  are 

4. 
replaced." 

(b)  Paragraphs 6 to 8 are replaced by the following: 

"6. 
The  Supervisory  Committee  shall  appoint  its  chair.  It  shall  adopt  its  own  rules  of 
procedure,  which  shall,  before  adoption,  be  submitted  to  the  European  Parliament,  the 
Council and the Commission for information. Meetings of the Supervisory  Committee  shall 
be  convened  on  the  initiative  of  its  chair  or  the  Director-General.  It  shall  hold  at  least  10 
meetings  per  year.  The  Supervisory  Committee  shall  take  its  decisions  by  a  majority  of  its 
members. Its secretariat shall be provided by the Office. 

7. 
The  Director-General  shall  forward  to  the  Supervisory  Committee  each  year  the 
Office’s  annual  management  plan.  He  shall  keep  the  Supervisory  Committee  periodically 
informed  of  the  Office’s  activities,  the  implementation  of  its  investigative  function  and  the 
action taken by way of follow-up to investigations.  

The Director-General shall inform the Supervisory Committee periodically: 

(a) 

of  cases  in  which  the  institution,  body,  agency  or  office  concerned  or  the 
competent  authorities  of  the  Member  States  have  failed  to  act  on  the 
recommendations made by the Office; 

(b)  of cases in which information has been forwarded to judicial authorities of the 
Member States and of cases in which he decided not to transmit information on 
internal  investigations  to  the  national  judicial  authorities  concerned  in 
accordance with Article 9(5); 

(c) 

on the duration of investigations in accordance with Article 6(6). 

The  Supervisory  Committee  shall  adopt  at  least  one  report  on  its  activities  per  year, 
8. 
covering  in  particular  the  assessment  of  the  Office's  independence,  the  application  of 
procedural  guarantees  and  the  duration  of  investigations.  These  reports  shall  be  sent  to  the 
European Parliament, the Council, the Commission and the Court of Auditors.  

The Committee may submit reports to the European Parliament, the Council, the Commission 
and  the  Court  of  Auditors  on  the  results  of  the  Office’s  investigations  and  the  action  taken 
thereon." 

(14)  The following Article 11a is inserted: 

EN 

24 

   EN 

"Article 11a 

Exchange of views with the institutions 

1. 
The European Parliament, the Council and the Commission shall meet periodically or 
upon  request  of  one  of  these  institutions,  the  Office  or  the  Supervisory  Committee  for  an 
exchange  of  views  at  political  level  to  discuss  the  Office's  policy  of  investigations.  The 
Director-General and the chair of the Supervisory Committee shall participate in the exchange 
of views. Members of Europol, Eurojust and the Court of Auditors may be invited to attend 
on an ad-hoc basis upon request of one of the above-mentioned institutions, the Office or the 
Supervisory Committee.  

2. 

2. 

The exchange of views shall relate to:  

(a) 

the strategic priorities for the Office's investigative policies; 

(b) 

the activity reports and the opinions of the Supervisory Committee provided by 
Article 11(1); 

(c) 

the reports under Article 12(3) Subparagraph 2 of the Director-General; 

(d) 

(e) 

(f) 

the  relations  between  the  Office  and  the  institutions,  bodies,  offices  and 
agencies; 

the relations between the Office and the competent authorities of the Member 
States; 

the  effectiveness  of  the  work  of  the  Office  with  regard  to  investigations  and 
that of the Supervisory Committee. 

3. 

The exchange of views shall not interfere with the conduct of investigations. 

4. 
The Office shall take appropriate action taking into account the opinions expressed in 
the  exchange  of  views  and  shall  provide  information  on  the  actions  taken  in  the  reports 
referred to in the second subparagraph of Article 12(3)." 

(15)  Article 12 is replaced by the following: 

"Article 12 

Director-General 

The  Office  shall  be  headed  by  a  Director-General.  The  Director-General  shall  be 
1. 
appointed by the Commission, in accordance with the procedure specified in paragraph 2. The 
term of office of the Director-General shall be seven years and shall not be renewable. 

EN 

25 

   EN 

2. 
In  order  to  appoint  a  new  Director-General,  the  Commission  shall  publish  a  call  for 
applications in the Official Journal of the European Union. This publication shall take place at 
the  latest  six  months  before  the  end  of  the  mandate  of  the  Director-General  in  office.  After 
having  carried  out  a  selection  procedure,  the  Commission  shall  draw  up  a  list  of  suitably 
qualified candidates, duly consult the European Parliament, the Council, as well as with the 
Supervisory Committee on the basis of this list and adopt its decision.  

3. 
The Director-General shall neither seek nor take instructions from any government or 
any  institution,  body,  office  or  agency  in  the  performance  of  his  duties  with  regard  to  the 
opening and carrying out of external and internal investigations or to the drafting of reports 
following such investigations. If the Director-General considers that a measure taken by the 
Commission  calls  his  independence  into  question,  he  shall  immediately  inform  the 
Supervisory  Committee  to  obtain  its  opinion,  and  decide  whether to  bring  an  action  against 
the Commission before the Court of Justice.  

The Director-General shall report regularly to the European Parliament, the Council and the 
Commission on the findings of investigations carried out by the Office, the action taken and 
the  problems  encountered,  whilst  respecting  the  confidentiality  of  the  investigations,  the 
legitimate  rights  of  the  persons  concerned  and,  where  appropriate,  national  provisions 
applicable to judicial proceedings. 

The  Director-General  shall  each  year  determine,  within  the  context  of  the  annual 

4. 
management plan, the investigation policy priorities of the Office. 

5. 
The  Director-General  may  delegate  the  exercise  of  certain  of  his  functions  under 
Articles 5 and 6(1) to one or more members of the staff of the Office by a written document 
specifying the conditions and limits governing the delegation. 

6. 
The Director-General shall be assisted by an internal body which he shall consult on 
the opening of an investigation, before the closing of an investigation and whenever he deems 
appropriate.  

7. 
The  Director-General  shall  adopt  a  manual  of  procedures,  after  consultation  of  the 
Supervisory  Committee,  the  Office's  Data  Protection  Officer,  and  the  person  or  persons 
entrusted with the review procedure in accordance with Article 7b . This manual shall provide 
guidelines on the practical application of the administrative investigations by the Office.  

Before 

8. 
Commission shall consult the Supervisory Committee.  

imposing  any  disciplinary  penalty  against 

the  Director-General, 

the 

Disciplinary penalties against the Director-General shall be the subject of reasoned decisions, 
which shall be forwarded for information to the European Parliament, to the Council and to 
the Supervisory Committee. 

EN 

26 

   EN 

9. 
Any  reference  to  the  "Director"  of  the  Office  in  the  Staff  Regulations,  the  Financial 
Regulation19 and in any other legal text should be read as a reference to the Director-General." 

(16)  The following Article 12a is inserted:  

"Article 12a 

Deputising director(s) 

The Commission rules on deputising shall apply. 

By  derogation,  the  Director-General,  after  consultation  of  the  Supervisory  Committee  may 
designate  one  or  two  of  his  Directors  as  deputising  Director(s).  If  none  of  the  deputising 
Directors is available, the Commission rules on deputising shall apply again." 

(17)  Article 13 is replaced by the following: 

"Article 13 

Financing 

The appropriations for the Office, the total amount of which shall be entered under a specific 
budget line within the section of the general budget of the Union relating to the Commission, 
shall be set out in detail in an Annex to that section. 

The  establishment  plan  of  the  Office  shall  be  annexed  to  the  Commission’s  establishment 
plan." 

(18)  Article 14 is replaced by the following: 

"Article 14 

Evaluation report 

At the latest on [date of adoption of this regulation + 4 years], the Commission shall transmit 
to  the  European  Parliament  and  the  Council  a  report  on  the  application  of  this  Regulation, 
together with an opinion by the Supervisory Committee. The report shall state whether there 
is a need to amend this Regulation." 

(19)  Article 15 is deleted. 

19 

OJ L 248, 16.9.2002, p. 1-48 

EN 

27 

   EN 

                                                 
Regulation (Euratom) No 1074/1999 is repealed. 

Article 2 

Article 3 

This  Regulation  shall  enter  into  force  on  the  twentieth  day  following  that  of  its 

1. 
publication in the Official Journal of the European Union. 

2. 
Article  11  (3)  of  Regulation  (EC)  1073/1999  as  amended  by  this  Regulation  shall 
apply to the duration of the term of office of the members of the Supervisory Committee in 
office when this Regulation enters into force. Immediately after the entering into force of this 
Regulation, the President of the European Parliament shall choose by lot two members whose 
duties are to end, by way of derogation from the first sentence of Paragraph 3 of Article 11 of 
Regulation (EC) 1073/1999 as amended by this Regulation, upon expiry of the first 30 months 
of their term of office. 

3. 
The third sentence of the first paragraph of Article 12 of Regulation (EC) 1073/1999 
as  amended  by  this  Regulation  shall  apply  to  the  mandate  of  the  Director-General  in  office 
when this Regulation enters into force. 

This Regulation shall be binding in its entirety and directly applicable in all Member 

4. 
States. 

Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

EN 

28 

   EN 

[…] 

ANNEX 

EN 

29 

   EN 

LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

[to be used for any proposal or initiative submitted to the legislative authority 

(Articles 28 of the Financial Regulation and 22 of the implementing rules)] 

EN 

30 

   EN 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative: Amended proposal to amend Regulation No. 1073/1999 
concerning investigations conducted by the European Anti-fraud Office (OLAF) and repealing 
Regulation (EURATOM) No. 1074/1999  

1.2.  Policy area(s) concerned in the ABM/ABB structure: Anti-fraud 

1.3.  Nature of the proposal/initiative: legislative 

1.4.  Objective(s): increase OLAF's overall efficiency and governance 

1.5.  Grounds for the proposal/initiative: Article 325 TFEU, Article 106a EURATOM 

1.6.  Duration and financial impact: N/A 

1.7.  Management method(s) envisaged: Centralised Direct Management by the Commission 

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules: See Article 14 of the Amended Proposal 

2.2.  Management and control system: N/A 

2.3.  Measures to prevent fraud and irregularities: Within the scope of this Regulation 

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1.  Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected 24.010600.03.01.00 Expenditure incurred for members of the Supervisory Committee 

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure No impact 

3.2.2. Estimated impact on operational appropriations No impact 

3.2.3. Estimated impact on appropriations of an administrative nature No impact 

3.2.4. Compatibility with the current multiannual financial framework No impact 

3.2.5. Third-party participation in financing No impact 

3.3.  Estimated impact on revenue No impact

EN 

31 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Amended proposal to amend Regulation No. 1073/1999 concerning investigations conducted 
by  the  European  Anti-fraud  Office  (OLAF)  and  repealing  Regulation  (EURATOM)  No. 
1074/1999 

1.2. 

Policy area(s) concerned in the ABM/ABB structure20  

24.01. Administrative expenditure of policy area Fight against fraud 

24.02. Anti-fraud 

1.3. 

Nature of the proposal/initiative  

(cid:133) The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action21  

⌧ The proposal/initiative relates to the extension of an existing action  

(cid:133) The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objectives 

1.4.1.  The Commission's multiannual strategic objective(s) targeted by the proposal/initiative  

Fight against fraud 

1.4.2. 

Specific objective(s) and ABM/ABB activity(ies) concerned  

Specific objective No. 7.1.a 

ABM/ABB activity(ies) concerned 

24.01. Administrative expenditure of policy area Fight against fraud 

24.02. Anti-fraud 

20 
21 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

EN 

32 

   EN 

                                                 
1.4.3.  Expected result(s) and impact 

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

Improved  cooperation  of  OLAF  with  stakeholders  at  all  levels:  at  EU  level  with  the  EU 
institutions,  bodies,  offices  and  agencies,  Member  States  competent  authorities  and  third 
countries authorities and international organisations. 

1.4.4. 

Indicators of results and impact  

Specify the indicators for monitoring implementation of the proposal/initiative. 

In accordance with Article 14  

1.5. 

Grounds for the proposal/initiative  

1.5.1.  Requirement(s) to be met in the short or long term  

Full accountability of OLAF under conditions which respect fundamental guarantees, as well 
as its independence. 

1.5.2.  Added value of EU involvement 

Article 325 TFEU provides for joint action of the Commission and the Member States for the 
protection  of  the  Union's  financial  interests  and  the  fight  against  fraud.  That  article  thus 
attributes  specific  responsibilities  to  the  Commission  for  the  protection  of  Union's  financial 
interests.  

1.5.3.  Lessons learned from similar experiences in the past 

- 

1.5.4.  Coherence and possible synergy with other relevant instruments 

The amended proposal is compatible with relevant European Union legislative instruments.  

EN 

33 

   EN 

1.6. 

Duration and financial impact  

(cid:133) Proposal/initiative of limited duration  

–  (cid:133) Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY  

–  (cid:133) Financial impact from YYYY to YYYY  

(cid:133) Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY, 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged22  

⌧ Centralised direct management by the Commission  

(cid:133) Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:133) executive agencies  

–  (cid:133) bodies set up by the Communities23  

–  (cid:133) national public-sector bodies/bodies with public-service mission  

–  (cid:133) persons entrusted with the implementation of specific actions pursuant to Title V of the 
Treaty  on  European  Union  and  identified  in  the  relevant  basic  act  within  the  meaning  of 
Article 49 of the Financial Regulation  

(cid:133) Shared management with the Member States  

(cid:133) Decentralised management with third countries  

(cid:133) Joint management with international organisations (to be specified) 

If more than one management mode is indicated, please provide details in the "Comments" section. 

Comments  

[…] 

[…] 

22 

23 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the  BudgWeb  site: 
http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

EN 

34 

   EN 

                                                 
2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

The Supervisory Committee will monitor the investigative activities of OLAF in accordance 
with Article 11.  

In addition to obligations that are unaffected by the amended proposal, the persons entrusted 
with  the  Review  procedure  will  regularly  report  on  their  activities  to  the  Supervisory 
Committee (Article 7b) 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

N/A 

2.2.2.  Control method(s) envisaged  

N/A 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

Implementation in accordance with the Financial Regulation. 

[…] 

EN 

35 

   EN 

3. 

3.1. 

Heading of 
multiannual 
financial 
framework 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

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

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure

Contribution  

Number  
[Description………………………...……….] 

DA/NDA 
(24) 

from 
EFTA25 
countries 

from 
candidate 
countries26 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

24.010600.030100 

24.0106 

Expenditure 
mandate  of 
Supervisory Committee 

from 
resulting 
the  Members  of 

the 
the 

•  New budget lines requested  

DNA 

NO 

NO 

NO 

NO 

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditure

Contribution  

Number  
[Heading……………………………………..] 

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

Heading of 
multiannual 
financial 
framework 

[XX.YY.YY.YY] 

[…] 

[…] 

[…] 

YES/N
O 

YES/N
O 

YES/N
O 

YES/NO 

24 
25 
26 

DA= Differentiated appropriations / DNA= Non-Differentiated Appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

EN 

36 

   EN 

                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

Number 

[Heading 
……………...……………………………………………………………….] 

EUR million (to 3 decimal places) 

DG: <…….> 

(cid:121) Operational appropriations  

Number of budget line 

Number of budget line 

Appropriations 
of 
 from the envelop of specific programs28  
Number of budget line 

an 

administrative 

TOTAL appropriations 
for DG <…….> 

Year 
N27 

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 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

nature 

financed 

Commitments 

Payments 

(3) 

=1+1a 
+3 

=2+2a 

+3 

27 
28 

EN 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct 
research. 

37 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelop of specific programs  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADING <….> 
of the multiannual financial framework 

Commitments 

=4+ 6 

Payments 

=5+ 6 

If more than one heading is affected by the proposal / initiative: 

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelop of specific programs  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Commitments 

=4+ 6 

Payments 

=5+ 6 

EN 

38 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial 
framework:  

5 

" Administrative expenditure " 

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 

EUR million (to 3 decimal places) 

DG: OLAF 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

TOTAL DG OLAF 

Appropriations  

0,972 

0,200 

1.172 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

1,172 

Year 
N29 

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 

EUR million (to 3 decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial framework  

Commitments 

Payments 

1,172 

0.200 

29 

Year N is the year in which implementation of the proposal/initiative starts. 

EN 

39 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations  

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

–  (cid:133) The proposal/initiative requires the use of operational appropriations, as explained below: 

Indicate 
objectives and 
outputs  

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 

OUTPUTS 

Commitment appropriations in EUR million (to 3 decimal places) 

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

Cost 

Total 
numbe
r of 
ouputs 

Total  
cost 

(cid:216) 

Type 
of 
output
30 

Avera
ge 
cost  
of the 
ouput 

r
e
b
m
u
N

s
t
u
p
u
o

f
o

SPECIFIC OBJECTIVE No 131… 

- Output 

- Output 

- Output 

Sub-total for specific objective N°1 

SPECIFIC OBJECTIVE No 2… 

- Output 

Sub-total for specific objective N°2 

TOTAL COST 

30 
31 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in Section 1.4.2. "Specific objective(s)…" 

EN 

40 

E

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  (cid:133) The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  ⌧ The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

Year 
N 32 

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 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

0,972 

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

0,200 

1,172 

Outside HEADING 533 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

1,172 

32 
33 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 

EN 

41 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.   Estimated requirements of human resources  

–  (cid:133) The proposal/initiative does not require the use of human resources  

–  ⌧ The  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) 

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) 

(cid:121) Establishment plan posts (officials and temporary agents) 

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

8 

XX 01 01 02 (Delegations) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)34 

XX 01 02 01 (CA, INT, SNE from the 
"global envelope") 

XX 01 02 02 (CA, INT, JED, LA and SNE in 
the delegations) 

XX 01 04 yy 35 

- at Headquarters36 

- in delegations  

XX 01 05 02 (CA, INT, SNE - Indirect 
research) 

10 01 05 02 (CA, INT, SNE - Direct 
research) 

Other budget lines (specify) 

TOTAL 

8 

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 

34 

35 
36 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young 
Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 

EN 

42 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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: 

Officials and temporary agents 

Administrative support for the Members of the Supervisory Committee 

External personnel 

EN 

43 

   EN 

 
 
3.2.4.  Compatibility with the current multiannual financial framework  

–  ⌧ Proposal/initiative is compatible the current multiannual financial framework. 

–  (cid:133) Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

multiannual financial framework. 

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

[…] 

–  (cid:133) Proposal/initiative requires application of the flexibility instrument or revision 

of the multiannual financial framework37. 

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: 

Appropriations in EUR million (to 3 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 
cofinanced  

37 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

44 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

–  ⌧ Proposal/initiative has no financial impact on revenue. 

–  (cid:133) Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriation
s available for 
the ongoing 
budget 
exercise 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative38 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… insert as many columns as necessary 
in order to reflect the duration of the 
impact (see point 1.6) 

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

[…] 

Specify the method for calculating the impact on revenue. 

[…] 

38 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

45 

   EN