The European Ombudsman’s guide to complaints : a publication for staff of the EU institutions, bodies, offices, and agencies.
Date: 2011-10-14
Institutions: European Ombudsman
Subjects: European official, appeal to an administrative authority, appeal to the European Ombudsman, powers of the institutions (EU), user guide

European Ombudsman

The European 
Ombudsman’s 
guide to 
complaints
A publication for staff of  
the EU institutions, bodies, 
offices, and agencies

This publication is available in German, English, and French.  
If you would like to receive it in one of these languages,  
please download it or order it from EU Bookshop  
(http://bookshop.europa.eu).

© European Union, 2011
Reproduction for educational and non-commercial purposes is authorised, 
provided the source is acknowledged.
This booklet is published on the Internet at: http://www.ombudsman.europa.eu
All photographs © European Union, unless otherwise indicated.
Design and layout by Rosendahls - Schultz Grafisk, Albertslund, Denmark, and 
EntenEller A/S, Valby, Denmark.
Set in FrutigerNext and Palatino.
Printed in Germany
ISBN 978-92-9212-251-5 . doi:10.2869/30481 . QK-31-10-691-EN-C

Foreword

Responding to complaints

An introduction to the Ombudsman

How best to respond to complaints

Avoiding complaints

The fundamental right to good administration

A culture of service

The European Code of Good Administrative Behaviour

Lodging complaints

Staff complaints

Whistleblowing

Complaints concerning data protection

Further information

5

6

7

9

11

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The European Ombudsman seeks fair outcomes to complaints 
against European Union institutions, encourages transparency, and 
promotes an administrative culture of service. He aims to build trust 
through dialogue between citizens and the European Union and to 
foster the highest standards of behaviour in the Union’s institutions.

Foreword 

This booklet is intended for the staff of EU institutions, bodies, offices,  
and agencies (from now on, abbreviated to ‘institutions’).

As someone working for an institution, it is quite possible that — at some 
stage in your career — you will be involved in responding to a complaint.   
The complaint may be addressed to your institution directly, or it may come  
via the European Ombudsman. It is also possible that you may consider  
lodging a complaint with the Ombudsman yourself.

This booklet has been designed to help you better understand the Ombudsman’s 
approach to complaint-handling and to administrative problems. It explains how 
best to respond to complaints that the Ombudsman brings to your attention and 
how to avoid complaints in the first place. It also explains what the Ombudsman  
can specifically do to help you.

As European Ombudsman, I am keen to engage with the EU institutions to help 
resolve complaints, promote a culture of service, and enhance the Union’s image in 
the eyes of citizens. Since taking office in April 2003, I have met staff at all levels of 
the EU administration to explain the rationale underpinning my work, to suggest 
how best to respond to complaints, and to improve administrative practices.

Our common goal is to make the fundamental right to good administration  
a reality for all those who contact us. I hope that, in striving to meet this goal, 
you will continue to see the Ombudsman as an ally who helps you to combat 
maladministration and systemic problems, and to deliver a top class service.

P. Nikiforos Diamandouros 

5   The European Ombudsman’s guide to complaints

Responding  
to complaints

An introduction  
to the Ombudsman

What does he do?
The European Ombudsman 
investigates complaints about 
maladministration in the EU 
institutions. The Ombudsman 
may also launch inquiries on his 
own initiative. The Ombudsman is 
completely independent and impartial 
in the performance of his duties.

What is maladministration?
The Ombudsman may find 
maladministration if an institution 
fails to respect:

•  fundamental rights,
•  legal rules or principles,
•  the principles of good 
administration.

What does he not do?
The Ombudsman cannot investigate:

•  individual EU officials. The 
Ombudsman investigates possible 
maladministration by institutions,  
not the conduct of officials. If 
presented with a case of alleged 
harassment, for example, the 
Ombudsman examines how the 
institution has dealt with the 
problem rather than the conduct 
of the individuals concerned. The 
Ombudsman’s inquiries do not constitute 
a disciplinary or pre-disciplinary 
procedure.
•  complaints against national, 
regional, or local authorities in 
the Member States, even when the 
complaints are about EU matters.

The Ombudsman’s role is complementary to 
that of the courts. An Ombudsman inquiry 
aims, where possible, to achieve a ‘win-
win’ solution. Furthermore, a finding of 
maladministration by the Ombudsman does 
not automatically imply that there is illegal 
behaviour that could be sanctioned by a 
court.

What do people complain about?
The European Ombudsman’s inquiries 
mainly concern:

•  openness and public access to 
documents,
•  the Commission as ‘Guardian of the 
Treaties’,
•  institutional and policy matters,
•  the award of tenders and grants,
•  the execution of contracts,
•  administration and the Staff 
Regulations,
•  competitions and selection 
procedures.

7   The European Ombudsman’s guide to complaints

 
 
 
Around one third of the inquiries the 
Ombudsman carries out every year concern 
lack or refusal of information.

Who do people complain about?
Since the Commission is the main 
EU institution that makes decisions 
having a direct impact on citizens, 
companies and associations, it is 
logical that it should be the principal 
object of complaints. The European 
Parliament’s administration, the 
European Personnel Selection Office 
(EPSO), and the Council also feature 
regularly. Most EU institutions 
have been the subject of at least 
one Ombudsman inquiry. The 
Ombudsman’s inquiries concerning 
the Court of Justice of the European 
Union relate only to its non-judicial 
activities, for example, tenders, 
contracts, and staff cases.

How is an inquiry carried out?
The Ombudsman uses both oral and 
written inquiry procedures. The first 
step in a written inquiry is to forward 
the complaint to the institution 
concerned and request an opinion, 
normally within three calendar 
months. The EU institutions are 
required to supply the Ombudsman 
with any information he requests from 

them and to give him access to the 
files concerned. He may also inspect 
documents and interview officials and 
other servants, although this latter 
possibility is rarely used.

Where there appears to be a problem 
that could be solved rapidly, the 
Ombudsman may, with the agreement 
and cooperation of the institution 
concerned, use less formal procedures, 
mainly via telephone.

What outcome can one expect?
About half of all the Ombudsman’s 
inquiries find that the institution has 
acted correctly and that there is no 
maladministration. In many other 
cases, the institution itself acts to settle 
the matter during the inquiry. If there 
does seem to be a problem and the 
case is not settled by the institution, 
the Ombudsman tries, where possible, 
to achieve a friendly solution, which 
satisfies both the institution and 
the complainant. If the attempt at 
conciliation fails, the Ombudsman 
can issue recommendations to solve 
the case. If the institution does not 
accept the proposed recommendations, 
he can make a special report to 
the European Parliament. The 
Ombudsman’s decisions are not legally 
binding but the rate of compliance 
with his findings is consistently high.

Responding to complaints   8

 
 
How best to respond  
to complaints

Can you resolve the issue  
yourself and help avoid an 
Ombudsman inquiry?
Before the European Ombudsman will 
open an inquiry, the complainant must 
first have contacted the institution 
concerned to try to solve the problem. 
It is better for the issue to be resolved 
at this stage. Often the individual is 
simply looking for an explanation, a 
reason, an apology, or advice, and the 
administration itself is best placed to 
provide this. A settlement proposed 
by the institution is quicker and 
ultimately more satisfying all round 
and helps promote the image of the  
EU and its institutions as being citizen 
friendly.

How should you react  
if the Ombudsman opens  
an inquiry?
An Ombudsman inquiry gives the 
institution an opportunity to consider 
whether it could have acted differently 
under the applicable legal framework, 
thereby settling the complaint. In 
order to achieve this, both parties 
must show flexibility and be ready to 
look for a solution to the problem. In 
order to ensure a fresh assessment of 
the issue, the file could, for example, 
be examined by ‘a new pair of eyes’. It 
is important to underline that an early 
reassessment and change in position 
does not necessarily imply admission 
that a mistake has been made.

Maladministration is a broader 
concept than illegality. The fact 
that a decision was adopted 
without breaching the law does not 
necessarily mean that it was adopted 
in conformity with principles of good 
administration. Good administration 
implies looking proactively for 
alternative solutions which, while also 
legal, are more citizen centred.

What if the complainant  
turns to the Ombudsman?
If a complaint is lodged with the 
Ombudsman, he adopts a constructive 
approach to its handling. His aim is 
not to blame or sanction. Nor does 
he wish to encourage a defensive 
reaction, let alone a defensive culture. 
The complainant, after all, may 
specifically have opted to complain 
to the Ombudsman rather than go to 
the Court. Such a choice signals that 
he is ready to achieve some kind of 
solution to the problem that is not 
limited to securing annulment of the 
administration’s decision. This is a 
window of opportunity that should 
not go to waste.

9   The European Ombudsman’s guide to complaints

What if he uncovers  
a problem?
If a mistake has been made, it should 
be put right at the earliest possible 
stage. One should apologise, if 
necessary, and move on. That is 
the purpose of the Ombudsman’s 
friendly solution proposals: to seize 
the opportunity to solve disputes by 
having the two parties accept a fair 
solution. Rather than seeking to justify 
and defend the original decision taken 
by the institution, the services should 
exploit the opportunities for successful 
resolution of the case by accepting the 
Ombudsman’s proposals for friendly 
solutions. The Ombudsman will credit 
the institution whenever a friendly 
solution is reached. While resolving 
a problem might entail a significant 
gesture — a payment of compensation, 
an agreement to relaunch a procedure 
— it is almost always worth it. After 
all, refusing to resolve problems at the 
opportune time may well prove both 
costly and time consuming in the end.

Can lessons be learned  
for the future?
Sometimes complaints are symptoms 
of underlying systemic issues or 
problems. One of the Ombudsman’s 
functions is to identify these and 
to promote ways of tackling them 
so that the problems experienced 
by one individual are not repeated 
in the future. By engaging with 
the institutions, the Ombudsman 
works to ensure that the wider 
lessons from complaint-handling are 
learned across the administration. 
As such, in addition to serving as 
an external mechanism of control, 
the Ombudsman also constitutes 
a valuable resource which the 
institutions can use to help improve 
their performance and to reduce the 
likelihood that similar problems will 
reoccur.

Responding to complaints   10

Avoiding 
complaints

The fundamental right  
to good administration

With a view to avoiding complaints 
and to ensuring the highest standards 
of administration, it is important to be 
aware of the rules and principles that 
the EU institutions should respect. Of 
particular importance is Article 41 of 
the EU Charter of Fundamental Rights, 
which contains the fundamental right 
to good administration and, following 
the entry into force of the Lisbon 
Treaty, is now legally binding. The 
Ombudsman proposed that this right 
be included in the charter, arguing 
that citizens are entitled to an open, 
accountable, and service-minded 
administration.

Right to good administration 

1. Every person has the right to have his or 
her affairs handled impartially, fairly and 
within a reasonable time by the institutions, 
bodies, offices and agencies of the Union.
2. This right includes: (a) the right of every 
person to be heard, before any individual 
measure which would affect him or her 
adversely is taken; (b) the right of every 
person to have access to his or her file, 
while respecting the legitimate interests 
of confidentiality and of professional and 
business secrecy; (c) the obligation of 
the administration to give reasons for its 
decisions.

3. Every person has the right to have the 
Union make good any damage caused by 
its institutions or by its servants in the 
performance of their duties, in accordance 
with the general principles common to the 
laws of the Member States.
4. Every person may write to the 
institutions of the Union in one of the 
languages of the Treaties and must have an 
answer in the same language.

Article 41 of the charter should not 
be understood as an exhaustive 
account of the principles of good 
administration. These go further 
than the law, requiring the EU 
institutions not only to respect their 
legal obligations, but also to be 
proactively service-minded and to 
ensure that members of the public are 
properly treated and enjoy their rights 
fully. The European Code of Good 
Administrative Behaviour, described 
below, serves to identify the principles 
of good administration, which extend 
beyond the elements laid down in the 
now legally enforceable fundamental 
right.

Avoiding complaints   12

 
 
 
The fundamental right  

to good administration

A culture of service

Good administration constitutes 
an essential feature of a culture of 
service to citizens. An institution 
which has adopted such a culture will 
recognise that relations with citizens 
are part of its core business. It will 
encourage its staff not only to respect 
individual rights, but also to be polite, 
helpful, and cooperative in dealing 
with citizens, to be willing to explain 
their activities, give reasons for their 
actions, and accept public scrutiny of 
their conduct.

An important part of a service culture 
is the need to acknowledge mistakes 
when they occur and to put matters 
right whenever possible. A prompt 
and sincere apology may be all that is 
needed to avoid triggering a formal 
complaint. Even if a complaint is made 
to the Ombudsman, the fact of having 
made a sincere apology may lead the 
Ombudsman to take the view that 
there are no grounds for an inquiry.

The Ombudsman’s work can be a 
useful resource in trying to create 
and nurture a culture of service. 
For example, even when the 
Ombudsman makes a finding of no 
maladministration in an inquiry, 
he may issue a further remark, if he 
identifies an opportunity to enhance 
the quality of the administration in 
the future. A further remark should 
be understood as providing advice 
on how to improve a particular 
practice. It is also in this spirit that 
the Ombudsman identifies star cases 
in his annual reports which serve as a 
model for all EU institutions in terms 
of how best to react to issues that the 
Ombudsman raises.

13   The European Ombudsman’s guide to complaints

The European Code of 
Good Administrative 
Behaviour

One of the key documents on 
which the Ombudsman relies in his 
work is The European Code of Good 
Administrative Behaviour. Drawing 
inspiration from the case-law of the 
Court of Justice of the European Union 
and the administrative law of the 
Member States, it contains the classic 
principles of good administration, 
such as lawfulness, absence of 
discrimination, proportionality, rights 
of defence, and duty to state grounds 
for decisions. But it also contains 
more innovative principles, such as 
courtesy. The code is available on the 
Ombudsman’s website or from his 
office.

The European Parliament approved the 
European Code of Good Administrative 
Behaviour in September 2001. In its 
resolution, Parliament called on the 
Ombudsman to apply the code in his 
work of remedying and preventing 
maladministration. The Ombudsman 
therefore takes account of the rules and 
principles contained in the code when 
examining complaints and in conducting 
own-initiative inquiries. Officials who 
follow the code can be confident that they 
will avoid instances of maladministration.

Avoiding complaints   14

Lodging 
complaints

Staff complaints

Whistleblowing

If you work for an EU institution, 
you can complain to the European 
Ombudsman about problems you may 
encounter with the administration. 
These can range from allegations of 
unfair dismissal to claims for social 
security cover for a member of your 
family. Staff members who prefer to 
have their case reviewed judicially 
may appeal to the EU Civil Service 
Tribunal.

To complain, you should write to the 
Ombudsman by post, fax, or e-mail in 
any of the treaty languages1, setting 
out clearly who you are, which EU 
institution you are complaining 
against, and the grounds for your 
complaint. Please note the following 
points.

•  You must have exhausted all 
the possibilities for internal 
administrative requests and 
complaints, in particular the 
complaint procedure of Article 90(2)   
of the Staff Regulations.
•  A complaint must be made within 
two years of the date when you 
became aware of the facts on which 
your complaint is based.
•  The Ombudsman cannot inquire 
into matters that are currently before 
a court or that have already been dealt 
with by a court. 

A complaint form is available on the 
Ombudsman’s website or from his 
office.

Members of staff have a responsibility 
not only to behave properly 
themselves but also to report 
wrongdoing by other members of staff. 

The Ombudsman is one of the persons 
to whom an official or other servant 
can turn, if, in the course of, or in 
connection with the performance of, 
his/her duties, he/she becomes aware 
of:

•  facts which give rise to a 
presumption that there exists possible 
illegal activity, including fraud or 
corruption, detrimental to the Union’s 
interests;
•  conduct relating to the discharge 
of professional duties which may 
constitute a serious failure to comply 
with the obligations of EU officials.

Before turning to the Ombudsman, 
an official or other servant must 
have followed the procedure laid 
down by Article 22a of the Staff 
Regulations. He/she can do so, by 
informing either his/her immediate 
superior or Director-General or, if he/
she considers it useful, the Secretary-
General, or persons in equivalent 
positions, or the European Anti-Fraud 
Office (OLAF) directly.

1. The list of the treaty languages is available on the 
Europa website at: http://europa.eu

Lodging complaints   16

 
 
Should an individual turn to the 
Ombudsman in such a case, the Staff 
Regulations (Article 22b) provide that 
he/she shall not suffer any prejudicial 
effects on the part of the institution to 
which he/she belongs provided that:

•  he/she honestly and reasonably 
believes that the information 
disclosed, and any allegation 
contained in it, are substantially true; 
•  he/she has previously disclosed the 
same information to OLAF or to his/
her own institution and has allowed 
them the period of time provided for, 
depending on the complexity of the 
case, to take appropriate action. The 
relevant period shall not apply where 
the official can demonstrate that, 
having regard to all the circumstances 
of the case, it is unreasonable.

The Ombudsman treats whistleblower 
complaints confidentially.

17   The European Ombudsman’s guide to complaints

 
Complaints 
concerning data 
protection

The European Data Protection 
Supervisor (EDPS) has the power to 
investigate complaints from anyone 
who considers that his/her rights have 
been infringed when an EU institution 
has processed data relating to him/her.

The Ombudsman and the EDPS 
have signed a memorandum of 
understanding to ensure constructive 
cooperation between the two bodies 
and a consistent approach to the legal 
and administrative aspects of data 
protection.

Complaints to the EDPS can be 
submitted using the ‘Complaint 
Submission Form’ available on the 
EDPS Internet site:

http://www.edps.europa.eu/
EDPSWEB/edps/Supervision/
Complaints

Regulation (EC) No. 45/2001 on 
data protection also contains a 
‘whistleblower’ provision (Article 33) 
for complaints by officials and other 
servants. They may complain to the 
EDPS regarding an alleged breach 
of the provisions of the regulation 
governing the processing of personal 
data, even if the personal data in 
question concern someone else. 
Furthermore, complaints to the EDPS 
do not have to be made through 
official channels and no-one shall 
suffer prejudice on account of a 
complaint lodged with the EDPS 
alleging a breach of the provisions 
governing the processing of personal 
data.

The concept of maladministration 
includes failure to comply with EU 
law on data protection. However, 
the EDPS has particular expertise 
in the field of data protection and is 
the specialised authority with regard 
to the supervision of compliance by 
EU institutions with EU law on data 
protection. Complaints which concern 
only data protection should normally 
be addressed to the EDPS, rather than 
the Ombudsman. 

Lodging complaints   18

Further information

We hope you have found this guide helpful and  
that it will be a useful reference for you in your 
work. If you would like further information or wish 
to make suggestions as to how the guide could 
be improved in future editions, please contact the 
European Ombudsman.

19   The European Ombudsman’s guide to complaints

If you require a large print version of this 
publication, please contact the European 
Ombudsman’s office. We shall also endeavour  
to provide an audio version upon request.

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European Ombudsman
1 avenue du Président Robert Schuman 
CS 30403 
F - 67001 Strasbourg Cedex

T. +33 (0)3 88 17 23 13 
F. +33 (0)3 88 17 90 62 
eo@ombudsman.europa.eu

http://www.ombudsman.europa.eu