European Parliament legislative resolution of 15 February 2023 on the draft implementing provisions for the Statute of the European Ombudsman (N9-0065/2022 — C9-0338/2022 — 2022/0903(NLE))
Date: 2023-02-15
Institutions: Committee on Constitutional Affairs, Committee on Petitions, European Parliament
Subjects: European Ombudsman, European citizens' initiative, appeal to the European Ombudsman, operation of the Institutions, petition, rules of procedure




C_2023283EN.01014201.xml










11.8.2023   


EN


Official Journal of the European Union


C 283/142






P9_TA(2023)0045
Consultation on European Ombudsman Implementing Provisions
European Parliament legislative resolution of 15 February 2023 on the draft implementing provisions for the Statute of the European Ombudsman (N9-0065/2022 — C9-0338/2022 — 2022/0903(NLE))
(Consultation)
(2023/C 283/28)

The European Parliament,






—


having regard to the draft implementing provisions for the Statute of the European Ombudsman (N9-0065/2022),










—


having regard to Article 18 of Regulation (EU, Euratom) 2021/1163 of the European Parliament of 24 June 2021 laying down the regulations and general conditions governing the performance of the Ombudsman’s duties (Statute of the European Ombudsman) and repealing Decision 94/262/ECSC, EC, Euratom (1), pursuant to which the European Ombudsman consulted Parliament (C9-0338/2022),










—


having regard to Rule 82 of its Rules of Procedure,










—


having regard to the report of the Committee on Constitutional Affairs (A9-0010/2023),












1.


Approves the draft implementing provisions as amended;












2.


Calls on the Ombudsman to notify Parliament if she intends to depart from the text approved by Parliament;












3.


Asks the Ombudsman to consult Parliament again if she intends to substantially amend her draft;












4.


Instructs its President to forward its position to the European Ombudsman, the Council and the Commission.





Amendment 1


Draft implementing provisions


Article 2 — paragraph 3








Text proposed by the European Ombudsman




Amendment








2.3.
   
The Ombudsman shall treat a petition falling within the Ombudsman's duties as defined in Article 1(3) of the Statute, which is transferred by the European Parliament with the consent of the petitioner, as a complaint.







deleted







Amendment 2


Draft implementing provisions


Article 3 — paragraph 1








Text proposed by the European Ombudsman




Amendment






3.1.   The Ombudsman shall handle complaints in any official and working language of the institutions of the Union. The Ombudsman shall communicate with the complainant in 
that
 language, unless the complainant accepts to receive communications in another official and working language of the Union.




3.1.   The Ombudsman shall handle complaints in any official and working language of the institutions of the Union. The Ombudsman shall communicate with the complainant in 
the
 language 
of the complaint
, unless the complainant accepts to receive communications in another official and working language of the Union.






Amendment 3


Draft implementing provisions


Article 3 — paragraph 6








Text proposed by the European Ombudsman




Amendment






3.6.   If the Ombudsman considers it appropriate to do so, the Ombudsman may take steps to ensure that a complaint is dealt with as a matter of priority, taking into account strategic 
objectives
 or the particular nature of a complaint, including in areas such as whistleblowing and harassment.




3.6.   
In accordance with Article 2 of the Statute,
 if the Ombudsman considers it appropriate to do so, the Ombudsman may take steps to ensure that a complaint is dealt with as a matter of priority, taking into account 
the
 strategic 
work topics defined by the Ombudsman in the annual report
 or the particular nature of a complaint, including in areas such as whistleblowing and harassment..






Amendment 4


Draft implementing provisions


Article 3 — paragraph 7








Text proposed by the European Ombudsman




Amendment






3.7.   The Ombudsman shall deal with abusive communications and with complaints that amount to an abuse of process in accordance with guidelines adopted for 
this
 purpose.




3.7.   The Ombudsman shall deal with abusive communications and with complaints that amount to an abuse of process in accordance with guidelines adopted for 
that
 purpose. 
Those guidelines shall be published on the website of the Ombudsman.








Amendment 5


Draft implementing provisions


Article 4 — paragraph 3








Text proposed by the European Ombudsman




Amendment






4.3.   At the Ombudsman request, institutions shall provide the Ombudsman with information 
or
 documents for the purposes of an inquiry. The Ombudsman inquiry team may 
inspect documents
, either at the premises of the institution concerned or by electronic means. EU classified 
documents
 shall be provided at the premises of the institution concerned, unless otherwise agreed with the Ombudsman.




4.3.   At the Ombudsman request 
and subject to the conditions laid down in Article 5 of the Statute
, institutions shall provide the Ombudsman with information
, including in the form of
 documents, for the purposes of an inquiry. The Ombudsman inquiry team may 
examine the information
, either at the premises of the institution concerned or by electronic means. EU classified 
information
 shall be provided at the premises of the institution concerned, unless otherwise agreed with the Ombudsman.






Amendment 6


Draft implementing provisions


Article 4 — paragraph 4








Text proposed by the European Ombudsman




Amendment






4.4.   The institution's replies on the matters referred to in paragraphs 4.2 and 4.3 shall be made within the timeframe specified by the Ombudsman, which shall normally not exceed three months. The precise timeframe for providing a reply shall be reasonable, taking into account the complexity and urgency of the inquiry. If the Ombudsman considers that the inquiry is of public 
importance
, the timeframe for responding shall be as short as is reasonably possible. If the institution concerned is not in a position to provide a reply within the set timeframe, it shall make a reasoned request for an extension.




4.4.   The institution's replies on the matters referred to in paragraphs 4.2 and 4.3 shall be made within the timeframe specified by the Ombudsman, which shall normally not exceed three months. The precise timeframe for providing a reply shall be reasonable, taking into account the complexity and urgency of the inquiry. If the Ombudsman considers that the inquiry is of public 
interest
, the timeframe for responding shall be as short as is reasonably possible. If the institution concerned is not in a position to provide a reply within the set timeframe, it shall make a reasoned request for an extension.






Amendment 7


Draft implementing provisions


Article 4 — paragraph 10








Text proposed by the European Ombudsman




Amendment






4.10.   The Ombudsman shall retain possession of documents or information 
obtained from an institution or a Member State during an inquiry, and identified by that institution or Member State as confidential,
 only for so long as the inquiry is ongoing and the period of time for dealing with any request for review has not expired. Such documents or information 
will
 be destroyed after the inquiry is closed and the period of time for dealing with any request for review has expired. The Ombudsman may request an institution or Member State to retain such documents or information for a period of at least five years following a notification to them that the Ombudsman no longer retains the documents or information.




4.10.   The Ombudsman shall retain possession of documents or information 
referred to in Article 5(8) of the Statute
 only for so long as the inquiry is ongoing and the period of time for dealing with any request for review 
made pursuant to Article 9.3 of this Decision
 has not expired. Such documents or information 
shall
 be destroyed after the inquiry is closed and the period of time for dealing with any request for review has expired. The Ombudsman may request an institution or Member State to retain such documents or information for a period of at least five years following a notification to them that the Ombudsman no longer retains the documents or information.






Amendment 8


Draft implementing provisions


Article 5 — paragraph 1








Text proposed by the European Ombudsman




Amendment






5.1.   If the Ombudsman considers that a complaint can be resolved, the Ombudsman shall seek a solution with the institution concerned and the complainant.




5.1.   If the Ombudsman considers that a complaint can be resolved, the Ombudsman shall seek a solution with the institution concerned 
to eliminate the instance of maladministration and thereby resolve the complaint.








Amendment 9


Draft implementing provisions


Article 6 — paragraph 2








Text proposed by the European Ombudsman




Amendment






6.2.   Where the Ombudsman finds no maladministration, a solution has been found or no further inquiries are justified, the inquiry shall be closed with a decision setting out findings. In the decision closing the inquiry, the Ombudsman may 
make suggestions for improvement
 regarding issues identified in the course of the inquiry. The Ombudsman shall send the decision to the complainant and to the institution concerned.




6.2.   Where the Ombudsman finds no maladministration, a solution has been found or no further inquiries are justified, the inquiry shall be closed with a decision setting out findings. In the decision closing the inquiry, the Ombudsman may 
suggest improvements
 regarding issues identified in the course of the inquiry. The Ombudsman shall send the decision to the complainant and to the institution concerned.






Amendment 10


Draft implementing provisions


Article 7 — paragraph 2








Text proposed by the European Ombudsman




Amendment






7.2.   The Ombudsman may submit a Special Report to the European Parliament on any inquiry in which the Ombudsman finds maladministration and which the Ombudsman considers to be of public 
importance
.




7.2.   The Ombudsman may submit a Special Report to the European Parliament on any inquiry in which the Ombudsman finds maladministration and which the Ombudsman considers to be of 
particular
 public 
interest
.






Amendment 11


Draft implementing provisions


Article 8 — title








Text proposed by the European Ombudsman




Amendment





Own-initiative inquiries


Own-initiative inquiries 
and follow-up inquiries







Amendment 12


Draft implementing provisions


Article 8 — paragraph 1








Text proposed by the European Ombudsman




Amendment






8.1.   In accordance with the Ombudsman's duties as defined in Article 1(3) of the Statute, the Ombudsman shall conduct own-initiative inquiries for which the Ombudsman finds grounds.




8.1.   In accordance with the Ombudsman's duties as defined in Article 1(3) 
and in Article 3(3)
 of the Statute, the Ombudsman shall conduct own-initiative inquiries for which the Ombudsman finds grounds.






Amendment 13


Draft implementing provisions


Article 8 — paragraph 2








Text proposed by the European Ombudsman




Amendment






8.2.   
The procedures applicable to inquiries opened following a complaint shall apply, to the extent that they are relevant, to own initiative inquiries.






8.2.   
The Ombudsman may also contact the institutions in writing, in order to raise awareness, share observations or gather information on administrative practices. Within the limits of the Ombudsman’s duties as defined in Article 1(3) of the Statute and in accordance with Article 3(3) thereof, the Ombudsman may decide to conduct own-initiative inquiries also following such contacts with the institutions.








Amendment 14


Draft implementing provisions


Article 8 — paragraph 3








Text proposed by the European Ombudsman




Amendment






8.3.   
The Ombudsman may, outside the scope of inquiries, contact the institutions in writing, in order to raise awareness, share observations or gather information on administrative practices. Within the limits of the duties defined in Article 1(3) of the Statute, the Ombudsman may decide to conduct own-initiative inquiries also following such contacts with the institutions, in accordance with paragraphs 8.1 and 8.2.






8.3.   
The procedures applicable to inquiries opened following a complaint shall apply to own-initiative inquiries under paragraph 8.1 and 8.2 to the extent that they are relevant to those inquiries.








Amendment 15


Draft implementing provisions


Article 9 — paragraph 3








Text proposed by the European Ombudsman




Amendment






9.3.   The complainant shall be entitled to request a review of a decision taken pursuant to Articles 3.3 and 3.4 of this Decision, and of any finding in a decision closing an inquiry with the exception of a finding of maladministration. The detailed rules on how the Ombudsman deals with requests for review shall be set out in a decision of the Ombudsman.




9.3.   The complainant shall be entitled to request a review of a decision taken pursuant to Articles 3.3 and 3.4 of this Decision, and of any finding in a decision closing an inquiry with the exception of a finding of maladministration. The detailed rules on how the Ombudsman deals with requests for review shall be set out in a decision of the Ombudsman 
and published on the website of the Ombudsman
.






Amendment 16


Draft implementing provisions


Article 9 — paragraph 4








Text proposed by the European Ombudsman




Amendment






9.4.   When making a request for review pursuant to 
Article
 9.3 of this Decision, the complainant shall be entitled to request access to the Ombudsman’s file on the complaint, 
in accordance with the rules set out in the Statute, with the exception of documents declared confidential by an institution, a Member State or the Ombudsman, or any other confidential information in the file.
 Disclosure of information in the file to the complainant shall 
be subject to
 the conditions laid down in Article 5(8) of the Statute.




9.4.   When making a request for review pursuant to 
paragraph
 9.3 of this Decision, the complainant shall be entitled to request access to the Ombudsman’s file on the complaint. Disclosure of information in the file to the complainant shall 
comply with the rules laid down in the Statute and in particular,
 the conditions laid down in Article 5(8) of the Statute.






Amendment 17


Draft implementing provisions


Article 9 — paragraph 5








Text proposed by the European Ombudsman




Amendment






9.5.   To protect the legitimate interests of the complainant or of a third party, the Ombudsman may classify as confidential information in a complaint or in other documents, and inform the institution accordingly. In exceptional circumstances, such as in complaints that concern whistleblowing, the Ombudsman may decide not to communicate the identity of the complainant to the institution concerned.




9.5.   To protect the legitimate interests of the complainant or of a third party, the Ombudsman may classify as confidential information in a complaint or in other documents, and inform the institution accordingly. In exceptional circumstances, such as in complaints that concern whistleblowing, the Ombudsman may decide not to communicate the identity of the complainant to the institution concerned 
or to other external actors.








Amendment 18


Draft implementing provisions


Article 9 — paragraph 7 (new)








Text proposed by the European Ombudsman




Amendment





 





9.7.
   
In cases where the Ombudsman is asked to verify whether the measures adopted by the competent authority of the Union institution, body, office or agency concerned ensure the protection of alleged victims of harassment and restore a healthy and safe working environment, respecting the dignity of the persons concerned while an administrative inquiry is ongoing, the Ombudsman may consult external experts in the field for their assistance in the verification and for possible recommendations.








Amendment 19


Draft implementing provisions


Article 10








Text proposed by the European Ombudsman




Amendment





The Ombudsman shall ensure that institutions are kept informed of the Ombudsman’s inquiries and their outcomes and
, where appropriate,
 are given the possibility to submit comments and evidence as provided for in this Decision and in the Statute.


The Ombudsman shall ensure that institutions are kept informed of the Ombudsman’s inquiries and their outcomes and are given the possibility to submit comments and evidence as provided for in this Decision and in the Statute.





Amendment 20


Draft implementing provisions


Article 13








Text proposed by the European Ombudsman




Amendment





The Ombudsman may make public non-confidential information about the progress of an inquiry. In particular, in inquiries of public 
importance
, the Ombudsman may make public exchanges with the institutions or Member States, subject to the conditions laid down in Article 5(8) of the Statute.




Without prejudice to Article 6 and Article 9(1) of the Statute,
 the Ombudsman may make public non-confidential information about the progress of an inquiry. In particular, in inquiries of public 
interest
, the Ombudsman may make public exchanges with the institutions or Member States, subject to the conditions laid down in Article 5(8) of the Statute.






(1)  OJ L 253, 16.7.2021, p. 1.