Special Report No 15/2012: Management of conflict of interest in selected EU Agencies

7/31/2019 Special Report No 15/2012: Management of conflict of interest in selected EU Agencies

1/106

I S S N

1 8 3 1

- 0 8 3 4

EuropEaNCourt o audItorS

2 0 1 2

EN

S

p e c

i a l r e p o t

N o

1 5

MaNagEMENt o CoN lICt o

INtErESt IN SElECtEd Eu agENCIES


2/106


3/106

MaNagEMENt o CoN lICto INtErESt IN SElECtEd EuagENCIES

S eci re N 15 2012

( s n a ic e 287(4), sec n s b h, t Eu)

EuropEaN Court o audItorS


4/106

EuropEan court o auditors12, e al e de G e1615 L xemb gLuXEMBourG

tel. +352 4398-1x+352 4398-46410

E-m l:e - @e .e .ei e e :h ://e .e .e

s e l re n 15 2012

a e e i i n in m i n n he E e n uni n is i b e n he In e ne .I c n be ccesse h h he E se e (h ://e .e ).

C in c n be n he en his b ic i n.l emb : p b ic i ns o ce he E e n uni n, 2012

ISBN 978-92-9237-876-9i:10.2865/21104

E e n uni n, 2012re c i n is h ise i e he s ce is ckn w e e .

Printed in Luxembourg


5/106

S eci re N 15/2012 M n emen c nfic in e es in se ec e Eu a encies

3

CoNtENtS

P p

Glossary

IX EXEcutIvE summary

114 IntroductIon

15 BackGround

68 InhErEnt rIsks of conflIct of IntErEst

914 a rEfErEncE framEwork

1523 audIt scopE and approach

1519 audIt scopE

2023 audIt approach

2488 oBsErvatIons

2427 Eu rEGulatory framEwork

2837 BEforE workInG wIth thE aGEncIEs

2831 Candidates are not adequately sCreened

3234 eligibility Criteria or stakeholders' organisations in eMa are inCoMPlete

3537 outsourCed sCienti iC and/or oPerational aCtivi ties are not adequately Monitored

3880 workInG wIth thE aGEncIEs

3844 agenCy-sPeCi iC PoliCies and ProCedures are develoPed by eMa, eCha and e sa

45 but not by easa

4652 iMPleMentation o PoliCies and ProCedures in eCha has signi iCant shortCoMings

5360 assessMent and ManageMent o deClared interests are not always adequate

61 PoliCies and ProCedures on gi ts and invitations do not always exist and are inCoMPlete


6/106


4

6268 breaCh o trust PoliCies and ProCedures do not exist or there is a laCk o objeCtive assessMentCriteria

6976 transParenCy o interests deClared and sCienti iC deCision-Making ProCesses should beiMProved

7780 training on Con liCt o interest needs to be strengthened

8188 lEavInG thE aGEncIEs 'rEvolvInG doors' and 'InsIdEr InformatIon'

8999 conclusIons and rEcommEndatIons

annEX I structurE and GovErnancE of thE sElEctEd aGEncIEs

annEX II rEfErEncE framEwork on EthIcs and conflIct of IntErEst

annEX III ovErvIEw of thE aGEncy-spEcIfIc polIcIEs and procEdurEs applIcaBlEto staff, EXpErts, manaGEmEnt Board and Board of appEal

annEX Iv IndEpEndEncE and transparEncy rEquIrEmEnts statEd In thE sElEctEdaGEncIEs' foundInG rEGulatIons

annEX v manaGEmEnt of conflIct of IntErEst - comparIson BEtwEEn thE oEcdGuIdElInEs and thE Eu rEGulatory framEwork

annEX vI Ema EvaluatIon matrIX

annEX vII transparEncy of dEclaratIons of IntErEsts and dEcIsIon-makInGprocEss

rEplIEs of thE commIssIon and thE sElEctEd aGEncIEs


7/106


5

a edit tion tivitie (Easa) : a e e e e he e h gh wh h Easa ev l e hen l av a h e q l e e e , wh l e ll e e

e age y beh l h e h ll .

a vi ory Bo r (Easa) : the M geme B h ll e bl h a v y B , wh h h ll l m k g e e e e . the M geme B h ll be b by he

a v y B y w k ( ee a le 33(4) Easa B reg l ). i m e g e e ev e el, m e , mme l ge e l v e , m e e y,

g . i l, he a v y B m e 26 membe eq v le mbel e e membe .

ad : a l de l i e e

Bo d o a e l (Easa nd Echa) : the B a e l e ble e g e l l geg e he age y. the B a e l ch m w membe eq v

le mbe l e e membe .

ce ti i tion tivitie (Easa) : Easa e ll e l , l ee g e , m e e by e e he eg l y ve gh Eu Membe s e .

con li t o inte e t ( tu l) : a conflict between the public duty and private interests of a public official, inwhich the public official has private-capacity interests which could improperly influence the performance of their o icial duties and responsibilities 1.

c i i e e e: apparent l e e be ex whe e appears h bl l v e e e l m e ly l e e he e m e he ebut this is not inact the case2.

con li t o inte e t ( otenti l) : a potent ial l e whe e bl l h v e e e whe h h l e e w l e he l we e be me v lve elev ( .e. g) l e b l e he e3.

d I : de l e e

Easa : E e av s e y age y

Ec : E e c mm

Echa : E e chem l age y

Efsa : E e s e y age y

1 Managing Confict o Interest in the Public Service: OECD Guidelines and country experiences, oEcd, p , 2003, . 24.

2 see e 1.

3 see e 1.

gloSSary


8/106


6

Ema e i EmEa: E e Me e age y

na : n l a h y

oEcd : o g E m c - e devel me

(co) o teu : Membe he e b y e ( )le w k he ek (e.g. ev l me l , e v e e - ge e l m e

: g el e , lle , e ).

rEach regul tion : rEacH he E e u reg l hem l he e e (reg l(Ec) n 1907/2006 he E e p l me he c l 18 de embe 2006 e g he reg-

, Ev l , a h re chem l (rEacH), e bl h g E e chemage y, me g d e ve 1999/45/Ec e e l g c l reg l (EEc) n 793/93 c mmreg l (Ec) n 1488/94 well c l d e ve 76/769/EEc c mm d e ve 91/155/EEc,93/67/EEc, 93/105/Ec 2000/21/Ec (oJ L 396, 30.12.2006, . 1)). i e l w h he reg , Ev l ,a h re chem l b e . the m rEacH m ve he e hhe l h he e v me m he k h be e by hem l , wh le e h g he v

m e ve e he Eu hem l y.

rulem king tivitie (Easa) : r lem k g e e e he Eu leg l el e heeg l he v e y e v me l m b l y.

sdoI (Efsa) : the e e l e e l ke e bje m e e bje(e.g. b e / ) e mee g e m e be ve e e eve l mee

st ke olde con ult tive pl t o m (Efsa) : s keh l e c l ve pl m m e Eu-w eg w k g e el e he h v e Efsa ge e l m e el e

age y w k g mme, k e me me h l g e , e .

st nd di tion tivitie (Easa) : s v e e e he e e by Easa he l v h e e g h he Eu v e y leg l e ly,

e ly l e .


9/106


7

ExECutIvE SuMMary

i. th me ev l g he l e e-

e he m geme l e e - E e age e (he e e ele e

age e ) m k g v l e e g he e y he l h me , mely he E e av -

s e y age y (Easa), E e chem l age y(EcHa), E e s e y age y (E sa) heE e Me e age y (EMa). p l e e-

e m leme e e he c m le e el w k (o be 2011) h ve bee ev l e .

ii . the e e mbe e l e e

. f he e he c , hee v e he oEcd G el e M g-

g c l i e e he p bl se v e4 ethere are situations in which the private interests and affiliations of a public official create, or have the potential to create, conflict with the proper performa nce of his/her o icial duties .

iii.ce l e e k e embe e he

ele e age e e (e.g. he me g - b h m geme e e e ve -

l e e v e ) he e he e e h e -me by he y. ag h b kg

m h ele e age e h ve b y em m ge h gh he e k l e e .

iv. the e m ehe ve Eu eg l y mew k

e e l e e wh h w l e em ble m m m eq eme e e e e

e y l ble ll Eu age e ll key l ye h l e e egy, e e -m k g. i he b e e h eg l y

mew k, he oEcd G el e h e e , wh he e l be hm k e g g m-

ehe ve l e e l y, h ve bee -e e e e e e mew k h

4 Managing Confict o Interest in the Public Service: OECD Guidelines and country experiences, oEcd, p , 2003, . 28.


10/106


8

( ) e bl h g le bje ve e eme e l e e ly g hem

e ly;

( v) g g v l e e he e e age y (Easa, EcHa E sa);

(v) evel g le , e e b e h l e e e he e e age -

y;

(v ) m v g he e y he e l e e -e g he mee g he ex -e e -m k g e e ;

(v ) e g m ehe ve m l y g e e ;

(v ) he ele e age e w h ll heg b e v lve h l e he

-em l yme e ;

( ) he Eu leg l , bly l w hhe Eu i , e he evel-

g he Eu eg l y mew k e e m geme l e e , -

g he oEcd G el e ex g be -e e e e e;

(e) h gh h e l e ele eage e , ll Eu i e e l eb e m y w h ex m e whe he he e m-me h e e elev l -

ble hem.

v. the c l e h e he ele e age -

e eq ely m ge he l e e -. the h m g e e we e, h weve ,

v y g eg ee .

vi .o he ele e age e , EMa Efsa h ve

evel e he m v e l e e e e l g, e g m g g he l e e .

vii. th gh EcHa h evel e age y- e l y

e e m geme l e e ,he l y e e EcHa B

a e l h ve g h m g .

viii. the c h Easa h ve age y -

e l e e l y e e .Easa e b e he e l

e e , M geme B , B a e l ex e .

ix . the c wel me h ll he ele e age e e

ly evel g e h g he l e e e l e e e e eve ,

e e e he c .

x. the c e mme :

( ) Easa evel m ehe ve age y- e- l y e e m g g l

e e ;

(b) EcHa m leme ely l y e e B a e l Membe ;

( ) he ele e age e m ve he l e e l e e e by:

( ) ee g e e e be ehe me ;

( ) e bl h g e e l e e-e wh h w l e e h e e

e m ge m ble by l h e e m g e k(Easa EMa);


11/106

9


BackGround

1. c l e e lm y w k l e yme. i hey e h le e ly hey eg vely e he

e -m k g e , g ve e l e e lm ge. th m ev e whe bl b e e e e e le l h he b l y e e m lly

he be e e e y. the e e mbe e l e e . he e he c , he e

v e he oEcd G el e M g g c l i e e hep bl se v e5 (he e e oEcd G el e ) e :there are situa-tions in which the private interests and a iliations o a public o icial create,or have the potential to create, con lict with the proper per ormance o his/ her o icial duties . i h ex , he l e e be: l,

e e l6.

2. i e e ye mbe llege e e g l -e e v lv g e Eu age e h ve bee e e he e

h ve e e w h he E e p l me . i 2011 heE e p l me eq e e he c e ke m ehe -

ve ly he ge e h he m geme whe e he e e e l l e e 7.

3. the E e p l me h e v l h e 2010 - EMa E sa ly e wh e be -

y m geme l e e8.

4. the c e e g e e (Eas a, EcHa , E sa EMa he e e he ele e age e ) h h ve he h ghe ex e

m l y k e he g e -m k g we e v l m e he he l h e y me . de -

ke by he ele e age e e lly e eve y Eu ze :

( ) Easa h m evel h gh m level v lv e y E e. i v ew h ev g he e bje ve ,

Easa e e e , ke eeg g he w h e e v me l e , -

e he Membe s e e e mme he c mm e h g

v l v e y;

5 Managing Confict o Interest in the Public Service:OECD Guidelines and country experiences, oEcd, p , 2003,

. 28.

6 Managing Confict o interest in the Public Service:OECD Guidelines and country experiences, . 24.

7 re l heE e p l me 10 M y 2011 he 2009

h ge: e m e,l m geme

l Eu ge e (oJL 250, 27.9.2011, . 269).

8 h ://www.e l.e .e / e /ge d .

? bre =-//Ep// tEXt+ta+p7-ta-2012-0173+0+doc+XML+V0// En&l g ge=En#BKMd-70h ://www.e l.

e .e / e /ge d .? bre =-//Ep// tEXt+ta+p7-ta-2012-0175+0+doc+XML+V0// En&l g ge=En#BKMd-77

INtroduCtIoN


12/106


10

(b) EcHa h m eg l y le m leme g he Euhem l leg l he be e h m he l h he e v -

me well v m e ve e . EcHa helm e m ly w h he leg l , v e he e e

hem l , v e m hem l , e m he l bel-l g l e e hem l h gh e ;

( ) E sa h v e e e e m eee y, h b g h gh level e h m m l he l h. E sa e e g e e ,

e e , ge e lly m e g m , e . m e -m k- e me me h l g e ee ;

( ) EMa e ble he e ev l e v me e evel e by h m e l m e e heE e u . i , EMa g ve e v e -

e m e he evel me ew me e bl he g el e q l y, e y e y eq eme .

i e e he h b E e me e e w k m-g ve 40 l m e e h e ;

(e) i mm y, he ele e age e e e m e he l e g -, hem l , g e e me e he Eu. An ne x I

v e ve v ew e h ele e age y bje ve k .

5. cle ly ll he age e Eu i he e e l eb e (e.g. J u e k g e .) be ex e he k -

l e e h gh he l e mme h e el e he ele e age e ly, he age e Eu

i m y w h e hey e elev hem.


13/106

11


InhErEnt rIsks of conflIct of IntErEst

6. i v ew he m e he e ke by ele e age e ,he k eq e e m geme l e e

e he g e e hem. s me l e e el g , e e e e e ev ble e e ly m ly m e . th e he e

h ghly e l e / q e g whe e ex e e l m ely y m e e he me ex e .

7. the e he e he ele e age e (e.g. g ve -e, e w h h e , me , l e , e .) eq e

l e e w h l h e y. th h wevee l he e l e e k :

Management Board: i Easa, EcHa EMa, he M gemeB m e m ly e e e ve he l -

h e Membe s e . a he me me, Easa EMa -e he v e elev l h e

ke he e e g l h e ( eeBox 1 ). iE sa, he Membe he M geme B e ele e b e

he ex e e e e b kg . H weve , e-ee he g eg l E sa, he 15 E sa

M geme B Membe h ve b kg ( l g -e v lveme ) g e e e g me

he e e he y. he m e, he m l y E sa w k e -m k g m gh be je e e h ee

he e g e e e e he M geme B el e e e e he s keh l e c l ve pl m9;

Involvement o external experts (herea ter experts):i y g he e v e , EcHa, E sa EMa w k w h ex e ,

wh h ve ex e ve b kg he el m y h ve e e e he y ( h em l yme , e e h

g, e .). ex m le, me 3 800 ex e e v lve EMa v e 1 200 ex e E sa v e . i

he e h ee age e , he ex e e membe he s ec mm ee p el e ly v lve g e -

wh h e v l e e g he he l h e y me (e.g. e eg g me e , ,

hem l ). i Easa, he ex e e m ly v lve lem k gv e , e he Membe s e

le e ex e e k ;

9 s keh l e c l vepl m m e Eu-w e gw k g e el e

he h v eE sa ge e l m e

el e he age y' w k g mme, k e me

me h l g e , e .


14/106

12


Partnership with stakeholders:G ve he e e v yle , he ele e age e w k l ely w h y me

e e e ve (e.g. m e , e , b , e .). ex m le, m k h m e -

e e e by he ele e age e l e hee e h e e by y.

8. ag h b kg m h he ele e age e eble m ge h he e k l e e .

BoX 1

EXamplEs of conflIct of IntErEst rIsk s InhErEnt to thE structurE of thEaGEncy

i EMa, he M geme B , m e m ly m e e e ve n l a h e (na ), ehe em e e e v e v e he age y by na . the c s e a l re10

h e he ee e y em b e na l . s h y em h bee e e EMa M geme B eje e he m e e l11 .

a e e e e e he e k q l e e e12 w g g Easa he me he . H he eleg e e k ly he e e na he b

l e w h y e e g e e . the h ge by Easa e e he gk e l e mew k . he me k , he l e e e e m g he

hey e b e l .

a g he leg l mew k Easa, he na e e by he age y he ex e e e , wh le he e e e e e e e he level he M geme B

10 p g h 16 he re he l he E e Me e age y he l ye 2010, ge he w h heage y e ly (oJ c 366, 15.12.2011, . 27).

11 re ly g h 16 he re he l he E e Me e age y he l ye 2010, ge hew h he age y e ly.

12 a q l e e y e e b y wh h m y be ll e e e k by, e he l hee b l y , he age y l v h y. a le 3( ) reg l (Ec) n 216/2008 he E e p l me

he c l 20 eb y 2008 mm le he el v l v e bl h g E e av s e y age y

e e l g c l d e ve 91/670/EEc, reg l (Ec) n 1592/2002 d e ve 2004/36/Ec (Easa g reg l ) (oJ L 79,19.3.2008, . 1).


15/106

13


13 i h ex , he e m l h b eme g, e m g

e m e f heeg e Eu e v ,h em y f,

x l y f f.

14 ex m le,

a m ve n e n 85-2004/29.6.2004 c mmde c(2004) 1597/10

e v e g me .

15 oEcd, p , 2010.

a rEfErEncE framEwork

9. e e ve m geme he l e e , he e-le e age e ee h ve eq e e e e e mew k.

10. the eg l y mew k elev Eu e e l eb e (he e e Eu eg l y mew k) he s reg l -

o l he c Em l yme o he se v he E e c mm e (he e e s reg l ), he Ec

e g el e m geme l e e . a m ee le l he e e e e mew k e l g w h l e e

e e e An ne x II .

11. s reg l mbe ve y ge e l eq eme el -g he e h l le wh h h l be b e ve by bl -

l13: e e e e, eg y, bje v y, m l y l y l y. thec mm h e e 14 g el e he l

m leme .

12. the c mm i e l c l s n 2 E h l o g - V l e eq e h ve l e e e e e h ll

w e he elev e h l g l v l e , le h l , v e l e e , eve

e g eg l e .

13. i he b ve, h ee he ele e age e h ve evel-e he w age y- e l e e l e e-

e ( mm y he age e l e e e e e e An ne x II I ).

14. a he bl e l ge e e he e e ge e lly -e e oEcd G el e . i , oEcd h l bl he e

g el e eg g -em l yme e : p p bl Em l yme -G p e p eve g c l i e e 15.


16/106

14


audIt scopE

15. the ev l e l e e e he m geme l e e ele e age e m k g v l

e e g he e y he l h me , mely:

Easa v e e y e e v l v wh h eq e h h ve h gh e h l k wle ge wh h y lly g e

by w k g he y he na. the e k h ge y w h h b kg v lve k g e h

be e he me ( / bly e) em l ye ;

EcHa m ge he rEacH eg l wh h m e g h ghlevel e h m he l h he e v me . i -v e e e h l v e hem l wh h h ve

m j l m m e e g he e ;

E sa v e m k el e e y. i v ee e h l v e wh h h ve m j

l m m e e g he e ;

EMa l y g le he h m e e me l he Eu. i h ely l e

by g m e h h ve ve e e e he e e .

16. the e key l ye l g g w k g w hhe ele e age e wh h ve m le he e e-

-m k g e e l v e :

Membe he M geme B ;

Membe s e v y p el , mm ee , m he ex e ;

age e , l d e key e e -m k g e el;

Membe B a e l (Easa, EcHa);

s keh l e g .

audIt SCopE aNd approaCH


17/106

15


17. the ve l e e h l e eme e me e e . the e e e e bje

he l he c .

18. the c e e l e e he h w l v lve e ve ex m he m e

h e well b y j geme . the c -e he v l y he me h wh h ele e age e e ehe e l e e h e by y.

19. i h l be e h ll he ele e age e e lyevel g e h g he l e e e l e e

e e eve , e e e he c . p l e e e m leme e e he c m le e el w k

(o be 2011) h ve bee ev l e .

audIt approach

20. the me we he ll w g m q e :

d he ele e age e eq ely m ge l e e?

w e q e :

a e he e eq e l e e e l e m gel e e ?

H ve ele e age e eq ely m leme e he l e e e m geme l e e ?


18/106

16


21. the age y- e l e e e e he ex he e leg l ve eq eme l ble e h hem well

he m leme we e e e g he eg l y mew k ( ee An ne x II ) elev Eu e e l e b e , hem e m ehe ve oEcd G el e be e e e

he ele e age e . i he b e e m ehe ve Eu eg -l y mew k, he oEcd G el e h ve bee e e

e e e e mew k h e hey e e lbe hm k e g g m ehe ve l e e l y.oEcd G el e we e e ll e ( e ly) ve eby he Eu eg l y mew k. the oEcd G el e e e e g ve me bl l ge, m g hel hem

e g m leme e e l e e l y.

22. the w k e l e he ll w g:

a ly he ele e age e eg l y mew k;

Mee g w h he ele e age e m geme , age e v b (M geme B , a v y B , B

a e l);

a ly q e e m le e by he ele e age e ;

de k ev ew ele e age e l e , e e , e lg el e , e l e e , m e he s e p -el /c mm ee mee g , e l le , e .;

Ex m h w ele e age e l e he l e e e he e e (e.g. , ex e , Membe

he M geme B ), l g mbe bl he ee g l e e ( - g ve me l g ,

E e omb m , me , e .).

23. the c e e b e v h l g l b .e. he l -e e e e ly e he key l ye hey ly he

ge l me (e.g. h he me ex e he s e c mm ee), wh le hey e he age y ( l g

g he e e g e .) whe hey le ve ( l gbl g whe k g ew h m gh e l l

e e ).


19/106

17


Eu rEGulatory framEwork

24. the ele e age e e b by he s reg l ( eeBox 2 ).

25. H weve , he e e e e eq eme e he s reg l he c mm g el e e e ly . o he key l ye -

v lve e -m k g e e h Membe M gemeB ex e e ve e by hem.

26. p v age e e e e e e y eq eme be e h ele e age y g reg l , b he

ex e eq eme v e e bly be wee he ele e age -e ( ee An ne x IV ). the e v e e he eq eme ll

bl h l e e l e e , m ke blhe ge he m e he mee g he e b e

v b (e.g. M geme B , B a e l), b-l h he e l he e e , e . a h w An ne x IV , heleg l eq eme e e e e e y e e E sa EMa, le ge EcHa (e.g. bl g bl h

he e l e e ) he le e ve Easa (e.g. bl g ll e l e e ).

oBSErvatIoNS

BoX 2

staff rEGulatIons provIsIons rE GardInG conflIct of IntEr Est:

l m y y e l e e h m gh m h /he e e e e16;

m g g me e m be ke17;

l h ll eek v l e g g g e v e e l e g l em l yme 18;

l e be b by he e eg y e e le v g e ege e e me be e m y y em l yme e e e w e le v g he e v e19.

16 a le 11 he s f reg l .


18 a le 12b a le 13 he s f reg l .



20/106

18


27. He e he e m ehe ve Eu eg l y mew k e e l e e wh h w l e e m ble m m m eq e-

me e e e e e y l ble ll Eu age e ll key l ye h l e e egy, e e -

m k g. Ann ex V v e m be wee he Eu eg l ymew k (ex e age e g reg l age y-

e l e e e ) he oEcd G el e .

BEforE workInG wIth thE aGEncIEs

candIdatEs arE not adE quatEly scrEEnEd

28. i ge e l, he m me e e Easa, EcHa20 EMa l e eq e ee g he e ( .e. ex-

e , Membe he M geme B he B a e l) el l e e . H weve , he membe

M geme B mbe ex e (EcHa EMa) e m -e e by Membe s e , l b e Eu i

( .e. c mm , c l, e .) he ele e age e h ve l m e l e e ve he me .

29. E sa me le ex e e ee he ee g e e l e e . H weve , he ee g b e le ly

e e e e l e e .

30. i m e , he e e ly e he e me h l e e e e . he m e, ele e age e h ve

we e l e Membe he M geme B ex e e whe e he e e e e e m ble w h he le

he age y ( eeBox 3 ).

20 EcHa l y e se embe 2011

(MB/45/2011/d) e eq eme h

e m e her k a e me c mm ee(rac) he c mm ee

s -E m ly(sEac) h ve m le e

e l e ebe e he me by

he M geme B .

BoX 3

EXamplE of a lack of scrE EnInG of candIdatEs

a membe he s e c mm ee w e by he c mm he e l e e ev l e by EMa ly e h21 me . Wh l he ev l h we l g e e wh h h lh ve e l e h me , EMa l m h m.

21 he ke ve e e, he m l e m em l ye h e e g e e e he ge e .


21/106

19


22 Managing Confict o Interest in the Public Service:OECD Guidelines and country experiences, . 34.

31. oEcd G el e e mme ee g e e elee e e y e l w h l e e

e ly ge22.

ElIGIBIlIty crItErIa for stakEholdErs orGanIsatIons In EmaarE IncomplEtE

32. the ele e age e ge e lly h ve eq e geme e g g-g w h keh l e g e e e he w k. i e be e e e e v he ele e age e b e , he eg m mee e el g b l y e .

33. H weve , he e e lw y e le be me . the e y e EMa eq e h he e -

g e me g e l e lly. the e e, h weve , m m m e ble g

e h e lly ll w g e me glly e by e h m e l m y e EMa

v e .

34. i , EMa h ve y el g b l y e he l h e -e l g wh h be v lve EMa v e he

me m e ex m le e me g .

outsourcEd scIEntIfIc and/or opEratIonal actIvItIEs arE notadEquatEly monI torEd

35. M geme l e e ve y m whe he v e he ele e age e e e , e he e v e e

e he ele e age e e l. Easa EMa eg he e / e l v e na .


22/106

20


36. Easa e mew k w h na , wh h h ve e e hhe e l e e he level he e k . Easa

h , h weve , le e me h l gy ve y na l e e l e e e he m leme . the e ev e e h Easa e h ve .

37. EMa l e e l e e e ve lex e w k g he k e he na . EMa e e -

m y ve he l e e l e e e he na .

workInG wIth thE aGEncIEs

aGEncy-spEcIfIc polIcIEs and procEdurEs arE dEvElopEd ByEma, Echa and Efsa

38. o he ele e age e , EMa E sa h ve evel e he m -v e mew k e l g, e g m g g l

e e e l g e lly w h y- el e k .

39. a key le he m geme l e e l e w h he e l - e e whe e v l l e he e l m e

e e l e e e e by ele e age e l e e e .

40. c l e e l e e e EcHa, EMa E sa e-q e e l e e (m ly lly) m , Membe

he M geme B , B a e l, e b , el m .

41. EcHa evel e l e e l y e w e .a ew p l y M g g p e l c l i e e w eby EcHa M geme B 30 se embe 2011. the l y l -

ble he e e age y ll v e23. i e m em ehe ve m he e l e e well he eq e-

me m le e hem lly.

23 EcHa ew l y w m leme e he me he , he e e hem leme ev

l y e e hbee e e by he c .


23/106

21


42. EMa h evel e mbe le e l e wh m e le l e e . he ev l

ex e , EMa E sa h ve e e e e , h : -l e e , em l yme , membe e b y, l y,

e e h g, elle l e y gh , l e m ly membe , g v , e . wh h l g ve e l e e . de e -

g he y e v e whe he hey e -g g e me he (l ve ye ), he l e e e e ee e -

h l g e e e h e he e -m k g e . EMa h evel e le m x whe e

he e e e l e e l ke w h e e ve me ( ee An ne x VI ).

43. i E sa y em l e l e e , he age -y l e l l ye he ex e , wh e eq e

:

m ke e e l e e be e e h mee g hes e c mm ee, p el W k g G ,

e l e lly g he mee g y e ee e e e -g ge em .

44. s e l e w e e l e e h bee e by E sae M y 2008 e e e he e b l y he e mee . EMa h l evel e e l / b e

m g g he e ev l g he e l e e . EcHah h w e m geme e me he

e l e e .

But not By Easa

45. Easa, ex e a v l s de me , e h ve age y- e l e e l y e e .

de l e e e b e e e by Easa eg -l b .


24/106

22


ImplEmEntatIon of polIcIEs and procEdurEs In Echa hassIGnIfIcant shortcomInGs

Echa doEs not rEvIEw IntErEsts dEclarEd BEforE tasks arE assIGnEd to staff

46. u e EcHa ev l y e e , membe we ebl ge m le e e l he me he me24 .

the l e l h be e whe h ge e .

47. the e l membe ex m e by he c we e ke e le e vel e e l le h bee ev ewe -e e by EcHa l e e . EcHa lly el e he bl g e ly m e hey we e w e y

l e e , w h g y ev ly bm e e l -. a ex m he e le e l e e eve le e

h h l h ve bee e e by m geme h w Box 4 .

polIcIEs and procEdurEs to assEss and manaGE conflIct of IntErEstsItuatIons at Echas Board of appEal arE not adEquatE

48. the B a e l e l w h e l m y l leg l ee e by e ke by h age y. i ch w

he e m e membe , wh e EcHa , well l l e e membe wh e EcHa . i e e e

b y w h EcHa h w e .

24 EcHa ew l y w m leme e he me

he , he e em leme ev

l y e e hbee e e by he c . see

l g h 41.

BoX 4

EXamplEs of sEalEd dEclaratIons of IntErEst not assEssEd By Echa

o e e membe e l e he e me e he m e w h l ge mb l EcHa.

o e e membe e l e em l yme l ge m y w h m y l ew h h .

o e j membe e l e w k je e by e m y well h eem l yme h m y w h l ge mbe e g eq e EcHa.


25/106

23


49. pe m e B a e l Membe e bl ge m le e le l e e . al e e l B a e l Mem-

be e bl ge m le e l e l e e bme e l e e be e be g g e e.

50. the e b l y ev ew g he e l e e h -l g l e e e e w h he se e he ch . the e h weve m l e e me he k e he me whe he B a e l w k g

l e he e ll el e he e l me m e B a e l Membe .

51. the c h he B a e l e e em m ke me e whe he l e -

e ex . i m ly v l ble e e he el-l m y, b ll he m e wh h h ve e e e

he e e l (e.g. ( ) eg m y he hem lb e).

52. the e l e e he B a e l Membe l e he e l ll b e e he e membe w ke

w h be e j g EcHa ( eeBox 5 ).

BoX 5

EXamplE of InadEquatE manaGEmEnt of conflIct of IntE rEst sItuatIons InEchas Board of appEal

tw Membe he B a e l e l e w e h / w k he rEacH eg l e25. H weve ,l e e e eve hem m be g g e e w h e e hem.

25 E.g. hel w h eg hem l b e , ge e l l y he rEacH reg l .


26/106

24


assEssmEnt and manaGEmEnt of dEclarEd IntErEsts arE notalways a dEquatE

53. a g he oEcd G el e , g h l v e lee wh m e el h le -l e e 26. the e l g he e e l e w hhe v l. the g m ve e h l m ly

e e h he m l e e ly e e ke- - e. cle e l me e h l be e he l e

e e e l g w h l e e , ex m le,l q he e e , e e e l m ,

e he l - l g , e g mhe l g v e y , e .

InadEquatE documEntatIon of manaGEmEnt Board mEmBErs conflIct ofIntErEst assEssmEnt

54. i ll he ele e age e , he ev ew e l e e M geme B Membe he e ke h e e e

eq ely me e .

InformatIon avaIlaBlE Is not always usEd

55. the ele e age e lw y m ke e m v eby he e e e e ly v l ble he e age e (cV ,

ev e l e e , m me , e .) he k he e l e e . the eve le mbe e , whe e he k h m w l h ve eve le blem ( eeBox 6 ).

26 Managing Confict o Interest in the Public Service:OECD Guidelines and country experiences, . 28 30.


27/106

25


lack of clEar assEssmEnt crItErIa and InconsIstEnt applIcatIon

56. i EcHa, l h gh he l y27 eq e he e l ll e ee lly g l , e e lly e l w h he -

g m e l e e , em l yme , l y m l v e . u l ke EMa E sa, he e e

m ble w h he v l le EcHa e e e , e he m g g me e he m mm k e . the -

e me he l e e he e e e e he j geme he e ble v l.

27 p l y M g gp e l c i e e(MB/45/2011/d), e by

he M geme B 30 se embe 2011.

BoX 6

EXamplEs of n ot usInG thE InformatIon avaIlaBlE for assEss mEnt of thEdEclaratIons of IntErEst

i EMa E sa, l e e l e e e ex e h le e e w h hee l e e . the age e lw y eek l m he ex e .

i EcHa, e em l yee e l e ll em l yme he l ve ye eq e by he la m le he k e l e e g he cV he em l yee w l h ve eve le h .

a Membe EMa s e c mm ee w by EMa be l e e , e v e e e . EMa l e h h ex e be Membe he s e c mm ee. de

he ex e e e he mee g he s e c mm ee h bee ehe Ec ew e m h ee ye . the e e l e e h ex e l ge mehe e e el e he g e e . th w e w h he ev e me

w h he bl he cV.


28/106


26

BoX 7

EXamplEs of quEstIonaBlE assE ssmEnt of conflIct of IntErE st In Efsa duE tolack of clarIty

c i i g e e ie i i ex e : e e ie e e e e

i E sa, he m j y he membe e e b y h age y h ve bee v e e( h gh ev bl , w k h ex e g , e .) wh h h bee bje

ly by he me e b y.

i he e, w E sa ex e we e m l e ly v g l y/ v e v e g, wh le hey we e ev ew g he me e membe he E sa e b y.

i b h e , E sa l e h he e w l e e .

I i e e e i i e e

i E sa, he l e e g m membe h - , w l w e g ely by he g - l me y y ex e vely v lve E sa v e h bee e e e ehe Membe he M geme B he ex e .

i he e E sa M geme B , w membe g ve he h g ll wme m l e e .

the e e, h weve , x ex e w h l k h g (e.g. Membe B t ee , Membes e c mm ee ).

57. a e me e he ev l l e e E sae ex e l k l y wh h le q e blee me , em e Box 7 .


29/106

27


58. i he c v ew, he ele e age e , EMa h he le ee e me e ex e . Ann ex VI ll e g -

e l e EMa he ev l he m y l ex e l k g hem le me e m e (

y) l e he ex e v e EMa. H weve , he c e wh h he e e we e eq ely l e ( eeBox 8 ).

59. the oEcd G el e e mme h y l e e l yke he l k he e eg e

v l . they eq e h g e y elev l e e m leme me e m g e he el e

k28 .


BoX 8

EXamplEs of InadEquatE rIsk assEssmEnt for E mas scIEntIfIc commIttEEmEmBErs

tw ex e we e w g ly g e by EMa he l we k level l h gh hey we e em l ye he byh m e l m e wh e v e h l h ve le h ghe k level e EMa l y

e e . the e e e h l h ve e e he he mm ee v e . theh ve bee e by EMa l e ly whe ew l e we e be g lle .

o e ex e w l h m e l m e l a g 2007. u e he ew l el y, h ev l h l h ve le e m y level e e

v lveme (e.g. q l y l mbe me l ). H weve , EMa eq ehe m m he ex e he e l w w gly e e eq g e


30/106

28


BoX 9

EXamplEs of InconsIstEnt and IncomplEtE polIcIEs

Ema

s membe e ll we h ve l e e e w e h b m ly membe m ye eg y (e.g. s e se e y he s e c mm ee), m ly e e le

e he em l yee v lveme he el e v e . d e e e (e.g. ee e ) h eh l membe e ke e e m g he e ble level

he age y v e he ex e eve he e he membe he s e c mm g h eh l g h m e l m y.

i he e em l yme he h m e l m e , he e m e ex e s e c mm ee Membe ) e le h h e m e he me m e

h gh he ex e l y m e v l le he e e he age y.

EMa he k l e e be e he me e m le e /membe he lke g h me e h m e je m ge l m ke g hve e y me e . H weve , he e eq v le e e Membe s e c mm ee w

hey e be g e ( ) e .

the e m e ex e whe hey he g e e ve g m he h m ey e eq e. ex m le, e be e y he g m m y w l be eve

m be g ( ) e he me e m h m y.

Efsa

E sa eq e h he e e hel by he m ly membe el ve bel g g he me h eh l e he e he membe he h eh l h ve be l e he e l e e29. c y

EMa, l y e l y wh h e e he l e m ly membe e ll we he e be l e .

29 im leme g a he p l y de l i e e G e me de l i e e (8 de embe 2009), e l 21 eb y 2012.

60. H weve , me e , ele e age e l e e e - g le e be wee he level l e e ve

k l e e he level e m e me e ke m g e he k ( eeBox 9 ).


31/106

29


polIcIEs and procEdurEs on GIfts and InvItatIons do notalways EXIst an d arE IncomplE tE

61. EcHa EMa h ve e g e g v . EcHa,he l e e e e ly l ble , b Mem-

be c mm ee , m M geme B . E sa h l y v ly, Easa e h ve age y- e l y g v , b e e c mm g -

e g v . u e oEcd G el e , l e el e h l ve h e g m ll m g30 .

BrEach of trust polIcIEs and procEdurEs do not EXIst orthErE Is a lack of oBjEctIvE assEssmEnt crItErIa

62. B e h l e e e e e he m e whe v l l , e lly h gh egl ge e, l l h b -

l g e l g m le e mely m e he e ewh h m y m h e e e e. p l e e e h l

le ly e e he eq e e e l g he e e he be l e .

63. the s reg l l e h he h ll ke y -e me e l le , e m e h e , e l

w h l e e m e . H weve , hey e eme e be ke l e l b e h

he bl g e l e l e e .

64. the ele e age e h ve b e h l e e-e e l e lly w h e whe e membe l e l e

ll he elev e e (e.g. m ly, l e e , e .). i ,EMa Easa h ve b e h l e e e

he M geme B membe , ex e B a e l membe( l ble Easa ly).

65. EcHa e ew ge e l b e h v , ex-e , membe he M geme B B a e l heew p l y M g g p e l c l i e e e

30 se embe 201131 .


31 p l y M g gp e l c i e e(MB/45/2011/d), e by

he M geme B

30 se embe 2011.


32/106

30


66. E sa h b e h v ex e p el /s e c m-m ee l y e l e e32 . the l e l l

mely m le e m e he bl g e l g he e ew ll be e e m e b e h 33 w he age y

e l g e , eve m l. the l y e -l e eq v le he Membe he M geme B ,he ex e he w k g g he age y w .

67. i w e , E sa e b e h e e wh h le hee g he e e ve ex e m he s e p el . i he e

e , E sa ev ewe he e wh h ex e b e . th ev ew me e g he ex e l e e b

he l e / e e e m e y b e h l e e . the e e l e, h weve , le

bje ve e l y g w wh h m e w l le , l g he m l Membe p el/s e

c mm ee.

68. the oEcd G el e e w e v e y eq e e : l y m l e l g w h ell e e- . n - l e l e e ge e lly

e e e b e h, wh h e l l y eve m l e l e eve l e34 .

transparEncy of IntErEsts dEclarEd and scIEntIfIc dEcIsIon-makInG procEssEs should BE ImprovEd

69. the eq eme e y he e -m k g e he h l g l e e e he ele e age e

g eg l well he age y- e (ex e Easa)l e e e m g g l e e . d e e leg l

eq eme e ex m g he ele e age e e e e y wh h e mm e An ne xes IV VI I .

70. the oEcd G el e e e e y e he e -le whe e l g w h l e e 35. i l e he l v e e e , well geme e lv g

l , h l be le l y e e , e ble he g em-e h e l h bee ely e e

m ge .

32 E sa im leme g a he p l y de l i e e G e

d me de l i e e (8 de embe 2009),

e l 21 eb y 2012.

33 i em.


35 Managing Confict o Interest in the Public Service:OECD Guidelines and country experiences, . 16, 26 31.


33/106

31


transparEncy of annual dEclaratIons of IntErEsts

71. Easa e b y e l e e . the he h eeele e age e m ke bl he l e l e e

exe ve (Exe ve d e ), e ex e (Membe hes e c mm ee , p el , W k g G ) M geme BMembe .

transparEncy of spEcIfIc dEclaratIons of IntErEsts

72. all ele e age e bl h he m e he M geme Bmee g he web e . E sa eve b he e g

he M geme B mee g . H weve , he m e - y m el e he e me l e e .

73. E sa EcHa l bl h he m e he mee g he s ep el c mm ee he web e. the sd i v e by E -sa l y ( ee g h 43) e m e bl , b b e l

he e me l e e e l e he m e he mee g , wh h e bl he E sa web e. they l e he

l e e e e he me e l e (e.g. b e vew h v g gh , ex l m he e g e-

, ex l m he v e he el/w k g g , e .).Easa bl he he m e he l ve b e mee g -

e g lem k g v e . H weve , m e he mee g wh hw l l e e me l e e he age y

ex e v lve lem k g, ev e e bl he . EMa e m ke bl he m e

he mee g he e b e wh h w l he e -me l e e .

transparEncy In thE scIEntIfIc dEcIsIon-makInG procEss

74. the e e e e eg ee e y he ele e age e eg he e e -m k g e . s me he e e -

e e e l m he e el m e e y e h ele eage y, he level e l y eq e he e l le

eg l .


34/106

32


75. E sa g eg l he e l le he e he s e c mm ee, p el w k g g ll w b e ve

be v e he ex e mee g . H weve , he ge he E saw k g g e bl he v e. i , he w k gg e bl he . th l k bl y m he -

b l y b e ve ll w he mee g .

76. seve l h m g h ve bee e e he bl he m e he ex e mee g (EcHa, E sa), wh h m he e y he v e :

bl he m e lw y e l he geem b e e e by he e l e e e ;

l m e l e he m he hel e he me mee g .

traInInG on conflIct of IntErEst nEEds to BE strEnGthEnEd

77. EcHa h w y e g h e l w h he m geme -l e e :

he E h w k g ve ge e l mb bl g e e l e e , eg y,he l y g he e el e he e .

th g v l y ll e e w l m e ;

he g s e l g e m e e-le m e e e l e e , he l y

g he e he l e e l e e e . th g m l y b he c w ble

e level e e.

78. EMa E sa g e g e l e e ew-me ( ) h he e em g e e e be e l e l e e .


35/106

33


79. Easa ly v e g e h el e v he s reg l ew me ( ) b l e e e e.

80. the oEcd G el e m ke ex l e e e e g me be e v e l ex m le e e e be ke

e y g e lv g l e e 36.

lEavInG thE aGEncI Es rEvolvInG do ors andInsIdEr InformatIon

81. Whe l ex e le ve bl e v e w k he v ee , he e k h hey b e he by k g v ge

e m q e he e he bl e be e he v e m y hey j . i e ly m ge , he e

k e m e bl g . the m veme key e -el be wee he bl v e e k w he ev lv g he me .

82. obl g he l he e v he Eu e le v ghe e v e e l w he s reg l .O icials intending to

engage in an occupational activity, whether gain ul or not, within two yearso leaving the service shall in orm their institution thereo 37. i l

m e , e ee a le 16 s reg l , he Eu - age y m y eve b h e g geme . i he e b l-

y v l v e l e - em l yme m .a g oEcd G el e , h e b l y h l be le ly

mm e he v l e e he em l ymegeme 38 .


37 a le 16 he s f reg l o l heE e c mm e a le 11, 54 81 hec em l yme

he e v heE e c mm e .



36/106

34


83. he m e, he oEcd bl he e g el e el e -em l yme e , eme e be hm k39 . a g he eg el e , m j -em l yme l e e e whe he

bl l :

eek e em l yme e he bl e v e;

e v lve l bby g bl ;

w h e he me e ;

e e m .

84. the oEcd G el e em h e he h eg eem l yme by bl l le v g he e w ely

eg e l e e 40.

85. the ex e , he Membe he M geme B ex e l Mem-be he B a e l e b by he s reg l ,

he -em l yme v e l ble hem he ee leg l l m e eme h -em l yme bl g -

hem. the ele e age e l e e e m geme l e e e ee y bl g

e eg g he -em l yme .

86. p v -em l yme e l e he m leme g le s reg l e v e , e by he ele e age -e e m l w h h e he c mm . i , E sa -e age y- e m leme g le eg g -em l yme he e 2010.

39 Post-Public Employment Good Practices or preventingConfict o Interest .



37/106

35


BoX 10

EXamplE of shortcomInGs rElatEd to assEssmEnt of post-Emp loymEntactIvItIEs

i E sa, ev lv g e wh h e 2008 w ve g e by he E e omb m41 , whe h e mme h :

( ) E sa h l m ke le h eg hem elve by le v g membe e g e j b he ev lv g y e m y m l e e . i h eg , l e h h

l e y m y le l e e .

(b) E sa le b e ve he elev e l le y e ly h gh e me l e e g m he m ve em l yee m y g E sa el m e

41 d e mme he E e omb m h q y m l 775/2010/ana g he E e s e yage y, bl he he E e omb m web e, 7 de embe 2011.

87. the ele e age e eq e he em l yee ll- l h e g ge e le v g he age y. H w-

eve , he e e le e h w he e l h lbe e e wh h -em l yme v e w l be e e

m ble w h he ev le he e e ve age y.

88. i ge e l, he ele e age e le e m h gh e -me -em l yme e , e e eve ev lv g y e l e e . a ex m le

h m g h w Box 10 .


38/106

36


89. the c l e h e he ele e age e eq elym ge he l e e . a mbe h m g

v y g eg ee h ve bee e e age y- e l e e e well he m leme ( ee heTable ).

CoNCluSIoNS aNd rECoMMENdatIoNS

taBlE

ovErvIEw of sElEc tEd aGEncIEs manaGEmEnt ofconflIct of IntErE st sItuatIons 1

Experts Staf ManagementBoard Board o Appeal

EASA

ECHA

EFSA N/A

EMA N/A

Key

Management o con lict o interest situations is not adequate, asthe Agency-speci ic policies and procedures are absent

Management o con lict o interest situations is not adequate, asthe Agency-speci ic policies and proceduresand/or implementa-tion have signi icant shortcomings

Management o con lict o interest situations is not adequate, asthe Agency-speci ic policies and proceduresand/or implementa-tion have shortcomings

Management o con lict o interest situations is adequate

Not applicable, as this Agency does not have a Board o AppealN/A

1 see g h 15 23 (a s e a h).


39/106

37


90. o he ele e age e , EMa E sa evel e he m -v e l e e e m g g l e e . EcHa

l e e e e m le e le e e, Easa e h ve y.

EaSa sh c e e c m ehensi e a enc -s eci ic icies n ce-es n he m n emen c n ic in e es . ECHa sh im e

i s ic b in cin c e ssessmen n e i n c i e i ec e in e es s. a se ec e a encies sh (es b ish ) c n in ee e in c n ic in e es icies n ce es h e ec i e

ess hei s eci ic isks.

rEcommEndatIon 1

91. the ele e age e l k eq e l e e e e y l e e be e e ( .e. ex e , membe he

M geme B he B a e l) e .

C n i es in he se ec e a encies sh be sc eene c n i c in e es be e hei in men . Mi i in me s es sh be

in ce i ecisi n is ken in hem kn win h he eis c n ic in e es si i n.

rEcommEndatIon 2

92. c l e e el e k e by Easa EMa -e he e l eq ely m e .

EaSa n EMa sh es b ish icies n ce es which wens e h c n ic in e es si i ns e m n e c m b es n b h se e min s ce sks.

rEcommEndatIon 3


40/106

38


93. the m geme l e e wh l w k g w h ele eage y eq e mbe e e me e , w h he e l

e e h v g key le. the e e h m g he e me he e e l m geme l e e

ll he ele e age e , bly l k le e mee / he e l . the m leme

EcHa l e e e he B a e l h veg h m g .

the s e ec e a encies sh e s b ish c e n bjec i e c i e i he ssessmen ec i ns in e es n hem c nsis ensin he in m i n e si i b e he se ec e a encies. -he m e, ECHa sh si ni ic n im e he im emen i n

c n ic in e es icies n ce es s n he B a e Membe s.

rEcommEndatIon 4

94. o he ele e age e , ly EMa h l y g v - h l e he e e age y.

EaSa, ECHa n E Sa sh h e i s n in i i ns icies nce es h c e he en i e a enc .

rEcommEndatIon 5

95. the ele e age e h ve eq e b e h l e e e l ble he e e age y.

the se ec e a enci es sh e e c e , ns en n c nsis enb e ch s icies n ce es h c e he en i e a enc .

rEcommEndatIon 6


41/106

39


96. the e e y w h e e he bl l e -l e e e ly e l w h by ll ele e age e ,ex e Easa. H weve , he ele e age e e le e

e m he bl e e e l e g he mee g he M geme B e b e he ex he

e e -m k g e .

the se ec e a encies sh i sc se in e es s ec e inmee in s n in he c n e scien i ic ecisi n-m kin cess. EaSash in ce s s em ec i ns in e es n ens e

ns enc b b ishin hem n i s websi e.

rEcommEndatIon 7

97. t g l e e v e by ll ele e age e , b EcHa Easa h m g v y g m e we e .

th e se e c e a enci es sh h e c m ehens i e n c m sinin n c n ic in e es . In ic , EaSa sh in ce

s eci ise inin n c n ic in e es ies c nce ne (e. .s , Membe s he M n emen B n Membe s B a e ).

rEcommEndatIon 8

98. the c e e mbe g h m g heele e age e l e e e eg g -em l yme :

( ) L k v h e k e w h -em l y-me v e ex e Membe he M geme B

he B a e l;

(b) ab e e bje ve e wh e -l e e ;

( ) neg e em l yme e ve e by el e e e ele e age e .


42/106

40


the se ec e a encies in c in i n wi h he in in b iesin e sh ess he s -em men iss es.

rEcommEndatIon 9

99. the e m ehe ve Eu eg l y mew k e e l e e wh h w l e e m ble m m m eq eme

e e e e e y l ble ll Eu age e llkey l ye h l e e egy, e e -m k g.

th e Eu e is , ss ib in c ns i n wi h he Eu Ins i i ns ,m wish c nsi e he e e in he Eu e mew k

e ic e m n emen c n ic in e es si i ns, sin heoECd g i e ines n e is in bes c ices s e e ence.

a Eu Ins i i ns n ecen ise b ies m wish e minewhe he he ec mmen i ns m e he se ec e a encies e e -e n n ic b e hem.

rEcommEndatIons 10 and 11

th re w e by ch mbe iV, he e by M L GaLE a,Membe he c a , L xemb g mee g 5 se embe 2012.

For the Court o Auditors

V M el siLVa caLdEiraPresident


43/106

41


annEX I

structurE and GovErnancE of thE sElEctEd aGEncIEs

European Chemicals Agency (Helsinki)

ECHA

Legal Base(Founding Regulation)

Regulation (EC) No 1907/2006 o the European Parliament and o the Council o 18 December 2006concerning the registration, Evaluation, Authorisation and Restriction o Chemicals (REACH) and estaba European Chemicals Agency

Objectives

To ensure a high level o protection o human health and the environment, including the promotion o

native methods or assessment o hazards relating to substances, as well as the ree circulation o subson the internal market while enhancing competitiveness and innovation.

To ensure that chemicals legislation and the decision making processes and scienti c basis underlying itcredibility with all stakeholders and the public.

To coordinate communication concerning the REACH Regulation and in its implementation.

Tasks

- To manage and carry out the technical, scienti c and administrative aspects o the REACH Regulati- To ensure consistency at Union level in relation to these aspects.- To provide the Member States and the institutions o the Union with the best possible scienti c and

technical advice and scienti c guidance.- To per orm classi cation and labelling o chemical substances deriving rom the CLP Regulation (

No 1272/2008.

Management Board- 27 Members rom the EU Member States,- 6 representatives o the Commission, including 3 members without voting rights appointed to represe

interested parties,- 2 representatives o the European Parliament.

Board o AppealThe Board o Appeal guarantees the processing o appeals o any party a ected by the ECHAs decisiand concludes on these appeals. The Board o Appeal consists o a Chairman and two members who aremployees o ECHA. In addition, the Management Board has appointed alternate and additional Membthe Board o Appeal who are not employees o ECHA.

Committees /Panels;Advisory Boards/Forums

- Committee or Risk Assessment

- Member States Committee- Committee or Socio-Economic Analysis- Forum or Exchange o In ormation on En orcement which coordinates a network o Member Sta

authorities responsible or en orcement o REACH Regulation.


44/106

42


structurE and GovErnancE of thE sElEctEd aGEncIEs - Easa

European Aviation Sa ety Agency (Cologne)

EASA


Regulation (EC) No 216/2008 o the European Parliament and o the Council o 20 February 2008 on mon rules in the eld o civil aviation and establishing a European Aviation Sa ety Agency

Objectives To maintain a high uni orm level o civil aviation sa ety in Europe and to ensure the proper unctionindevelopment o civil aviation sa ety.

Tasks

- To issue opinions and recommendations to the Commission.- To issue certi cation speci cations, including airworthiness codes and acceptable means o complia

and any guidance material or the application o the Basic Regulation and its implementing rules.- To take decisions regarding airworthiness and environmental certi cation, pilot certi cation, air oper

tion certi cation, third country operators, inspections o Member States and investigation o undertaings.

- To conduct standardisation inspections o the competent authorities in the Member States.

Management Board - 27 members rom the EU Member States,- 1 representative o the Commission.

Board o Appeal

The Board o Appeal is responsible or deciding on appeals lodged against decisions o the Agency. To Appeal consists o a Chairman and two Members and an equivalent number o alternates, who are apointed by the Management Board rom a list o quali ed candidates adopted by the European Commi

There are two technically quali ed members and one legally quali ed member, who is the Chairperson the Board. They are not members o EASA's sta .

Committees /Panels; AdvisoryBoards/Forums

Advisory Board: it assists the Management Board in its work and comprises organisations representing ation personnel (5), manu acturers (5), commercial and general aviation operators (9), maintenance indu(1), training organisations (1), air sports (1), airports (1), Air Trafc Control (1), IFATCA (1) and an ExecuSecretary. In total, the Advisory Board comprises 26 members and an equivalent number o alternates.

The Advisory Group o National Authorities (AGNA) is composed o one person per Member State anprovides a mechanism or the involvement o the national authorities in the rulemaking process.

The Sa ety Standards Consultative Committee (SSCC) provides the EASA with advice on the content, pand execution o the Agencys Rulemaking Programme. It is composed o representatives rom organiand trade associations representing the industries, pro essions and end user groups concerned.


45/106


46/106

44


structurE and GovErnancE of thE sElEctEd aGEncIEs - Efsa

European Food Sa ety Authority (Parma)

EFSA


Regulation (EC) No 178/2002 o the European Parliament and o the Council o 28 January 2002 laying downprinciples and requirements o ood law, establishing the European Food Sa ety Authority and laying down prmatters o ood sa ety

Objectives

To provide scienti c opinions and scienti c and technical support or legislation and policies which have a dire

impact on ood and ood sa ety.To provide independent in ormation on risks relating to ood sa ety.

To contribute to the achievement o a high level o protection o human li e and health.

To collect and analyse data needed to allow characterisation and monitoring o risks.

Tasks

- To issue scienti c opinions and studies.- To promote uni orm risk-assessment methodologies.- To assist the Commission.- To search analyse and summarise the requisite scienti c and technical data.- To identi y and characterise emerging risks.- To establish a network o organisations operating in similar elds.- To provide scienti c and technical assistance in crisis management.

- To improve international cooperation.- To provide the public and interested parties with reliable, objective and easily comprehensible in ormation.- To take part in the Commission's rapid alert system.

Management Board- 14 members appointed by the Council in consultation with the European Parliament ( rom a shortlist o cand

drawn up by the European Commission). Four o these members have a background in organisations represenconsumers and interests in the ood chain.

- 1 representative o the Commission.

Board o Appeal Not applicable

Committees /Panels;Advisory Boards/Forums

(a)Scienti c Committee and 10 Scienti c Panels:

Additives and products or substances used in animal feed (FEEDAP) Animal health and welfare (AHAW) Biological hazards (BIOHAZ), including BSE-TSE-related risks Contaminants in the food chain (CONTAM) Dietetic products, nutrition and allergies (NDA) Food additives and nutrient sources added to food (ANS) Food contact materials, enzymes, avourings and processing aids (CEF) Genetically modi ed organisms (GMO) Plant health (PLH) Plant protection products and their residues (PPR)

EFSAs Scienti c Panels are responsible or EFSAs risk assessment work including delivering scienti c opinion

(b)Advisory Forum: it connects EFSA with the national ood sa ety authorities and advises EFSA on scienti c matwork programme and priorities.

(c)Stakeholder Consultative Plat orm: it is composed o EU-wide organisations working in areas related to the ood cha

and advises EFSA on general matters related to the Agency's work programme, risk assessment methodologies,


47/106

45


annEX II

rEfErEncE framEwork on EthIcs and conflIct of IntErEst

Eu rEGulatIons and GuIdElInEs

s f reg l o l c Em l yme o he se v he E e c mm y- reg l n 31 (EEc) w h b eq e me me l y g w he s f reg l o l

he c Em l yme o he se v he E e E m c mm y he E -e a m E e gy c mm y (cEos)1. the elev le e e e e/ eve

e e : a le 11, 11 , 12b, 13, 15, 16, 17 he s f reg l a le 11, 54, 81 124 he cEos;

Ec c e G a m ve Beh v - c mm de 2000/633/Ec,Ecsc,E m 17 o -be 2000 me g r le p e e2;

Ec G el e E h c i e e , ve g he ll w g : g , e , v e e e , ex e l v e ;

c l reg l (Ec, E m) n 1605/2002 he l reg l l ble he b ge he E e c mm e (a le 52)3;

c mm reg l (Ec, E m) n 2342/2002 23 de embe 2002 l y g w e le le he m leme c l reg l (Ec, E m) n 1605/2002 he l reg l -l ble he ge e l b ge he E e c mm e (a le 32)4.

thE sElEctEd aGEncIEs rEGulatIons

reg l (Ec) n 216/2008 he E e p l me he c l 20 eb y 2008 m-m le he el v l v e bl h g E e av s e y age y;

reg l (Ec) n 1907/2006 he E e p l me he c l 18 de embe 2006 -e g he reg , Ev l , a h re chem l (rEacH) e bl E e chem l age y ( l le 88(2), 88(3) 90(5), 90(6));

1 oJ p 45, 14.6.1962, . 1385.

2 oJ L 267, 20.10.2000, . 63.

3 oJ L 248, 16.9.2002, . 1.

4 oJ L 357, 31.12.2002, . 1.


48/106

46


reg l (Ec) n 178/2002 he E e p l me he c l 28 J y 2002 l y g whe ge e l le eq eme l w, e bl h g he E e s e y a h y

l y g w e e m e e y ( l le 25(1), 28(3), 28(4), 32(1), 37, 38, 4

reg l (Ec) n 726/2004 he E e p l me he c l 31 M h 2004 l y gw c mm y e e he h e v me l h m

ve e y e e bl h g E e Me e age y (a le 63(2)).

thE sElEctEd aGEncIEs maIn polIcIEs and procEdurEs dEalInG wIth EthIcs, codE ofconduct and conflIct of IntErEst

EuropEan avIatIon safEty aGEncy (Easa)

Easa c e a m ve p e he f he el w h he bl (Ed de 2009

s i e c e c (Wi.stdi.00015-001/ 29/07/2010);

Easa M geme B de 06-2011 g he r le p e e he M geme B ;

Easa M geme B de 01-2011 g he g el e he ll e n l av a h e q l e e e ;

de 2007/006/a he Exe ve d e e v e g me (2 eb y 200

de 2009/169/E he Exe ve d e l y g w le he e me he E eav s e y age y l ex e (11 de embe 2009).

EuropEan chEmIcals aGEncy (Echa)

p l y M g g p e l c i e e (MB/45/2011/d, e by he M geme B 30 se embe 2011)5;

G e e e v g well e l mm mel y e e (Ed/01/2007, de he Exe ve d e 31 o be 2007);

EcHa g e e e EcHa c mm ee m Membe , he v e v e ex e ;

c e g m ve beh v he f he E e chem l age y el w h bl ( e by he M geme B 13/14 eb y 2008, MB/11/2008);

c e he ( eg l / l e e/ l) Membe he B a e l (B a/02/2010,e by he B a e l 22 J e 2010)6;

5 h ://e h .e .e / me /10162/17208/mb_45_2011_ _ l y_ _ e e _e .

6 h ://e h .e .e / me /10162/13573/ e_ _ _e .


49/106

47


M geme B r le e e (MB/02/2007, e by he M geme B 30 se em-be 2009)7;

r le e e he Membe s e c mm ee (MB/50/2010, e by he M geme B 30 se embe 2010)8;

r le e e he c mm ee r k a e me (MB/05/2010, e by he M gemeB 4 M h 2010)9;

r le e e he c mm ee s -E m a ly (MB/06/2010, e by he M ge-me B 4 M h 2010)10;

r le e e he m Ex h ge i m E eme (MB/35/2011, e byhe M geme B 21 J e 2011)11;

c mm e e v e g me 28 a l 2004 e by EcHa e l 2008 (c mm e c(2008)3471);

r le l ble e e l ex e EcHa 28 J e 2007 (MB/08/2007);

M geme B e 23 a l 2009 e l ve g el he eve (MB/30/2009).

EuropEan food safEty authorIty (Efsa)

E sa c e G a m ve Beh v ( e by M geme B 16 se embe 2003);

E sa p l G e s f E h c (2010);

c e he M geme B E sa ( e by M geme B 16 J e 2011);

r le p e e he M geme B E sa ( e by M geme B 31.3.2009 e 20 o be 2011);

E sa p l y de l i e e ( e by M geme B 11 se embe 2007)12;

7 h ://e h .e .e / me /10162/17208/mb_02_2007_ l_ le _ _ e e_e .

8 h ://e h .e .e / me /10162/13578/mb_50_2010_ _m _e .

9 h ://e h .e .e / me /10162/13608/mb_04_06_2010_ ev _ _ m ee _e . ( ge 16-30)

10 h ://e h .e .e / me /10162/13608/mb_04_06_2010_ ev _ _ m ee _e . ( ge 31-45)

11 h ://e h .e .e / me /10162/13577/mb_35_2011_ ev e _ _ _ he_ m_e .

12 h ://www.e .e .e /e / / / e e e e.h m


50/106

48


im leme g a he p l y de l i e e . G e d me de l i e( e by Exe ve d e 8 se embe 2009);

im leme g a he p l y de l i e e . p e e e y g h l g e e ( e by Exe ve d e 8 se embe 2009);

de e g he e bl hme e he s e c mm ee, s e p el he w k g g ( e by M geme B 17 de embe 2009);

de he Exe ve d e e g he ele Membe he s e c mms e p el ex e E sa w h e w k ( e by Exe ve d e14 M h 2011);

E sa s keh l e c l ve pl m: te m re e e e ( e by M geme B 17 J e 2010);

p e v y e me m geme E sa ( e by Exe ve d e 27 J y 20 e 26 o be 2011);

de m leme g le 16, 17(2) 19 he s f reg l le 11 91 he c Em l yme o he se v ( e by Exe ve d e 7 de embe 2010);

de he Exe ve d e e l e e he ex E sa eme g ( e by Exe ve d e 5 a l 2011).

EuropEan mEdIcInEs aGEncy (Ema)

the EMEa c e c (EMEa/6470/03/2368, 18 a g 2006)13;

E e Me e age y l y he h l g e e s e c mm ee Mbe ex e (EMa/513078/2010, 13 o be 2010)14;

ove v ew he all w ble i e e he EMa s e a v e (EMa/358101/2010, 13 o be 2010)15;

de he M geme B he m leme g le ex e l v e (EMB/143750/2007);

13 h ://www.em .e .e / /e _GB/ me _l b y/o he /2009/10/Wc500004924.




51/106

49


im leme g le el g a le 11 13 he s f reg l e g he h l g e l e e e em l yee he E e Me e age y (EMa/565945/2009, 9 J e 2011);

c mm e l eg y he EMa e e g m e l elh (EMa/511563/2010, 7 se embe 2010);

Exe ve d e de l y g w le he e me l ex e he age y(EMa/545578/2011, 1 a g 2011)16

rev e e be l lle by e me g v lve E e Me eage y (EMa) v e (EMa/MB/24913/2005 ev.1 e 13 se embe 2011).

oEcd GuIdElInEs

M g g c i e e he p bl se v e: oEcd G el e c y Ex e e e , oEcd, p ,2003;

p -p bl Em l yme : G p e p eve g c i e e , oEcd, p , 2010.



52/106

50


annEX III

ovErvIEw of thE aGEncy-spE cIfIc polIcIEs and procE durEs applIcaBlE to staffEXpErts, manaGEmEnt Board and Board of appEal

EASA ECHA

Experts Employ-ees

Manage-mentBoard

Board o Appeal

Scienti cCommit-

tees'Membersand other

experts

Employ-ees

Manage-mentBoard

Board o Appeal

Con ict of interest policies andprocedures No No No No Yes Yes Yes Yes

Declarations o interests andrelated policies No No No No Yes Yes Yes Yes

Policies or screening the can-didates (experts, ManagementBoard, Board o Appeal)

No N/A No No Yes1, 2 N/A No No

Con ict of interest policies forthe outsourcing o scienti cactivities

No N/A N/A N/A N/A N/A N/A N/A

Policy on gi ts and invitations No No No No No Yes No Yes

Breach o trust procedures No No No No Yes2 Yes2 Yes2 Yes2

Post-employment policies('revolving door' policies) No Yes No No No Yes No No

1 o ly r k a e me c mm ee he c mm ee s -E m a ly .2 p l y m g g p e l c i e e (MB/45/2011/d), e by he M geme B 30 se embe 2011. the

m leme h l y h bee e e .


53/106

51


EFSA EMA

Scienti cCommit-tee andPanels'

Membersand otherexperts

Employ-ees

Manage-mentBoard

AdvisoryForum

and otherconsul-tative

bodies

Scienti cCommit-


experts

Employ-ees

Manage-mentBoard

Con ict of interest policies andprocedures Yes Yes Yes Yes Yes Yes Yes

Declarations o interests andrelated policies Yes Yes Yes Yes Yes Yes Yes

Policies or screening the can-didates (experts, ManagementBoard, Board o Appeal)

Yes N/A No No No N/A No

Con ict of interest policies forthe outsourcing o scienti cactivities

N/A N/A N/A N/A No N/A N/A

Policy on gi ts and invitations No Yes3 No No Yes Yes Yes

Breach o trust procedures Yes No No No No No No

Post-employment policies('revolving door' policies) No Yes No No No Yes No

3 E sa h l y v ly.


54/106

52


annEX Iv

IndEpEndEncE an d transparEncy rEquIrEmEnts statEd In thE sElEct EdaGEncIEs foundInG rEGulatIons

EASA ECHA

Experts

Sta (includ-ing the

ExecutiveDirector)

Manage-mentBoard

Board o Appeal

Scienti cCommit-


experts

Sta (includ-ing the

ExecutiveDirector)

Manage-mentBoard

Board o Appeal

General independence require-ments Yes Yes Yes Yes Yes Yes Yes Yes

General transparency require-ments Yes Yes Yes Yes Yes Yes Yes Yes

Annual Declarations o interests(ADoIs) No No No No Yes

Legalrequirement

or theExecutiveDirector

only

Yes Yes

Speci c Declarations o interest(SDoIs) No No No Yes Yes

Legalrequirement


only

Yes Yes

Requirement to publish theADoI No No No No

No, butthe ADoIsshould be

acces-sible to thepublic onrequest

ExecutiveDirector- No, butthe ADoIsshould be


No, butthe ADoIsshould be


No

Requirement to publish theSDoI/oral declaration o interestduring the meetings No No No No No No No No

Requirement or policy andimplementing rules on accept-ance o gi ts

No No No No No No No No

Requirement to make public theagendas and the minutes o themeetings

No No Yes No Yes Yes No No

Requirement to publish theresults o the scienti c studiesand opinions

Yes Yes N/A N/A Yes Yes N/A N/A


55/106

53


EFSA EMA

Scienti cCommit-tee andPanels'

Membersand otherexperts

Sta (includ-ing the

ExecutiveDirector)

Manage-mentBoard

AdvisoryForum

and otherconsul-tative

bodies

Scienti cCommit-


experts

Sta (includ-ing the

ExecutiveDirector)

Manage-mentBoard

General independence require-ments Yes Yes Yes Yes Yes Yes Yes

General transparency require-ments Yes Yes Yes Yes Yes Yes Yes

Annual Declarations o interests(ADoIs) Yes

Legalrequirement


only

Yes Yes Yes No Yes

Speci c Declarations o interest(SDoIs) Yes

Legalrequirement


only

Yes Yes Yes No Yes

Requirement to publish theADoI Yes

Legalrequirement


only

Yes Yes Yes No Yes

Requirement to publish theSDoI/oral declaration o interestduring the meetings Yes

Legalrequirement


only

Yes Yes Yes No Yes

Requirement or policy andimplementing rules on accept-ance o gi ts

No No No No Yes No Yes

Requirement to make public theagendas and the minutes o themeetings

Yes No Yes No No No Yes

Requirement to publish theresults o the scienti c studiesand opinions

Yes Yes N/A N/A Yes Yes N/A


56/106

54


manaGEmEnt of conflIct of IntErEst - comparIson BEtwE En thE oEcdGuIdElInEs and thE Eu rEGulatory framEwork

Areas OECD GuidelinesEU Regulatory Framework (except or Agen-

cies Founding Regulations and Agency-speci c policies and procedures)

Scope and objectives

The OECD Guidelines set the rst internationalbenchmark or designing and implementing a com-prehensive con ict of interest policy. The Guidelinesare addressed to governments and public institu-tions, aiming to help them to design and implementan e cient con ict of interest policy.

The Guidelines also provides a comparative overviewo policies implemented in 30 OECD membercountries to identify and resolve con ict of interestsituations, showing overall trends, good practicesand emerging areas where improvements could bemade.

General obligations or identi cation and manage-ment of con ict of interest are laid down in the StaRegulations, which are applicable to all EU ofcials.

NB: Practical guidelines issued at the level o eachDG were not analysed in the scope o the audit.

More detailed decisions and guidelines on con icto interest were issued by the European Commission(EC), which are applicable to its sta .

Categories o individuals

The OECD Guidelines re er to public ofcials ingeneral, with a particular attention to:

Policy-makers and public ofce holders in themost senior positions (e.g. ministers);

Public ofcials working in key unctions o thestate, such as law en orcement (e.g. judges,prosecutors, tax ofcials);

Decision-makers in sensitive areas at theinter ace between the public and private sector(e.g. contract managers, auditors, etc).

The Sta Regulations re er only to sta (ofcials,temporary agents, contract and auxiliary agents).Other individuals with a signi cant role in thedecision-making process, such as: Members o theManagement Board, experts, Members o Board o Appeal, etc., are not bound by the Sta Regulations.

The selected Agencies (EFSA, EMA and ECHA)adopted policies and procedures or sta and othercategories o individuals with decision-makingpower (e.g. experts, Members o the ManagementBoard, Members o the Board o Appeal)

Core values and principles (ob- jectivity, impartiality, integrity)

Public ofcials and public organisations should notonly act within the letter o the law, but also respectbroader public service values such as disinterested-ness, impartiality and integrity.

Public ofcials should carryout their duties withobjectivity, impartiality and loyalty to the EU (Sta Regulations, Article 11). These values are rein orcedin the Rules o Procedures o the European Commis-sion (Decision 2000/633/EC, ECSC, Euratom).

De nition o confict o interest

The OECD Guidelines de ne the con ict of interestas a con ict between the public duty and privateinterests o a public o cial, in which the public o cial has private-capacity interests which could improperly in uence the per ormance o their o cial duties and responsibilities. In this context, the con ict of interestcan be: actual, apparent or potential.

The Sta Regulations stipulate that the ofcial shallnot, in per ormance o his duties, deal with a mattersuch as to impair his independence, in particular,

amily and nancial interests (Article 11a). However,the con ict of interest is not de ned in the StaRegulations.

annEX v


57/106

55




Confict o interest policy -general requirements

According to the OECD Guidelines, a modern ap-proach to a con ict of interest should:

Identi y risks to the integrity o public organisa-tions and public ofcials.

Prohibit speci c unacceptable orms o privateinterest.

Make public organisations and individualofcials aware o the circumstances in whichcon icts can arise.

Ensure that e ective procedures are deployedor the identi cation, disclosure, management,

and promotion o the appropriate resolution o con ict of interest situations.

The Sta Regulations identi y certain risk areas orcon ict of interest, such as: outside activities, familyrelationship, gi ts and other bene ts, inside in orma-tion and post-employment. However, the Sta Regulations do not identi y speci c circumstances inwhich con icts can arise nor indicate unacceptable

orms o private interests.

Declaration/disclosure o interests

According to the OECD Guidelines, one o the coreprinciple for managing con ict of interest is thetransparency and scrutiny.

Initial disclosure on appointment- Public ofcials'private interests should be disclosed appropriately,to enable adequate control and management o a resolution. The public ofcials should disclose theirrelevant interests on appointment and therea ter atregular intervals. Such disclosure is usually ormal, isrequired to be presented periodically (usually annu-ally) and in writing.

In-service disclosure in ofce- Public ofcials shouldpromptly disclose all relevant in ormation abouta con ict of interest when circumstances changea ter the initial disclosure has been made or whennew situations arise.

According to the Sta Regulations, the ofcials havethe obligation to noti y the Appointing Authorityo any personal interest that may impair his/her in-dependence (Article 11a). Thus, the ofcials shouldspontaneously in orm the hierarchical superiorsabout any interests, which in their view can createa con ict of interest situation. However, there is noobligation or the EU ofcials to ll in a declaration o interests on appointment and periodically therea ter(e.g. annually).

Assessment o the interestsdisclosed

The organisations should assess the completenesso disclosure, by ensuring that the disclosure o interests contains su cient details on the con icting

interests to enable an in ormed decision to be madeabout the appropriate resolution.

The organisations should assist ull disclosure o interests and ensure that the interests disclosed areproperly assessed and maintained in up-to-date

orm.

The Sta Regulations state that in case of con ict-ing interests the Appointing Authority shall takeany appropriate measure, and may in particular relieve the o cial rom responsibility in this matter (Article 11a.2).

The Sta Regulations do not provide details regard-ing the assessment o the interests disclosed (e.g.,completeness, update in ormation, etc).


58/106

56




Screening process

The OECD Guidelines recommend the use o preven-tive measures that deal with con ict of interestsituations. One o these measures is the screeningo candidates/ organisations during the selectionprocess. This requires the identi cation in advanceo any relevant interests and discussion o possiblestrategies or resolution of identi ed con icts.

There are no provisions in the Sta Regulationswhich would require the screening o candidatesfor possible con ict of interest during the selectionprocess.

Sensitive areas and policyrequirements or variouscategories o individuals

The OECD Guidelines recommend that, in additionto the general policy or all public ofcials, particularattention should be paid to senior positions andsensitive areas:- Policy-makers and public ofceholders in the most senior positions;- Public ofcialsworking in key unctions o the state, such as lawen orcement;- Decision-makers in sensitive areas atthe inter ace between the public and private sector.Measures used or these groups should take intoconsideration the categories o public ofcials. Ingeneral, as higher the position, the stricter the policyand the more transparency is requested.

There are no similar requirements in the Sta Regulations.The Agencies' Founding Regulations

oresee di erent obligations or various categorieso individuals (e.g. executive sta , Members o theManagement Board, experts, Board o Appeal, etc).

At risk areas or confict o

interest situations

Organisations need to consider reviewing existingmanagement arrangements on a regular basis toassess whether they remain adequate in recognisingpotential risk areas.

The Guidelines mention the ollowing at riskareas: additional employment, inside in ormation,contracts, gi ts and other orms o bene ts, amilyand community expectations, outside appointmentsand activity a ter leaving public ofce.

The Sta Regulations include provisions or thefollowing risk areas for con ict of interest: gifts andothe

Documents

Special Report No 15/2012: Management of conflict of interest in selected EU Agencies