Right to complain

1
Right to complain

• Complaint mechanisms at the European Investment
  Bank30 November 2006

2
The EIB

• The European Unions financing institution
• Created by the Treaty of Rome in 1958, to provide
  long-term finance for projects promoting
  European integration
• Subscribed capital EUR 163.7 bn
• EIB shareholders 25 Member States of the
  European Union
• Total assets EUR 312 bn (EUR 269 in 2004)
• Lending in 2005 EUR 47 bn (EUR 43 bn in 2004)
• of which within the EU EUR 42 bn (EUR 40 bn in
  2004)
• Borrowing in 2005 EUR 50 bn, through 330 bond
  issues in 15 currencies (EUR 50 bn in 2004)

3
EIB Lending

• 2005 Key lending figures in EUR (per operational
  priority)
• Economic and social cohesion in the enlarged
  EU 34 bn
• Innovative and knowledge-based European
  economy 10.7 bn
• Environmental protection 12.3 bn
• of which outside the EU-25 1.4 bn
• Trans-European Networks 8.2 bn
• Small and medium-sized enterprises in the EU 4.23
  bn
• Support for EU development and cooperation
  policies 3.6 bn

4
EIB Lending

• Promoting EU policies
• According to operational priorities
• Consistent and comprehensive project assessment
  including environmental screening
• Identification of added value

5
EIB in the European Union

• A dual nature An Institution of the Union and a
  Bank
• Enjoying own legal personality and financial
  autonomy within the Community system
• But operating within the EU Institutional and
  legal framework

6
EIB in the European Union

• Working within an institutional setup
• Council
• Parliament
• Commission
• Court of Justice
• Court of Auditors
• European Ombudsman
• OLAF

7
The EIB control structure
European Council European Commission European
Parliament
External auditors
Court of Auditors OLAF European Ombudsman
Board of Governors
Audit Committee
Board of Directors
Management Committee
General Secretariat Legal Affairs
Directorate Lending Operations In Europe
Finance Directorate
Risk Management Directorate
Projects Directorate
Inspectorate General
General Administration Management Control
Directorate Lending Operations Outside Europe
Office of The Chief Compliance Officer
Legal Service
Information Technology
Human resources
8
Accountability

• Audit Committee
• True and fair view of financial position
• Verify conduct of operations
• Financial Accountability
• Management Controller
• Financial Controller
• External Audit
• Risk Management
• Inspectorate General
• Internal Audit
• Operations Evaluation
• Fraud Investigation
• Compliance Office
• Integrity Policy
• Fighting Money Laundering

9
Complaints mechanisms

• Fraud and Corruption
• Inspectorate general Fraud Investigations Unit
• OLAF
• Maladministration
• Secretary General (internal)
• European Ombudsman (independent recourse)
• Inspector General (independent recourse)
• Legal
• Court of Justice

10
Complaints Office

• Complaints mechanism
• Complaints Office Terms of Reference
• Centralised handling and register
• Investigation procedure
• Proactive approach
• Internal and external reporting
• New Complaints Policy - to be published

11
Complaints Office

• Treatment of complaints
• Review
• Gather and review existing information
• Investigate
• Ensure coordination of different services
  involved
• Contact the complainant if necessary
• Coordination with other Institutions if necessary
• Ensure that imposed and-or agreed delays and
  notices are respected
• Problem-solving
• Fact-finding, mediation, conciliation, dialogue
  facilitation
• Find and communicate appropriate solutions
• Propose improvements to existing procedures

12
Complaints Office

• The subject of complaints may be
• access to information
• handling of external requests
• project procurement
• environmental impacts
• suppliers contract management
• job applications
• other

13
Independent Recourse Mechanisms

• The European Ombudsman
• Maladministration occurs when a public body fails
  to act in accordance with a rule or principle,
  which is binding upon it.
• Available for EU citizens, any natural or legal
  person residing or having its registered office
  in a EU Member State.
• Possibility of own initiative inquiries
• He may
• Propose a friendly solution
• Issue a draft recommendation
• Address a critical remark
• Address a special report to the European
  Parliament

14
Independent Recourse Mechanisms

• The EIB Inspectorate General
• Only if complaint not accepted by the European
  Ombudsman on the sole basis of its non-EU origin
• Independent reporting line to the EIB Audit
  Committee
• Use of external consultancy for investigation if
  necessary
• Mutatis mutandi the Terms of reference of the
  European Ombudsman will be used

15
Statistics on Complaints
Complaints received
16
Statistics on Complaints
Complaints received

• 2005 2006
• Environment 2 8
• Procurement 3
• Projects 1 1
• Access to Information 2 1
• HR 3 1
• Corruption 1

17
Statistics on Complaints
Conclusion by Closed in Closed in Total
issued the Ombudsman 2005 2006 (since
1998)

• Recommendations issued 2 - 2
• Critical remarks - 1 1
• No maladministration 2 1 13
• No case 1 - 1
• Case dropped by the complainant 1 - 1
• Case closed pending legal proceedings - - 1
• Open 5
• TOTAL 6 2 24

18
Statistics on Complaints
Extracted from The European Ombudsman Annual
Report 2005