Thursday, 21 February 2013,

DIRECTORATE GENERAL FOR INTERNAL POLICIES POLICY DEPARTMENT D: BUDGETARY AFFAIRS WORKSHOP BETTER AVOIDANCE OF CONFLICT OF INTEREST EU AGENCIES AND OTHER BODIES MOVING FORWARD Organised by Plicy Department D Thursday, 21 February 2013, 09.00-12.00 Eurpean Parliament, Brussels Altier Spinelli Building (ASP) 3G2 PE 490.669 05/02/2013 EN

This dcument was requested by the Eurpean Parliament s Cmmittee n Budgetary Cntrl fr a Wrkshp n the "Better Avidance f Cnflict f Interest: EU Agencies and ther Bdies Mving Frward". CONTRIBUTING EXPERTS Mr Jáns Bertók, Head f Divisin fr Public Sectr Integrity, Organisatin fr Ecnmic C-peratin and Develpment (OECD), Paris Mr Paul de Clerck, Member f the Steering Cmmittee f Alliance fr Lbbying Transparency and Ethics Regulatin (Alter EU) Mr Geert Dancet, Executive Directr f the Eurpean Chemicals Agency (ECHA), Eurpean Cmmissin Prf. Christph Demmke, Eurpean Institute f Public Administratin (EIPA), Maastricht Mr Ian Harden, Secretary General f the Eurpean Ombudsman Ms Thinam Jakb, Acting Directr, Career, HR Directrate General, Eurpean Cmmissin Dr Igrs Ludbržs, Member f the Eurpean Curt f Auditrs, Luxemburg Ms Jana Mittermaier, Directr EU Office, Transparency Internatinal Mr Wlfgang Rau, Executive Secretary t the Grup f States against Crruptin (GRECO), Cuncil f Eurpe Mr Mari Tenreir, Head f Unit General Institutinal Issues, Secretariat General, Eurpean Cmmissin AUTHOR Mr Alexandre MATHIS Plicy Department n Budgetary Affairs Eurpean Parliament B-1047 Brussels E-mail: pldep-budg@eurparl.eurpa.eu Organisatin assistance: Ms Catarina DUARTE GOMES and Ms Michelle FLORIDIA LINGUISTIC VERSIONS Original: EN ABOUT THE EDITOR T cntact the Plicy Department r t subscribe t its newsletter please write t: pldep-budg@eurparl.eurpa.eu Manuscript cmpleted in February 2013. Brussels, Eurpean Unin, 2013. DISCLAIMER The simultaneus interpretatin f debates prvided by the Eurpean Parliament serves nly t facilitate cmmunicatin amngst the participants in the meeting. It des nt cnstitute an authentic recrd f prceedings. Only the riginal speech r the revised written translatin f that speech is authentic. Where there is any difference between the simultaneus interpretatin and the riginal speech (r the revised written translatin f the speech), the riginal speech (r the revised written translatin) takes precedence. Unless expressly authrised by the Eurpean Parliament, the use f the recrded interpretatin fr any purpse ther than that mentined abve is strictly prhibited. The pinins expressed in this dcument are the sle respnsibility f the authr and d nt necessarily represent the fficial psitin f the Eurpean Parliament. Reprductin and translatin fr nn-cmmercial purpses are authrized, prvided the surce is acknwledged and the publisher is given prir ntice and sent a cpy.

DIRECTORATE-GENERAL FOR INTERNAL POLICIES POLICY DEPARTMENT D The wrk f the Plicy Departments is directly linked t the EU law-making prcess and t evaluating the implementatin f EU plicies. It is used mainly in the preparatin f cmmittee reprts and reslutins but als fr cmmittee and Inter-parliamentary delegatin activities such as fficial visits r inter-institutinal meetings. On request, the Plicy Departments prepare: Ntes - respnsive shrt-term briefing ntes usually prepared in-huse; Studies - in-depth cntributins prepared either in-huse r externally generally resulting in a presentatin during the cmmittee meeting; Wrkshps - invitatin f experts prviding written cntributins n a requested subject t be presented during the cmmittee meeting (in sme cases a temprary panel f experts is set up fr a relevant cmmittee); «Fact Sheets» - summarizing EU plicies and legislatin, regularly updated and published n the Eurparl website (a bk as well as a multilingual CD-ROM were published in spring 2009). In additin t this and given the hrizntal nature f Budgetary Affairs, the Plicy Department D: prepares ntes and studies fr ther parliamentary cmmittees and delegatins n budgetary issues cncerning their plicy area; ensures technical supprt t all cmmittees secretariats and plitical grups in the framewrk f the annual budgetary prcedure; participates, with ther services f Parliament, in the management f the interinstitutinal sftware fr the budgetary amendments and is respnsible fr training and a help desk ntably fr cmmittee secretariats and plitical grups; manages data n the implementatin f the budget f the EU and its allcatin t member states, n natinal budgets, and n the budgets and staffing f the agencies. ABOUT US Plicy Department D delivers expertise t the cmmittees n Budgets and Budgetary Cntrl. Our current staff: Niels Fischer (acting HU), Annemieke Beugelink, Catarina Duarte-Gmes, Rse-Marie Elfquist, Michelle Flridia, Dminique Fntaine-Lepage, Jean-Jacques Gay, Beata Grzebieluch, Fabia Jnes, Judith Lackner, Alexandre Mathis, Heather Meek, Marcin Wiczkwski. Trainees: Jhan Erikssn, Nikla Lazinica T cntact the Plicy Department r t subscribe t its newsletter please write t: pldep-budg@eurparl.eurpa.eu 3

TABLE OF CONTENTS TABLE OF CONTENTS 5 WORKSHOP PROGRAMME 6 PANEL 1 BETTER AVOIDANCE OF CONFLICT OF INTEREST: DIVERSE OR SIMILAR VIEWS? BIOGRAPHIES Ms Ines Ayala Sender Mr Jáns Bertók Mr Ian Harden Ms Thinam Jakb Ms Jana Mittermaier Mr Wlfgang Rau 8 9 10 11 12 13 14 PANEL 2 CONFLICT OF INTEREST MANAGEMENT: EU AGENCIES AND PUBLIC BODIES MOVING FORWARD BIOGRAPHIES Mr Gerben-Jan Gerbrandy Mr Paul de Clerck Mr Geert Dancet Prf. Christph Demmke Dr Igrs Ludbržs WRITTEN CONTRIBUTIONS Mr Paul de Clerck Mr Geert Dancet Prf. Christph Demmke 15 16 17 18 19 20 22 28 38 5

Directrate-General fr Internal Plicies f the Unin Directrate fr Budgetary Affairs Plicy Department fr Budgetary Affairs Cmmittee n Budgetary Cntrl BETTER AVOIDANCE OF CONFLICT OF INTEREST EU AGENCIES AND OTHER BODIES MOVING FORWARD Organised by Plicy Department D Thursday, 21 February 2013, 09.00-12.00 Eurpean Parliament, Brussels Altier Spinelli Building ASP-3G2 Wrkshp Prgramme 09:00-09:15 Welcme and Intrductin 09:00-09:05 Welcme by MEP Bart Staes Vice-chair f Cmmittee n Budgetary Cntrl 09:05-09:15 Intrductin by MEP Inés Ayala Sender Rapprteur 6

09:15-10:35 Better Avidance f Cnflict f Interest: Diverse r similar views? Chair: MEP Inés Ayala-Sender Mr Jáns Bertók, Head f Divisin fr Public Sectr Integrity, Organisatin fr Ecnmic C-peratin and Develpment (OECD), Paris Mr Ian Harden, Secretary General f the Eurpean Ombudsman Ms Thinam Jakb, Acting Directr, Career, HR Directrate General, Eurpean Cmmissin Ms Jana Mittermaier, Directr EU Office, Transparency Internatinal Mr Wlfgang Rau, Executive Secretary t the Grup f States against Crruptin (GRECO), Cuncil f Eurpe Open Discussin 10:35-11:55 Cnflict f interest management: EU Agencies and Public Bdies Mving Frward Chair: MEP Gerben-Jan Gerbrandy Mr Paul de Clerck, Member f the Steering Cmmittee f Alliance fr Lbbying Transparency and Ethics Regulatin (Alter EU) Mr Geert Dancet, Executive Directr f the Eurpean Chemicals Agency (ECHA), Eurpean Cmmissin Prf. Christph Demmke, Eurpean Institute f Public Administratin (EIPA), Maastricht Dr Igrs Ludbržs, Member f the Eurpean Curt f Auditrs, Luxemburg Mr Mari Tenreir, Head f Unit General Institutinal Issues, Secretariat General, Eurpean Cmmissin Open Discussin 11:55-12:00 Clsing remarks by Rapprteur 7

DIRECTORATE GENERAL FOR INTERNAL POLICIES POLICY DEPARTMENT D: BUDGETARY AFFAIRS Panel 1 Better Avidance f Cnflict f Interest: Diverse r similar views? BIOGRAPHIES Chair: MEP Inés Ayala-Sender Speakers: Mr Jáns Bertók, Head f Divisin fr Public Sectr Integrity, Organisatin fr Ecnmic C-peratin and Develpment (OECD), Paris Mr Ian Harden, Secretary General f the Eurpean Ombudsman Ms Thinam Jakb, Acting Directr, Career, HR Directrate General, Eurpean Cmmissin Ms Jana Mittermaier, Directr EU Office, Transparency Internatinal Mr Wlfgang Rau, Executive Secretary t the Grup f States against Crruptin (GRECO), Cuncil f Eurpe 8

Better Avidance f Cnflict f Interest: Diverse r similar views? Bigraphies Panel 1 Better Avidance f Cnflict f Interest: Diverse r similar views? Chair: MEP Inés Ayala-Sender Grup f the Prgressive Alliance f Scialists and Demcrats in the Eurpean Parliament. Member f the Cmmittee n Budgetary Cntrl, Cmmittee n Transprt and Turism, Delegatin fr relatins with the cuntries f Central America and Delegatin t the Parliamentary Assembly f the Unin fr the Mediterranean Graduate in Spanish and English (Saragssa, 1975-1982). She studied Law (Saragssa, 1994-1995); and pstgraduate studies in sustainable develpment (ULB, 1995-1997). Spanish as a freign language teacher training (University f Alcalá de Henares, 2002-2004). She was lecturer in the Department f Spanish Literature (University f Saragssa, 1980-1990). Reginal Secretary f the Wmen's Sectin f the PSOE in Aragn (1984-1985); Crdinatr, Prvincial Executive Cmmittee f the UGT in Saragssa (1989-1990). Scial Actin Officer, UGT Cnfederal Executive Cmmittee (1990-1994). Member f cnsultative cmmittees n equality, migratin, the envirnment within the ETUC, ICFTU and TUAC. Expert befre the Eurpean Ecnmic and Scial Cmmittee n cmbating exclusin (1990-1994). Natinal expert in the Directrate-General fr the Envirnment, Eurpean Cmmissin (1995-1997). PES Plicy Adviser n varius EP cmmittees and delegatins (1997-2004). Deputy Directr-General respnsible fr Eurpean prgrammes, Fundescp (Fundatin fr the Develpment f Cperativism and Scial Ecnmy, 1994-1995). Adviser t the INSS (Natinal Institute f Scial Security) IMSERSO (Institute fr Older Persns and Scial Services) (1990-1994); Chairwman f the Spanish Ecnmic and Scial Cmmittee Wrking Party n the White Paper n Industry (1990-1995). 9

Plicy Department D: Budgetary Affairs Panel 1 Better Avidance f Cnflict f Interest: Diverse r similar views? Speaker: Mr Jáns Bertók Head f Divisin fr Public Sectr Integrity, Organisatin fr Ecnmic C-peratin and Develpment (OECD), Paris Jáns Bertók is Head f the Public Sectr Integrity Divisin in the OECD Public Gvernance and Territrial Develpment Directrate. He has ver 25 years f gvernance experience in central gvernment, internatinal rganizatin and academia. He has been leading OECD activities fr prmting integrity and preventing crruptin in the public sectr fr ver 15 years. He led the develpment f fur OECD instruments, namely the 2003 Recmmendatin n Guidelines fr Managing Cnflict f Interest in the Public Service; the 2010 Recmmendatin n Principles fr Transparency and Integrity in Lbbying; the 2008 Recmmendatin n Enhancing Integrity in Public Prcurement; and the 1998 Recmmendatin n Imprving Ethical Cnduct in the Public Service. The OECD helps plicy makers and practitiners review and refrm gvernance measures in particular in areas vulnerable t crruptin, such as cnflict f interest, lbbying and revlving drs, public prcurement. The OECD is in the frefrnt f prviding cmparative data, mapping ut gd practices and develping plicy guidelines, principles, as well as practical tls t supprt plicy makers and managers build effective integrity framewrk in the public sectr rganizatins. Befre jining the OECD in 1997, Mr. Bertók was Directr in the Prime Minister s Office in Hungary in charge f the mdernizatin f public administratin. His previus career fcused n develping new legal and institutinal framewrks fr the civil service and public administratin in the transitin perid. 10

Better Avidance f Cnflict f Interest: Diverse r similar views? Bigraphies Panel 1 Better Avidance f Cnflict f Interest: Diverse r similar views? Speaker: Mr Ian Harden Secretary General f the Eurpean Ombudsman Ian Harden was brn in Nrwich, England, n 22 March 1954. After graduating in law at Churchill Cllege, Cambridge, he jined the Law Faculty at the University f Sheffield, where he was a lecturer frm 1976 t 1990, a senir lecturer frm 1990 t 1993, a reader frm 1993 t 1995, and became prfessr f public law in 1995. He jined the Eurpean Ombudsman's Office as a Principal Legal Adviser in 1996, becming Head f Secretariat frm 1997 t 1999, then Head f the Legal Department frm 2000. He was appinted Secretary-General f the Ombudsman's Office n 1 August 2006. He is the authr r c-authr f numerus publicatins, including The Cntracting State (Buckingham: Open University Press, 1992); Flexible Integratin: Twards a mre effective and demcratic Eurpe (Lndn CEPR, 1995), and Eurpean Ecnmic and Mnetary Unin: The Institutinal Framewrk (Kluwer Law Internatinal, 1997). He is a member f the Assciatin française de drit cnstitutinnel and f the Study f Parliament Grup in the United Kingdm and hnrary prfessr at the University f Sheffield. 11

Plicy Department D: Budgetary Affairs Panel 1 Better Avidance f Cnflict f Interest: Diverse r similar views? Speaker: Ms Thinam Jakb Acting Directr, Career, HR Directrate General, Eurpean Cmmissin Thinam Jakb is Head f Unit in the Directrate General fr Human Resurces and Security f the Cmmissin, respnsible fr prfessinal ethics, rights and bligatins. She is currently Acting Directr fr the Directrate B HR Cre Prcesses 1: Career. She jined the Cmmissin in 1989. Befre mving t her current pst in 2010, she wrked in the Directrates General fr cmpetitin, and fr external trade. She has qualified as a lawyer in Germany (Munich and Clgne), btained the Diplma fr advanced Eurpean studies in the Cllege f Eurpe in Bruges/Belgium and was awarded her Dr. iur. by the University f Bnn, with a thesis n public internatinal and Eurpean law. 12

Better Avidance f Cnflict f Interest: Diverse r similar views? Bigraphies Panel 1 Better Avidance f Cnflict f Interest: Diverse r similar views? Speaker: Ms Jana Mittermaier Directr EU Office, Transparency Internatinal Jana Mittermaier is representing Transparency Internatinal, a glbal anticrruptin civil sciety rganizatin, at the EU level. Befre that Jana was in charge f crdinating Transparency Internatinal's anti-crruptin prgramme in Suth Eastern Eurpe and Turkey as Transparency Internatinal Senir Prgramme Crdinatr. Prir t jining Transparency Internatinal, Jana wrked in the Eurpean Crrespndent Office f the German Freign Office n EU s Freign and Security Plicy issues. Befre that, she wrked as Senir Public Administratin Refrm Advisr with the Organizatin fr Security and Cperatin in Eurpe (OSCE) in Bsnia and Herzegvina where she designed and managed a cuntry-wide public administratin refrm prject at municipal and reginal level f gvernment. Jana started her prfessinal career as Demcratizatin Officer heading an OSCE field ffice in Zenica in Bsnia and Herzegvina. 13

Plicy Department D: Budgetary Affairs Panel 1 Better Avidance f Cnflict f Interest: Diverse r similar views? Speaker: Mr Wlfgang Rau Executive Secretary t the Grup f States against Crruptin (GRECO), Cuncil f Eurpe Wlfgang Rau earned his Ph.D frm Saarland University (Germany), where he was invlved in teaching and research fr 9 years. In 1989 he jined the Directrate f Legal Affairs f the Cuncil f Eurpe (Strasburg, France) and participated in the criminlgical and penlgical wrk prgramme f the Eurpean Cmmittee n Crime Prblems (CDPC). Frm 1996 t 2000 he was Head f the Criminlgy and Penlgy Sectin. In January 2000 he mved t the Directrate General f Human Rights f the Cuncil f Eurpe as a Head f Unit in the Secretariat f the Anti-Trture Cmmittee (CPT). In 1999 he was awarded the German Criminlgical Sciety's Beccaria Medal. In March 2004 he was appinted Executive Secretary f GRECO (Grup f States against Crruptin). 14

DIRECTORATE GENERAL FOR INTERNAL POLICIES POLICY DEPARTMENT D: BUDGETARY AFFAIRS Panel 2 Cnflict f Interest management: EU Agencies and public bdies mving frward BIOGRAPHIES Chair: MEP Gerben-Jan Gerbrandy Speakers: Mr Paul de Clerck, Member f the Steering Cmmittee f Alliance fr Lbbying Transparency and Ethics Regulatin (Alter EU) Mr Geert Dancet, Executive Directr f the Eurpean Chemicals Agency (ECHA), Eurpean Cmmissin Prf. Christph Demmke, Eurpean Institute f Public Administratin (EIPA), Maastricht Dr Igrs Ludbržs, Member f the Eurpean Curt f Auditrs, Luxemburg Mr Mari Tenreir, Head f Unit General Institutinal Issues, Secretariat General, Eurpean Cmmissin (bigraphy nt available) 15

Plicy Department D: Budgetary Affairs Panel 2 Cnflict f Interest management: EU Agencies and public bdies mving frward Chair: MEP Gerben-Jan Gerbrandy MEP fr Demcraten 66 Vice-chair f the Parliamentary Cmmittee n Envirnment, Health and Fd Safety, member f the Budgetary Cntrl Cmmittee and substitute member f the Budget Cmmittee Gerben-Jan Gerbrandy was elected in 2009 as MEP fr Demcraten 66. He is vice-chair f the Parliamentary Cmmittee n Envirnment, Health and Fd Safety, a member f the Budgetary Cntrl Cmmittee and substitute member f the Budget Cmmittee. In additin, Gerben-Jan Gerbrandy is vice chairman f Eurnest, in which the Eurpean Parliament meets the EU neighburs n the eastern brder, such as Ukraine and Azerbaijan. Gerbrandy is als cntact persn fr the Eurpean Envirnment Agency in the Eurpean Parliament and he is Rapprteur, r first spkespersn, n Sustainability (Resurce Efficiency) and Bidiversity. Gerbrandy studied public administratin at Leiden University, and at the University f Scrantn in Pennsylvania. He began his career as a plitical assistant t Jris Vrheve, frmer directr f the Clingendael Institute. Frm 1994 t 1998 he was the persnal assistant f Deke Eisma, MEP fr D66. After his wrk as secretary f the Dutch parliamentary grup f D66 he was senir plitical adviser at the Dutch Ministry f Agriculture, Nature and Fd Quality. 16

Cnflict f Interest management: EU Agencies and public bdies mving frward Bigraphies Panel 2 Cnflict f Interest management: EU Agencies and public bdies mving frward Speaker: Mr Paul de Clerck Member f the Steering Cmmittee f Alliance fr Lbbying Transparency and Ethics Regulatin (Alter EU) Paul de Clerck is Head f the Ecnmic Justice team at Friends f the Earth Eurpe, the largest grassrts envirnmental rganisatin in Eurpe. He has been campaigning n the accuntability f the crprate sectr and lbby transparency fr the last 10 years, and is bard member f ALTER-EU, Finance Watch and the Eurpean Calitin fr Crprate Justice. 17

Plicy Department D: Budgetary Affairs Panel 2 Cnflict f Interest management: EU Agencies and public bdies mving frward Speaker: Mr Geert Dancet Executive Directr f the Eurpean Chemicals Agency (ECHA), Eurpean Cmmissin Geert Dancet became the first elected Executive Directr f the Eurpean Chemicals Agency (ECHA) in January 2008. Under his leadership, the Agency successfully managed all regulatry prcesses f the REACH and CLP regulatins. ECHA has becme ne f the large size regulatry agencies f the EU with ver 500 staff members in charge f the EU chemicals legislatins, including the new Bicidal Prducts and PIC regulatins. His mandate was renewed in 2012 and will end n 31 December 2017. The Cmmissin nminated him as interim Executive Directr in January 2007 in rder t set up the Agency in Helsinki as frm 1 June 2007. Frm 2004 t 2007 he was the Head f the REACH Unit in the Eurpean Cmmissin s Directrate General fr Enterprise and Industry. The unit was c-respnsible fr taking the REACH prpsal thrugh the regulatry prcess in the Cuncil and the Eurpean Parliament as well as fr develping and crdinating the REACH implementatin strategy, which included the preparatins fr the new Chemicals Agency. He first jined the Eurpean Cmmissin in 1986 and wrked fr mst f his Cmmissin career in the cmpetitin plicy field. Prir t wrking fr the Eurpean Cmmissin, Mr Dancet enjyed a brief academic career in the University f Leuven (Belgium) and was a prgramme crdinatr fr the United Natins Industrial Develpment Organisatin (UNIDO) in Clmbia. He studied ecnmics, ecnmetrics and philsphy at the University f Leuven, Belgium. Mr Dancet is married with fur children. 18

Cnflict f Interest management: EU Agencies and public bdies mving frward Bigraphies Panel 2 Cnflict f Interest management: EU Agencies and public bdies mving frward Speaker: Prf. Christph Demmke Eurpean Institute f Public Administratin (EIPA), Maastricht Christph Demmke is Prfessr f Cmparative Public Administratin at the Eurpean Institute f Public Administratin in Maastricht and Visiting Prfessr at the Cllege f Eurpe. He hlds a PhD in Administrative Sciences and has taught Cmparative Public Administratin at several Eurpean Universities, natinal civil service academies and Eurpean institutins. The authr was an Emile Nel Fellw at Harvard Law Schl and Visiting Fellw at American University and the University f Gergia. He als lectured at the University f Maastricht, University f Ptsdam, Verwaltungsakademie in Vienna and Zeppelin University in Friedrichshafen. The authr has regularly advised the EU-Presidency and natinal Gvernments in the field f Ethics, public management and human resurce management refrms. He is als member f the Eurpean Public Administratin Netwrk (EUPAN) and advises the Directrs-General with respnsibilities fr the natinal public services. His fields f specialisatin are ethics and cmparative studies f public service refrm including human resurce management refrms. Mr Demmke published many bks ( Civil Services in the EU f 27, Effectiveness f Ethics and Gd Gvernance, Gvernmental transfrmatin and the Future f Public Emplyment ). 19

Plicy Department D: Budgetary Affairs Panel 2 Cnflict f Interest management: EU Agencies and public bdies mving frward Speaker: Dr Igrs Ludbržs Member f the Eurpean Curt f Auditrs, Luxemburg Igrs LUDBORŽS Brn in Jūrmala (Latvia) in 1964. Academic backgrund PhD in accunting frm the University f Vilnius. Pstgraduate diplma in internatinal tax law frm Rbert Kennedy University. Graduatin diplma in accunting and peratinal analysis frm the University f Latvia. Prfessinal qualificatins He is a member f the Assciatin f Chartered Certified Accuntants, the Latvian Assciatin f Certified Auditrs and the Eurpean Accunting Assciatin. Prfessinal experience Frm 1985 t 2004 Dr Ludbržs has variusly wrked in the University f Latvia's Institute f Accuntancy, first as a lecturer and later as prfessr. Frm 1990 t 1993 he was financial directr f IP Riga, a Latvian-German jint venture. Frm 1993 t 1997 Dr Ludbržs wrked as an auditr and later as audit manager at Cpers & Lybrand Latvia. Frm 1997 t 2001 he was deputy head, then head, f the internal audit department f Parex Bank. Frm 2003 t 2004 he was managing directr f his wn certified audit practice. Eurpean Curt f Auditrs Dr Ludbržs became a Member f the Eurpean Curt f Auditrs n 7 May 2004 and has been entrusted with a number f psitins. Since April 2012, he is Dean f the CEAD Chamber Crdinatin, evaluatin, assurance and develpment, primarily respnsible fr Audit Quality and Supprt as well as a Member f the Administrative Cmmittee. 20

DIRECTORATE GENERAL FOR INTERNAL POLICIES POLICY DEPARTMENT D: BUDGETARY AFFAIRS Panel 2 Cnflict f Interest management: EU Agencies and public bdies mving frward WRITTEN CONTRIBUTIONS Chair: MEP Gerben-Jan Gerbrandy Cntributins by: Mr Paul de Clerck, Member f the Steering Cmmittee f Alliance fr Lbbying Transparency and Ethics Regulatin (Alter EU) Mr Geert Dancet, Executive Directr f the Eurpean Chemicals Agency (ECHA), Eurpean Cmmissin Prf. Christph Demmke, Eurpean Institute f Public Administratin (EIPA), Maastricht 21

Plicy Department D: Budgetary Affairs Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Paul de Clerck written cntributin Member f the Steering Cmmittee f Alliance fr Lbbying Transparency and Ethics Regulatin (Alter EU) ALTER-EU challenges the Cmmissin's general apprach when it cmes t managing cnflicts f interest: the sft apprach f ethics trainings and a system f cntact pints that staff can cnsult with; we make the case fr clear rules and strng enfrcement, including an independent ethics cmmittee. ALTER-EU has argued cnsistently fr independent mnitring and fr cling-ff perids t avid pst-emplyment cnflicts f interest. The Cmmissin's self-regulatry apprach is inadequate and credible mnitring and cntrl mechanisms are needed (e.g. independent mnitring fficers), and there is an urgent need t better regulate the risk f pst-emplyment cnflicts f interest. The Cmmissin seems t exclusively chse the 'integrity apprach' (f encuraging and assisting staff t avid cnflicts f interest), whereas ALTER-EU believes the 'cmpliance apprach' cannt be disregarded. The advantage f clear rules cmbined with independent mnitring is that it brings visibility and it is verifiable, thereby enabling greater trust in the Cmmissin and its decisin-making prcesses. Furthermre, in light f recent scandals ntably Dalligate and the pr handling f the case by the Cmmissin - cmprehensive pr-active transparency frm the side f the Cmmissin, cmbined with a mandatry high-quality lbby register, will help detect and prevent pssible cnflicts f interest prblems and lbby scandals in future. EU Agencies EFSA Regarding the questin where the Eurpean Cmmissin Radmap n Agencies is taking us n cnflicts f interest issues, we wuld like t make the fllwing bservatins. The radmap seems t cmprise the fllwing phases: Frm nw t the 1st quarter 2013: mapping f existing rules and identificatin f best practices in cperatin with agencies and partner DGs 2nd quarter 2013: draft guidelines issued by EC's Secretary General 3rd quarter 2013: discussin with Heads f agencies end 2013: adptin. 22

Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Paul de Clerck written cntributin The Eurpean Fd Safety Authrity (EFSA) has been much criticised fr its failure t deal with, and cntinuing t allw, an unacceptable level f cnflicts f interest with industry n its management bard and within its scientific panels. This has led t flawed scientific pinins and, even wrse, scientific guidances fr testing. EFSA s rle hwever is t assess industry prducts' txicity in rder t prtect public health and the envirnment. The EU institutins are EFSA s main clients, and (by EFSA s funding regulatin) are respnsible that EFSA fulfills that rle effectively. In December 2012, the Eurpean Cmmissin adpted a Radmap t increase accuntability and efficiency fr the EU s decentralised agencies. It was annunced that preventing and managing cnflicts f interest in the management bards and expert panels f thse agencies wuld be a pririty dealt with in 2013. Finally, it was added that fr sme issues, changes in the agencies basic acts (the funding regulatin ) wuld be necessary. EFSA's funding regulatin states that transparency, scientific excellence and independence are key values. S far, hwever, EFSA has been left t develp its wn cnflict f interest plicy, and accrding t its many critics, has failed t d s effectively. The COI plicy up t 2011 was largely dependent n experts filling in declaratins f interest, but many interests were nt qualified as cnstituting a cnflict f interest. Experts were tlerated t have many different types f links with industry, including cmpanies that wuld have an interest in the apprval f a given substance. Under pressure frm MEPs, NGOs and media, EFSA was frced t revise its independence plicy which brught sme imprvement and at least mre clarity. Hwever, the new rules d nt effectively ban cnflicts f interest. In rder t ban cnflicts f interest frm the management bard, a different interpretatin f EFSA's funding regulatin wuld be needed. That is t say, the current funding regulatin says that at least fur members f the MB shuld have a backgrund in the fd chain including ne cnsumer rganisatin. This is currently interpreted in a way that has brught up t 4 industrylinked peple n the management bard including prminent fd industry lbbyists. Critics have always maintained that it s nt credible t expect these peple t just be there n persnal capacity and wrking fr the public interest, as they are suppsed t. It is nt clear what the prcess t revise the EFSA funding regulatin will lk like, nr what rle the EP will get t play in it. Hwever the EP cmmitted itself in 2011 t see upn a list f cnditins t be met by EFSA, befre it wuld apprve the next budget. These discussins have nw started. Further actin against cnflicts f interest in EFSA is needed, in particular: EFSA's independence plicy shuld effectively exclude peple with cnflicts f interest with industry frm its scientific panels, wrking grups, scientific cmmittee and staff; EFSA shuld pr-actively seek ut independent experts and push the EU institutins t grant the agency the means t pay them fr their wrk. Any cllabratin with industry and industry-affiliated bdies such as the Internatinal Life Sciences Institute (ILSI) shuld be ended; Declaratins f interest shuld be better scrutinised and thse f senir staff members shuld be available nline. The EFSA funding regulatin shuld be revised s as t exclude industry-affiliated peple frm the Management Bard; Independent scientists shuld be invited t peer review EFSA s guidance dcuments and pinins and their cmments shuld be made public. This is especially imprtant in cases where cnflicts f interest have been expsed abut EFSA panel members wh have 23

Plicy Department D: Budgetary Affairs generated guidance dcuments and pinins in the past. In these cases, even when the cnflicted individual has gne, their wrk remains behind them, and may put public and envirnmental health at risk; The revlving dr shuld be effectively clsed. EFSA staff mving frm their psitin in EFSA t a psitin in industry r an industry lbby grup, r vice versa, shuld have a minimum cling ff perid f 2 years. Even if frmally ended, affiliatins with industry related bdies have t be taken int accunt by assessing cnflicts f interest. EFSA has prmised t infrm us abut a register f activities by frmer EFSA staff by the beginning f September 2012, hwever we still have n easy way t find ut whether mre cases f revlving drs are happening, and hw EFSA is dealing with them. Only management team has DOI nline. As a general principle: It is ften said that many ther types f cnflicts f interest can ccur besides that cmmercial/financial ne, such as scientific r cultural cnflicts f interest. While this is true, cnflicts f interests with industry shuld be treated much mre critically than ther nes, given EFSA's remit t assess the safety f industry prducts: ties between EFSA and industry must be strictly limited t the applicatins' administrative prcess, any direct r indirect industry interference in the risk assessment prcess must be prhibited. ECHA A recent reprt by the Eurpean Curt f Auditrs has highlighted serius malfunctining in the Eurpean Chemicals Agency. In particular, prblems have been identified with the management f the revlving dr (when staff mve directly frm the private sectr t the agency and viceversa), which remains unaddressed despite the intrductin f a new ethics plicy in the agency. Recgnising the risks related t the revlving dr phenmena and strictly implementing criteria t assess and manage ptential cnflicts f interest is abslutely needed t make the new plicy useful. Expert grups The Cmmissin relies n hundreds f 'expert grups' t prvide advice n specific issues. As well as experts frm member states, the Cmmissin als calls n civil sciety expertise. Hwever, ALTER-EU has shwn that grups cntaining nn-member state experts have traditinally been dminated by big business interests, rather than a balance f all stakehlders. This is particularly prblematic as the advice f these expert grups is ften used t shape new plicies r even frm the backbne f new legislatin. Over the past few years, ALTER-EU has wrked clsely with supprtive MEPs t ensure this issue is taken seriusly by the Cmmissin, which resulted in a 15% budget reserve in Nvember 2011. The Parliament set fur clear cnditins t lift the reserve, namely arund stakehlder balance, stpping lbbyists sitting n grups as independent experts, bligatry public calls fr grup membership and cmplete transparency. A lack f prgress by the Cmmissin saw the Parliament reiterate its stance in bth Octber 2011 and May 2012, with the reserve finally lifted in September 2012 after an agreement frm the Cmmissin t rebalance prblematic expert grups acrss all DGs, as well as enter int an infrmal dialgue t draw up guidelines fr all new grups. MEPs acted in gd faith by lifting the reserve, but if we want t see strng and crss-cutting rules arund expert grups that can prevent industry capture, MEPs need t demand cncrete prgress 24

Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Paul de Clerck written cntributin and a plausible timetable frm the Cmmissin. ALTER-EU will cntinue t prvide MEPs and the public with the infrmatin they need t make these demands, as well as track prgress. Staff Regulatins The Staff Regulatins cntain sme limited prvisins gverning cnflicts f interest, including frm pst-emplyment activities f EU institutin staff (Articles 11, 12 and 16). These d nt hwever g far enugh in preventing the risk f actual r apparent cnflicts f interest that arise thrugh the revlving dr when public fficials leave ffice and g t wrk in private sectr lbby jbs, ften in the same areas they were respnsible fr when in ffice, r vice-versa. There have been many high-prfile revlving dr cases, where these rules, r their implementatin, have prved t be t weak 1. Several ALTER-EU grups have taken the Cmmissin t the Eurpean Ombudsman ver its failure t prperly implement its wn revlving dr rules 2. The Staff Regulatins are currently under review, with the Parliament's JURI Cmmittee agreeing last year n sme cmprmise amendments which g sme way t strengthening the revlving dr rules 3. It is vital that when the Staff Regulatins are picked again (expected after the Cuncil has agreed n the next 7 year budget (MFF)), that MEPs fight t keep these prvisins in the text, and vte fr them in plenary. ALTER-EU further believes that blcking the revlving dr, and preventing the detrimental impacts it has n public-interest decisin making thrugh the blurring f the interests f the regulated with the regulatr, requires: A mandatry cling-ff perid (r ban) f at least tw years fr all EU institutin staff members entering new psts which invlve lbbying r advising n lbbying, r any ther rle which prvke a cnflict f interest with their wrk as an EU fficial; Tackling the lphles in the current rules including the exclusin f staff n (temprary) cntracts; Prper scrutiny f all staff jining EU institutins fr ptential cnflicts f interest. Where there is a ptential cnflict f interest between their ld jb and their new EU rle, thse persns must recuse themselves frm such matters; Ensure sufficient resurcing t be able t investigate and mnitr revlving dr cases Publish a full and updated list f all revlving dr cases n EU institutins websites Ethics cmmittees and mnitring bdies. The Cmmissin's apprach t cnflicts f interest management is far t reactive and there appears t be n ambitin in streamlining imprvements, that have made in specific areas, acrss the Cmmissin. One example is the Cmmissin s Special Advisers. 1 www.alter-eu.rg/sites/default/files/altereu_revlving_drs_reprt.pdf and http://crprateeurpe.rg/prjects/revlvingdrwatch 2 http://www.alter-eu.rg/dcuments/2012/10/16/cmmissins-refusal-t-address-revlving-dr-prblemtriggersmbudsman 3 Amendment 24 - intrducing a specific duty n EU institutins t scrutinise all incming fficials and returning sabbaticals fr cnflicts f interest - and Amendment 25, intrducing a 12-mnth cling-ff perid n fficials leaving the EU institutins and wishing t take up lbby jbs in areas where they previusly had respnsibility. It wuld ban fficials n sabbatical frm engaging in any lbbying activity, and wuld demand the institutins are mre transparent abut revlving dr cases and hw they handle them. http://www.eurparl.eurpa.eu/sides/getdc.d?pubref=- %2f%2fEP%2f%2fTEXT%2bREPORT%2bA7-2012-0156%2b0%2bDOC%2bXML%2bV0%2f%2fEN&language=EN 25

Plicy Department D: Budgetary Affairs In July 2011 Eurpean Ombudsman, P. Nikifrs Diamandurs, criticised the Eurpean Cmmissin's rules fr the handling f pssible cnflicts f interest invlving the tasks f Special Advisers and their utside activities 4. The Ombudsman als advised the Cmmissin n hw t imprve the rules. The Cmmissin has nt gne very far in implementing these suggestins, but it is nw at least publishing the names and tasks f its Special Advisers nline, tgether with CVs and Declaratins n the Hnur (absence f cnflicts f interest) 5 It wuld seem lgical t then als intrduce this apprach t the Cmmissin's ad hc ethical cmmittee and ther bdies with a similar rle, but this has nt happened. CVs and Declaratins f Interest f the members f the ad hc ethical cmmittee are nt published nline. There is a serius lack f transparency arund the wrk f the ad hc ethical cmmittee, its members and its decisins. The Cmmissin is als ut f tuch with the need fr ethical bdies t bth be, and appear t be, independent and credible, as illustrated in a recent cntrversial decisin t reappint Michel Petite t the Cmmissin's ad hc ethical cmmittee 6. The ad hc ethical cmmittee is tasked primarily with advising n the revlving dr fr Cmmissiners, and nt nly was Mr. Petite was a high prfile revlving dr case frm 2008, but in it was revealed in the wake f the Dalli scandal that Mr Petite has met frmer clleagues in the Cmmissin's Legal Service t present views n the Tbacc Prducts Directive, as a lawyer fr a firm wh's clients include tbacc giant Philip Mrris Internatinal. Other institutins: Eurpean Parliament At the level f the Eurpean Parliament, a majr step has been taken in terms f ethics plicy with the intrductin f the cde f cnduct fr MEPs in January 2012. Hwever, implementatin and mnitring remain f serius cncern. ALTER-EU has already highlighted the need t clarify the implementing rules in rder t clse the lphles and avid new ethics scandals. Declaratins f interest remain unchecked and smetimes incmplete. MEPs emplyment in the private sectr while being elected representatives still is cmmn practice, which is likely t give rise t cnflicts f interest. ALTER-EU recmmends that clarificatins are intrduced abut what cnstitutes a cnflict f interest by establishing a list f clear criteria fr which activities wuld cnstitute a cnflict f interest. Activities that cnstitute a cnflict f interest shuld include the fllwing: Any paid r unpaid activity f interest representatin, as defined in the jint Transparency Register, fr lbby cnsultancies r industry grups r any ther lbby actr; Any paid r unpaid psitin in the advisry r supervisry bard f cmpanies perating in fields that MEPs are likely t regulate r with an interest in influencing the Eurpean Parliament; Any type f hlding (including shares and stck ptins) r ther financial interest in cmpanies perating in fields that MEPs are likely t regulate r with an interest in influencing the Eurpean Parliament. 4 http://eurpa.eu/rapid/press-release_eo-11-15_en.htm 5 http://ec.eurpa.eu/civil_service/abut/wh/sa_en.htm 6 http://crprateeurpe.rg/ce-cmplains-abut-eu-ethics-adviser-tbacc-industry-links 26

Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Paul de Clerck written cntributin The mandate f the advisry cmmittee n the cde f cnduct shuld be extended t a practive mnitring and investigative rle, s that it can undertake randm checks f the declaratins and investigate any ptential cnflict f interest. Imprvements t the system fr the submissin f declaratins are needed: the intrductin f a central searchable nline database fr all declaratins and a fixed deadline fr updates, and the translatin f declaratins int at least ne prcedural language f the Eurpean Cmmissin, (English, French r German) fr better access and scrutiny by citizens, jurnalists and ther stakehlders. The Eurpean Parliament President Schulz shuld initiate a review t assess ptential cnflicts f interest fr MEPs that have utside financial interests. 27

Plicy Department D: Budgetary Affairs Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Geert Dancet written cntributin Executive Directr f the Eurpean Chemicals Agency (ECHA), Eurpean Cmmissin Backgrund EU Agencies have been set up in nearly all Member States t carry ut specific legal, technical r scientific tasks within the Eurpean Unin which wuld therwise have t be dne by the Member States r the Cmmissin. Regulatry Agencies wrk independently; they cllect and share infrmatin and add value by regulating specific markets and/r prviding advice t supprt plicy makers in their decisin making. The Directrs f EU agencies have established a netwrk ( the EU Agencies Netwrk ) t prvide a frum fr exchanging views and experiences n issues f cmmn interest and new develpments. Als in the field f preventin f cnflicts f interest, the EU Agencies Netwrk has prved t be an excellent frum fr exchanging best practices. This was f particular imprtance, as als the Eurpean Curt f Auditrs (ECA) fund in its special reprt 15/2012 that there is n cmprehensive EU legal framewrk fr the preventin f cnflicts f interest. In the absence f specific rules, each Agency has thus develped ver the years the rules and prcedures it fund necessary t guarantee its independence. This has lead t a situatin, where different Agencies have set up different implementing prvisins and prcedures with regard t their independence. In rder t cme t a mre cnsistent apprach an t better share best practices in this field, the EU Agencies Netwrk has recently dedicated a lt f its effrt and time n this subject, which already resulted in sme cncrete prpsals. In this respect the Agencies als welcmed the recmmendatin f ECA t the EU legislatr, pssibly in cnsultatin with ther EU Institutins, t further develp the EU regulatry framewrk in this regard. The EU Agencies are thus lking frward t the actins planned by the Cmmissin under the Radmap n the fllw-up t the Cmmn Apprach n Agencies and are willing t share the extensive experience built up ver the years. Hwever, at the same time the Agencies feel it is imprtant in this respect nt t fcus n the Agencies nly, but t place them int a cmmn EU framewrk with a gal f cming t a cmmn apprach shared between all the EU institutins. Activities f the EU Agencies Netwrk in the field f Cnflicts f Interest During 2011-2012 the Netwrk discussed at many ccasins the ways t share best practices in the field f preventin and management f cnflicts f interest. It als clsely fllwed the develpments linked t the audit f the Eurpean Curt f Auditrs f fur selected agencies. Als several sub-netwrks, such as the Heads f Administratin, the sub-netwrk f Legal Advisrs (IALN) and the sub-netwrk f Heads f Cmmunicatin and Infrmatin (HCIN), dedicated 28

Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Geert Dancet written cntributin specific attentin t the tpic in recent meetings. Mre in particular the IALN discussed the tpic f cnflicts f interest during its 2012 annual meeting (presentatins made by thse agencies that have already develped rbust plicies n preventin f cnflicts n interest). Als the 2012 annual training was dedicated t this tpic. Mrever, bth meetings f the IALN Civil Service Tribunal Wrking Grup (CST WG) in 2012 reserved time fr discussins and exchange f best practices in this field. In particular, mst discussins fcused n the bligatins under Article 16 f the Staff Regulatins (pstemplyment) and their difficult applicability and enfrceability in the Agency cntext, where temprary agents are the nrm. Fllwing the publicatin f the special reprt f ECA in Octber 2012, ECHA develped as mandated by the EU Agencies Netwrk a paper n the management f cnflicts f interest, including a checklist f the basic elements needed fr the preventin f cnflicts f interest (see annex I) and describing hw best practices can be shared. Additinally, the Heads f Agencies agreed t mandate the sub-netwrk f Legal Advisrs (IALN) t develp recmmendatins fr cmmn standards in the area f (pst)emplyment, cnsidering in particular the nature f cntracts nrmally ffered by agencies. Heads f Agencies als cnsidered the pssibility f the sub-netwrk f Heads f Cmmunicatin and Infrmatin (HCIN) t develp a tlbx with elements f best practice fr the websites f agencies, r ther cmmunicatin tls in the area f independence / cnflict f interest management. Checklist fr the preventin f cnflicts f interest A. Risk assessment The EU Agencies Netwrk prpsed that all Agencies perfrm a risk assessment befre develping their prcedures with regard t cnflict f interest preventin. A basic framewrk (i.e. cmpliance with the duties stemming frm the Agency s funding regulatin, the EU Financial Regulatin and the Staff Regulatins) may be sufficient fr Agencies which have nly lw risk levels t pssible cnflicts f interest, whereas Agencies with a higher risk level will prbably need t develp additinal implementing prcedures t cmplement that basic set f rules. Hereby, it is imprtant als t take int accunt the resurce implicatins that may be linked t implementing the cnflict f interest prcedures develped, as well as the capacity t attract the required high level experts and staff members t wrk with the Agency. B. Gvernance It is imprtant als t embed the prcedures fr preventing cnflicts f interest in the brader cntext f plicies and mechanisms deplyed in EU Agencies t deliver a reasnable guarantee f the independence f regulatry decisins and scientific/technical pinins. T this end, Agencies shuld als incrprate in their gvernance ther imprtant mitigatin actins which culd include, but nt t be limited t: implementing the general transparency rules (e.g. rules n access t dcuments); a cllegial decisin-making prcess; reaching scientific/technical pinins thrugh majrity adptin; systematic acknwledgement f minrity pinins; publicatin f meeting minutes and utcmes fr public scrutiny; and allwing regular bservers frm accredited stakehlder rganisatins t attend cmmittee r panel meetings. 29

Plicy Department D: Budgetary Affairs C. Checklist The requirements freseen in each Agency s funding regulatin, cmbined with the requirements stemming frm the EU Financial Regulatin and the Staff Regulatins can be seen as the minimum requirements that need t be implemented by all Agencies. Based n the risk assessment mentined abve, each Agency shuld subsequently decide whether it needs t develp mre scaled-up plicies and prcedures r nt. The checklist in Annex I, adpted by the EU Agencies Netwrk in Octber 2012, cntains pssible elements that an Agency might have t develp fr the varius ppulatins wrking fr it r with it. Based n an Agency s risk prfile, its structure and its statutry requirements, each Agency can select frm the list the relevant prcedures and develp a cnflicts f interest preventin package, custmised t its specific needs. Cperatin with ther EU institutins and bdies The special reprt f ECA recmmends: t the EU legislatr, pssibly in cnsultatin with ther EU Institutins, giving cnsideratin t further develpment f the EU regulatry framewrk dedicated t management f cnflict f interest situatins, using the OECD Guidelines and existing best practice as references. t all EU Institutins and decentralised bdies, examinatin f whether the recmmendatins f the Curt s reprt are relevant and applicable t them. In this cntext, the Cmmissin has included a number f element n cnflicts f interest management int its Radmap n the fllw-up t the Cmmn Apprach n Agencies, f which the mst imprtant will be the develpment f Guidelines fr Agencies fr a cherent plicy n the preventin and management f cnflicts f interest fr members f the Management Bard and Directrs, experts in scientific cmmittees, and members f Bards f Appeal. While the Agencies regret the unilateral fcus n the Agencies, withut embedding them int a cmmn EU regulatry framewrk shared by all EU institutins, they are willing t share their best practices with the ther EU institutins and t prvide their full supprt in the develpment and implementatin f such guidelines. * Case study the ECHA apprach t preventin and management f cnflicts f interest The independence and transparency f decisin making is extremely imprtant fr the Eurpean Chemicals Agency (ECHA) and is therefre reflected in the Agency s values. ECHA's wrk and decisins are crucial fr the prtectin f human health and the envirnment and they can als have a significant impact n individual cmpanies. It is essential that, in taking thse decisins, ECHA acts transparently, independently and takes impartial and science-based decisins. 30

Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Geert Dancet written cntributin Crnerstnes f the ECHA apprach Transparency ECHA fsters a culture f transparent decisin-making. Besides its initiatives in actively disseminating infrmatin n registered chemical substances and the publicatin f scientific decisins, ECHA cnducts a public cnsultatin in many regulatry prcesses befre adpting final decisins r pinins, while it allws its stakehlders t take part in the regular meetings f its scientific cmmittees. All minutes f its decisin-making bdies are publicly available via the website. Such minutes als cntain the interests declared by any f the members, as well as the nature f the interests, the agenda pint cncerned and the mitigating actins taken. Imprtantly, ECHA als publishes the annual declaratins f interest f all the members f its Management Bard, scientific cmmittees, Bard f Appeal and the management f the Agency (Executive Directr, Directrs and Heads f Unit) n its website (verall mre than 200 declaratins), where a dedicated sectin als gives a full picture f the plicies and prcedures in place t guarantee independent decisin-making. Awareness Cntinuus awareness raising n the imprtance f the independent functining f the Agency is a crucial element in any cnflict f interest preventin plicy. A deeply embedded culture f independent, science-based decisin-making is ften mre effective than cmplex prcedural safeguards. Therefre, ECHA pays specific attentin t awareness and training f its staff. All newcmers are intrduced t the subject already at their first day at the Agency as they receive guidance t fill in their first annual declaratin f interest. Subsequently training n preventin f cnflicts f interest is prvided at regular intervals and attendance is even made cmpulsry fr all staff and the management. Als the ECHA bdies are nt frgtten and cnflict f interest has recently been high n the agenda f several meetings f the ECHA Management Bard and f the scientific cmmittees. Independence - rbust plicies and prcedures Anyne taking up a psitin in ECHA needs t cmplete a detailed declaratin f interests befre he r she can start t wrk fr the Agency. The declaratins received are then reviewed by the supervisr f the staff member f by the Chair f the relevant scientific cmmittee t detect any ptential issues. A similar check is dne every time a task is assigned fr all activities requiring interest management. The declaratins are updated annually, r whenever the interests have changed. As a general principle, staff members are nt assigned tasks related t rganisatins in which they have past r current interests. Fr example, staff members will nt be assigned tasks related t a cmpany fr which they have wrked fr in recent years, r in which they therwise have an interest. The same hlds fr the members f ECHA's scientific cmmittees r ther bdies: they will nt be able t participate in the decisin r pinin making related t substances r rganisatins in which they have an interest. Hereby, the Agency can ensure that unbiased and science based decisins are taken at all times. The Agency als has a Cnflicts f Interest Advisry Cmmittee t supprt the Agency's Executive Directr and the Management Bard in ensuring independence f decisin making. 31

Plicy Department D: Budgetary Affairs The main elements f ECHA s plicy n preventin f cnflicts f interest are the fllwing: Overall ECHA bdies ECHA staff ECHA Plicy fr Managing ptential Cnflicts f Interest; New, mre detailed template fr declaratins f interest, cvering all pssible private interests f the individuals wrking fr the Agency (r their families): Emplyment, cnsultancy, legal representatin r advice; Membership f Managing Bdy, Scientific Advisry Bdy r equivalent structure; Other membership r affiliatin; Research funding; Investments; Intellectual Prperty; Public statements and psitins; Other relevant infrmatin; New guidance fr filling in declaratins f interests; Publicatin n the website f the declaratins f interest f the members f the ECHA bdies and f the ECHA managers; Cnflicts f Interest Advisry Cmmittee established June 2012, cnstituent meeting August 2012; Rules f Prcedure and Cdes f Cnduct fr the Management Bard, the scientific cmmittees and the Bard f Appeal, including essential elements n independence; Eligibility criteria established fr the Executive Directr and the members f the ECHA bdies (Management Bard, scientific cmmittees and the Bard f Appeal); Annual declaratins f interest, screened fr ptential cnflicting situatins; Ad hc declaratins f interest, related t a specific agenda pint at a meeting; Implementing rules (wrk instructin) f the Bard f Appeal, including a written mechanism t check the absence f cnflicts f interest, prir t the allcatin f an appeal case t a member f the Bard. Such checks are dcumented and stred in each case-file; Cde f Gd Administrative Behaviur; Annual declaratins f interest, screened fr ptential cnflicting situatins; Implementing rules (wrk instructin) n preventin f cnflicts f interest, describing in which circumstances a cnflict f interest check needs t be undertaken when assigning specific tasks t ECHA staff members. Such checks are dcumented and stred in each case-file; Guidance fr managers n the preventin f cnflicts f interest, including cncrete assessment criteria; 32

Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Geert Dancet written cntributin Implementing rules (wrk instructin) n prcessing infrmatin n ptential cnflicts f interest f ECHA staff, describing hw t deal with ptential cnflicts f interest (breach f trust prcedure); Revised guidelines n gifts and hspitality fr staff; Prcedure fr applicatin fr apprval f the appinting authrity fr utside activities and assignments; Prcedure fr applicatin fr apprval f the appinting authrity f ccupatinal activities after leaving the service (pst-emplyment); Specific prcedures fr prcurement and selectin prcedures. 33

Plicy Department D: Budgetary Affairs Annex I. Checklist fr the preventin f cnflicts f interest The requirements freseen in each Agency s funding regulatin, cmbined with the requirements stemming frm the EU Financial Regulatin and the Staff Regulatins can be seen as the minimum requirements that need t be implemented by all Agencies. Based n a risk assessment, each Agency shuld subsequently decide fr itself whether it needs t develp mre scaled-up plicies and prcedures in this respect r nt. The checklist cntains pssible elements that an Agency might have t develp fr the varius ppulatins wrking fr it r with it. Based n an Agency s risk prfile, its structure and its statutry requirements, each Agency can select frm the list the relevant prcedures and develp a cnflicts f interest preventin package, custmised t its specific needs. 1. Overall Agency plicy A high-level plicy dcument utlining amng ther things: Scpe Definitin f CI See e.g. OECD Guidelines General rules / prcedures 2. Implementing rules / prcedures 2.1 Staff (incl. SNEs and pssibly trainees) a) Basic framewrk Staff Regulatins and implementing rules theret (e.g. with regard t disciplinary prceedings, whistleblwing prcedures, utside activities and assignments, etc., see belw) Cde f Gd Administrative Behaviur fr staff / Cde f Cnduct see e.g. COM Cde f Gd Behaviur (relatins with the public) b) Recruitment / screening f candidates Prcedure fr aviding CI during selectin (e.g. statement f absence f interests by panel members) Check ptential CI befre assigning newly recruited staff t a pst c) During emplyment Declaratins f interest annual declaratins specific declaratins see e.g. template used at EMA, EFSA, ECHA r EASA Assessment criteria which interests allwed/nt allwed? what are the cnsequences? 34

Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Geert Dancet written cntributin Prcedure fr preventin/detectin/checking CI intrduce CI checks befre assigning tasks Breach f trust prcedure Cmpulsry training prcedure fr handling CI incidents administrative inquiries and disciplinary prceedings whistleblwing prcedures training fr newcmers regular traing fr staff regular training fr managers Outside activities and assignments prcedure fr requesting apprval appinting authrity dedicated frm Gifts and invitatins see e.g. COM decisin C(2004)1597 see e.g. COM guidelines d) Pst emplyment (in accrdance with Art. 16 Staff Regulatins) Prcedure fr requesting apprval appinting authrity fr new emplyment Dedicated frm see e.g. COM template Slemn statement t cmply with duties f Staff Regulatins als after end f service see e.g. COM template 2.2. External Experts / Cmmittees / Panels (appinted by Agency) (if applicable) a) Basic framewrk Rules f prcedure fr Cmmittees / Panels Cde f Cnduct fr members b) Screening f candidates befre appintment Eligibility criteria Screening befre appintment c) During engagement Declaratins f interest annual declaratins specific declaratins see e.g. template used at EMA, EFSA, ECHA r EASA 35

Plicy Department D: Budgetary Affairs Assessment criteria which interests allwed/nt allwed? what are the cnsequences? Prcedure fr preventin/detectin/checking CI Breach f trust prcedure Cmpulsry training Gifts and invitatins prcedure fr handling CI incidents e.g. via Cde f Cnduct d) Measures fr the time after the engagement with the Agency E.g. via Cde f Cnduct e) Criteria fr stakehlder participatin Stakehlder invlvement in Cmmittees / Panels as bservers Cde f Cnduct fr stakehlder bservers 2.3. Management Bard / appintments by EU institutins r MS a) Basic framewrk Rules f prcedure fr Management Bard / Cmmittees appinted by EU institutins r MS Cde f Cnduct fr members b) Appintment Guidelines fr eligibility c) During engagement Declaratins f interest annual declaratins Assessment criteria specific declaratins see e.g. template used at EMA. EFSA, ECHA r EASA which interests allwed/nt allwed? what are the cnsequences? Prcedure fr preventin/detectin/checking CI Breach f trust prcedure Cmpulsry training Gifts and invitatins prcedure fr handling CI incidents 36

Cnflict f Interest management: EU Agencies and public bdies mving frward Mr Geert Dancet written cntributin e.g. via Cde f Cnduct d) Measures fr the time after the engagement with the Agency E.g. via Cde f Cnduct 2.4. Bard f Appeal (if applicable) If Agency staff: see implementing rules fr staff If external experts: see implementing rules fr external experts 3. Outsurcing / prcurement Prcedure fr preventin/detectin/checking CI fr utsurced tasks (e.g. t MS) Prcedure fr preventin/detectin/checking CI during prcurement Rules fr interims Rules fr cnsultants 4. Cnfidentiality e.g. statement f absence f interests by panel members e.g. applicatin by analgy f rules fr staff e.g. declaratin f interest Declaratin f cnfidentiality fr all external experts, Cmmittee / Panel / Management Bard members and bservers pssibly als fr staff Cdes f Cnduct fr staff, external experts, Cmmittee / Panel / Management Bard members and bservers 5. Transparency Open cmmunicatin n independence Publicatin f plicies, implementing rules, etc. n website Publicatin f declaratins f interest n website Publicatin f minutes f meetings (incl. interests declared and measures taken) n website Invlvement f stakehlders public cnsultatins, pssibility t attend cmmittee / panel meetings as bservers, etc. 37

Plicy Department D: Budgetary Affairs Cnflict f Interest management: EU Agencies and public bdies mving frward Prf. Christph Demmke written cntributin Eurpean Institute f Public Administratin (EIPA), Maastricht 38