Council of the
European Union
Brussels, 8 December 2020
(OR. en)
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INST 294
'I' ITEM NOTE
From:
Presidency
To:
Permanent Representatives Committee (Part 1)
Subject:
Interinstitutional agreement on a mandatory Transparency Register
- State of play and guidance for further work
I. INTRODUCTION
1.
The Transparency Register concerns the contacts between the Commission, the Council and
the European Parliament (EP), on the one hand, and interest representatives, on the other
hand. On 28 September 2016, the Commission presented its proposal for a new, tripartite
Interinstitutional Agreement (IIA) on a
mandatory Transparency Register1, in order to replace
the current bilateral
voluntary one2.
2.
The main objective of the proposal is to establish a framework for transparent interactions
between interest representatives and the three EU institutions. The registration of interest
representatives in the Transparency Register should become a precondition for activities with
decision-makers in the three EU institutions ('conditionality principle').
1 12882/16.
2 In 2011, the Commission and the European Parliament signed an IIA
establishing a common Transparency Register,
providing for
voluntary registration of lobbyists, revised in 2015. The Council decided not to participate but made a
unilateral statement, expressing its support. In 2014, President Juncker included the establishment of a
mandatory Transparency Register in his political priorities.
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II. WORK IN THE EUROPEAN PARLIAMENT
3.
In June 2017, the European Parliament Conference of Presidents (CoP) adopted the EP
negotiating mandate3, revised in June 20184.
4.
In April 2020, the CoP appointed its negotiators for the new legislative term 2019-2024 -
Katarina BARLEY (S&D, DE), Vice-President in charge of transparency, and Danuta
HÜBNER (EPP, PL). A Contact group with political groups' representatives was also
established.
III. WORK WITHIN THE COUNCIL
5.
The Permanent Representatives Committee approved, and made public, the Council's
negotiating mandate in December 20175. It consists of a package of two instruments - a draft
IIA (amended Commission proposal)6 and a draft Council decision
(new document)7.
6.
The file was intensively discussed by the General Affairs Working Party since September
2016. The Presidency regularly reported to delegations on the interinstitutional negotiations.
IV. INTERINSTITUTIONAL NEGOTIATIONS
7.
After two preliminary political level meetings during the Estonian Presidency, negotiations
started in January 2018. Twenty-one technical level and seven political level meetings took
place until December 2020.
8.
The Romanian Presidency presented to the Permanent Representatives Committee a progress
report in June 2019
8. Under the new legislature, negotiations resumed in June 2020 and
continued intensively during the German Presidency.
V. MAIN ISSUES
9.
The scope (who should be committed by the conditionality principle) was a central issue in
the negotiations. The Commission called in particular on
binding commitments for MEPs and
the Council Presidency (Permanent Representatives and Deputies of current and incoming
Presidencies). The Council mandate provided for coverage of the GSC (Secretary-General
3
http://www.europarl.europa.eu/RegData/publications/reg/2017/602260/EP-PE_REG(2017)602260_XL.pdf
4
http://www.epgencms.europarl.europa.eu/cmsdata/upload/2018_06_27_EP_transparency_package_-
_proposals_to_strengthen_conditionality.pdf
5 15173/17.
6 15332/17, 15332/17 COR1, 15332/17 COR2.
7 15336/17.
8
9688/19.
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and Directors-General, as in the proposal), while considering that interactions between
interest representatives and Member States' organs (including Permanent Representatives, and
including at regional and local levels) are under the exclusive competence of the respective
Member State and should not be subject to the conditionality principle via an IIA9. The EP
shared the Council's approach on
voluntary commitments, specific for each institution. It
opposed the inclusion of MEPs, due to concerns over their 'freedom of mandate', but
gradually included in its Rules of Procedure (RoPs) provisions incentivising voluntary
commitments10.
10.
Legal architecture: there were different views on the instruments through which the
institutions' respective conditionality commitments should be taken. The three Legal Services
finally found together a legally sound solution.
11. The issues of
staffing, resources and organisation of the Secretariat, as well as the role of
the Managing Board
were also intensively discussed.
VI. STATE OF PLAY AND CONCLUSIONS
12. Since June 2020, a new impetus has been given to negotiations, which made it possible to find
mutually acceptable solutions on the outstanding issues. The Commission agreed to take into
account the specificities of each institution, as suggested by the Council and the EP. The
Presidency considers that it found practical, sound and cooperative solutions during the
intensive negotiations, while staying within and defending the negotiating mandate.
13. Several parts of the compromise were provisionally agreed at political level between the three
institutions in November and December 2020. On 30 November, they reached a provisional
agreement at technical level on the whole compromise package, and on 7 December 2020 the
political negotiators tentatively endorsed the provisions on the key issue of the conditionality,
paving the way for a political agreement.
14. The package provisionally agreed includes an IIA on a mandatory Transparency Register, as
set out in the Annex to this note, as well as a political statement by the signatory institutions11.
A draft Council decision regulating the contacts between the interest representatives and the
General Secretariat will also be submitted for adoption in parallel, as part of the overall
9 Based on the Council Legal Service opinion, issued in January 2017 (5151/1/17).
10
MEPs
should adopt the systematic practice of only meeting registered lobbyists (i.e. voluntarily) and
should also
publish information on these meetings. More constraining commitments for rapporteurs, shadows and committee
Chairs were included in the EP RoPs, as revised in January 2019 (legislative footprint principle).
11
13813/2020.
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package
12. A political declaration on additional voluntary commitments of Member States
will complete it.
15. The Presidency reported to the Working Party on General Affairs on this outcome on
8 December 2020. A final meeting at political level to confirm the political agreement on the
overall package is expected to take place mid-December, subject to prior acceptance by
Permanent Representatives Committee.
16. The Permanent Representatives Committee is therefore invited to endorse the draft
compromise package, with a view to a political agreement.
12 13663/20
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ANNEX
COMPROMISE PACKAGE AT TECHNICAL LEVEL FOR THE ATTENTION OF THE
POLITICAL NEGOTIATORS
AGREEMENT ON A MANDATORY TRANSPARENCY REGISTER
Agreement between the European Parliament, the Council of the European Union and the
European Commission on a mandatory transparency register
THE EUROPEAN PARLIAMENT, THE COUNCIL OF THE EUROPEAN UNION AND THE
EUROPEAN COMMISSION
Having regard to the Treaty on the Functioning of the European Union (TFEU), in particular Article
295 thereof, and the Treaty establishing the European Atomic Energy Community (EURATOM), in
particular Article 106a thereof,
Whereas:
(1) The European Parliament, the Council of the European Union and the European Commission
('the three
signatory institutions') maintain an open, transparent and regular dialogue with
representative associations and civil society in accordance with the Treaty on European Union
(TEU), in particular Article 11(1) and (2) thereof.
(2) This openness allows for all stakeholders to present their views on decisions that may affect
them and hence contribute effectively to the evidence base on which policy proposals are made.
Engaging with stakeholders enhances the quality of decision-making by providing channels for the
input of external views and expertise.
(3) The three
signatory institutions affirm that transparency and accountability are essential to
maintain the trust of European citizens in the legitimacy of the political, legislative and
administrative processes in the Union.
(3a) (new) The signatory institutions recognise the importance of coordinating their approach in
order to further promote transparent and ethical interest representation through the adoption of
a joint framework for their cooperation.
(4) Transparency of interest representation is especially important in order to allow citizens to
follow the activities and potential influence of interest representatives
, including through financial
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support and sponsorship. The three
signatory institutions consider that such transparency is best
ensured by a C
code of C
conduct which contains the rules and principles applicable to
be observed
by interest representatives signing up to
the a Transparency Register
(‘register’) and, thereby, to the
Code.
(5) In view of the positive experience with the Transparency Register for organisations and self-
employed individuals engaged in EU policy-making and policy implementation established by the
agreement of the European Parliament and the European Commission of 16 April 2014
1, the three
signatory institutions consider that such an agreement should be extended in an appropriate way.
(6) The three
signatory institutions recognise the necessity to establish a mandatory Transparency
Register ('
make the register
mandatory ') by
adopting, by means of individual decisions, measures
of equivalent effect that mak
e ing
registration in the register a necessary precondition for
carrying out certain types of
interest representation activities. interactions with them conditional
upon prior registration, thereby making registration a
de facto precondition for interest
representation, and thus ensuring that such representation occurs according to the rules and
principles enshrined in the Code of Conduct.
(6a) (new) In order to further strengthen the joint framework and build on the progress made in
establishing a common transparency culture, the signatory institutions should publish on the
website of the register conditionality and complementary transparency measures they have
adopted to encourage registration, such as dedicated mailing lists, the recommendation that
certain decision-makers meet only registered interest representatives or the publication of
meetings between certain decision-makers and interest representatives.
(6b) (new) This agreement should make arrangements for the benefit of other Union institutions,
bodies, offices and agencies or Member States’ permanent representations, who voluntarily wish
to apply the operating principles of the joint framework so as to promote this agreement beyond
the signatory institutions.
(6c) (new) In order to avoid unnecessary administrative burden and in line with current practice
as regards registration, activities carried out by interest representatives exclusively on behalf of
and in the name of an association or network they are a part of are considered to be activities of
that network or association.
1 Agreement between the European Parliament and the European Commission on the transparency
register for organisations and self-employed individuals engaged in EU policy-making and
policy implementation, OJ L 277, 19.9.2014, p. 11.
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(6d) (new) Activities of public authorities of the Member States, as well as of any association or
network of public authorities acting on their behalf at the Union, national or subnational level,
should not be covered by this Agreement, although associations and networks of public
authorities at the Union, national or sub-national level engaging in interest representation
activities can register.
(7) The three institutions respond hereby to the need to adopt as swiftly as possible an
interinstitutional agreement establishing a mandatory register, in accordance with the European
Parliament's resolution of 28 April 2016 on public access to documents
2.
(7 a) (new) The practice of the adoption of an annual report on the operations of the register
should be maintained as a tool to ensure the appropriate visibility of the coordinated approach
and to bolster citizens’ trust; at the same time, the content of the report should be expanded to
cover conditionality and complementary transparency measures adopted by the institutions.
(8) The operation of this register
should shall not impinge on the competences of any of the three
signatory institutions or affect their respective internal organisational powers, without prejudice to
the agreement they shall conclude in respect of the modalities on their contributions to the
administrative and financial resources of the Secretariat of the register.
(8a) (new) In the exercise of their respective power of internal organisation, the signatory
institutions have delegated to the Secretariat and the Management Board the power to act on
their behalf for the adoption of individual decisions concerning applicants and registrants in
accordance with this agreement. The signatory institutions should be co-defendants with regard
to any legal action brought before the competent Union Courts against final decisions of the
Management Board adversely affecting applicants or registrants.
(9) The three
signatory institutions
should shall act in mutual sincere cooperation in implementing
this agreement.
(10) Any of the three
signatory institutions may pursue other good governance and transparency
policies outside the framework of this agreement to the extent that such policies do not interfere
with the implementation and the objectives pursued by this agreement.
2 Resolution of 11 March 2014 on public access to documents (Rule 104(7)) for the years 2011-2013), text adopted
P8_TA(2016)0202.
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(11) Th
is e agreement
should shall be without prejudice to the exercise of rights under Article 11(4)
TEU (European citizens' initiative) and Article 227 TFEU (the right to petition the European
Parliament),
AGREE AS FOLLOWS:
Article 1
Purpose and scope of the interinstitutional agreement
This interinstitutional agreement establishes a framework
and operating principles for a
coordinated approach of the signatory institutions on transparent and ethical interaction between
interest
representation representatives engaging in activities covered by this agreement and any of
the three institutions.
By
means of individual decisions taken out of their power of internal organisation, the signatory
institutions agree to implement the coordinated approach with regard to the activities covered by
this agreement (‘activities covered’) and to define the activities that they decide to make
conditional upon registration in the register.
Article 2
Definitions
For the purposes of this interinstitutional agreement, the following definitions shall apply:
a) '
Interest representatives' shall means any natural or legal person, or formal/
and informal groups,
associations or networks thereof, engaging in activities covered by this agreement;
b) '
Applicant' shall refer to means any interest representative applying to join the register;
c) '
Registrant' shall refer to means any interest representative with an existing entry in the register;
d)
'Client' shall means an interest representative that has instructed
entered into a contractual
relationship with an intermediary to represent the client's own interests
concerning the provision of
activities covered vis-à-vis any of the three institutions;
e)
'Intermediary' shall means an interest representative that represents the interests of a client
concerning the provision of activities covered vis-à-vis any of the three institutions;
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f) '
Client – intermediary relationship' shall means
any contractual relationship between a client and
an intermediary one or more service (sub)providers concerning the provision of a
ctivities covered
activity;
g) '
Officials Staff' shall refer to means all categories of staff
subject to the staff regulations3 of any
of the three
signatory institutions.
h) (
new) ‘Conditionality’ means the principle whereby registration in the register is a necessary
precondition for interest representatives to carry out certain activities covered.
Article 3
Activities covered and not covered by the interinstitutional
1) This agreement applies to activities which promote certain interests by interacting with any of the
three signatory institutions, their members or officials,
carried out by interest representatives with
the objective of influencing the formulation or implementation of policy or legislation, or the
decision-making process
es within these
of the Union institutions, unless an exception defined in
paragraph 2 or in
without prejudice to Article 4 applies.
2) In particular, those activities may include:
‒
organisation of or participation in meetings, conferences or events as well as any similar
contacts with Union institutions;
‒
contribution or participation in consultations, hearings or other similar initiatives;
‒
communication campaigns, platforms, networks and grassroots initiatives; ‒
preparation or commissioning of policy and position papers, amendments, opinion polls
and surveys, research work, open letters and other communication or information
material.
Article 4
Activities not covered
2
1) The following activities are not considered to be activities in the sense of
Article 3 paragraph 1:
a) The provision of legal and other professional advice in the context of a client-
intermediary relationship, where:
3
The Staff Regulations of Officials of the European Union and the Conditions of
Employment of Other Servants of the Union, laid down in Council Regulation (EEC,
Euratom, ECSC) No 259/68, OJ L 56, 4.3.1968, p. 1.
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— it consists of representation in the context of a conciliation or mediation procedure
aimed at preventing a dispute from being brought before a judicial or administrative
body;
— it consists of advice given to clients to help them ensure that their activities
comply with the existing legal framework; or
— it relates to representing clients and safeguarding their fundamental or procedural
rights, such as the right to be heard, the fundamental right of a client to a fair trial,
including the right of defence in administrative proceedings, such as activities
carried out by lawyers or by any other professionals involved therein.
b) Submissions made as a party or a third party in the framework of a legal or administrative
procedure established by E
Union law or by international law applicable to the Union and
submissions based on a contractual relationship with the institution or based on a grant
agreement financed by E
Union funds.
c) Activities of the social partners as participants in the social dialogue pursuant to Article
152 TFEU.
d) Submissions made in response to direct and specific requests from any of the
Union three
institutions, their members
representatives or
staff officials, such as requests for factual
information, data or expertise.
e)
Activities carried out by natural persons in a strictly The communication of citizens,
acting solely in their personal capacity
and not acting in association with others, with any
of the three institutions.
f) Spontaneous meetings, meetings of a purely private or social character and meetings
taking place in the context of an administrative procedure established by the Treaties or
Union acts.
2) This agreement does not cover the activities carried out by the following bodies:
Article 4
Bodies not covered by the interinstitutional agreement
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1
a) Political parties are exempt from registration. However, any organisations created or
supported by them which are engaged in activities covered are not exempt from registration.
2
b) Churches and religious associations or communities as well as philosophical and non-
confessional organisations foreseen in Article 17 TFEU are exempt from registration.
However, the representative offices or legal entities, offices and networks created to
represent churches, religious communities or philosophical and non-confessional
organisations in their relations with the EU institutions, as well as their associations,
are not
exempt from registration.
3
a) The p
Public authorities of the Member States (including their permanent representations
and embassies), at national and subnational level., are exempt from registration,
. as well as
any
b) Association
s of public authorities,
as well as their networks, at the European
Union,
national or subnational level, under the condition that they act uniquely on behalf of the
relevant public bodies.
4) The public authorities of third countries, (including their diplomatic missions and
embassies) are exempt from registration.
5
c) Intergovernmental organisations, including agencies and bodies emanating from them, are
exempt from registration.
d) Public authorities of third countries
, including their diplomatic missions and embassies
are exempt from registration.
However, activities carried out by legal entities, offices and
networks representing such authorities, without diplomatic status or through an
intermediary, are covered.
e) Political parties are exempt from registration
. However,
activities carried out by any
organisations created or supported by
or affiliated with them,
are covered which are
engaged in activities covered are not exempt from registration.
2
f) Churches and religious associations or communities as well as philosophical and non-
confessional organisations foreseen
provided for in Article 17 TFEU.
are exempt from
registration
. However,
activities carried out by the representative offices or legal entities,
offices and networks created to represent churches, religious communities or philosophical
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and non-confessional organisations in their relations with the
EU
Union institutions
, as well
as their associations,
are
covered. not exempt from registration.
Article 5
Conditionality and complementary transparency measures Interactions upon registration
1) The three
signatory institutions agree
commit to the principle of conditionality, which they shall
implement by means of individual decisions taken out of their power of internal organisation.
1a) When adopting conditionality measures, or complementary transparency measures to
encourage registration and strengthen the joint framework, the signatory institutions shall
ensure that those measures are consistent with this agreement and reinforce the objective of the
coordinated approach of setting a high standard of transparent and ethical interest
representation at Union level. to make
the following types of interaction conditional upon prior
registration
. of interest representatives:
In the European Parliament
‒ Access to Parliament buildings: eligibility for applying for long-term access passes to the
European Parliament premises of individuals representing, or working for, interest
representatives;
‒ Committee public hearings: possibility for interest representatives to be invited to speak at a
committee hearing as a guest, without prejudice to the provisions of Article 3(2)(b);
‒ Patronage: granting of patronage to events organised by interest representatives;
‒ Meetings: meetings between interest representatives and Members of the European
Parliament
, ('MEPs'), the Secretary-General, Directors-General and Secretaries-General of
political groups;
‒ Events: hosting of events organised by interest representatives on the European Parliament's
premises;
‒ Notices: sending of automatic messages about the European Parliament's activities to interest
representatives.
In the Council of the European Union
‒ Meetings: meetings between interest representatives and the Ambassador of the current or
forthcoming Presidency of the Council of the EU, as well as their deputies in the Committee
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of the Permanent Representatives of the Governments of the Member States to the European
Union, the Council's Secretary-General and Directors-General;
‒ Notices: sending of automatic messages about the Council’s activities to interest
representatives.
In the European Commission
‒ Meetings: meetings between interest representatives and
members of the Commission, their
Cabinet members and Directors-General;
‒ Expert groups: appointment of certain types of expert group members;
4
‒ Public consultations: sending of automatic alerts about the Commission’s consultations to
interest representatives; the Commission will differentiate between registered and non-
registered entities by publishing their contributions separately;
‒ Patronage: granting of patronage to events organised by interest representatives;
‒ Mailing lists: sending of alerts by means of mailing lists to interest representatives about
certain Commission activities.
2) Each of three institutions shall take the necessary internal measures to give effect to the types of
conditionality referred to in paragraph 1.
3) Each institution may decide to make other types of interaction
conditional upon registration, as
long as these additional types of conditionality have the aim of further strengthening the current
framework.
4) The types of c
Conditionality
and complementary transparency measures adopted by the
signatory institutions referred to in paragraphs 1 and 3 shall be made public on a dedicated
the
web
site page of the register
, which shall be regularly updated.
4
This refers to individuals appointed to represent a common interest shared by stakeholders in a particular policy
area, who do not represent an individual stakeholder, but a policy orientation common to different stakeholder
organisations ('Type B members') and to organisations in the broad sense of the word, including companies, associations,
NGOs, trade unions, universities, research institutes, law firms and consultancies ('Type C members'), as laid down in
Commission Decision C(2016) 3301 of 30.5.2016.
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Article 6
Eligibility and code of conduct registration of applicants
1) When applying for registration, a
Applicants
who submit a complete registration are eligible to
join the register when they need to demonstrate their eligibility in terms of carrying out activities
covered by this agreement
in accordance with the code of conduct set out in Annex III (‘code of
conduct’).
2) To this effect, a
Applicants need to
shall provide the information detailed
listed in Annex II, and
to agree for that information to be in the public domain.
3) Applicants may be requested to present supporting documents demonstrating
demonstrate their
eligibility and the accuracy of the information submitted.
4) Applicants are entered into the register as registrants
The Secretariat shall activate an
applicant’s registration once their eligibility has been established and the registration is considered
to satisfy the provisions of Annex II regarding information to be provided
. Consequently, the
applicant becomes a registrant.
Article 7
The Code of Conduct applicable to registrants and its enforcement
1) The rules and principles that the registrants need to comply with are laid down in the Code of
Conduct annexed to this agreement (Annex III). By registering, registrants agree to abide with these
rules and principles.
5) As provided in the Code of Conduct, a failure to comply with its provisions may be subject to
investigations and measures laid down in
The Secretariat shall monitor registrations and evaluate
registrants’ eligibility and observance of the code of conduct in accordance with the procedures
set out in Annex IV to this agreement.
6) The Secretariat may carry out I
investigations
concerning a registrant’s alleged ineligibility or
a registrant’s alleged non-observance of the code of conduct, either on the basis of a may be
carried out following complaint s received or
on at the Secretariat's
its own initiative.
The three institutions shall take the necessary internal measures to apply any measures imposed in
accordance with Annex IV.
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7) As provided in the Code of Conduct,
In the context of the Secretariat’s monitoring or an
investigation, registrants shall in particular:
a) present, if requested, the documents and any other supporting materials demonstrating that the
information submitted is
they have kept the information relating to their registrations
accurate;
and
b) agree to cooperate sincerely and constructively with
under the procedures laid down in Annex
IV. requests for clarification and updates;
‒ accept that they may be subject to the investigation procedures and, where applicable,
measures laid down in Annex IV.
Article 8
Management Board of the register
1) The Management Board of the register shall consist of the Secretaries-General of the three
signatory institutions
, who shall chair it on a rotating basis for a term of one year.
2) The Management Board shall:
a) oversee the overall implementation of this agreement by the Secretariat
, determine the
annual priorities as well as the budget estimates and share required for the
implementation of those priorities, and issue general instructions to that effect
the
Secretariat;
b) adopt the annual report referred to in Article 13a;
‒ approve the rules of procedure of the Secretariat;
‒ approve the issuance of guidelines as provided for in Article 9(4);
c) examine and decide upon reasoned requests for review, submitted by registrants, of the
Secretariat's decisions as laid down in
in accordance with Annex IV. to this agreement.
d) accept
notifications for voluntary involvement under Articles 12 and 13 of the agreement;
2a) The Management Board shall meet at least annually at the initiative of its Chair. It can also
meet upon request of one of its members.
3)
The Management Board shall decide by consensus
.
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4) The Management Board may adopt rules of procedure governing the exercise of its
responsibilities.
Article 9
The Secretariat of the register
1) The Secretariat is
shall be a joint operational structure
set up to manage the functioning of the
register. It shall be made up of
the heads of the unit (or equivalent) responsible for transparency
issues of each signatory institution and their respective staff. a Coordinator and the members of
the Secretariat, which reports directly to the Management Board.
2) The Secretariat shall operate under the coordination of
one of the heads of unit (or equivalent)
referred to in paragraph 1, who is nominated as “Coordinator” by the Management Board for a
renewable term of one year. an official in the Secretariat-General of the European Commission
('the Coordinator'). The members of the Secretariat shall be staff of the European Parliament, the
Council and the European Commission seconded to the Secretariat by their respective institutions.
The Coordinator
shall
represent assume the overall responsibility for the work of the Secretariat
and oversee
its the day-to-day operations
work,
in the common interest of the signatory
institutions.
3) The main tasks of the Secretariat shall be:
‒ drafting the rules of procedure of the Secretariat, for approval by the Management Board;
a) reporting to the Management Board,
prepare its meetings and assist it in its tasks on the
overall implementation of this agreement;
b) establish guidelines for registrants, to ensure the consistent application of this agreement;
c) monitoring the content of the register and ensuring that only eligible applicants are
registered
decide upon the eligibility of applicants, with the aim to achieve an optimal level
of data quality in the register, with
on the understanding, however, that registrants are
ultimately responsible for the accuracy of the information they have provided;
d) provide ing helpdesk support to
applicants and registrants;
e) carrying out investigations, removing registrations and adopting
apply measures in
accordance with Annex IV to this agreement;
f)
undertake communication and organising awareness-raising actions
towards stakeholders;
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g) producing
draft an
the annual report
referred to in Article 13a for the preceding calendar
year;
h) ensur
e ing
the
IT development and maintenance of the register website and online
registration form, as well as other related IT resources;
i) exchang
e ing
best good practice
s and experience in
concerning the transparency of interest
representation with similar bodies;
j) carrying out any other activities necessary for the implementation of the present
this
agreement.
4) The Secretariat
shall decide by consensus of the heads of unit (or equivalent) may propose for
the approval of the Management Board guidelines for registrants to ensure the consistent
application of Articles 2 to 6 (definitions, activities, bodies not covered, interactions conditional
upon registration, eligibility and registration of applicants), as well as of the annexes of this
agreement.
Article 10
Empowerment Decision
The three institutions shall establish the Secretariat and the Management Board by means of a
separate Decision, commonly adopted by the three institutions before the entry into force of this
Agreement.
The Management Board and the Secretariat shall be empowered to carry out the tasks assigned
to them pursuant to Article 8 and 9 and, when exercising those responsibilities, to adopt decisions
on behalf of the signatory institutions.
Article 11
Resources
1) The three
signatory institutions shall ensure that the Secretariat has at its disposal the
necessary
human, administrative
, technical and financial resources required
are made available for
an
effective implementation of this agreement proper implementation of its tasks,
including adequate
staffing for the Secretariat.
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2) The three institutions shall provide the necessary human resources to the Secretariat in case of
the European Parliament and the Council of the European Union by means of a secondment to the
Commission pursuant to Articles 37(a) and 38 of the Staff Regulations of the Officials of the
European Communities.
3)
Without prejudice to point (a) of Article 8(2) and taking into due consideration the different
size of the institutions’ establishment plans, the signatory institutions shall take the necessary
steps to finance the maintenance, development and promotion of the register. The three
institutions
shall
contribute equally to the
functioning of the Secretariat and the register.
They shall
conclude a separate agreement detailing the arrangements regarding their contributions to the
administrative and financial resources of the Secretariat.
Article 12
Voluntary involvement of other EUnion institutions, bodies, offices and agencies
1) Other EU institutions, bodies, offices and agencies are encouraged to use the framework created
by this agreement themselves as a reference instrument for their own interactions with interest
representatives.
1) Other EU
Union institutions, bodies, offices and agencies may notify the Secretariat
Management Board of that they wish to make certain interactions
measures by which they decide
to make certain activities conditional upon registration in the Transparency R register
or of any
complementary transparency measures. The notification shall contain details of the types of
interaction proposed and their conditions.
2) Where the Management Board considers that
those measures the types of interaction proposed
are consistent with the objectives pursued by
this agreement the register,
it may agree with the
Union institution, body, office or agency concerned
the conditions under which it may may make
those types of interaction conditional upon registration and shall benefit from the Secretariat's
assistance and helpdesk support. , in return for a proportionate contribution to the costs of
functioning of the Secretariat and register
. In this case the measures so notified shall be published
on the website of the register. 4) The acceptance of the notification in the preceding paragraph will not confer the notifying EU
institutions, bodies, offices and agencies the status of a party to this interinstitutional agreement.
5) The types of conditionality accepted under paragraph 3 shall be published on the register website.
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Article 13
Voluntary involvement of Member States' permanent representations to the EUnion
1) Without prejudice to Article 4(3) of the present agreement, Member States may, on a voluntary
basis, notify the Secretariat that they wish to make certain interactions of interest representatives
with their permanent representations to the EU conditional upon registration in the Transparency
Register. The notification shall contain details of the types of interaction proposed and their
conditions.
2) Where the Management Board considers that the types of interaction proposed are consistent
with the objectives pursued by the register, the relevant permanent representation may make those
types of interaction conditional upon registration and shall benefit from the Secretariat's assistance
and helpdesk support, in return for a proportionate contribution to the costs of functioning of the
Secretariat and register.
3) The acceptance of the notification in the preceding paragraph will not confer the notifying
Member State the status of a party to this interinstitutional agreement.
4) The
types of conditionality accepted under paragraph 2 shall be published on the register website.
The Member States may notify the Management Board of measures, taken in accordance with
their national law, by which they decide to make certain activities of their permanent
representations conditional upon registration in the register or of complementary transparency
measures. The measures so notified shall be published on the website of the register.
Article 13a (new)
Annual Report
1) The Management Board shall adopt an annual report on the operations of the register during
the preceding year.
2) The annual report shall include:
- a chapter on factual information on the register, its content and evolution;
- a chapter on the conditionality and complementary transparency measures referred to in
Article 5 in place.
3) The annual report shall be submitted to the signatory institutions and published on the website
of the register.
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Article 13b (new)
Review
1) The signatory institutions shall assess the implementation of measures taken pursuant to
Article 5 one year after the entry into force of this agreement, and regularly thereafter, with the
view, where appropriate, to making recommendations on their improvement and reinforcement.
2) This agreement shall be subject to a review no later than four years after its entry into force.
Article 14
Final and transitional provisions
1) This interinstitutional agreement is
shall be of a binding nature for the signatory institutions.
1a) (new) For the purposes of Article 10, the signatory institutions commit to each adopt a
decision which shall read as follows: “The Management Board and the Secretariat shall be
empowered to adopt on behalf of the [institution] individual decisions concerning applicants and
registrants in accordance with the Interinstitutional Agreement of [date, reference] on a
mandatory transparency register.” Those decisions shall enter into force on the same day as this
agreement.
2) This agreement shall replace the agreement between the European Parliament and the European
Commission of 16 April 2014 whose effects shall cease to apply on the date of application of this
agreement.
3) This agreement shall enter into force on the twentieth day following that of its publication in the
Official Journal of the European Union. It shall apply from [xx xx xxxx].
4) Interest representatives registered at the date of application of this agreement shall
be entitled to
amend their registration to satisfy the new requirements resulting from this agreement within a
period of six months following that date
, in order to remain in the register.
5) Any investigations following alerts and complaints opened under the agreement between the
European Parliament and the European Commission of 16 April 2014 shall be carried out under the
procedure of that agreement.
6) This agreement shall be subject to a review four years after its entry into force.
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Done at [place], [date].
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ANNEX I
CLASSIFICATION OF REGISTRANTS
The Secretariat applies the below classification of registrants, which it may modify.
Classification sections of registrants
I.
Professional consultancies, law firms, self-employed consultants
A
Subsection
Professional consultancies
B
Subsection
Law firms
C
Subsection
Self-employed consultants
II. Companies, trade/business associations, trade unions, professional associations
A
Subsection
Companies
B
Subsection
Trade and business associations
C
Subsection
Trade unions and professional associations
D
Subsection
Event-organising entities
III. Non-governmental organisations
A
Subsection
Non-governmental organisations, platforms, networks, ad-hoc
coalitions, temporary structures and other similar organisations.
IV. Think tanks, research and academic institutions
A
Subsection
Think tanks and research institutions
B
Subsection
Academic institutions
V.
Interest representatives not covered by the preceding sections
A
Subsection
Organisations representing churches and religious communities
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B
Subsection
Other entities not covered by preceding sections
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ANNEX II
INFORMATION TO BE PROVIDED BY REGISTRANTS ENTERED INTO THE
REGISTER
This annex specifies the information that will be available in the register. That information shall
be provided by registrants, except where it is entered automatically.
I. GENERAL INFORMATION
(a) name of the entity; address of head office and E U
nion office, if different from head office;
phone number; e-mail address;
1 website;
(aa) (new) form of the entity;
(ab) (new) interests represented;
(ac) (new) confirmation that the applicant operates in accordance with the code of conduct set
out in Annex III;
(b) name of the person legally responsible for the organisation and person in charge of E U
nion
relations; names of the persons with authorisation for access to the European Parliament's
premises;
2
(c) an
annual estimate of the full-time equivalents (FTEs) for all persons involved in activities
covered by the register according to the following percentages of a full-time activity: 10 %, 25 %,
50 %, 75 % or 100 %;
(d) goals/
and remit
, — fields of interest
and — activities falling within the scope of the register —
geographical level of engagement (global, European, national, regional);
(e) member organisations of the registrant
and affilated entities;
(f) including geographical coverage and registrant's membership or affiliation to relevant networks
and associations falling within the scope of the register.
1 E-mail address provided will not be published.
2 Registrants can request authorisation for access to the European Parliament's premises at the end
of the registration process. The names of individuals who receive access passes to the European
Parliament's premises shall be inserted in the register. Registration shall not confer an automatic
entitlement to such an access pass.
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II. SPECIFIC INFORMATION LINKS TO UNION INSTITUTIONS
A. Activities covered by the register
(-a) main Union Details about EU legislative proposals, policies or initiatives
targeted by activities
covered; subject of the interaction(s).
B. Links with EU institutions
(a) membership of
European Commission expert groups
3 and other E
Union supported forums and
platforms;
(b) membership
or support of, or participation in
events organised or hosted by European
Parliament intergroups and
other European Parliament unofficial groupings industry forums
;
(c) names of the persons with authorisation for access to the European Parliament’s premises.4
C. III. FINANCIAL INFORMATION related to the activities covered by the register
All registrants, including intermediaries carrying out activities covered, shall declare the amount
and source of Union grants contributing to their operating costs. All amounts indicated are in
euros.
Costs
(a) All registrants promoting their own interests
or those of their collective members vis-à-vis any
of the three
signatory institutions shall provide an
up to date estimate of the annual costs related to
activities covered by the register according to the below grid. The estimate of annual costs shall
cover a full year of operations and refer to the most recent financial year closed, as of the date of
registration or
its of the annual update of the registration details.
Bracket size of A
annual costs for activities covered by the register:
3 Membership of expert groups shall be inserted in the register automatically. Registration shall
not confer an automatic entitlement to such membership.
4 Registrants can request authorisation for access to the European Parliament's premises at the end
of the registration process. The names of individuals who receive access passes to the European
Parliament's premises shall be
automatically inserted in the register. Registration shall not confer
an automatic entitlement to such an access pass.
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< 10 000
10 000 – 24 999
25 000 – 49 999
50 000 – 99 999
100 000 – 199 999
200 000 – 299 999
300 000 – 399 999
400 000 – 499 999
500 000 – 599 999
600 000 – 699 999
700 000 – 799 999
800 000 – 899 999
900 000 – 999 999
1 000 000 – 1 249 999
1 250 000 – 1 499 999
1 500 000 – 1 749 000
1 750 000 – 1 999 999
2 000 000 – 2 249 999
2 250 000 – 2 499 999
2 500 000 – 2 749 000
2 750 000 – 2 999 999
3 000 000 – 3 499 999
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3 500 000 – 3 999 999
4 000 000 – 4 499 999
4 500 000 – 4 999 999
5 000 000 – 5 499 999
5 500 000 – 5 999 999
6 000 000 – 6 499 999
6 500 000 – 6 999 999
7 000 000 – 7 999 999
8 000 000 – 8 999 999
9 000 000 – 9 999 999
> 10 000 000
Clients shall declare all intermediaries carrying out activities covered by the register on their behalf
and the cost for each individual intermediary according to the below grid. The estimate of annual
costs shall cover a full year of operations and refer to the most recent financial year closed, as of the
date of registration or
its of the annual update of the registration details.
Any current intermediaries that are not covered by the most recent financial year closed shall be
declared separately by name.
Bracket size of representation costs per intermediary:
< 10 000
10 000 – 24 999
25 000 – 49 999
50 000 – 99 999
100 000 – 199 999
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200 000 – 299 999
300 000 – 399 999
400 000 – 499 999
500 000 – 599 999
600 000 – 699 999
700 000 – 799 999
800 000 – 899 999
900 000 – 1 000 000
> 1 000 000
Any current intermediaries that are not covered by the most recent financial year closed shall be
declared separately by name.
Revenue
(b) Intermediaries shall declare the
estimated total annual revenue generated attributable to
activities covered by the register according to the below grid. The
estimated total annual revenue
generated shall cover a full year of operations and refer to the most recent financial year closed, as
of the date of registration or
its of the annual update of the registration details.
Revenue from individual clients for activities covered by the register shall
also be listed according
to the below grid
, accompanied by an indication of the legislative proposals, policies or initiatives
concerned:
Bracket size of revenue generated per client:
< 10 000
10 000 – 24 999
25 000 – 49 999
50 000 – 99 999
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100 000 – 199 999
200 000 – 299 999
300 000 – 399 999
400 000 – 499 999
500 000 – 599 999
600 000 – 699 999
700 000 – 799 999
800 000 – 899 999
900 000 – 999 999
> 1 000 000
T
he estimated total annual revenue generated for activities covered by the register shall be
calculated automatically by the register's system based on the aggregate of the estimated revenue
generated per client.
Intermediaries shall declare all clients, on behalf of whom activities covered by the register are
carried out.
Any current clients that are not covered by the most recent financial year closed shall be declared
separately by name.
Intermediaries acting in their own interest (i.e. not on behalf of their clients) shall declare this in
their registration form and shall separately specify the costs for those activities pursuant to the Costs
section above.
All registrants, including intermediaries carrying out activities falling within the scope of this
agreement, shall declare the amount and source of EU grants contributing to their operating costs.
Specific information obligations
(c) Registrants that
do not represent commercial interests are legally registered as 'not-for-profit'
entities shall provide
the following financial information:
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i)
the total budget of the registrant for the most recent financial year closed;
ii)
the main sources of funding by category
: (for example
Union funding, public financing,
members contributions, grants, donations, etc.);
iii)
amount of each contribution exceeding 10 % of the total budget, if the contributions are
above 10 000 euros, and the name of the contributor.
Implementation
The Secretariat shall provide an online registration form and guidelines for registrants on the
financial modalities to be declared pursuant to this Annex.
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ANNEX III
CODE OF CONDUCT
The three institutions consider that the registered interest representatives interacting with them,
whether on a single occasion or frequently, should behave in conformity with this Code of Conduct.
The r
Registrants acknowledge
shall operate in line with the below set of rules and principles, and
agree to comply with them. In particular, registrants shall:
(a) in their relations with any of the three
Union institutions
bodies, offices or agencies
(‘Union institutions’), always identify themselves by name, registration number, the entity or
entities they work for or represent; declare the interests and objectives they promote as well as
specify the clients or members whom they represent and, where applicable, their registration
number;
(aa) (new) declare the interests and objectives they promote as well as specify the clients or
members whom they represent and, where applicable, their registration number;
(b) not obtain or try to obtain information or decisions dishonestly, by use of undue pressure,
or by inappropriate
improper behaviour
or offensive language;
(c) not
abuse their registration for commercial gain or distort or misrepresent the effect of
registration in such a way as to be likely to mislead or have negative reputational impact on
the register, or use the logos of the Union and any of the three institutions without express
authorisation;
(ca) (new) not cause prejudice to the reputation of the register or to any of the Union
institutions, or use their logos without express authorisation;
(d) ensure that, to the best of their knowledge, information that they provide upon registration,
and subsequently administer in the framework of their activities covered by the register, is
complete, up-to-date
, accurate and not misleading:
, and they agree for this information to be
in the public domain;
(e) not distribute documents obtained from the institutions to third parties against payment;
(f) respect and avoid any obstruction to the implementation and application of all
relevant
publicly available rules, codes and
guidelines practices pertaining to good governance and
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transparency established by the three
Union institutions, as made available on the register's
website;
(g) not induce M
embers of the European Parliament EPs, members of the Commission or
staff of any of the three
Union institutions to contravene the rules and standards of behaviour
applicable to them;
(h) if employing former M
embers of the European Parliament EPs, members of the
Commission or staff of any of the three
Union institutions, respect the obligations of those
individuals to abide by
take duly into account the confidentiality requirements and rules
applicable to
those individuals them after leaving the respective institution
, with a view to
preventing conflicts of interest;
(i) insofar
where engaged in a client-intermediary relationship: (i) ensure that all parties in
such relationship are registered in the register, and (ii) as clients or intermediaries, allow for
the relevant publication of the information concerning the relationship on the register pursuant
to Annex II of this interinstitutional agreement;
(ia) (new) when, for the purpose of carrying out activities covered, they outsource certain
tasks to third parties that are not themselves registered, ensure that such entities adhere to
ethical standards that are at least equivalent to those that apply to them;
(j) agree
acknowledge that in order to allow for the effective monitoring of the register, they
shall: (i) to present, if requested, to the Secretariat the documents and any other supporting
materials demonstrating their eligibility and that the
accuracy of the information submitted is
accurate, and (ii) to cooperate sincerely and constructively with the Secretariat;
(k) agree
acknowledge that they may be subject to the investigation procedures and, where
applicable, measures
provided for laid down in Annex IV;
(l) take appropriate steps to ensure that their employees engaged in activities covered by the
register are informed about the
ir registrant's commitment
to observe s under this C
code of C
conduct;
(m) inform whomever they represent in the framework of activities covered by the
interinstitutional
this agreement of their
commitment to observe this obligations towards the
EU institutions flowing from the C
code of C
conduct;
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(n) agree to respect, and avoid any obstruction to, the specific access and security rules and
arrangements
, established by the signatory institutions.
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ANNEX IV
MONITORING, INVESTIGATIONS AND MEASURES
1. General principles
1.1. Where the Secretariat learns about
of a
registrant’s possible
alleged ineligibility or a
registrant’s alleged non-observance of the code of conduct (‘non-observance’) failure to
comply with the provisions of the Code of Conduct, it may open an investigation
,.
The investigation may be opened either on the basis of a received complaint or at
on the
Secretariat's
its own initiative.
1.2. The
An investigation is an administrative procedure involving the Secretariat and the
registrant
s concerned, as well as the third party that lodged the complaint (‘complainant’).
1.3 (new) When an investigation has been initiated, the Secretariat may suspend the registration
concerned as a precaution. The Secretariat shall immediately inform the registrant
concerned, providing a reasoned explanation of its decision.
1.3. The provisions concerning investigations shall apply both to investigations opened following
complaints received as well as to own-initiative investigations.
2. Admissibility of C complaints and opening of investigations
2.1. Any natural or legal person may submit
lodge a complaint
with the Secretariat concerning a
registrant’s alleged non-observance to the Secretariat. Complaints shall be submitted in
writing. In order to be admissible, the complaint shall:
a) identify the registrant concerned and clearly set out the content of the complaint;
b) provide the name and contact details of the complainant;
c) be lodged within one year as of the alleged violation
non-observance;
d) be adequately supported by evidence demonstrating a reasonable probability of
a non-
observance failure to comply with the provisions of the Code of Conduct.
2.2. The Secretariat shall inform the complainant whether the complaint is admissible. For
inadmissible complaints
Where a complaint is inadmissible, the Secretariat shall, where
possible, inform
notify the complainant
, providing a reasoned explanation of its decision how to submit an admissible complaint.
2.3. Without prejudice to the preceding paragraphs, where the Secretariat considers that an
inadmissible complaint indicates the possibility of a sufficiently serious with the provisions of
the Code of Conduct, it may open an investigation at its own initiative.
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3. Complaints procedure Requests for clarification
3.1 (new) After receipt of an admissible complaint, the Secretariat shall open an investigation
and notify the complainant and the registrants concerned.
3.2 (new) The registrant concerned shall receive a copy of the complaint, including any annexes,
and be asked to provide a reasoned opinion within 20 working days.
3.3 (new) After receipt of the reasoned opinion, the Secretariat shall gather any relevant
information and draft a report containing its findings.
3.4 (new) Where the report finds that the registrant concerned has not observed the code of
conduct, the Secretariat shall notify the registrants accordingly. That notification may also
contain:
- instructions to remedy the non-observance within 20 working days; and
- a formal warning that measures may be imposed if the non-observance is not remedied or
recurs.
3.5 (new) The Secretariat shall declare the registrants concerned eligible to remain on the
register and close the investigation, where:
- the alleged non-observance primarily concerns point (d) of the code of conduct and is
remedied within 20 working days after the registrant has been notified under point 3.1;
- the report finds that the registrant has observed the code of conduct;
- the registrant remedies the the non-observance after being notified under point 3.4; or
- a formal warning under point 3.4 is deemed sufficient.
3.6 (new) The Secretariat shall declare the registrant concerned ineligible and close the
investigation, where the report finds that the registrant has not observed the code of conduct
and:
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- the registrant has not remedied the the non-observance after being notified under point
3.4; or
- a formal warning under point 3.4 is deemed insufficient.
3.7 (new) Where the Secretariat has drafted a report, it shall provide the registrants concerned
with a copy of that report upon request.
3.1. If the Secretariat learns of a possible failure to comply with the provisions of the Code of
Conduct that could lead to an investigation, it may, where it deems
appropriate and effective,
contact the registrant concerned with a request to clarify and remedy the possible failure.
3.2. The Secretariat shall set the registrant a reasonable deadline to comply with the request in
view of the factual circumstances of the possible failure.
3.3. If the registrant's reaction is satisfactory and the Secretariat considers the matter settled, it
may close the request and, if applicable, inform the complainant accordingly.
3.4. Where the registrant's reply is not satisfactory the Secretariat opens an investigation, as
outlined in section 5 of this Annex.
4. Investigative powers
4.1. The registrant shall fully cooperate with any request for information and documents in the
investigation.
4.2. The registrant shall, upon request, make available to the Secretariat documents of relevance to
the investigation. The Secretariat may decide to inspect and/or take copies of such documents
in the registrant's possession.
4.3. Where the Secretariat inspects documents, it shall draft a report containing the information on
facts relevant to the investigation. A copy of the report shall be provided to the registrant.
4.4. The Secretariat may decide to hear the registrant concerned and/or the complainant.
4.5. The registrant and complainant may indicate which document (or parts of it) and/or information
provided by them on the basis of sections 4.2 – 4.4 above should be considered confidential by
reference to the exceptions in Article 4 of Regulation 1049/2001.
5. Monitoring and own-initiative I investigations
5.1 (new) The Secretariat may request that registrants amend their registrations where it has
reason to believe that those registrations do not accurately provide the information detailed
in Annex II.
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5.2 (new) When a request under point 5.1 has been made, the Secretariat may suspend the
registration concerned as a precaution.
5.3 (new) The Secretariat may remove from the register a registration that is subject to a request
under point 5.1 where the registrant concerned does not cooperate sincerely and
constructively.
5.4 (new) The Secretariat may open an own-initiative investigation where it has reason to believe
that a registrant may be ineligible or may not have observed the code of conduct.
5.5 (new) Where the Secretariat opens an own-initiative investigation, it shall notify the
registrant concerned and ask him to provide a reasoned statement within 20 working days.
5.6 (new) After receipt of the reasoned statement, the Secretariat shall gather any relevant
information and draft an assessment containing its findings.
5.7 (new) Where the assessment finds that the registrant concerned is ineligible or has not
observed the code of conduct, the Secretariat shall notify the registrant accordingly. That
notification may also contain:
- instructions to remedy the ineligibility or non-observance within 20 working days; and
- a formal warning that measures may be imposed if the ineligibility or non-observance is
not remedied or recurs.
5.8 (new) The Secretariat shall declare the registrant concerned eligible and close the
investigation, where:
- the investigation primarily concerned a suspected lack of activities covered and the
registrants concerned demonstrate that they carry out activities covered within 20 working
days of being notified under point 5.5;
- the assessment finds that the registrant is eligible or has observed the code of conduct;
- the registrant remedies the ineligibility or the non-observance after being notified under
point 5.7; or
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- a formal warning under point 5.7 is deemed sufficient.
5.9 (new) The Secretariat shall declare the registrant concerned ineligible and close the
investigation where the investigation primarily concerned a suspected lack of activities
covered and the registrant concerned does not demonstrate that he carries out activities
covered within 20 working days of being notified under point 5.5.
5.10 (new) The Secretariat shall declare the registrant concerned ineligible and close the
investigation where the assessment finds that the registrant is ineligible or has not observed
the code of conduct and:
- the registrant does not remedy the ineligibility or the non-observance after being notified
under point 5.7; or
- a formal warning under point 5.7 is deemed insufficient.
5.11 (new) Where the Secretariat has drafted an assessment, it shall provide the registrants
concerned with a copy of that assessment upon request.
5.1. When open
s ing an investigation, the Secretariat informs the registrant
s of the suspected
failure to comply with specific provisions of the Code of Conduct, the reasoning underpinning
it and any relevant supporting evidence. In exceptional and duly justified cases, the Secretariat
may, awaiting the decision foreseen in section 9, remove a registration from the public
website of the register to prevent reputational damage to the European Union institutions, the
register or third parties. In these cases, the Secretariat informs the registrant at the same time
of the reasons for this removal and any relevant supporting evidence.
5.2. The registrant shall submit a response within 20 working days.
5.3. The Secretariat may decide to grant a longer period of time to submit the response
if justified
by the objective characteristics of the specific investigation.
5.4. If a registrant fails to observe the deadline for submitting a response, the Secretariat may, if
not yet done so, remove the relevant registration from the public website of the register. The
Secretariat may decide to reintroduce the registration once the registrant provides its response.
5.5. If the Secretariat
requires further information or clarifications, it may request them from the
registrant in accordance with sections 5.1 – 5.3 above.
5.6. The complainant shall be informed of the opening of the investigation.
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6. Seeking solutions
6.1. If, upon having examined all relevant elements in the investigation, the Secretariat forms the
view that the registrant
failed to comply with the Code of Conduct, it may seek any solution it
deems appropriate to remedy that failure and/or mitigate its future effects.
6.2. Where the registrant
s concerned cooperates to give effect to that solution, the investigation
shall be closed. The Secretariat may decide to apply to cooperative registrants a more lenient
measure or to close the investigation without applying any measure.
6.3. Where the registrant does not give satisfactory effect to the solution, the Secretariat may close
the investigation and issue a decision on the basis of the information at its disposal.
7. Failure to cooperate Cooperation with the Secretariat during investigations sincerely and
constructively
7.1. (new) The Secretariat shall, as necessary, request the parties concerned to provide
information relevant to an investigation within 20 working days. The parties concerned
may indicate which information provided by them should be considered sensitive.
7.2. (new) The Secretariat may decide to hear the parties to an investigation.
7.3. (new) The Secretariat may decide to extend the deadlines set in accordance with this Annex,
where requested by registrants and justified by reasonable grounds. That decision may also
suspend the registration concerned for the duration of the investigation.
7.4. (new) If the Secretariat considers that the registrant concerned does not cooperate sincerely and
constructively in the
an investigation stages laid down in section 5 above, the Secretariat
it
may, after having given the registrant the possibility to make known its own
his views in
writing, close the investigation
due to a lack of sincere and constructive cooperation with
the Secretariat and remove the registration concerned from the register by including a
finding of violation of point (j) of the Code of Conduct and applying measures in section 10
below based on the information at its disposal.
8.
Right to be heard
The registrant shall have the possibility to make known its own views in writing before any decision
establishing a non-observance concluding in a failure to comply with the Code of Conduct is
taken.
9. Decision
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9.1. The Secretariat
shall closes an investigation with a reasoned decision
, of which it notifies the
parties concerned in writing. Th
at e decision shall specify whether
an ineligibility or a
non-
observance failure to comply with the Code of Conduct was established
, the relevant
remedies, and, if applicable, what measure was applied.
9.2 (new) Where the Secretariat declares a registrant ineligible in accordance with point 9.1., it
shall remove the registration concerned from the register
9.3 (new) The Secretariat may consider a request to reopen an investigation up to 20 working
days after the parties concerned have been informed of its decision.
9.4 (new) An investigation may only be reopened on the basis of information that was available
before the Secretariat made its decision and that was, through no fault or oversight of the
party making a request under point 9.3., not considered by the Secretariat when it made its
decision.
9.2. Registrants shall be informed of their right to lodge a request for review or of the remedies
open to them.
9.3. The complainant shall be informed on the outcome of the complaint.
10. Measures
10.1. Where the Secretariat establishes a violation of the Code of Conduct, it may impose the
following measures:
a) formal warning to the registrant, with an indication of the infringed provision of the Code
of Conduct;
b) suspension of individual or multiple types of interaction available to the registrant listed
under Article 5 of this interinstitutional agreement for a period between 15 days and 1
year;
c) removal of the registration from the register for a period between 15 days and 2 years.
Where the Secretariat decides to remove a registration under point 9.2 it may also, as
appropriate in light of the seriousness of the non-observance:
a)
prohibit the interest representative concerned from registering again for a period
between 20 working days and 2 years, and
b)
publish any measures taken on the website of the register.
10.2 When deciding on the severity of the measure, the Secretariat shall duly take into account all
relevant circumstances of an
investigation in the light of the individual case with the
objectives pursued by the interinstitutional
this agreement.
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10.3 Registrants with individual or multiple types of interaction suspended may not enjoy said
types of interaction until their period of suspension has expired and they have satisfactorily
remedied the grounds that led to the suspension, whichever period of the two is longer.
10.4. Registrations removed from the register may not be re-entered
Interest representatives
subject to measures under point (a) of point 10.1 may not register again until the period of
removal has expired and the registrant has satisfactorily remedied the grounds that led to the
removal.
10.5. The complainant shall be informed on the final outcome of the complaint and, where
applicable, which of the measures under section 10.1 was applied to the registrant.
11. Review
11.1. Registrants that were subject to measures in section
under point 10.1 may lodge a reasoned
request for review of the decision by the
Management Board Secretariat. The exhaustion of
the review procedure shall entitle the registrants to use the remedies foreseen in section 12 of
this Annex.
11.2. The request for review shall be sent to the
Secretariat Management Board within 15
20
working days as of receipt of the notification of the measure.
11.3. The Requests for review
submitted in accordance with points 11.1 and 11.2 shall be
forwarded to the Chair of re-examined by the Management Board
, who may refer the case to
the full Management Board, where appropriate or where requested by one of the other
members of the Management Board.
11.4. A request for review shall not suspend the measure, unless the Management Board decides
otherwise on the basis of the reasoned request for review.
11.5. The
Chair of the Management Board shall inform
notify the registrant
s concerned of its
decision on the outcome of the review procedure within 2
40 working days. A failure to reply
within that period shall be understood as being an implicit rejection of the request for review.
11.6. Registrants that are not satisfied with the outcome of the review procedure may make use of
the remedies in section 12.
12. Remedies
Registrants that are not satisfied with the decision by the Management Board may submit an
application to the Court of Justice
in accordance with Article 263 TFEU or a complaint to the
European Ombudsman in accordance with Articles 263 and 228 TFEU.
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