Activity report 2019 IDOC EN.pdf

Activity Report
of the Investigation
and Disciplinary Office
of the Commission
(IDOC) 2019
DG HR

4
I - INTRODUCTION
basis of mandates provided by the Appointing Authority
in each of these Institutions and Agencies .
The Investigation and Disciplinary Office of the  Of the 90 cases registered in 2019, 8 concerned the
Commission (IDOC) - Mission Statement - Ensure by  EEAS and 8 concerned the executive agencies .
enforcement measures and prevention activities that
staff members maintain high standards of ethics and  For the decentralised agencies, the European
integrity, in compliance with their statutory obligations.
Committee of the Regions, the European Economic and
Social Committee and some joint undertakings, IDOC
The Commission requires high standards of ethics and  provides a helpdesk service, and continues to encour-
integrity from its staff . IDOC seeks to ensure that all  age the agencies to make use of an inter-agency net-
staff members comply with their statutory obligations  work of investigators .
by conducting administrative inquiries, pre-disciplinary
proceedings, disciplinary and suspension proceedings in
an impartial, transparent, and timely manner .
IDOC also plays an important role in outreach and pre-
vention, including awareness-raising and training for
staff on the ethical principles and rules in place and
guidance provided on their practical application . The
IDOC Annual Activity Report informs staff of activities in
the area of disciplinary matters, reminds them of their
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obligations to respect the standards and to protect the
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reputation of the institution, and underlines that wrong-
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doing can have serious disciplinary consequences .
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The report gives a statistical overview of the admin-
5
istrative inquiries and disciplinary proceedings and a
90
summary of cases in which a disciplinary sanction de-
2
CASES REGISTERED
cision was taken in the course of the year . These cas-
1
es are presented with a view to illustrating the broad
which subject?
scope of the cases that IDOC manages, as well as to
inform staff members about the consequences that can
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result from breaches of statutory provisions .
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II - CASES REGISTERED IN
2019 – OVERVIEW
Information about potential statutory breaches comes
from a variety of sources, including other Commission
Breach of financial rules (4)
services, the European Anti-Fraud Office (OLAF), the
European External Action Service (EEAS), executive
Conflict of interest (6)
agencies, requests for assistance filed under Article 24
Irregular declarations (8)
of the Staff Regulations, as well as external sources
Inappropriate behaviour (24)
like complaints and media reports .
Harassment (23)
Criminal offence (1)
90 new cases were registered in IDOC in 2019 . 19 of
Unauthorised absences (2)
them had their origins in requests submitted under
Article 24 of the Staff Regulations . In addition, IDOC
Unauthorised external activity (5)
continued to deal with on-going cases registered in
Breach of rules on confidentiality (5)
previous years .
Occupational disease (4)
Miscellaneous (8)
IDOC has Service Level Agreements (SLAs) with the
EEAS, the executive agencies, and the European Data
Protection Supervisor . Under the terms of the SLAs,
IDOC carries out an equivalent service as for the
Commission, including in particular, administrative in-
quiries and disciplinary proceedings conducted on the

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concerned is given the opportunity to comment on the
facts established by the inquiry .
3 2
4
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3
In line with Administrative Notice No 15 of 4 April
5
2
2018, in 2019 IDOC carried out administrative inquir-
ies under the new procedure for the recognition of
the occupational disease under Article 73 of the Staff
93*
Regulations .
CASES CLOSED
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In 2019, IDOC received mandates from the Appointing
by category
Authority to open 41 administrative inquiries . They con-
cerned allegations of harassment and inappropriate
behaviour, irregular declarations, unauthorised outside
activity, unauthorised absence, conflicts of interests,
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non-respect of the rules on confidentiality, the abuse of
ICT services, unauthorised disclosure of information in
legal proceedings, non-respect of the obligation to noti-
fy the intention to stand for public office, as well as in-
* 3 cases were joined and led to 1 single warning
quiries under the procedure for handling occupational
disease requests .
Disciplinary penalty (9)
Warning (5)
In order to establish the facts, the case-handlers make
No follow-up (18)
use of a range of measures, including obtaining docu-
Non-case (45)
ments and information, and conducting hearings of the
persons concerned, of the alleged victims and of wit-
Termination of contract (2)
nesses, which are an essential part of the administra-
Article 73 report (3)
tive inquiry .
Sent to OLAF (4)
Reassignement to another service/AA (3)
In 2019, IDOC conducted 178 hearings in the course of
Devoid of purpose (2)
the administrative inquiries, which represents a 25%
increase as compared to the previous year .
III - HOW IDOC WORKS
43 administrative inquiries were closed in the course of
the year . In 15 of these cases, the Appointing Authority
decided to close the case without disciplinary follow-up .
In 1 case it was decided to terminate the contract of
3.1. Preliminary assessments
the person concerned in accordance with Article 47
of the Conditions of Employment of Other Servants
All cases registered, which have not been subject of an  (CEOS) .
OLAF investigation, undergo a preliminary assessment,
which can then lead either to the opening of an admin-
3.3. Pre-disciplinary proceedings
istrative inquiry or to the case being closed as a non-
case . During 2019, 45 cases were closed as non-cases .
In cases where the Appointing Authority decides to pur-
sue the case further after the administrative inquiry, the
3.2. Administrative inquiries
person concerned is heard and given the opportunity to
comment on all the evidence of the case . Following the
Where there is evidence that a breach of the Staff  pre-disciplinary hearing with the person concerned, the
Regulations may have occurred, the Appointing  Appointing Authority can then decide: (1) to close the
Authority may decide to open an administrative inquiry .  case without follow-up; (2) to issue a non-disciplinary
Inquiries aim to establish the facts related to a situ-
measure in the form of a warning (mise en garde) 1; or
ation that may involve a breach of statutory obliga-
(3) to open disciplinary proceedings .
tions . Inquiries allow the Appointing Authority to take
a decision on whether to launch a pre-disciplinary pro-
In 2019, the Appointing Authority gave IDOC mandate
ceeding based on established facts and the degree of  to open pre-disciplinary proceedings in 29 cases . 27 of
responsibility of the staff member(s) concerned (“per-
these pre-disciplinary proceedings were closed in 2019,
son concerned”) . Before finalising an inquiry, the person  as follows:
1  The Staff Regulations makes a distinction between this non-disciplinary warning (mise en garde) and a written warning,
which does constitute a disciplinary sanction (avertissement par écrit).

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A proceeding without referral to a Disciplinary Board
1
can apply when the Appointing Authority considers that
1
2
the facts in principle do not merit a sanction more se-
vere than a written warning or a reprimand . In these
1
1
cases a disciplinary report, setting out the facts and
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an assessment of the misconduct in the case, is sent
PRE-DISCIPLINARY
to the person concerned . After hearing the person con-
PROCEEDINGS
cerned, the Appointing Authority decides on the out-
2
come of the case .
finalised with a report to the
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Appointing Authority:
Where it considers the alleged wrongdoing is sufficient-
which potential breaches?
ly serious as potentially to warrant a financial sanc-
tion, the Appointing Authority refers the case to the
Disciplinary Board . A disciplinary report setting out the
facts and an assessment of the misconduct is sent to
the Disciplinary Board and the person concerned . The
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Disciplinary Board then hears the person concerned .
The Disciplinary Board acts as a ‘fresh pair of eyes’
on both the facts and the assessment of the case and
ICT abuse (2)
makes a recommendation for a sanction . However,
Conflict of interest (1)
the final decision is taken by a tripartite Appointing
Irregular declarations (3)
Authority, after hearing the person concerned .
Inappropriate behaviour (6) - 1 EEAS case
Harassment (2)
In 2019, 18 disciplinary proceedings were opened, 9
without referral to the Disciplinary Board and 9 with re-
Criminal offence (1) - EEAS case
ferral to the Disciplinary Board .
Unauthorised absences (1) - EEAS case
Breach of rules on confidentiality (1)
In 2019, 9 cases were closed with a disciplinary sanc-
tion . The sanctions imposed by the Appointing Authority
-  17 pre-disciplinary proceedings were finalised with a  included removal from post, withholding of pension,
report sent to the disciplinary authority;
termination of contract and reprimand .
-  in 6 cases2 the Appointing Authority decided to is-
One disciplinary proceeding was closed with a non-dis-
sue a non-disciplinary measure in the form of a warn-
ciplinary measure, i .e . with a warning .
ing (mise en garde) reminding the persons concerned
to pay more attention in future to their statutory ob-
3.6. Different types of sanctions
ligations . These proceedings involved minor short-
comings, with no budgetary impact, or harm to the  Cases where breaches are established may be sanc-
Institution’s image and reputation;
tioned in several ways:
- 3 cases were closed with no follow-up;
Minor breaches may give rise to a warning (“mise en
garde”) . This is not a disciplinary sanction, but a formal
-  in one case, the contract of the person concerned was  reminder about the need to observe the highest ethical
terminated in accordance with Article 47 of the CEOS .
standards . It is placed in the staff member’s personal
file for 18 months .
3.4. Suspension
More serious breaches can lead to the opening of disci-
A person concerned who is accused of serious mis-
plinary proceedings . The level of sanction imposed can
conduct may be suspended from active service, for a  range from a written warning to a removal from post,
specific or indefinite period, pending the outcome of  as appropriate . Retired staff can be sanctioned through
disciplinary or criminal proceedings . In 2019, no sus-
a reduction in their pensions for a designated period
pension decision was taken .
of time . The same approach applies to staff in receipt
of an invalidity allowance . The disciplinary sanction is
3.5. Disciplinary proceedings
placed in the personal file of the person concerned for
a period between three and six years .
There are two types of disciplinary proceedings .
Staff members subject to the Conditions of Employment
of Other Servants (CEOS) who are found to be in breach
2  Three cases were joined and led to one warning.

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imposed must be commensurate with the seriousness
of the misconduct .
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IV - SUMMARY OF
CASES CLOSED WITH A
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DISCIPLINARY AND
DISCIPLINARY SANCTION3
NON-DISCIPLINARY
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In line with Article 45 of Decision C(2019) 4231, this
measures imposed:
report provides a summary of the cases in which the
which type?
4
Appointing Authority imposed a disciplinary sanction in
2019 . In order to protect the anonymity of the persons

concerned, and in the interests of simplicity, persons
concerned are referred to in the ‘he’ form .
1
1
Inappropriate behaviour likely to reflect
adversely on the official’s position
DISCIPLINARY (9)
Article 12 of the Staff Regulations prohibits any
Removal from post (3)
action or behaviour – whether inside or outside of the
Institution, which might reflect adversely on the position
Reprimand (4)
of the staff member.
Withholding pension (1) - EEAS case
Termination of employment (1)
The Appointing Authority decided to reduce by 50%
NON DISCIPLINARY (7)
the net retirement pension of a retired official for two
Warning (5)
years, for serious infringements of national legislation,
committed outside work . The official concerned sub-
Termination of contract (Art 47 of the CEOS) (2)
mitted to the national authorities false declarations,
infringed repeatedly specific national veterinary legis-
lation, and was in illegal possession of arms .
of their statutory obligations can have their contract  Even if the official acted erroneously outside the work-
not renewed, or terminated .
ing environment, the Appointing Authority consid-
ered that he was in breach of Article 12 of the Staff
Contracts can either be not renewed or terminated fol-
Regulations, given the gravity of the infringements and
lowing disciplinary proceedings or after a specific proce-
the high level of integrity expected by staff of the EU
dure in which the person concerned is invited to explain  Institutions .
his or her actions before the competent authority .
In deciding on the disciplinary sanction to be applied
in a particular case, the Appointing Authority takes  The Appointing Authority imposed a reprimand on an
into account a number of factors set out in the Staff  official who sent aggressive e-mails in his work envi-
Regulations: the nature and circumstances of the mis-
ronment, including messages relating to race and re-
conduct; the extent to which the misconduct has an  ligion . In addition, the official repeatedly refused to
impact on the Institution; whether the misconduct in-
follow the instructions of his hierarchy and did not in-
volves intent or negligence; the motives for the mis-
form the hierarchy of his sick leaves .
conduct; the grade and seniority of the staff member
concerned; the degree of the staff member’s person-
The Appointing Authority considered that the official’s
al responsibility; the level of the staff member’s duties  behaviour amounted to breaches of Articles 12 and
and responsibilities; whether the misconduct involved  21(1) of the Staff Regulations . It considered as exten-
repeated action or behaviour and the staff member’s  uating circumstances the facts that certain of his in-
conduct throughout his career .
appropriate behaviour happened a long time before
the disciplinary proceeding took place, and that the be-
In short, there is no ‘tariff’ of sanctions, each case must  haviour of the official showed some improvement over
be assessed on its merits, and any disciplinary sanction  time .
3  Out of these cases, one concerned the EEAS.

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when applying to receive financial support . The official
did not ensure that the information he provided to the
The Appointing Authority imposed a reprimand on  doctor, for issuing the medical certificate, accurately
a manager who behaved inappropriately towards  described the facts and circumstances of his situation .
his colleagues . He sent abrupt e-mails to some col-
leagues and seriously undermined the work of anoth-
The Appointing Authority considered as an extenuat-
er colleague .
ing circumstance the difficult personal situation of the
official .
While the Appointing Authority acknowledged the sig-
nificant workload of the service and the professional  It considered that the official’s behaviour amounted to
competences of the manager, it considered that the of-
breaches of Article 11, first paragraph and Article 12 of
ficial’s behaviour amounted to a breach of Article 12 of  the Staff Regulations .
the Staff Regulations .
Duty of loyalty
The Appointing Authority decided to terminate without
In line with Article 11 of the Staff Regulation, the  notice the employment of a contract agent who sub-
duty of loyalty requires staff members to carry out  mitted requests for reimbursement of medical costs
their duties and conduct themselves solely with the  that did not correspond to the actual amounts paid or
interests of the Union in mind and that they do not take  to the actual medical care . The documents were provid-
instructions from anyone outside the institution. It also  ed by members of his family .
requires that the staff members carry out the duties
assigned to them objectively and impartially.
The Appointing Authority considered that the contract
agent’s behaviour amounted to breaches of Articles 11
and 12 of the Staff Regulations, which apply by anal-
The Appointing Authority decided to remove from post  ogy to contract agents by virtue of Articles 11 and 81
an official who privately negotiated important terms  of the CEOS .
of a contract with an external company, without any
authorisation from his hierarchy . Both the Disciplinary  Unauthorised absences
Board and the Appointing Authority considered that this
behaviour seriously damaged the image of the institu-
Article 55(1) of the Staff Regulations requires officials
tion and reflected adversely upon his position .
to be at the disposal of their institution at all times.
Moreover, the official openly recommended the compa-
ny of his partner as a subcontractor to the Commission,  According to Article 60, first paragraph of the Staff
which resulted in that company effectively acting as  Regulations, an official may not be absent without prior
a subcontractor, without the knowledge of the hierar-
permission from his immediate superior, except in case
chy . The official furthermore participated in the man-
of sickness or accident.
agement of the contract binding the company of his
partner to the contractor of the Commission . All this
constituted a serious conflict of interest .
The Appointing Authority decided to remove from post
an official who failed to respect numerous obligations
The Appointing Authority concluded that the official se-
incumbent on Commission staff members . The official
riously breached Articles 11, first paragraph, 12 and 21  was systematically and continuously absent from work
of the Staff Regulations, as well as Article 52 and 79 of  over a long period of time . In addition, when he was
the Financial Regulation .
present at work, he did not follow the instructions of
Irregular and false declarations
the hierarchy and did not execute the tasks required by
it . Moreover, the official adopted inappropriate behav-
iour towards his colleagues and hierarchy . Finally, by
In line with Article 11 of the Staff Regulation, the duty  refusing to be present at his last work post over a long
of loyalty also requires members of staff to supply the  period of time, the official deliberately and unilaterally
administration with accurate and complete information,  breached the relationship of trust with the institution .
including in the context of submissions relating to
requests for reimbursement for medical expenses and  The Appointing Authority thus considered that the of-
requests for financial allowances available under the  ficial’s behaviour amounted to serious breaches of
Staff Regulations.
Articles 55, 60, 21, 11 and 12 of the Staff Regulations .
The Appointing Authority imposed a reprimand on an
official who provided an irregular medical certificate

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The Appointing Authority decided to remove from post  Whistleblowing of 6 December 2012, SEC(2012) 679
an official who did not respect the obligation to be pres-
final) .
ent at work and to encode his presences in Sysper, over
a considerable period of time, despite the reminders  The review concluded that it is not necessary to amend
and instructions of his hierarchy . In addition, the offi-
the Guidelines at this stage . The Commission should
cial exercised outside activities other than those au-
continue its efforts to ensure that the current rules and
thorised by the Appointing Authority upon his leaving  procedures are well known to the staff members and
on personal grounds . An aggravating circumstance in  are applied appropriately .
this case was the fact that the official has already been
the subject of disciplinary proceedings in the past, for  5.2.  Commission Decision updating the
the same breaches, for which he received a reprimand
General Implementing Provisions
at the time .
on the Conduct of Administrative
The Appointing Authority considered that the trust be-
Inquiries and Disciplinary Proceedings
tween the official and the institution was irreparably
damaged, and contrary to the Disciplinary Board, con-
On 12 June 2019 the Commission adopted the new
sidered that a breach of such gravity merited a remov-
Decision laying down general implementing provisions
al from post .
on the conduct of administrative inquiries and disci-
plinary proceedings C(2019) 4231, which repealed
The Appointing Authority considered that the official’s  Commission Decision C(2004) 1588 .
behaviour amounted to serious breaches of Articles 55,
11, 12b and 21 of the Staff Regulations, as well as  The main purpose of the new implementing provisions
Decision C(2014) 2502 on working time and Decision  is to: take into account the developments in the case-
C(2013) 9037 on outside activities and assignments,  law of the Court of Justice of the European Union, lay
applicable at the time of the facts .
down definitions and general principles guiding the ad-
Unauthorised outside activities
ministrative inquiries and disciplinary proceedings, pro-
vide a clear description of the various steps of the
procedure and reinforce the procedural rights of the
Article 12b requires staff to seek authorisation from  persons involved in these proceedings .
the Appointing Authority before engaging in an outside
activity.
5.3.  IDOC’s new Practical Guide on
Procedures in Administrative
Inquiries, Pre-disciplinary and
The Appointing Authority imposed a reprimand on an
official who carried-out an outside activity, both in ac-
Disciplinary proceedings
tive service and during a period of leave on person-
al grounds, without prior request and receipt of the  Following the adoption of the new implementing pro-
authorisation required by Article 12b of the Staff  visions, IDOC revised its Practical Guide on procedures
Regulations . Further to the disciplinary proceedings, the  in administrative inquiries, pre-disciplinary and disci-
Appointing Authority accepted the resignation of the of-
plinary proceedings . The guide is publicly available for
ficial from his post .
staff on the Commission Intracomm site .
The Appointing Authority considered that the offi-
5.4. Outreach to staff
cial’s behaviour amounted to breaches of Article 12b
the Staff Regulations, Article 14 of the Commission  While being first and foremost a service geared to-
Decision C(2004) 1597 on outside activities and as-
wards enforcing ethical rules, IDOC has developed a
signments, applicable at the time of the facts, and  large part of its activities in the area of prevention,
Article 3 of Commission Decision C(2013) 9054 on  namely awareness-raising and training initiatives .
measures concerning leave on personal grounds .
IDOC’s outreach activities in 2019 included tailored in-
V - POLICY AND
teractive training and outreach sessions on ethics and
disciplinary matters, delivered to targeted audiences in
COMPLIANCE
DGs and agencies, sometimes organised in conjunction
with the Unit HR E3 “Ethics and Ombudsman” in DG HR .
Nearly 30 presentations were given by IDOC to staff
5.1. Whistleblowing
members and management from numerous DGs and
executive agencies . Regular presentations were made
IDOC performed a review of the Guidelines on  to staff preparing to be posted to EU Delegations, in-
Whistleblowing (Communication from Vice-President  cluding to Heads of Delegation at their annual autumn
Šefčovič to the Commission on Guidelines on

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conference . Specific presentations were also made to
newcomers to DG HR .
5.5. Data protection
IDOC complied in a timely manner with the obligation
set out in Article 25 of Regulation (EU) 2018/1725 to
prepare an act laying down the legal basis for restric-
tion of data protection rights in the context of IDOC
procedures .
On 1 February 2019 the Commission adopted the new
Decision (EU) 2019/165 laying down internal rules con-
cerning the provision of information to data subjects
and the restriction of certain of their data protection
rights in the context of administrative inquiries, pre-dis-
ciplinary, disciplinary and suspension proceedings .
5.6. Reinforced cooperation with Business
Correspondents (BCs) and Account
Management Correspondents (AMC)
IDOC launched the Reinforced Cooperation Project
with the AMCs and the BCs of all DGs, in order to en-
sure that, after the modernisation of the HR function,
IDOC’s cooperation with the AMCs and the BCs is not
only maintained, but further developed and made more
efficient .