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18.9.2013 Official
Journal
of
the
European
Union L
248/1
I
(Legislative acts)
REGULATIONS
REGULATION (EU, EURATOM) No 883/2013 OF THE EUROPEAN PARLIAMENT AND OF THE
COUNCIL
of 11 September 2013
concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing
Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council
Regulation (Euratom) No 1074/1999
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
Treaty on the Functioning of the European Union (TFEU)
EUROPEAN UNION,
and the importance of action to that end is confirmed by
Article 325 TFEU.
Having regard to the Treaty on the Functioning of the European
(2) All
available
means
should
be
deployed
fully
to
attain
Union, and in particular Article 325 thereof, in conjunction
that objective, notably in the context of investigative
with the Treaty establishing the European Atomic Energy
duties devolving upon the Union, while the current
Community, and in particular Article 106a thereof,
distribution and balance of responsibilities between the
Union and the Member States should be maintained.
Having regard to the proposal from the European Commission,
(3) To
reinforce
the
means
available
for
combating
fraud,
while respecting the principle of each institution’s
internal organisational autonomy, the Commission, by
After transmission of the draft legislative act to the national
Decision 1999/352/EC, ECSC, Euratom ( 3 ), has estab
parliaments,
lished the European Anti-Fraud Office (‘the Office’)
among its own services with responsibility for
conducting administrative fraud investigations. The
Commission has given the Office full independence to
Having regard to the opinion of the Court of Auditors ( 1 ),
exercise its investigative function. Decision 1999/352/EC,
ECSC, Euratom provides that for the purposes of inves
tigations the Office is to exercise the powers conferred by
Union law.
Acting in accordance with the ordinary legislative procedure ( 2 ),
(4) Regulation
(EC)
No
1073/1999
of
the
European
Parliament and of the Council ( 4 ) was adopted to
Whereas:
regulate investigations conducted by the Office. In
order to make the Office’s investigative activities more
effective, and in the light of the evaluations of its
activities made by the Union institutions, in particular
(1) The
Union
institutions
and
the
Member
States
attach
the Commission’s evaluation report of April 2003 and
great importance to the protection of the financial
the Special Reports No 1/2005 ( 5 ) and No 2/2011 ( 6 ) of
interests of the Union and to the fight against fraud,
the Court of Auditors concerning the management of the
corruption and any other illegal activity affecting those
Office, there is a need to revise the current legal
interests. The Commission’s responsibility in that
framework.
connection is closely bound up with its duty to
implement the budget pursuant to Article 317 of the
( 3 ) Commission Decision 1999/352/EC, ECSC, Euratom of 28 April
1999 establishing the European Anti-fraud Office (OLAF)
( 1 ) OJ C 254, 30.8.2011, p. 1.
(OJ L 136, 31.5.1999, p. 20).
( 2 ) Position of the European Parliament of 20 November 2008
( 4 ) Regulation (EC) No 1073/1999 of the European Parliament and of
(OJ C 16 E, 22.1.2010, p. 201) and position of the Council at
the Council of 25 May 1999 concerning investigations conducted by
first reading of 25 February 2013 (OJ C 89 E, 27.3.2013, p. 1).
the European Anti-Fraud Office (OLAF) (OJ L 136, 31.5.1999, p. 1).
Position of the European Parliament of 3 July 2013 (not yet
( 5 ) OJ C 202, 18.8.2005, p. 1.
published in the Official Journal).
( 6 ) OJ C 124, 27.4.2011, p. 9.

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Official Journal of the European Union
18.9.2013
(5) The
Office’s
mandate
should
comprise
the
conduct
of
assistance needed in the performance of its duties. In
investigations within the institutions, bodies, offices and
cases where a Member State has not set up a specialist
agencies established by, or on the basis of, the Treaties
department at national level with the task of coordinating
(‘institutions, bodies, offices and agencies’) and the
the protection of the financial interests of the Union and
exercise of the power of investigation conferred on the
the fight against fraud, a service (the anti-fraud coor
Commission by the relevant Union acts, as well as
dination service) should be designated to facilitate
providing the Member States with assistance from the
effective cooperation and exchange of information with
Commission in organising close and regular cooperation
the Office.
between their competent authorities. The Office should
also contribute to the design and development of
methods for preventing and combating fraud, corruption
and any other illegal activity affecting the financial
(11) The Office should have access to any relevant
interests of the Union, based on its operational practice
information held by the institutions, bodies, offices and
in this field.
agencies of the Union in connection with external inves
tigations.
(6) The
responsibility
of
the
Office
as
set
up
by
the
Commission also extends beyond the protection of
(12) Investigations
should
be
conducted
in
accordance
with
financial interests to include all activities relating to safe
the Treaties and in particular with Protocol No 7 on
guarding Union interests against irregular conduct liable
the privileges and immunities of the European Union,
to result in administrative or criminal proceedings.
while respecting the Staff Regulations of Officials and
the Conditions of Employment of Other Servants of
the European Union laid down in Council Regulation
(EEC, Euratom, ECSC) No 259/68 ( 3 ) (‘the Staff Regu
lations’) and the Statute for Members of the European
(7) This
Regulation
should
apply
without
prejudice
to
more
extensive protection which may derive from the
Parliament, and with full respect for human rights and
provisions of the Treaties.
fundamental freedoms, in particular the principle of

fairness, for the right of persons involved to express
their views on the facts concerning them and for the
principle that the conclusions of an investigation may
be based solely on elements which have evidential
(8) Given
the
need
to
step
up
the
fight
against
fraud,
value. To that end, the institutions, bodies, offices and
corruption and any other illegal activity affecting the
agencies should lay down the terms and conditions under
financial interests of the Union, the Office should be
which internal investigations are to be conducted.
able to conduct internal investigations in all the institu
tions, bodies, offices and agencies.
(13) Internal
investigations
can be conducted only if the
Office is guaranteed access to all premises of the institu
(9) In the context of external investigations, the Office
tions, bodies, offices and agencies and to all information
should be entrusted with the exercise of the powers
and documents held by them.
conferred on the Commission by Council Regulation
(Euratom, EC) No 2185/96 of 11 November 1996
concerning on-the-spot checks and inspections carried
out by the Commission in order to protect the
(14) The accuracy of the information sent to the Office in
European Communities’ financial interests against fraud
connection with its mandate should be assessed
and other irregularities ( 1 ). The Office should also be
promptly. To that end, the Office, prior to the opening
allowed to exercise the other powers conferred on the
of an investigation, should have access to any relevant
Commission to conduct on-the-spot checks and
information in databases held by the institutions, bodies,
inspections in the Member States, notably for the
offices or agencies, when this is indispensable for
purpose of detecting irregularities as required by
assessing the basis in fact of allegations.
Article 9 of Council Regulation (EC, Euratom)
No 2988/95 of 18 December 1995 on the protection
of the European Communities’ financial interests ( 2 ).
(15) The
Office
should
be
placed
under
precise
obligations
to
inform the institutions, bodies, offices and agencies of
investigations in progress where an official, other
(10) The
operational
efficiency
of
the
Office
depends
greatly
servant, member of an institution or body, head of
on cooperation with the Member States. There is a need
office or agency, or staff member is concerned by the
for the Member States to identify their competent auth
matter under investigation or where precautionary
orities which are able to provide the Office with the
measures may be required in order to protect the
financial interests of the Union.
( 1 ) OJ L 292, 15.11.1996, p. 2.
( 2 ) OJ L 312, 23.12.1995, p. 1.
( 3 ) OJ L 56, 4.3.1968, p. 1.

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of
the
European
Union L
248/3
(16) Clear
rules
should
be
laid
down
which,
while
confirming
(22) It
is
necessary,
in
the
interests
of
legal
certainty,
to
the priority enjoyed by the Office for conducting internal
specify the procedural guarantees applicable to investi
investigations on matters affecting the financial interests
gations conducted by the Office, taking into account
of the Union, enable the institutions, bodies, offices and
the administrative nature of those investigations.
agencies quickly to conduct such investigations in cases
where the Office decides not to intervene.
(23) The
procedural
guarantees
and
fundamental
rights
of
persons concerned and of witnesses should be
(17) To
ensure
the
independence
of
the
Office
in
carrying
out
respected without discrimination at all times and at all
the tasks conferred on it by this Regulation, its Director-
stages of both external and internal investigations, in
General should be able to open an investigation on his
particular when information about ongoing investi
own initiative. Where the Office is conducting an inves
gations is provided. Provision of any information
tigation, the relevant institutions, bodies, offices or
concerning investigations conducted by the Office to
agencies should not conduct an investigation into the
the European Parliament, the Council, the Commission
same facts in parallel, unless agreed otherwise with the
or the Court of Auditors, whether bilaterally or as part of
Office.
an exchange of views, should respect the confidentiality
of investigations, the legitimate rights of the persons
concerned and, where applicable, the national provisions
governing judicial proceedings. Information transmitted
or obtained during investigations should be treated in
(18) Investigations should be conducted under the authority
accordance with Union law on data protection.
of the Director-General, in full independence from the
Exchanges of information should be governed by the
institutions, bodies, offices and agencies and from the
principle of proportionality and by the need-to-know
Supervisory Committee. To that end, the Director-
principle.
General should be able to adopt guidelines on investi
gation procedures for the staff of the Office. Those
guidelines should provide practical guidance to the staff
of the Office on the conduct of investigations and the
(24) In
order
to
strengthen
the
protection
of
the
individual
procedural guarantees and rights of persons concerned or
rights of persons under investigation, conclusions
witnesses, and details on the internal advisory and
referring by name to a person concerned should not
control procedures to be followed, including a legality
be drawn, at the final stage of an investigation, without
check. In order to provide greater transparency with
that person being given the opportunity to comment on
regard to the conduct of investigations, those guidelines
facts concerning him.
should be available to the public on the Office’s website.
Those guidelines should not create or alter any rights or
obligations arising under this Regulation.
(25) The Director-General should ensure that any information
supplied to the public respects the legitimate rights of the
persons concerned.
(19) In
accordance
with
Article
21
of
the
Staff
Regulations,
the staff of the Office should conduct the investigations
in accordance with the guidelines on investigation
procedures and on the basis of individual instructions
(26) The Office and the institutions, bodies, offices and
given by the Director-General in specific cases.
agencies involved in the investigation should protect
freedom of expression, in accordance with the Charter
of Fundamental Rights of the European Union, and jour
nalistic sources.
(20) In accordance with the Staff Regulations, the staff of the
Office should carry out their investigative tasks in full
independence and should avoid conflicts of interest.
(27) It
should be incumbent on the Director-General to
Members of the staff of the Office should immediately
ensure the protection of personal data and respect for
inform the Director-General if an investigation concerns
confidentiality of information gathered in the course of
a matter in which they have any personal interest such as
investigations. Officials and other servants of the Union
to impair, or to be seen as impairing, their independence,
should be assured of legal protection equivalent to that
in particular if they are or have been involved in another
provided for by the Staff Regulations.
capacity in the matter under investigation.
(28) To
ensure
that
the
findings
of
investigations
conducted
(21) External
and
internal
investigations
by
the
Office
follow,
by the Office are taken into account and that the
in part, distinct rules. However, the Office should be
requisite follow-up action is taken, the reports should
allowed, whenever necessary, to combine in one single
have the status of admissible evidence in administrative
investigation the aspects of an external and an internal
or judicial proceedings. To that end, those reports should
investigation, without having to open two separate inves
be drawn up in a manner compatible with the rules
tigations.
governing administrative reports in the Member States.

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Official Journal of the European Union
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(29) Where
it
is
found
that
facts
brought
to
light
by
the
final
by the Office to Eurojust or Europol, where such
report on an internal investigation could give rise to
information is accompanied by an invitation to take
criminal proceedings, the information to that effect
specific criminal investigative action.
should be transmitted to the national judicial authorities
of the Member State concerned. In the recommendations
accompanying the final investigation report, the Director-
General should indicate whether, in the light of the
(35) For
the sake of successful cooperation between the
Office, the relevant institutions, bodies, offices and
nature of the facts and the scale of their financial
agencies of the Union, the competent authorities of the
impact, internal measures by the institution, body,
Member States, the competent authorities in third coun
office or agency concerned would allow for a more
tries, and international organisations, a mutual exchange
effective follow-up.
of information should be organised. Such exchange of
information should respect the principles of confiden
tiality and the rules on data protection laid down in
Regulation (EC) No 45/2001 of the European Parliament
(30) In
cases
where
the
Director-General
transmits
to
the
and of the Council of 18 December 2000 on the
judicial authorities of the Member State concerned
protection of individuals with regard to the processing
information obtained by the Office in the course of
of personal data by the Community institutions and
internal investigations, that transmission of information
bodies and on the free movement of such data ( 1 ). In
should be without prejudice to subsequent classification
particular, the Office should verify that the recipient
in law by the national judicial authority as to whether
has the appropriate competence and that the trans
investigative proceedings are required.
mission of information is necessary. Exchanges of
information with Eurojust should be covered by Euro
just’s mandate, which extends to coordination in trans
national cases of serious crime.
(31) It is for the competent authorities of the Member States
or the institutions, bodies, offices or agencies, as the case
may be, to decide what action should be taken on
(36) Given the scale of the Union funds allocated to the
completed investigations on the basis of the final inves
external-aid sector, the number of investigations carried
tigation reports drawn up by the Office.
out by the Office in that sector and the existence of
international cooperation for investigation purposes, the
Office should be able, where appropriate in coordination
with other competent services, to seek in the
(32) In
order
to
improve
its
efficiency,
the
Office
should
performance of its tasks, by means of administrative
know how the results of its investigations have been
arrangements, practical assistance from the competent
followed up. Hence, the institutions, bodies, offices and
authorities in third countries and from international
agencies of the Union and, where appropriate, the
organisations, without creating any additional legal
competent authorities of the Member States should
obligations.
report to the Office, at its request, on the action taken,
if any, on the basis of the information transmitted to
them by the Office.
(37) The
Office
should
enjoy
independence
in
the
discharge
of
its functions. To reinforce that independence, the Office
should be subject to regular monitoring of its investi
gative functions by a Supervisory Committee,
(33) In view of the major benefits of strengthening
composed of outside independent persons who are
cooperation between the Office, Eurojust, Europol and
highly qualified in the Office’s areas of activity. The
the competent authorities of the Member States, the
Supervisory Committee should not interfere with the
Office should be able to conclude with them adminis
conduct of ongoing investigations. Its duties should
trative arrangements which may, in particular, aim at
also include assisting the Director-General in discharging
facilitating practical cooperation and exchange of
his responsibilities.
information on technical and operational matters,
without creating any additional legal obligations.
(38) It is appropriate to specify the criteria and procedure for
appointing the members of the Supervisory Committee
and to further specify the tasks of the Supervisory
(34) In
order
to strengthen
the cooperation
between the
Committee arising from its mandate.
Office, Eurojust and the competent authorities of the
Member States in respect of deeds which may be the
subject of a criminal investigation, the Office should
inform Eurojust of, in particular, those cases of
(39) A
reserve
list
should
be
drawn
up
designating
candidates
suspected fraud, corruption or any other illegal activity
who may replace members of the Supervisory Committee
affecting the financial interests of the Union and
for the remainder of their term of office in the event that
involving serious forms of criminality. The transmission
one or more of those members resigns, dies or becomes
of information to the competent authorities of the
otherwise unable to perform his duties.
Member States concerned should occur, as appropriate,
before the information provided by them is transmitted
( 1 ) OJ L 8, 12.1.2001, p. 1.

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European
Union L
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(40) In
order
to
ensure
that
the
Supervisory
Committee
can
(46) Experience from operational practice has shown that it
carry out its mission efficiently, the independent func
would be useful to allow the Director-General to delegate
tioning of its secretariat should be guaranteed by the
the exercise of certain of his functions to one or more
Office.
members of the staff of the Office.
(41) An
exchange
of
views
should
take
place
once
a
year
(47) The
Director-General
should
put
in
place
an
internal
between the European Parliament, the Council and the
advisory and control mechanism, including a legality
Commission. Such exchange of views should cover, inter
check, with particular reference to the obligation to
alia, the strategic priorities for investigation policies and
respect the procedural guarantees and fundamental
the effectiveness of the work of the Office with regard to
rights of the persons concerned and the national law
the performance of its mandate, without in any way
of the Member States concerned.
interfering with the independence of the Office in the
conduct of its investigations. Preparation for the
exchange of views should take place at technical level
and should include, in so far as may be necessary, a
preparatory meeting between the relevant services of
(48) In order to ensure the Office’s independence, the
the institutions concerned. When discussing the effec
Commission should decide on appropriate delegations
tiveness of the work of the Office with regard to the
of the powers of the appointing authority to the
performance of its mandate, the institutions participating
Director-General.
in the exchange of views should be able to address stat
istical information concerning the follow-up given to the
Office’s investigations and to the information transmitted
by the Office.
(49) This
Regulation
in
no
way
diminishes
the
powers
and
responsibilities of the Member States to take measures to
combat fraud, corruption and any other illegal activity
affecting the financial interests of the Union. Entrusting
(42) In
order
to
ensure
complete
independence
in
the
running
to an independent Office the task of conducting external
of the Office, its Director-General should be appointed
administrative investigations in this area is accordingly in
for a non-renewable term of seven years.
full compliance with the principle of subsidiarity as set
out in Article 5 of the Treaty on European Union. In
accordance with the principle of proportionality, as set
out in that Article, this Regulation does not go beyond
(43) The function of the Director-General of the Office is
what is necessary in order to step up the fight against
particularly important also for the European Parliament
fraud, corruption and any other illegal activity affecting
and the Council. The person appointed as Director-
the financial interests of the Union.
General should enjoy the widest possible support and
recognition from the European Parliament, the Council
and the Commission. The Commission should therefore
seek to achieve a common accord with the European
(50) The
Commission
should
assess
the
need
for
revision
of
Parliament and the Council in the framework of the
this Regulation in the event that a European Public Pros
consultation procedure.
ecutor’s Office is established.
(44) A call for applications for the post of Director-General
(51) This Regulation respects fundamental rights and
should be published in the Official Journal of the European
complies, in particular, with the principles recognised
Union at the latest six months before the end of the term
in the Charter of Fundamental Rights of the European
of office of the Director-General in office. The call for
Union.
applications should be prepared by the Commission on
the basis of the outcome of close consultations with the
European Parliament and the Council. It should specify
the selection criteria, including the requirements which
candidates should meet in order to be eligible for the
(52) The European Data Protection Supervisor has been
post.
consulted in accordance with Article 28(2) of Regulation
(EC) No 45/2001 and delivered an opinion on 1 June
2011 ( 1 ).
(45) The Director-General should inform the Supervisory
Committee periodically of those cases in which
information has been transmitted to the judicial auth
(53) Given
the
substantial
number
of
amendments
necessary,
orities of the Member States and of the total number
Regulation (EC) No 1073/1999 should be repealed and
of the Office’s cases dealt with by the same judicial auth
replaced by this Regulation.
orities of the Member States in question, by way of
follow-up to an investigation conducted by the Office.
( 1 ) OJ C 279, 23.9.2011, p. 11.

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Official Journal of the European Union
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(54) Pursuant
to
Article
106a(1)
of
the
Treaty
establishing
the
(b) the Statute for Members of the European Parliament;
European Atomic Energy Community (TEAEC), which
extends the application of Article 325 TFEU to the
European Atomic Energy Community (Euratom), the
(c) the Staff Regulations;
rules governing investigations conducted by the Office
as regards the Union should also apply as regards
Euratom. Pursuant to Article 106a(2) TEAEC, references
(d) Regulation (EC) No 45/2001.
to the Union in Article 325 TFEU must be taken as
references to Euratom and references to the Union in
this Regulation therefore include, when the context so
4. Within
the
institutions,
bodies,
offices
and
agencies
estab
requires, references to Euratom. Council Regulation
lished by, or on the basis of, the Treaties (‘institutions, bodies,
(Euratom) No 1074/1999 of 25 May 1999 concerning
offices and agencies’), the Office shall conduct administrative
investigations conducted by the European Anti-Fraud
investigations for the purpose of fighting fraud, corruption
Office (OLAF) ( 1 ) should therefore be repealed,
and any other illegal activity affecting the financial interests of
the Union. To that end, it shall investigate serious matters
relating to the discharge of professional duties constituting a
HAVE ADOPTED THIS REGULATION:
dereliction of the obligations of officials and other servants of
the Union liable to result in disciplinary or, as the case may be,
criminal proceedings, or an equivalent failure to discharge
Article 1
obligations on the part of members of institutions and bodies,
heads of offices and agencies or staff members of institutions,
Objectives and tasks
bodies, offices or agencies not subject to the Staff Regulations
1. In
order
to
step
up
the
fight
against
fraud,
corruption
and (hereinafter collectively referred to as ‘officials, other servants,
any other illegal activity affecting the financial interests of the
members of institutions or bodies, heads of offices or agencies,
European Union and of the European Atomic Energy
or staff members’).
Community (hereinafter referred to collectively, when the
context so requires, as ‘the Union’), the European Anti-Fraud
Office established by Decision 1999/352/EC, ECSC, Euratom
5. For
the
application
of
this
Regulation,
competent
auth
(‘the Office’) shall exercise the powers of investigation
orities of the Member States and institutions, bodies, offices
conferred on the Commission by:
or agencies may establish administrative arrangements with
the Office. Those administrative arrangements may concern, in
particular, the transmission of information and the conduct of
(a) the relevant Union acts; and
investigations.
Article 2
(b) the relevant cooperation and mutual assistance agreements
concluded by the Union with third countries and inter
Definitions
national organisations.
For the purposes of this Regulation:
2. The
Office
shall
provide
the
Member
States
with
assistance (1) ‘financial interests of the Union’ shall include revenues,
from the Commission in organising close and regular
expenditures and assets covered by the budget of the
cooperation between their competent authorities in order to
European Union and those covered by the budgets of the
coordinate their action aimed at protecting the financial
institutions, bodies, offices and agencies and the budgets
interests of the Union against fraud. The Office shall contribute
managed and monitored by them;
to the design and development of methods of preventing and
combating fraud, corruption and any other illegal activity
affecting the financial interests of the Union. The Office shall
promote and coordinate, with and among the Member States,
(2) ‘irregularity’ shall mean ‘irregularity’ as defined in Article 1(2)
the sharing of operational experience and best procedural
of Regulation (EC, Euratom) No 2988/95;
practices in the field of the protection of the financial
interests of the Union, and shall support joint anti-fraud
actions undertaken by Member States on a voluntary basis.
(3) ‘fraud, corruption and any other illegal activity affecting the
financial interests of the Union’ shall have the meaning
applied to those words in the relevant Union acts;
3. This
Regulation
shall
apply
without
prejudice
to:
(4) ‘administrative investigations’ (‘investigations’) shall mean
any inspection, check or other measure undertaken by the
(a) Protocol No 7 on the privileges and immunities of the
Office in accordance with Articles 3 and 4, with a view to
European Union attached to the Treaty on European
achieving the objectives set out in Article 1 and to estab
Union and to the Treaty on the Functioning of the
lishing, where necessary, the irregular nature of the activities
European Union;
under investigation; those investigations shall not affect the
powers of the competent authorities of the Member States
( 1 ) OJ L 136, 31.5.1999, p. 8.
to initiate criminal proceedings;

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(5) ‘person concerned’ shall mean any person or economic
in Article 7(2). If that assistance requires authorisation from a
operator suspected of having committed fraud, corruption
judicial authority in accordance with national rules, such auth
or any other illegal activity affecting the financial interests
orisation shall be applied for.
of the Union and who is therefore subject to investigation
by the Office;
The Member State concerned shall ensure, in accordance with
Regulation (Euratom, EC) No 2185/96, that the staff of the
(6) ‘economic operator’ shall have the meaning applied to that
Office are allowed access, under the same terms and conditions
term by Regulation (EC, Euratom) No 2988/95 and Regu
as its competent authorities and in compliance with its national
lation (Euratom, EC) No 2185/96;
law, to all information and documents relating to the matter
under investigation which prove necessary in order for the on-
the-spot checks and inspections to be carried out effectively and
(7) ‘administrative arrangements’ shall mean arrangements of a
efficiently.
technical and/or operational nature concluded by the Office,
which may in particular aim at facilitating the cooperation
and the exchange of information between the parties
thereto, and which do not create additional legal
4. Member
States
shall,
for
the
purposes
of
this
Regulation,
obligations.
designate a service (‘the anti-fraud coordination service’) to
facilitate effective cooperation and exchange of information,
including information of an operational nature, with the
Office. Where appropriate, in accordance with national law,
Article 3
the anti-fraud coordination service may be regarded as a
External investigations
competent authority for the purposes of this Regulation.
1. The
Office
shall
exercise
the
power
conferred
on
the
Commission by Regulation (Euratom, EC) No 2185/96 to
carry out on-the-spot checks and inspections in the Member
5. During
an
external
investigation,
the
Office
may
have
States and, in accordance with the cooperation and mutual
access to any relevant information, including information in
assistance agreements and any other legal instrument in force,
databases, held by the institutions, bodies, offices and
in third countries and on the premises of international organi
agencies, connected with the matter under investigation,
sations.
where necessary in order to establish whether there has been
fraud, corruption or any other illegal activity affecting the
financial interests of the Union. For that purpose Article 4(2)
As part of its investigative function, the Office shall carry out
and (4) shall apply.
the checks and inspections provided for in Article 9(1) of Regu
lation (EC, Euratom) No 2988/95 and in the sectoral rules
referred to in Article 9(2) of that Regulation in the Member
States and, in accordance with the cooperation and mutual
6. Where,
before
a
decision
has
been
taken
whether
or
not
assistance agreements and any other legal instrument in force,
to open an external investigation, the Office handles
in third countries and on the premises of international organi
information which suggests that there has been fraud,
sations.
corruption or any other illegal activity affecting the financial
interests of the Union, it may inform the competent authorities
of the Member States concerned and, where necessary, the
competent Commission services.
2. With
a
view
to
establishing
whether
there
has
been
fraud,
corruption or any other illegal activity affecting the financial
interests of the Union in connection with a grant agreement
or decision or a contract concerning Union funding, the Office
Without prejudice to the sectoral rules referred to in Article 9(2)
may, in accordance with the provisions and procedures laid
of Regulation (EC, Euratom) No 2988/95, the competent auth
down by Regulation (Euratom, EC) No 2185/96, conduct on-
orities of the Member States concerned shall ensure that appro
the-spot checks and inspections on economic operators.
priate action is taken, in which the Office may take part, in
compliance with national law. Upon request, the competent
authorities of the Member States concerned shall inform the
Office of the action taken and of their findings on the basis
3. During
on-the-spot
checks
and
inspections,
the
staff
of
the of information as referred to in the first subparagraph of this
Office shall act, subject to the Union law applicable, in
paragraph.
compliance with the rules and practices of the Member State
concerned and with the procedural guarantees provided for in
this Regulation.
Article 4
Internal investigations
At the request of the Office, the competent authority of the
Member State concerned shall provide the staff of the Office
1. In the areas referred to in Article 1, the Office shall carry
with the assistance needed in order to carry out their tasks
out administrative investigations within the institutions, bodies,
effectively, as specified in the written authorisation referred to
offices and agencies (‘internal investigations’).

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Those internal investigations shall be conducted in accordance
In exceptional cases, the provision of such information may be
with the conditions set out in this Regulation and in the
deferred on the basis of a reasoned decision by the Director-
decisions adopted by the respective institution, body, office or
General, which shall be transmitted to the Supervisory
agency.
Committee after the closure of the investigation.
2. Provided
that
the
provisions
referred
to
in
paragraph
1
are
complied with:
7. The
decision
to
be
adopted
by
each
institution,
body,
office or agency as provided for in paragraph 1 shall include,
in particular, a rule concerning a duty on the part of officials,
other servants, members of institutions or bodies, heads of
(a) the Office shall have the right of immediate and
offices or agencies, or staff members to cooperate with and
unannounced access to any relevant information, including
supply information to the Office, while ensuring the confiden
information in databases, held by the institutions, bodies,
tiality of the internal investigation.
offices and agencies, and to their premises. The Office shall
be empowered to inspect the accounts of the institutions,
bodies, offices and agencies. The Office may take a copy of,
and obtain extracts from, any document or the contents of
8. Where,
before
a
decision
has
been
taken
whether
or
not
any data medium held by the institutions, bodies, offices
to open an internal investigation, the Office handles
and agencies and, if necessary, assume custody of such
information which suggests that there has been fraud,
documents or data to ensure that there is no danger of
corruption or any other illegal activity affecting the financial
their disappearance;
interests of the Union, it may inform the institution, body,
office or agency concerned. Upon request, the institution,
body, office or agency concerned shall inform the Office of
any action taken and of its findings on the basis of such
(b) the Office may request oral information, including through
information.
interviews, and written information from officials, other
servants, members of institutions or bodies, heads of
offices or agencies, or staff members.
Where necessary, the Office shall also inform the competent
authorities of the Member State concerned. In this case, the
3. In
accordance
with
the
provisions
and
procedures
laid procedural requirements laid down in the second and third
down by Regulation (Euratom, EC) No 2185/96, the Office
subparagraphs of Article 9(4) shall apply. If the competent auth
may carry out on-the-spot checks and inspections at the
orities decide to take any action on the basis of the information
premises of economic operators in order to obtain access to
transmitted to them, in accordance with national law, they shall,
information relevant to the matter under internal investigation.
upon request, inform the Office thereof.
4. The institutions, bodies, offices and agencies shall be
informed whenever the staff of the Office conduct an internal
Article 5
investigation on their premises or consult a document or
Opening of investigations
request information held by them. Without prejudice to
Articles 10 and 11, the Office may at any time forward to
1. The
Director-General
may
open
an
investigation
when
the institution, body, office or agency concerned the
there is a sufficient suspicion, which may also be based on
information obtained in the course of internal investigations.
information provided by any third party or anonymous
information, that there has been fraud, corruption or any
other illegal activity affecting the financial interests of the
Union. The decision by the Director-General whether or not
5. The
institutions,
bodies,
offices
and
agencies
shall
put
in to open an investigation shall take into account the investi
place appropriate procedures and take necessary measures to
gation policy priorities and the annual management plan of
ensure at all stages the confidentiality of internal investigations.
the Office established in accordance with Article 17(5). That
decision shall also take into account the need for efficient use
of the Office’s resources and for proportionality of the means
employed. With regard to internal investigations, specific
6. Where
internal
investigations
reveal
that
an
official,
other account shall be taken of the institution, body, office or
servant, member of an institution or body, head of office or
agency best placed to conduct them, based, in particular, on
agency, or staff member may be a person concerned, the insti
the nature of the facts, the actual or potential financial impact
tution, body, office or agency to which that person belongs
of the case, and the likelihood of any judicial follow-up.
shall be informed.
In cases where the confidentiality of the internal investigation
2. The
decision
to
open
an
external
investigation
shall
be
cannot be ensured using the usual channels of communication,
taken by the Director-General, acting on his own initiative or
the Office shall use appropriate alternative channels for trans
following a request from a Member State concerned or any
mitting information.
institution, body, office or agency of the Union.

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Union L
248/9
The decision to open an internal investigation shall be taken by
held by the institutions, bodies, offices or agencies when this is
the Director-General, acting on his own initiative or following a
indispensable in order to assess the basis in fact of allegations.
request from the institution, body, office or agency within
That right of access shall be exercised within the time-limit, to
which the investigation is to be conducted or from a Member
be set by the Office, required for a prompt assessment of the
State.
allegations. In exercising that right of access, the Office shall
respect the principles of necessity and proportionality.
3. While
the
Director-General
is
considering
whether
or
not
to open an internal investigation following a request as referred
2. The
institution,
body,
office
or
agency
concerned
shall
to in paragraph 2, and/or while the Office is conducting an
sincerely cooperate by allowing the Office to obtain any
internal investigation, the institutions, bodies, offices or
relevant information under conditions to be specified in the
agencies concerned shall not open a parallel investigation into
decisions adopted under Article 4(1).
the same facts, unless agreed otherwise with the Office.
Article 7
4. Within
two
months
of
receipt
by
the
Office
of
a
request
Investigations procedure
as referred to in paragraph 2, a decision whether or not to open
1. The
Director-General
shall
direct
the
conduct
of
investi
an investigation shall be taken. It shall be communicated
gations on the basis, where appropriate, of written instructions.
without delay to the Member State, institution, body, office or
Investigations shall be conducted under his direction by the staff
agency which made the request. Reasons shall be given for a
of the Office designated by him.
decision not to open an investigation. If, on the expiry of that
period of two months, the Office has not taken any decision,
the Office shall be deemed to have decided not to open an
investigation.
2. The
staff
of
the
Office
shall
carry
out
their
tasks
on
production of a written authorisation showing their identity
and their capacity. The Director-General shall issue such auth
orisation indicating the subject matter and the purpose of the
Where an official, other servant, member of an institution or
investigation, the legal bases for conducting the investigation
body, head of office or agency, or staff member, acting in
and the investigative powers stemming from those bases.
accordance with Article 22a of the Staff Regulations, provides
information to the Office relating to a suspected fraud or irregu
larity, the Office shall inform that person of the decision
3. The
competent
authorities
of
the
Member
States
shall,
in
whether or not to open an investigation in relation to the
conformity with national rules, give the necessary assistance to
facts in question.
enable the staff of the Office to fulfil their tasks effectively.
5. If
the
Director-General
decides
not
to
open
an
internal The institutions, bodies, offices and agencies shall ensure that
investigation, he may without delay send any relevant
their officials, other servants, members, heads and staff
information to the institution, body, office or agency
members provide the necessary assistance to enable the staff
concerned for appropriate action to be taken in accordance
of the Office to fulfil their tasks effectively.
with the rules applicable to that institution, body, office or
agency. The Office shall agree with that institution, body,
office or agency, if appropriate, on suitable measures to
protect the confidentiality of the source of that information
4. Where
an
investigation
combines
external
and
internal
and shall, if necessary, ask to be informed of the action taken.
elements, Articles 3 and 4 shall apply respectively.
5. Investigations
shall
be
conducted
continuously
over
a
6. If
the
Director-General
decides
not
to
open
an
external period which must be proportionate to the circumstances and
investigation, he may without delay send any relevant
complexity of the case.
information to the competent authorities of the Member State
concerned for action to be taken where appropriate, in
accordance with its national rules. Where necessary, the Office
shall also inform the institution, body, office or agency
6. Where
investigations
show
that
it
might
be
appropriate
to
concerned.
take precautionary administrative measures to protect the
financial interests of the Union, the Office shall without delay
inform the institution, body, office or agency concerned of the
investigation in progress. The information supplied shall include
Article 6
the following:
Access to information in databases prior to the opening of
an investigation
(a) the identity of the official, other servant, member of an
1. Prior to the opening of an investigation, the Office shall
institution or body, head of office or agency, or staff
have the right of access to any relevant information in databases
member concerned and a summary of the facts in question;

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L 248/10
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Official Journal of the European Union
18.9.2013
(b) any information that could assist the institution, body, office
Article 9
or agency concerned in deciding whether it is appropriate to
take precautionary administrative measures in order to
Procedural guarantees
protect the financial interests of the Union;
1. In
its
investigations
the
Office
shall
seek
evidence
for
and
against the person concerned. Investigations shall be conducted
objectively and impartially and in accordance with the principle
of the presumption of innocence and with the procedural guar
(c) any special measures of confidentiality recommended, in
antees set out in this Article.
particular in cases entailing the use of investigative
measures falling within the competence of a national
judicial authority or, in the case of an external investigation,
within the competence of a national authority, in
2. The Office may interview a person concerned or a witness
accordance with the national rules applicable to investi
at any time during an investigation. Any person interviewed
gations.
shall have the right to avoid self-incrimination.
The invitation to an interview shall be sent to a person
The institution, body, office or agency concerned may at any
concerned with at least 10 working days’ notice. That notice
time decide to take, in close cooperation with the Office, any
period may be shortened with the express consent of the person
appropriate precautionary measures, including measures for the
concerned or on duly reasoned grounds of urgency of the
safeguarding of evidence, and shall inform the Office without
investigation. In the latter case, the notice period shall not be
delay of such decision.
less than 24 hours. The invitation shall include a list of the
rights of the person concerned, in particular the right to be
assisted by a person of his choice.
7. Where
necessary,
it
shall
be
for
the
competent
authorities
of the Member States, at the Office’s request, to take the appro
priate precautionary measures under their national law, in
The invitation to an interview shall be sent to a witness with at
particular measures for the safeguarding of evidence.
least 24 hours’ notice. That notice period may be shortened
with the express consent of the witness or on duly reasoned
grounds of urgency of the investigation.
8. If
an
investigation
cannot
be
closed
within
12
months
after it has been opened, the Director-General shall, at the
expiry of that 12-month period and every six months thereafter,
The requirements referred to in the second and third subpara
report to the Supervisory Committee, indicating the reasons and
graphs shall not apply to the taking of statements in the context
the remedial measures envisaged with a view to speeding up the
of on-the-spot checks and inspections.
investigation.
Where, in the course of an interview, evidence emerges that a
witness may be a person concerned, the interview shall be
Article 8
ended. The procedural rules provided for in this paragraph
and in paragraphs 3 and 4 shall immediately apply. That
Duty to inform the Office
witness shall be informed forthwith of his rights as a person
1. The institutions, bodies, offices and agencies shall transmit
concerned and shall receive, upon request, a copy of the records
to the Office without delay any information relating to possible
of any statements made by him in the past. The Office may not
cases of fraud, corruption or any other illegal activity affecting
use that person’s past statements against him without giving
the financial interests of the Union.
him first the opportunity to comment on those statements.
The Office shall draw up a record of the interview and give the
2. The
institutions,
bodies,
offices
and
agencies
and,
in
so
far person interviewed access to it so that the person interviewed
as their national law allows, the competent authorities of the
may either approve the record or add observations. The Office
Member States shall, at the request of the Office or on their
shall give the person concerned a copy of the record of the
own initiative, transmit to the Office any document or
interview.
information they hold which relates to an ongoing investigation
by the Office.
3. As soon as an investigation reveals that an official, other
servant, member of an institution or body, head of office or
3. The
institutions,
bodies,
offices
and
agencies
and,
in
so
far agency, or staff member may be a person concerned, that
as their national law allows, the competent authorities of the
official, other servant, member of an institution or body, head
Member States shall transmit to the Office any other document
of office or agency, or staff member shall be informed to that
or information considered pertinent which they hold relating to
effect, provided that this does not prejudice the conduct of the
the fight against fraud, corruption and any other illegal activity
investigation or of any investigative proceedings falling within
affecting the financial interests of the Union.
the remit of a national judicial authority.

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18.9.2013 Official
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European
Union L
248/11
4. Without prejudice to Articles 4(6) and 7(6), once the
conducted by the Office is respected, together with the
investigation has been completed and before conclusions
legitimate rights of the persons concerned, and, where judicial
referring by name to a person concerned are drawn up, that
proceedings have been initiated, that all national rules applicable
person shall be given the opportunity to comment on facts
to such proceedings have been adhered to.
concerning him.
4. The
Office
may
designate
a
Data
Protection
Officer
in
To that end, the Office shall send the person concerned an
accordance with Article 24 of Regulation (EC) No 45/2001.
invitation to comment either in writing or at an interview
with staff designated by the Office. That invitation shall
include a summary of the facts concerning the person
concerned and the information required by Articles 11 and
5. The
Director-General
shall
ensure
that
any
information
12 of Regulation (EC) No 45/2001, and shall indicate the
provided to the public is given neutrally and impartially, and
time-limit for submitting comments, which shall not be less
that its disclosure respects the confidentiality of investigations
than 10 working days from receipt of the invitation to
and complies with the principles set out in this Article and in
comment. That notice period may be shortened with the
Article 9(1).
express consent of the person concerned or on duly reasoned
grounds of urgency of the investigation. The final investigation
report shall make reference to any such comments.
In accordance with the Staff Regulations, the staff of the Office
shall refrain from any unauthorised disclosure of information
received in the line of duty, unless that information has already
In duly justified cases where it is necessary to preserve the
been made public or is accessible to the public, and shall
confidentiality of the investigation and/or entailing the use of
continue to be bound by that obligation after leaving the
investigative proceedings falling within the remit of a national
service.
judicial authority, the Director-General may decide to defer the
fulfilment of the obligation to invite the person concerned to
comment.
Article 11
Investigation report and action to be taken following
investigations
In cases referred to in Article 1(2) of Annex IX to the Staff
Regulations, failure on the part of the institution, body, office or
1. On
completion
of
an
investigation
by
the
Office,
a
report
agency to respond within one month to the request of the
shall be drawn up, under the authority of the Director-General.
Director-General for deferral of the fulfilment of the obligation
That report shall give an account of the legal basis for the
to invite the person concerned to comment shall be deemed to
investigation, the procedural steps followed, the facts established
constitute a reply in the affirmative.
and their preliminary classification in law, the estimated
financial impact of the facts established, the respect of the
procedural guarantees in accordance with Article 9 and the
conclusions of the investigation.
5. Any
person
interviewed