Disziplinarverfahren und interne Ermittlungen

Opinion of 21 November 2007 on a notification for prior checking on information and intelligence data pool and intelligence databases (Joint cases 2007-27 and 2007-28)

Information and Intelligence Data Pool” is the description given to all data held within the remit of Operational Intelligence Unit C4 in OLAF, including the Intelligence Databases.

Operational Information and Intelligence support are essential aspects of OLAF’s mandate to fight fraud, corruption, and any other illegal activity affecting the financial interests of the European Community, and serious matters relating to the discharge of professional duties - as established in Article 1 of Regulation (EC) n° 1073/1999 and Commission Decision 1999/352/EC Article 2 (5).

The purpose of the processing under analysis is then to further OLAF intelligence/analysis and operational activity. It also aims to support specific case requests, operations and investigations with a view to ensuring the optimum accuracy and relevance of information received, disseminated and otherwise processed for intelligence, financial, administrative, disciplinary and judicial use. This support may be provided throughout the various stages of OLAF investigation and operational activities, over all sectors and is recorded within the CMS (Case Management System) where applicable.

OLAF’s operational intelligence role also includes supporting the control, intelligence and enforcement activities in Member States, for OLAF partners and Operational DGs. Chapter 2.4.3 of the OLAF Manual further explains the role of OLAF's operational intelligence.

In his prior checking Opinion, the EDPS issued the main following recommendations:

• to acknowledge in the intelligence files when any restriction based on Article 20 of the Regulation is operated;
• to respect the confidentiality of the identity of whistleblowers during OLAF intelligence activities and in the later stages when appropriate;
• to provide the information (Article 12 of the Regulation) to the data subjects whose names appear in the documentation under analysis, but who are not persons concerned, witnesses, whistleblowers or informants, unless such activity would be impossible or would involve a disproportionate effort, in which case the obligation to provide directly the information could only be replaced by the indirect provision through the privacy statement published on the OLAF website. The same principle should be applied when intelligence activities are conducted independently of an investigation;
• to supplement the publication on the website with personalised information notices addressed to individuals (unless such activity would be impossible or would involve a disproportionate effort). The EDPS therefore calls upon OLAF to develop practices in providing personalised information to the individuals concerned to the degree it is appropriate in the context of intelligence activities and inform the EDPS about such guidelines.

Answer to a notification for prior checking on the administration of external activities (Case 2007-417)

Opinion of 19 October 2007 on a notification for prior checking on mutual assistance exchanges (Case 2007-202)

Opinion of 19 October 2007 on a notification for prior checking on mutual assistance exchanges (Case 2007-202)

After examining the details of the processing operation, the EDPS made several recommendations, which concern, among others, the data quality principle, transfers of personal data, right of access and rectification and the restriction of those rights and the information that should be supplied to data subjects.

Opinion of 17 October 2007on the notification for prior checking regarding the "disciplinary proceedings and administrative investigations" dossier (Case 2007-413)

The European Ombudsman has adopted general implementing provisions (GIP) governing disciplinary proceedings and administrative investigations relating to disciplinary proceedings and they became applicable as from 1 May 2004.

The EDPS has examined the personal data processing and has concluded that it does not appear to involve any infringement of the provisions of Regulation (EC) No 45/2001 provided that a number of recommendations are taken into account, specifically that: a general instruction is adopted to ensure that only adequate and necessary data are processed in the course of administrative investigations and disciplinary proceedings; a procedure is clearly established for the conduct of any tapping of electronic communications; anyone receiving and processing data in the context of an administrative investigation or disciplinary proceedings within the European Ombudsman's Office processes them solely within the framework of administrative investigations or disciplinary proceedings; the period of storage of data in the personal file and in the disciplinary file is reviewed in the light of Article 4(1)(e) of the Regulation; right of access and right of rectification are also granted to all persons mentioned in the investigation report or disciplinary file, within the limits of the exemptions set out in Article 20; and provision is made for the supply of general information on the processing of personal data in the context of administrative investigations and disciplinary proceedings and for the supply of specific information on the processing of data in the context of a specific administrative investigation or specific proceedings within the limits of Article 20 of Regulation No 45/2001.