# Council Decision (CFSP) 2016/1182 of 18 July 2016 concerning the Staff Regulations of the European Union Institute for Security Studies, Appendix ANNEX IX: RULES ON ADMINISTRATIVE INVESTIGATIONS AND DISCIPLINARY PROCEEDINGS AND MEASURES Extent: E+W+S+N.I. Section 1 General provisions Article 1 1. Whenever an internal investigation reveals the possibility that a serving or former contract staff member has failed to comply with his or her obligations under the Staff Regulations, that person shall rapidly be informed, provided this is not harmful to the investigation. In any event, conclusions referring by name to a contract staff member may not be drawn up if the investigation has been completed without that contract staff member having been given the opportunity to comment on facts concerning that person. The conclusions shall make reference to those comments. 2. In cases that demand absolute secrecy for the purposes of the investigation and requiring the use of investigative procedures falling within the remit of a national judicial authority, compliance with the obligation to invite the contract staff member to comment may, in agreement with the Director, be deferred. In such cases, no disciplinary proceedings may be opened before the contract staff member has been given a chance to comment. 3. If, following an internal investigation, no case can be made against a contract staff member about whom allegations have been made, the investigation in question shall be closed, with no further action taken, by decision of the Director, who shall inform the contract staff member in writing. The contract staff member may request that this decision be inserted in his or her personal file. 4. The Director shall inform the person concerned when the investigation ends, and shall communicate to that person the conclusions of the investigation report. Article 2 1. On the basis of the investigation report, after having notified the contract staff member concerned of all evidence in the file and after hearing the contract staff member concerned, the Director may: (a) decide that no case can be made against the contract staff member, in which case he or she shall be informed accordingly in writing; (b) decide, even if there is, or appears to have been, a failure by the contract staff member to comply with his or her obligations under the Staff Regulations, that no disciplinary measure shall be imposed and, if appropriate, give an oral warning to the contract staff member; or (c) in the case of failure to comply with obligations within the meaning of Article 27 of the Staff Regulations: (i) decide to initiate the disciplinary proceedings provided for in Section 4 of this Annex; or (ii) decide to initiate disciplinary proceedings before the Disciplinary Board. Article 3 A contract staff member who, for objective reasons, cannot be heard pursuant to the provisions of this Annex may be asked to comment in writing or may be represented by a person of his or her choice. Section 2 Disciplinary Board Article 4 1. A Disciplinary Board shall be established whose members may be chosen from the staff of the Institute or of a European Union institution. 2. The Disciplinary Board shall consist of a Chair and two full members, who may be replaced by alternates. Article 5 1. The Director and the Staff Committee referred to in Article 36 of the Staff Regulations shall each appoint one member and one alternate at the same time. If for any reason no member and no alternate has been appointed by the Staff Committee the Director may appoint provisional members to replace them until they are appointed. 2. The Chair shall be the Chair of the Institute's Board. The alternate for the Chair shall be appointed by the Director. 3. The Chair, the members and the alternates shall be appointed for a period of three years. However, the Institute may provide for a shorter period for members and alternates, subject to a minimum of one year. 4. The contract staff member concerned shall be entitled to reject one of the Disciplinary Board members within five days of the Disciplinary Board's establishment. The Director shall also be entitled to reject one of the Board members. Within the same time limit, Disciplinary Board members may ask to be excused from duty for legitimate reasons and shall withdraw from the Disciplinary Board if a conflict of interests exists. Article 6 1. The Chair and members of the Disciplinary Board shall be completely independent in the performance of their duties. 2. The deliberations and proceedings of the Disciplinary Board shall not be disclosed. Section 3 Disciplinary measures Article 7 1. The Director may impose one of the following disciplinary measures: (a) a written warning; (b) a reprimand; (c) deferment of advancement to a higher step for a period of between one and 23 months; (d) relegation in step; (e) removal from post, involving termination of contract, possibly accompanied by total or partial forfeiture of the indemnity for loss of job. 2. Where the contract staff member is in receipt of a retirement pension or an invalidity allowance, the Director may decide to withhold an amount from the pension or the invalidity allowance for a given period. The effects of this measure shall not extend to the contract staff member's dependants. The contract staff member's income may not, however, be less than the minimum subsistence figure corresponding to the basic salary of a contract staff member at post C1/1, with the addition of any family allowances payable. 3. A single misconduct shall not give rise to more than one disciplinary measure. Article 8 The severity of the disciplinary measures imposed shall be commensurate with the seriousness of the misconduct. To determine the seriousness of the misconduct and to decide upon the disciplinary measure to be imposed, account shall be taken in particular of: (a) the nature of the misconduct and the circumstances in which it occurred; (b) the extent to which the misconduct adversely affects the integrity, reputation or interests of the Institute; (c) the extent to which the misconduct involves intentional action or negligence; (d) the motives for the contract staff member's misconduct; (e) the contract staff member's grade and seniority; (f) the degree of the contract staff member's personal responsibility; (g) the level of the contract staff member's duties and responsibilities; (h) whether the misconduct involves repeated action or behaviour (i) the conduct of the contract staff member throughout the course of his or her career. Section 4 Disciplinary proceedings not involving the Disciplinary Board Article 9 The Director may issue a written warning or reprimand without consulting the Disciplinary Board. In such case the contract staff member concerned shall be heard before such action is taken by the Director. Section 5 Disciplinary proceedings before the Disciplinary Board Article 10 1. The Director shall submit a report to the Disciplinary Board, stating clearly the facts complained of and, where appropriate, the circumstances in which they arose, including any aggravating or extenuating circumstances. 2. The report shall be communicated to the contract staff member concerned and to the Chair of the Disciplinary Board, who shall bring it to the attention of the members of the Disciplinary Board. Article 11 1. On receipt of the report, the contract staff member concerned shall have the right to obtain his or her complete personal file and take copies of all documents relevant to the proceedings, including exonerating evidence. 2. The contract staff member concerned shall have not less than 15 days from the date of receipt of the report initiating the disciplinary proceedings to prepare a defence. 3. The contract staff member may be assisted by a person of his or her choice. Article 12 If, in the presence of the Chair of the Disciplinary Board, the contract staff member concerned acknowledges misconduct on his or her part and accepts unreservedly the report referred to in Article 10 of this Annex, the Director may, in accordance with the principle of proportionality between the nature of the misconduct and the disciplinary measure being considered, withdraw the case from the Disciplinary Board. Where a case is withdrawn from the Disciplinary Board the Chair shall deliver an opinion on the disciplinary measure considered. Under this procedure the Director may, by derogation from Article 9 of this Annex, impose one of the disciplinary measures provided for in points (a) to (d) of Article 7(1) of this Annex. The contract staff member concerned shall be informed, before acknowledging his or her misconduct, of the possible consequences of such acknowledgement. Article 13 Before the first meeting of the Disciplinary Board, the Chair may give one of its members the task of preparing a general report on the matter and shall inform the other members of the Disciplinary Board accordingly. Article 14 1. The contract staff member concerned shall be heard by the Disciplinary Board. At the hearing, he or she may submit observations in writing or orally, whether in person or through a representative. The contract staff member may call witnesses. 2. The Institute shall be represented before the Disciplinary Board by a contract staff member mandated by the Director to this effect. Article 15 After consideration of the documents submitted and having regard to any statement made orally or in writing, the Disciplinary Board shall, by a majority vote, deliver a reasoned opinion as to whether the facts complained of are established and as to any disciplinary measure to which those facts should give rise. This opinion shall be signed by all the members of the Board. The Disciplinary Board shall transmit the opinion to the Director and to the contract staff member concerned within two months of the date of receipt of the report of the Director, provided that this time limit is commensurate with the degree of complexity of the case. Article 16 1. After hearing the contract staff member, the Director shall take a decision as provided for in Articles 8 and 9 of this Annex within two months of receipt of the opinion of the Disciplinary Board. Reasons must be given for the decision. 2. If the Director decides to close the case without imposing any disciplinary measure, he or she shall so inform the contract staff member concerned in writing without delay. The contract staff member concerned may request that this decision be inserted in his or her personal file. Article 17 1. Expenses incurred by the contract staff member concerned in the course of disciplinary proceedings, and in particular fees paid to a person chosen to assist the contract staff member or for his or her defence, shall be borne by the contract staff member where the disciplinary proceedings result in the imposition of one of the disciplinary measures provided for in Article 7 of this Annex. 2. However, the Director may decide otherwise in exceptional cases where the burden on the contract staff member concerned would be unfair. Section 6 Suspension Article 18 1. If the Director accuses a contract staff member of serious misconduct, whether a failure to honour his or her professional obligations or an infringement of the law, the Director may immediately suspend him or her for a specified or indefinite period. 2. The Director shall take this decision after hearing the contract staff member concerned, save in exceptional circumstances. Article 19 1. The decision suspending a contract staff member shall state whether the contract staff member is to continue to receive his or her full remuneration during the period of suspension or what part thereof is to be withheld. The amount paid to the contract staff member shall not under any circumstances be less than the minimum subsistence figure corresponding to the basic salary of a contract staff member at grade C 1/1 with the addition of any family allowances payable. 2. The situation of a suspended contract staff member must be definitively settled within six months of the date on which the suspension takes effect. If no such decision is taken within six months, the contract staff member concerned shall be entitled to again receive full remuneration, subject to paragraph 3. 3. Remuneration may continue to be withheld in part after the six-month deadline referred to in paragraph 2 if the contract staff member concerned is the subject of criminal proceedings for the same acts and is in custody as a result of those proceedings. In such cases the contract staff member shall not receive full remuneration until the competent court has ordered the release of the contract staff member. 4. Sums withheld under paragraph 1 shall be repaid to the contract staff member if the final decision imposes a disciplinary measure no more severe than a written warning, reprimand or deferment of advancement to a higher step, or if no disciplinary measure is imposed. In the latter case, the repayment shall be made with compound interest at a rate of 3,5 % per year. Section 7 Parallel criminal prosecution Article 20 Where the contract staff member is prosecuted for the same acts, a final decision on disciplinary measures shall be taken only after a final judgment has been handed down by the court hearing the case. Section 8 Final provisions Article 21 A contract staff member on whom a disciplinary measure other than removal from post has been imposed may, after three years in the case of a written warning or reprimand and after six years in the case of any other disciplinary measure, submit a request for the deletion from his or her personal file of all reference to such measure. The Director shall decide whether to grant that request. Article 22 Where new facts supported by relevant evidence come to light, disciplinary proceedings may be reopened by the Director on his or her own initiative or on application by the contract staff member concerned. Article 23 If no case has been made against the contract staff member after an opinion has been delivered by the Disciplinary Board pursuant to Article 15 of this Annex, the contract staff member shall be entitled to request that the damage suffered should be made good through suitable publicity for the decision of the Director. Article 24 The Director shall adopt implementing rules of these provisions. --- Source: https://www.legislation.gov.uk/eudn/2016/1182/annex/annex/IX (the official version) Page: https://openlegislation.uk/eu-decision-2016-1182/annex/annex-IX Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.