Activities of Alexandra GEESE related to 2022/0162(COD)
Shadow reports (1)
REPORT on the proposal for a regulation of the European Parliament and of the Council on the financial rules applicable to the general budget of the Union (recast)
Amendments (52)
Amendment 106 #
Proposal for a regulation
Recital 11 a (new)
Recital 11 a (new)
(11 a) Only commitments selected and implemented respecting the Charter of Fundamental Rights of the European Union (the ‘Charter’) should be eligible for funding. The measures to be adopted in the event of the non-respect of the ‘Charter’ should include the suspension of payments and of commitments, the suspension of the disbursement of instalments or the early repayment of loans, a reduction of funding under existing commitments, and a prohibition on entering into new commitments with recipients or to enter into new agreements on loans or other instruments guaranteed by the Union budget. Furthermore, a specific complaints mechanism related to the respect of ‘Charter’ in the implementation of the budget should be set up without prejudice to the general possibility of citizens and stakeholders to address complaints to the Commission, including with regard to infringements of the ‘Charter’ to assist the Commission in monitoring the respect of the ‘Charter’. That assessment should be objective, impartial and fair, and should take into account relevant information from available sources and recognised institutions, as relevant, and conclusions and recommendations of relevant international organisations and networks, including and the Venice Commission, The Commission could consult the European Union Agency for Fundamental Rights and the Venice Commission if necessary for the purpose monitoring the respect of the ‘Charter’.
Amendment 109 #
Proposal for a regulation
Recital 23 a (new)
Recital 23 a (new)
(23 a) In light of the agreement of horizontal mainstreaming goal of gender equality as well as specific spending targets on climate for monitoring climate- spending (mitigation and adaptation) and its performance and expenditure contributing to halting and reversing the decline of biodiversity the Commission should establish a set of scientifically sound indicators to underpin its effective methodology that allow for reliable and transparent measurement of ex-ante, result and impact of the EU budget with a clear definition and differentiation. It should do so for any other mainstreaming or spending targets as agreed.
Amendment 110 #
Proposal for a regulation
Recital 24
Recital 24
(24) Considering the importance of addressing climate and environmental challenges and in order to ensure that budget implementation contributes to the achievement of the European Green Deal30 as well the Unions’ climate and energy targets and to the achievement of climate neutrality by 2050 latest, the concept of performance as regards the budget should be extended to include the implementation of programmes and activities in a sustainable way, which would not hinder the achievement of the environmental objectives of climate change mitigation, climate change adaptation, the sustainable use and protection of water and marine resources, the transition to a circular economy, pollution prevention and control and the protection and restoration of biodiversity and ecosystems. _________________ 30 The European Green deal, Communication from the Commission to the European Parliament, the European Council, the Council the European Economic and Social Committee and the Committee of the Regions, COM/2019/640 final.
Amendment 111 #
Proposal for a regulation
Recital 24 a (new)
Recital 24 a (new)
(24 a) Gender mainstreaming should be better reflected in the drafting and implementation of the budget and underpinned by systematic and comprehensive gender disaggregated data. As a start the gender of all natural persons as well as beneficial owners of companies receiving funding from the EU budget should be available to retrieve information on beneficiaries in a gender- disaggregated manner from the reporting tools. The impact on gender equality and needs to be complemented further comprehensive collection of data regarding the impact of the budget.
Amendment 114 #
Proposal for a regulation
Recital 29
Recital 29
(29) Without prejudice to the rules on the protection of personal data, the utmost transparency regarding information on recipients should be sought. The information on recipients of Union funds should be published on a dedicated website of Union institutions, such as the Financial Transparency System. Publication requirements should cover all methods of budget implementation, including by other Union institutions and bodies. To that end, Member States, persons and entities implementing the budget and other Union institutions and bodies should transmit to the Commission, at least on a yearly basis, information on their recipients of Union funding. That information should include at least the name , a unique identifier and the locality of the recipient, the gender of the recipient, if the recipient is a natural person, the amount committed and the purpose of the measure. That information should take into account relevant criteria such as the periodicity, the type and the importance of the measure.
Amendment 120 #
Proposal for a regulation
Recital 43
Recital 43
(43) In view of the increased volume of borrowing and lending operations carried out by the Commission on behalf of the Union to finance the recovery from the COVID-19 pandemic, transparency regarding those operations should be further enhanced. To address the increased complexity of those operations and in order to ensure better visibility of their content, a comprehensive overview of borrowing and lending operations carried out by the Commission including as a minimum, detailed information on maturities, outstanding debt, interest due, the borrowing plan including revenue sources for repayment, a liquidity forecast and certified by the Chief Risk Officer should be added to the document annexed to the section of the budget relating to the Commission.
Amendment 127 #
Proposal for a regulation
Recital 246
Recital 246
(246) The Union should be able to participate in global initiatives, when such participation contributes to the achievement of Union policy objectives, in particular for commitments under the umbrella of the United Nations. In order to provide a suitable legal framework for Union participation in global initiatives, Union contribution to such initiatives should be included as a new budget implementation instrument. The use of this new financial vehicle would be subject to conditions and limited to cases where other instruments provided in the Financial Regulation do not enable the achievement of the respective EU policy objectives with the same scale and impact.
Amendment 144 #
Proposal for a regulation
Article 6 – title
Article 6 – title
Respect for budgetary principles and general regime of conditionality for the protection of the Union budget and respect of fundamental rights
Amendment 145 #
Proposal for a regulation
Article 6 – paragraph 2 a (new)
Article 6 – paragraph 2 a (new)
2 a. The Commission and the Member States shall ensure respect for fundamental rights including non- discrimination, and compliance with the Charter of Fundamental Rights of the European Union in the implementation of the EU budget. Only actions selected and implemented while respecting the Charter shall be eligible for funding. The Commission shall establish the ineligibilty of expenditure and shall proceed the adaption of appropriate measures. The Commission shall be responsible for monitoring compliance with the Charter and shall ensure the effective and efficient examination of complaints. This is without prejudice to the general possibility of citizens and stakeholders to address complaints to the Commission, including with regard to infringements of the Charter.
Amendment 152 #
Proposal for a regulation
Article 17 – paragraph 2
Article 17 – paragraph 2
Amendment 159 #
Proposal for a regulation
Article 33 – paragraph 2 – point a
Article 33 – paragraph 2 – point a
(a) objectives for programmes and activities including horizontal mainstreaming and spending targets shall be established ex ante;
Amendment 160 #
Proposal for a regulation
Article 33 – paragraph 2 – point b
Article 33 – paragraph 2 – point b
(b) progress in the achievement of objectives including horizontal spending and mainstreaming targets shall be monitored with performance indicators;
Amendment 161 #
Proposal for a regulation
Article 33 – paragraph 2 – point c
Article 33 – paragraph 2 – point c
(c) progress in, and problems with, the achievement of objectives including horizontal objectives and spending targets shall be reported to the European Parliament and to the Council in accordance with Article 41(3), first subparagraph, point (h), and with Article 253(1), point (e);
Amendment 166 #
Proposal for a regulation
Article 33 – paragraph 2 – point d
Article 33 – paragraph 2 – point d
(d) programmes and activities shouldall be implemented to achieve their set objectives without doing significant harm to the environmental objectives of climate change mitigation, climate change adaptation, the sustainable use and protection of water and marine resources, the transition to a circular economy, pollution prevention and control and the protection and restoration of biodiversity and ecosystems, as set out in Article 9 of Regulation (EU) 2020/852 of the European Parliament and of the Council51 . _________________ 51 Regulation (EU) 2020/852 of the European Parliament and of the Council of 18 June 2020 on the establishment of a framework to facilitate sustainable investment, and amending Regulation (EU) 2019/2088 (Text with EEA relevance), OJ L 198, 22.6.2020, p. 13.
Amendment 168 #
Proposal for a regulation
Article 33 – paragraph 3
Article 33 – paragraph 3
3. Specific, measurable, attainable, relevant and time-bound objectives as referred to in paragraphs 1 and 2 and relevant, accepted, science-based, credible, easy and robust indicators as well as the basis of an effective, transparent and comprehensive methodology to estimate ex-ante and to measure results and impact shall be defined where relevant.
Amendment 169 #
Proposal for a regulation
Article 34 – paragraph 2 – subparagraph 2
Article 34 – paragraph 2 – subparagraph 2
For major programmes or activities that are expected to have significant economic, environmental or social impacts, the ex ante evaluation mayshall take the form of an impact assessment that, in addition to meeting the requirements set out in the first subparagraph, analyses the various options concerning the methods of implementation.
Amendment 170 #
Proposal for a regulation
Article 36 – paragraph 2 – point d
Article 36 – paragraph 2 – point d
(d) prevention, detection, correction and follow-up of fraud , corruption, conflicts of interest, double funding and, other irregularities and criminal activities, including through the electronic recording and storage of data on the recipients of Union funds including their beneficial owners, as defined in Article 3, point (6), of Directive (EU) 2015/849 , and through the use of a single integrated IT system for data-mining and risk-scoring provided by the Commission to access and analyse those data ;
Amendment 171 #
Proposal for a regulation
Article 36 – paragraph 3 – point b a (new)
Article 36 – paragraph 3 – point b a (new)
(b a) procedures for detecting and preventing of conflicts of interests;
Amendment 172 #
Proposal for a regulation
Article 36 – paragraph 6 – introductory part
Article 36 – paragraph 6 – introductory part
6. For the purposes of point (d) of paragraph 2, the following data shall be recorded and stored electronically in an open, interoperable and machine-readable format and regularly made available in real time in the single integrated IT system for data-mining and risk-scoring provided by the Commission:
Amendment 173 #
Proposal for a regulation
Article 36 – paragraph 6 – point a
Article 36 – paragraph 6 – point a
(a) the recipient’s full legal name in the case of legal persons, the first and last name in the case of natural persons, their VAT identification number or tax identification number where available or another unique identifier at country level and the amount of funding. If a natural person, also the date of birth and gender;
Amendment 178 #
Proposal for a regulation
Article 36 – paragraph 6 – point b
Article 36 – paragraph 6 – point b
(b) the first name(s), last name(s), date of birth, gender and VAT identification number(s) or tax identification number(s) where available or another unique identifier at country level of beneficial owner(s) of the recipients, where the recipients are not natural persons.
Amendment 179 #
Proposal for a regulation
Article 36 – paragraph 6 – point b a (new)
Article 36 – paragraph 6 – point b a (new)
(b a) Where no beneficial owner is identified, the single integrated IT system shall include: (i) a statement accompanied by a justification, that there is no beneficial owner or that the beneficial owner(s) could not be identified and verified; (ii) the details of the natural person(s) who hold the position of senior managing official(s) in the corporate or legal entity.
Amendment 182 #
Proposal for a regulation
Article 36 – paragraph 7 – subparagraph 2
Article 36 – paragraph 7 – subparagraph 2
The use of and access to the data processed by the single integrated IT system for data- mining and risk-scoring shall comply with applicable data protection rules and shall be limited to the Commission or an executive agency as referred to in Article 69, the Member States implementing the budget pursuant to Article 62(1), first subparagraph, point (b), the Member States that receive and implement Union funds pursuant to budget implementation under Article 62(1), first subparagraph, point (a), the persons or entities implementing the budget pursuant to Article 62(1), first subparagraph, point (c), OLAF, the Court of Auditors, EPPO and other Union investigative and control bodies, within the exercise of their respective competences. Access to the tool shall also be granted on a case-by-case basis to those who can demonstrate a legitimate interest such as being a civil society organisation or journalist working in fields such as anti- corruption, the use of public funds or similar public interests.
Amendment 188 #
Proposal for a regulation
Article 36 – paragraph 10 a (new)
Article 36 – paragraph 10 a (new)
10 a. The Commission shall report annually, no later than 30 September, to the European Parliament and to the Council on the aggregated information and figures on the recipients of funds, contractors, sub-contractors and the beneficial owners, across different Union- funded projects and programmes implemented in the preceding financial year. This information shall also be made publicly available.
Amendment 193 #
Proposal for a regulation
Article 38 – paragraph 2 – introductory part
Article 38 – paragraph 2 – introductory part
2. Save in the cases referred to in paragraph 3 , the following information shall be published in an open, interoperable and machine-readable format, which allows data to be sorted, searched, extracted, compared and reused available for reuse via suitable APIs and, where relevant, as a bulk download, having due regard for the requirements of confidentiality and security, in particular the protection of personal data:
Amendment 194 #
Proposal for a regulation
Article 38 – paragraph 2 – point a
Article 38 – paragraph 2 – point a
(a) whether the final recipient is a natural or a legal person;
Amendment 195 #
Proposal for a regulation
Article 38 – paragraph 2 – point b
Article 38 – paragraph 2 – point b
(b) the final recipient’s full legal name in the case of a legal person and their VAT identification number or tax identification number where available or another unique identifier established at country level, the first and last name of the recipient in the case of a natural person as well as their gender;
Amendment 197 #
Proposal for a regulation
Article 38 – paragraph 2 – point e a (new)
Article 38 – paragraph 2 – point e a (new)
(e a) In case the recipient is a legal person, the full name, and address of the final beneficial owner.
Amendment 199 #
Proposal for a regulation
Article 38 – paragraph 3 – subparagraph 1 – point c
Article 38 – paragraph 3 – subparagraph 1 – point c
(c) financial support provided through financial instruments or budgetary guarantees for an amount lower than EUR 2500 000 aggregate;
Amendment 202 #
Proposal for a regulation
Article 38 – paragraph 3 – subparagraph 1 – point d
Article 38 – paragraph 3 – subparagraph 1 – point d
(d) where disclosure risks threatening the rights and freedoms of the persons or entities concerned as protected by the Charter of Fundamental Rights of the European Union or harming the commercial interests of the recipients;
Amendment 212 #
Proposal for a regulation
Article 52 – paragraph 1 – point d – point iii – indent 3
Article 52 – paragraph 1 – point d – point iii – indent 3
— a comprehensive overview of borrowing and lending operations including at least detailed information on maturities, outstanding debt, interest due, the borrowing plan including revenue sources, a liquidity forecast and certified by the Chief Risk Officer ;
Amendment 214 #
Proposal for a regulation
Article 61 – paragraph 2
Article 61 – paragraph 2
2. Where there is a risk of a conflict of interests involving a member of staff of a national authority, the person in question or anyone aware of the risk shall refer the matter to his or her hierarchical superior and competent authority at national level. In case risks of conflicts of interests are based on economic reasons or political affinity, such a case shall also be referred to a competent authority at EU level. Where such a risk exists for an office holder at both national or EU level, the person in question or anyone aware of the risk shall refer the matter to the relevant EU authority. Where such a risk exists for staff covered by the Staff Regulations, the person in question shall refer the matter to the relevant authorising officer by delegation. The relevant hierarchical superior or the authorising officer by delegation shall confirm in writing whether a conflict of interests is found to exist. Where a conflict of interests is found to exist, the appointing authority or the relevant national or EU authority shall ensure that the person in question ceasesd all activity in the matter. The relevant authorising officer by delegation or the relevant national authority shall ensure that any further appropriate action is taken in accordance with the applicable law , including, in the cases involving a member of staff of a national authority, with the national law relating to conflict of interests . .
Amendment 223 #
Proposal for a regulation
Article 119 – paragraph 9
Article 119 – paragraph 9
9. The reports and findings of the internal auditor, as well as the report of the Union institution concerned, shall be accessible to the public only after validation by the internal auditor of the action taken for their implementationce the internal auditor has issued the final report.
Amendment 230 #
Proposal for a regulation
Article 133 – paragraph 2 – introductory part
Article 133 – paragraph 2 – introductory part
2. Where, after the award, the award procedure proves to have been subject to irregularities or fraud, the authorising officer responsible mayshall immediately take one of the following actions and report back to OLAF:
Amendment 231 #
Proposal for a regulation
Article 133 – paragraph 3 – subparagraph 1 – introductory part
Article 133 – paragraph 3 – subparagraph 1 – introductory part
The authorising officer responsible mayshall suspend payments or delivery or the implementation of the legal commitment where:
Amendment 235 #
Proposal for a regulation
Article 138 – paragraph 2 – subparagraph 4 – point l
Article 138 – paragraph 2 – subparagraph 4 – point l
(l) beneficial owners and affiliated entities of the person or entity referred to in point (k) and (j).
Amendment 237 #
Proposal for a regulation
Article 139 – paragraph 1 – point e – point iii
Article 139 – paragraph 1 – point e – point iii
(iii) been discovered by the Commission, an authorising officer, OLAF or the Court of Auditors or any other Union Institution or Body following checks, audits or investigations;
Amendment 243 #
Proposal for a regulation
Article 142 – paragraph 1 – subparagraph 1 – point b – point i
Article 142 – paragraph 1 – subparagraph 1 – point b – point i
(i) five years for the cases referred to in Article 139(1), points (c), (d) and (i) ;
Amendment 244 #
Proposal for a regulation
Article 142 – paragraph 2 – subparagraph 4
Article 142 – paragraph 2 – subparagraph 4
Where the conduct of a person or entity referred to in Article 138(2) of this Regulation concerned qualifies under several of the grounds listed in Article 139(1) of this Regulation, the limitation period applicable to the most serious of those groundsa permanent exclusion shall apply.
Amendment 245 #
Proposal for a regulation
Article 143 – paragraph 1 – subparagraph 1 – introductory part
Article 143 – paragraph 1 – subparagraph 1 – introductory part
In order to, where necessary, reinforce the deterrent effect of the exclusion and/or financial penalty, the Commission shall, subject to a decision of the authorising officer responsible, publish on its website the following information related to the exclusion and, where applicable, the financial penalty in the cases referred to in points (c) to (h) of Article 139(1):
Amendment 247 #
Proposal for a regulation
Article 143 – paragraph 1 – subparagraph 1 – point b
Article 143 – paragraph 1 – subparagraph 1 – point b
(b) the exclusion situation including the ground for an exclusion ;
Amendment 248 #
Proposal for a regulation
Article 143 – paragraph 1 – subparagraph 3
Article 143 – paragraph 1 – subparagraph 3
The decision to publish the information shall be taken by the authorising officinformation refer responsible either followd to ing the relevant final judgment or, where applicable, final administrative decision, or following the recommendation of the panel referred to in Article 146, as the case may be. That decision shall take effectis paragraph shall be published three months after its notification to the person or entity concerned, as referred to in Article 138(2).
Amendment 249 #
Proposal for a regulation
Article 143 – paragraph 2 – introductory part
Article 143 – paragraph 2 – introductory part
2. The exceptions to publishing information referred to in paragraph 1 of this Article shall not be published in any of the following circumstancesare the following:
Amendment 250 #
Proposal for a regulation
Article 143 – paragraph 2 – point c
Article 143 – paragraph 2 – point c
Amendment 251 #
Proposal for a regulation
Article 143 – paragraph 2 – subparagraph 1 (new)
Article 143 – paragraph 2 – subparagraph 1 (new)
The decision whether the exception from the paragraph above applies shall be taken by the authorising officer responsible either following the relevant final judgment or, where applicable, final administrative decision, or following the recommendation of the panel referred to in Article 146, as the case may be.
Amendment 254 #
Proposal for a regulation
Article 145 – paragraph 6 – subparagraph 2
Article 145 – paragraph 6 – subparagraph 2
The information referred to in the first subparagraph of this paragraph shall be provided with due regard to confidentiality requirements andbut shall, in particular, not allow for the identification of the person or entity concerned, as referred to in Article 138(2) unless they fall under one of the exceptions listed in Article 143(2).
Amendment 255 #
Proposal for a regulation
Article 149
Article 149
Amendment 256 #
Proposal for a regulation
Article 151 a (new)
Article 151 a (new)
Amendment 264 #
Proposal for a regulation
Article 159 – paragraph 6
Article 159 – paragraph 6
6. The requirements of paragraph 6 of Article 38 shall apply to persons or entities implementing Union funds pursuant to Article 62(1), first subparagraph, point c), where the financial support directly provided by persons or entities to third parties is of an amount higher than EUR 2500 000 aggregate.
Amendment 280 #
Proposal for a regulation
Article 240 – paragraph 1
Article 240 – paragraph 1
(1) To reply to the enhanced need to coordinate external actions with multiples partners to effevtively address global challenges with appropriate scale the Union may make contributions in the form of financing not linked to costs to multi- donor, pooled funded global initiatives when these support the achievement of Union policy objectives and where budget implementation instruments provided for in other Titles of this Regulation would not be sufficient to achieve such Union policy objectives.
Amendment 281 #
Proposal for a regulation
Article 240 – paragraph 2 – subparagraph 1 – point i
Article 240 – paragraph 2 – subparagraph 1 – point i
Amendment 283 #
Proposal for a regulation
Article 244 – paragraph 2 a (new)
Article 244 – paragraph 2 a (new)
2 a. In the case of supplies of non- perishable supplies and in keeping with the accounting rules and standards referred to in Article 80, Union institutions and bodies may not provide non-financial donations before the depreciable amount of a supply represents 20 % of the supply cost allocated when the supply was ready for use