EU Ombudsman

1.7 MB·

raxzor2vik,

Euroopa Ombudsman
° $2013-467419

Directorate &
‘Complaints and Inquiries Unit 3

fnsblogeegmail.com

Stroshours, 11 0h 208

Complaint 1709/2012

Dear Mr Shexica,

(0m 20 August 2012, you submitied 9 complaint ly the Eaveyreu
‘Ombudsman agains! the Furopean Central Bank {ECB}, concerning is efusal to
an scons ton decuanent ye requested,

(003 Oeteber 2012, fhe Oxabuslsman vpened an inquiny ine yous abwee
<omplafot gad inforqwel you that he considers it uveful to tespoct the docement
Inquest

On 12 Decentbur 2012, we condneted an inspection of the fle relating te
_your complaint st the FCB premises lease find enclosed a copy of the
Inapection report

n 19 December 2112, the Fuapean Ombuitemen received the CW's
pining em yews comp (enclose

I you wish te make any observations on the opiiny pense serut then
tr us before 28 Fobrvary 2013.

lease note that, if we io nol receive any observations from yu, ke
Ombudsman may clase the case with a decision, baad on the ingermation you.
Iavealrnady tavided and she FCB! opinion,
‘Yous sinewely,

LambrodPapodies
Head of Complaints and neuizis Lait 3

Unclofare
+ Copy ofthe pinion submited by the £8
3 inpecton report,
sroy2012viK
2013-187423

19-12 2912
REPORT ON THE EUROPEAN OMBLDSMAN'S
INSPECTION OF FILES
Case reference: 1703/2012 VUK,

Name of complainant: Mr Gavin Sheridin

Jostiuution involved: Huropeaa Central Bank (ECB)

Wedaesday, L2 Deverubur 2012

Premises of tae ECB in Frankfurt

Written confirmation; Li-maif frum Ms Sandrine Letocart to Ms Violeta
DIMOVA of 10 December 2012,

Pres

a) LOB:
Mr Ronan SCHREMSER
Ms Sophie CONSTANT
‘Ms Sandrine LETOCARL

bb) European Ombudsman services:
‘Mr Lumbros PAPADIAS,
‘Ms Violetta DIMOVA,

The inspection started at 10.30 am.

Me Roman SCHREMSFR weleomed the Ombudsman's representatives,
Following short presentation of the participants, Mr PAPADIAS and Ms
DIMOVA explained briefly the purpose of the inspection and the inspection
enccdiure.

Ms CONSTANT then presented two identical folders contsining all the
correspondence and other pertinent information relating to either initial or
confirmatory applications lodged by the complainant (Me Gavin Sheridan) with
ECB.

‘The ECB representatives then left the room and the Ombudsman's
representatives procecded lo an inspection of the following documents:

1. ECB letier dated 19 November 2010 to the Trish Minister af Finance (marked
"Secret.

2. Eemail (rom the complainant dated 9 Dovember 2011 ant! the BCB's reply of
the sume date,

3. Asseaument of u request for aveess to LCB document, dated 6 December
2011 (narked 'LCB Confidential)

4. Letter 10 the coinplainant, dated $ annary 2012 (enclosure; FCB letler dated
18 November 2010).

5. Leaneil so the complainant dated 12 January 2012.
6. Precutive Board decision by written procedure, 8 Febmary 2012 (marked
“FER Confideatia?)

7. Note duled 26 Kumuary 2012, (markod ECR Confidential) legally privileged.
8. ECB letter to the complainant daied 8 February 2012.

9. Extract from the summary proceedings of the 769th Lixecutive Board
niceting held on Tuesday, 14 February 2012.

10. ECB wil and totter to the complainant, dated 8 L'ebruary 2012.

LL ECB p-mail to the complainant. dated 20 September 2012.

12. The complainant's aeccss request, dated 9 December 2012.

13, ECB letter, dated 2 November 2030, to the Trish Vinance Minister (ECB
‘opinion on the extension of the Irish state guarantee of certain lisbilities of
credit intiuutions)

14, Opinion of the FCR of 2 November 2010, on the extension of the Irish state
guarantee of certain liabilities of ceedit institutions.

{5. Letter to the complainant, dated £5 October 2012, on public access reynest
for ECB documents (cuirked 'ECB-unrestricted

16, Letter to the complainant, dated 21 November 2012, on public access
request for LB documents (marked 'ECB-unrestricted’,

17. Teter to the complainant dated 28 September 2012, on public access
request for LCB documents (marked 'ECB-unrestricted),

‘When the Ombudscmun's represenlatives reviewed the above-tisted documents,
they telephoned the ECB representatives, who retumed to the inspection room.
Mr PAPADIAS noted thal he found of particular interest for the Ombudsman's
fnguity, the Ieter ECB had sent recently to the complainant (see point 16
above}, dated 21 Novernber 2012 (FCBaunrestricted), He asked for a copy of
fis document. 1 was agreed that Ms CONSTANT will sent this nou-
confidential document te Ms DIMOVA by e-mail, She did that following the
inspection,

The Ombudsman's representatives thanked FCB for having organised a
‘amplete file, which gave then an opportunity to sce how the vasious request
{or avcess submitted by Mr Sheridan worc handled by the ECB staff

‘The inspection finished at 12.30 am.

Tyrussels, 19 December 2032

(Pouce?
FCB-UNRESTRICTED

Me. P. Nikifores Diamandouros
European Onhudsetan

1, avenue du Président Robert Schuman
701 Serashourg,

eance

‘Frankfurt am Main, 18 Deserber 2012

Re; Complaint 1708/2012/V1K lodged by Mt Sheridan

Dear Me Biamandros,

"refer to your Teter of 3 Oetober 2012 informing the Huropcan Coneal Bask (ECD) thal an enquiry i
boing conneted following w compluint for maladeiniswaton lodged with the Europeun Ombudsman

conoming he FCR's decison a efse acess too particular ACH document,

Follessing 2 vis summary of the public access requess thal form the hackgraund tothe complaint.

‘sill horessith provide the KCB opinion on the complainants allgstions, an requested im your let,

On 9 December 201: Mr Cavin Sheridan eequested soos to “ing and all comounications from th
ECB aresed othe Inch Hine Minis (0 his iret aioe in the mana of owemdsir 2070.
The BCB jemified two document falling within the stope ofthe rues, namely ewe Kis, ded
18 November 2U1U and L9 November 01M eexpatvey, tom the President ofthe HCE tod rsh
FFiunce Minster. the ECE responded t che request ot 9 Janey 2012' by daclosing the ln of 18
‘Noveaibor 20, but denying acces tothe lene of 19 Novecer 2010.

In onder to entbe the complainant to ascerain why’ che lene of 19 November 2910 could mot be
Aiselose, the BCR's response described the content and the purpose af the lee! af 19 November 2010,
The respanse cenclided th, Tine wih he principle tht ii in the public intrest forthe ECB to be

in pusilion to have a candid ccmmunication with national authorities in fulfling Rs mandate, and
considering the content and purpose ofthe letra 19 Nevensbor 2010, the disclosure ofthe lor wuld

Uuennine he protect of he publi interest as regards the monetary policy of tke Eurepean nina

Seothe lene ow the Dicot Curl Serr wad Language Services of anuary 212,
MCHUNRNSTRICTED

nd the stabiliy of the financial system ia a Meber Slate. Uherefore, access to the leer of
19 November 2010 had te be denied, in acegedance with the second and seventh indents of Anite
CMa) af Decision BCBG of 4 March 2004 on public avcess to Europea Central Hunk

coments?

The compluinant sebmitied a wonfimmatory spplieation on 12 Jamnary 2012, Aller Gocough
‘examitation of the complaimun's request the Fxecutive Road deeited, on & Febuary 20.2. 19
<onfem the assessment und the decision set sut in the letter from the Pirceror General Secretaria ad

Lanyuage Services of9 Jumuary 2012,

Following your leter of } October 2012. and afer re-examination ofthe leter af 18 November 2010
and the decision not to diselose It ~ as sat oni he ECB"s respunses of ¥ unuary and 8 February
‘2012 and the selared assessmoats ~ the Esaoutive Board Is of the view thal the complainant's
allegations that the HCH had “wnegly refused anne ao iis leer sot! (18) November 2010

ackrensed to the trek Mintzer uf Finance” and thatthe ECR, showld, on the contrary “grat (5007

ances thi Feter” one unfounded, oe the reais clined elo.

First, the Executive Bound confirms its previous ussessment thatthe leer af 19 Noventber 2010
‘cannot be dieloe, n uccordange with the seven and severth inden of antile 413) of Pesision

TCB20041,

‘The Jener of 19 November 2010, to which access was requested. is a strictly confidential
comununiestion berwcen the ECB"s Presidou aud the Wish Fiuanee Minister twas sent i the coorext,
of significmnt market pressure and extreme uncertain an the prnspeet of ts Irish cconeey, with

substantial sllovers for the financial stability inthe curo area asa whole, The purpase af this loner

‘was eo proect hoth the integrity of dhe OCHS manelury policy andthe silts af the Irish financial

system, in Ge interests of eure are cities.

The leter of 19 Noveuiber 2010 expressed the concerns of the ECU's Governing Cuenell egunding
the exieaoedinarly grave and difeult simation faced by che Tish aaneal sector atthe ime na us
‘anpaorou the stbil.yy ofthe Lis Finaucal sector a8 whole [cola invited the Ish governmeat to
take swift and hed sevion in order to adress hess conseras, Inline with the messages Which it has
‘consistently delivered ta the public, the ECHL enonuraged the Irish government to coramit to taking
decisive action inthe areusof fiscal consolidation, structural ceform and ficial scot restructuring,
including the ecapitulsation uC banks vltere aecessary. Sina, the BCU al asked for reassurance

Tat Dre Trish governeea would Like The necessary gtion to ensure thal tke balance sist of the

*Acomlatted vesiva of the Dectlua i slab at: hops wwiecbeurupeueeb ald 200800005-
Soninett-nnd

See teeter fom he EC's President of 8 Kobe 2012

‘The vefrence in your camespondsnce to a eter of 18 Novem: 2010 mau bea typrgaphial err 28 the

‘senplt clearly relies un the noredislonee ofa leer of 19 Niven 2910,
ECEUNRESTRICTED

Central Bank of Ireland remnined prercered, i Tie sith de principle that figudity could cn be
prosided apaine adequate crilatral*

Kis of crucial importance th the 1LCH he in a pasion to eamvey’ peeineut and cad messoues ta
European aad ratonal autioiies in Ute manner judged to he the rns effective te seve the publi
Inneest as regards the Fulftent ofits mandate. required, und inthe best interests of de public, ako
cffective informal and confidential communication mst also be possible und shoold wet, he
undermined by the prospost of eiselncw,

In line wth this priniple, and considering the coneut ant puspose ofthe Het oF 19 Nevvembsr 2010, 6
well us the context in which it was som, the Resentive Bond i ofthe view dat uisTosure ofthe eter,
‘even paraly.wculd undermine the protection of she public interest as regards the monetary policy of
‘he European Union und the sability othe Financial stem ina Member State, Therefore, ac063s to
Une ete 19 November 2016 musi be denied under the second and seventh indents of Amite &(1}a)
‘of Devision ECB 20043, For the ceasons sited abave, the
cess to this leer.

C88 eonfinms its deesfom not 16 goant

Second, as demonstrated ty the procedural history of dhe dassiee oulined ubuve, the BCE responded
‘o mhe complainant's public assess oquests ina vary diligent manner and in fall compliance with the
faens oe

Principles nf yond administration and, ths, inline with the standards of behavion that

leurapeanLniom cam expect from thei insituions,
‘Wil regard wo the ceusuas justifying the refusal, reference fs mde to the case law of the Con of

asive uf the European Union, according Lo whieh ie ubligatom us sate res has a purposes: i)

to enuble te persons concerned (© ancerain De reasons for Qe measure. so as 1¢ enable them *

otc het gts: and eae the Euopean Union julicaure wo exercise is power ta review
the logy of the dovision® Whether a staomcal af resonssatinies Dune requires question
tbe assosod om a case-by-ase basis, ith ofeonce nat ony tots wong, but also ta its coment
sau the whale hody of legal rales governing the marin question Therefore, no nssssy, ft

the reusms proved, us detail all the relevant acts and points af lave. Inthe present eas, the KC

‘See the ‘emat of 21 Noverber 2012 fom he ECB Psd tthe anna, This leer sommes
the Pawutve Rounds dessin with rep te the applicants konfsmatery application inthe coatext oF 3
Surber public areas requem sobmined or 20 August 2012. Tao aepo ofthe Rite pure acess ees
leo cegoinpastd the Tatar of 19 Novator 2010. The fat tat ne response of 21 November 2012, te
TOR wave a more deild seen of Ie eortent of he leer of €P November 201, demons thet he
ECB, also im canes bore eoneodse tht a doearcit canoe be dlace,sftena cals mates the
Teel af inforvation it eau prnerde linn uncermining The ube nicest poolestd oy Decision
EcB23
See Cases C2665 P Sian Counat [2907] ECR T-1253, paragraph 80; €-S80:88 Delacre end Oba ¥
Conair f1980) CR 1395, mnozrgt 15; 196208 18407 dmernaianier Tiesohet- Ponds Gt ¥
‘Common panaraph 10%: Jeioed Cares T-33504 and TGS: Cov Fra» Commitcon (2014) FCR M
Ta puagrgh TIDES BIFF EK v Common [1999] FR HE319, parr 66
See Cases C-122094 Commission + Cosmet? [E996] ECR LABL, parssaph 29: C-AUKED fears: v
Gammanin [2003] ECR 1-212, paregaph $82 T-BRDE [AMO] fier v Cuno HCI M959, paoaph
236 Told Cases 385d aad 1-466 Co-Fnwra v Comracon 2010] ECR Ul, paragraph 100
ECO-UNRESTRICTED

considers that the reasons given inthe leers of January and & kebruury 2012 aatafy the shows

requirements.

Finally, eeference is made to the estaMished case lw of the Coutt of Tustce ofthe European Union,
sooardiag to which he iasiotions oF the Eurmpean Talon enjey wide discretion in assessing whelber
the dsclnams of dacurments covered hy eho mandatary exceptions af Anicle 4I)(a} of Regulation
(FC) No IN9-20NIaf the Fropean Partiament and of the Couneil oF 30 May 2001 regarding uilic
osois 40 Earopean Parliament, Couneil and Commission ncuments wold onernine tke pic
‘tort protscted and thatthe juieial review i ited to verifying "whether the procedural rules and

the duty ta state reasons have heen sompl

‘with, whether the fut have been accurately state. and
‘whether there his been a manifest err of aaseesinent or a easuse of powers"! The General Cast has
explicitly acknowledged that the ECB must be recoguised as enloying wide discretion wien assessing
whether te disclosure of te cequestod documents would onderimine the piotetion of the public
interest a regand the Financial, monetary oF cennomte paliey af the Eanpean (inion ar aa Member
Seae onder the sceond indent af Aricle A(IXa) of Plecisinn KCR/2ON4T which is mandatary
excepion similar to that nner Fhurth indane of Antole 4/19) af Regulation (F} No TOX2N01?
With regard to the complaint in qusstinn, the CH considers that it has complied fully with the
spplieable proedural rules, including the duty tn state reasnn frie decisi, and that ts assessment

the public intrest is aited nthe by u manifest eror of assessment nor by a misure of owes

1 tras that these slditemal explanations aed carficatons demonstrate that. in resin access co the
fetter of 19 November 2010, the ECB acted ia full compliance with the applicable public assess
framesock, as well as withthe prizeiples of good admiuisteation,

‘Yonts sincorly,

4

Em:
[Leer fiom the Ditccie Goncral Secrtait and | angoage Services af 9 Jawary 2012
Loner from tho BORYs Mosident af § Vebraary 2012

| eter fem the HED’s President of'21 Nuvember 2012

‘S46 Case THS6RION FEAF dmarnationater Teche Fonds ib» Fon Common aragants 11
{6 107.24, 136 hich rele o lhe poteson of he evo policy ofa Member Stl and Cave ©2665,
1 Singn Cwm [267 FCK 124% paragraphs 38 and, wish fers athe pretecion of public sexe
tnd intsmationa) relatos, Cave T2089 AMotila x Connell and Commision (2000) ECRINZS,
aga 3.

Ser Cae 159010 Gabi sSaning and Bloomberg! Fargpoun Canta! Sunk [2012] gaagraph 18
Mr Gavin Sheridan
ask-request34-b9.2768ef@eskiheeu org,

9 January 2012
IL sieediin2s

at

access to ECB docunments
Dear Mr Sheridan,

(019 Hesemher 2011, the European Centma] Dunk (ECB) received yout request for accoss ta "amy and
lt communications jrom the ECB addressed so the Irish Finance Minkster (or hls airectefice n he
musth of November 2010"

‘We woold like to inform vou tut during the wonth of Novesnber 2010, dhe CH sent fw letters fram
the ECH President ta the Irish Finunve Minister abd so counzumication was tant in his dest office

‘he Fiat eter, dated 18 November 2010, concerns the consultation ofthe ECD by natal aulhorities
on the national inglemenxation of Directive 2009:44/EC of the European Puslauent aud of the
Council of 6 May 2009 amending Diretive 98:26/EC om setlementGinully in payment ad securities
selilomenx systoms and Directive 200247/EC un Gnanclal collateral arrangements as regards linked
spstoms and oredt elms

Following dhrough wssessment of this fetcr, im line with the requirements estblished by he
LUscsion of Ube Eutopean Central Rank af 4 March 2004 (RCB/2004'7) um public access (o European
Central Buak documents, thore are no grounds for refusing weceSs 10 it and therefore i is disclosed 6»
you in fll (se attachment,

‘hs second letter, dated 19 Novermher 2011, is 2 stielly eonfidential summnunicadan between the
HCH President aad the Irth Minisior of Kinmee and concerns measures addressing, the
extraordinarily vere and difficult stuaton ofthe rsh financial sector and their repercussions om the
integrity ofthe euno area monetary pofiey and Whe sibility ofthe lish financial sector
Following u Gotovgh assessment of the letter, in Line wit the eoquicements established hy the
Hecislon ECB:20083 on public assess to European Cenual Bank documents, the FCB cannot rant
wees this document since the disclosure ofits content beyund wht is desoribed abuse would
unlecmine the protection ofthe public interest a8 regards the monetary paliey af the Union Gacond
indomt of Article 4(1Ka) of ECD Desision on public access) and as regards the stability of she

Francial system ia a Member Slute (Soventh indent of Article 4(}%a) of KCI Deeision on ubhic

aecesa

‘he ECB must he ina positon to convey pertinent aud candid messages to Eoropcan and national
suthoriGes in the manner judged to be the cost effective to serve the public interest au regurds the
{llment ofits mandate, if required and ia the ber itorest of the public alin effective informal and
ceunidential communication must be pestible and should not be undermined by the prospect of

publicity. In this ense, the confidential communication wus aimed at discussing measures condusive
taprotecting the affeetiveners and infegry of the ECB's monetary policy and festering an
envionment that ultimately comleovtes tn restoring confidence among investors in the overall
solvency and sustainability of the Irish financial sector and markets, which, in tue, is of averiding
Smportance far the smth conduct of monctary policy.

We should Nike ta draw your afenton to ibe Cat that im Kine with Article 10 of the i
public access to ECD documents (ECD20043) “documents released shall not be reproduced or
exploited for commercial purposes without the EC's prior specifi authorisation. The ECB may

Decision on

ithuold such wuhoristion without tung reasons.”

Meveover, forthe sake af good enter, we would like ( inform you that in Vine with Article 7.2 uF the
HCE Decision on public acoxss “in the event af tal or patil refusal, the applicant may, within 20
working days of receiving the ECR reply, make a confirmatory epplication asking the ECB"s
liveculive Board to reeonsider its position”

‘Wilh kind regards,

ltllhu

7 Fm van cgen ean Seen
intr decal Seer argue evs tna Senctaia isn