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<Date>{02/03/2020}2.3.2020</Date>
<NoDocSe>A9-0042/2020</NoDocSe>
PDF 185kWORD 72k

<TitreType>REPORT</TitreType>

<Titre>on discharge in respect of the implementation of the budget of the European Insurance and Occupational Pensions Authority for the financial year 2018</Titre>

<DocRef>(2019/2091(DEC))</DocRef>


<Commission>{CONT}Committee on Budgetary Control</Commission>

Rapporteur: <Depute>Ryszard Czarnecki</Depute>

1. PROPOSAL FOR A EUROPEAN PARLIAMENT DECISION
 2. PROPOSAL FOR A EUROPEAN PARLIAMENT DECISION
 3. MOTION FOR A EUROPEAN PARLIAMENT RESOLUTION
 OPINION OF THE COMMITTEE ON ECONOMIC AND MONETARY AFFAIRS
 INFORMATION ON ADOPTION IN COMMITTEE RESPONSIBLE
 FINAL VOTE BY ROLL CALL IN COMMITTEE RESPONSIBLE

1. PROPOSAL FOR A EUROPEAN PARLIAMENT DECISION

on discharge in respect of the implementation of the budget of the European Insurance and Occupational Pensions Authority for the financial year 2018

(2019/2091(DEC))

The European Parliament,

 having regard to the final annual accounts of the European Insurance and Occupational Pensions Authority for the financial year 2018,

 having regard to the Court of Auditors’ annual report on EU agencies for the financial year 2018, together with the agencies’ replies[1],

 having regard to the statement of assurance[2] as to the reliability of the accounts and the legality and regularity of the underlying transactions provided by the Court of Auditors for the financial year 2018, pursuant to Article 287 of the Treaty on the Functioning of the European Union,

 having regard to the Council’s recommendation of 18 February 2020 on discharge to be given to the Autority in respect of the implementation of the budget for the financial year 2018 (005761/2020 – C9‑0058/2020),

 having regard to Article 319 of the Treaty on the Functioning of the European Union,

 having regard to Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002[3], and in particular Article 208 thereof,

 having regard to Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012[4], and in particular Article 70 thereof,

 having regard to Regulation (EU) No 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/79/EC[5], and in particular Article 64 thereof,

 having regard to Commission Delegated Regulation (EU) No 1271/2013 of 30 September 2013 on the framework financial regulation for the bodies referred to in Article 208 of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council[6], and in particular Article 108 thereof,

 having regard to Commission Delegated Regulation (EU) 2019/715 of 18 December 2018 on the framework financial regulation for the bodies set up under the TFEU and Euratom Treaty and referred to in Article 70 of Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council[7], and in particular Article 105 thereof,

 having regard to Rule 100 of and Annex V to its Rules of Procedure,

 having regard to the opinion of the Committee on Economic and Monetary Affairs,

 having regard to the report of the Committee on Budgetary Control (A9-0042/2020),

1. Grants the Executive Director of the European Insurance and Occupational Pensions Authority discharge in respect of the implementation of the Autority’s budget for the financial year 2018;

2. Sets out its observations in the resolution below;

3. Instructs its President to forward this decision, and the resolution forming an integral part of it, to the Executive Director of the European Insurance and Occupational Pensions Authority, the Council, the Commission and the Court of Auditors, and to arrange for their publication in the Official Journal of the European Union (L series).

 


 

2. PROPOSAL FOR A EUROPEAN PARLIAMENT DECISION

on the closure of the accounts of the European Insurance and Occupational Pensions Authority for the financial year 2018

(2019/2091(DEC))

The European Parliament,

 having regard to the final annual accounts of the European Insurance and Occupational Pensions Authority for the financial year 2018,

 having regard to the Court of Auditors’ annual report on EU agencies for the financial year 2018, together with the agencies’ replies[8],

 having regard to the statement of assurance[9] as to the reliability of the accounts and the legality and regularity of the underlying transactions provided by the Court of Auditors for the financial year 2018, pursuant to Article 287 of the Treaty on the Functioning of the European Union,

 having regard to the Council’s recommendation of 18 February 2020 on discharge to be given to the Autority in respect of the implementation of the budget for the financial year 2018 (05761/2020 – C9‑0058/2020),

 having regard to Article 319 of the Treaty on the Functioning of the European Union,

 having regard to Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002[10], and in particular Article 208 thereof,

 having regard to Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012[11], and in particular Article 70 thereof,

 having regard to Regulation (EU) No 1094/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/79/EC[12], and in particular Article 64 thereof,

 having regard to Commission Delegated Regulation (EU) No 1271/2013 of 30 September 2013 on the framework financial regulation for the bodies referred to in Article 208 of Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council[13], and in particular Article 108 thereof,

 having regard to Commission Delegated Regulation (EU) 2019/715 of 18 December 2018 on the framework financial regulation for the bodies set up under the TFEU and Euratom Treaty and referred to in Article 70 of Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council[14], and in particular Article 105 thereof,

 having regard to Rule 100 of and Annex V to its Rules of Procedure,

 having regard to the opinion of the Committee on Economic and Monetary Affairs,

 having regard to the report of the Committee on Budgetary Control (A9-0042/2020),

1. Approves the closure of the accounts of the European Insurance and Occupational Pensions Authority for the financial year 2018;

2. Instructs its President to forward this decision to the Executive Director of the European Insurance and Occupational Pensions Authority, the Council, the Commission and the Court of Auditors, and to arrange for its publication in the Official Journal of the European Union (L series).

 


 

3. MOTION FOR A EUROPEAN PARLIAMENT RESOLUTION

with observations forming an integral part of the decision on discharge in respect of the implementation of the budget of the European Insurance and Occupational Pensions Authority for the financial year 2018

(2019/2091(DEC))

The European Parliament,

 having regard to its decision on discharge in respect of the implementation of the budget of the European Insurance and Occupational Pensions Authority for the financial year 2018,

 having regard to Rule 100 of and Annex V to its Rules of Procedure,

 having regard to the opinion of the Committee on Economic and Monetary Affairs,

 having regard to the report of the Committee on Budgetary Control (A9-0042/2020),

A. whereas, according to its statement of revenue and expenditure[15], the final budget of the European Insurance and Occupational Pensions Authority (the 'Authority’) for the financial year 2018 was EUR 25 207 008, representing an increase of 5,03 % compared to 2017; whereas the Authority is financed by a contribution from the Union (EUR 9 365 000, representing 37,15 %) and contributions from national supervisory authorities from the Member States (EUR 15 742 008, representing 62,45 %)[16];

B. whereas the Court of Auditors (the ‘Court’), in its report on the annual accounts of the European Insurance and Occupational Pensions Authority for the financial year 2018 (the ‘Court's report’), states that it has obtained reasonable assurances that the Authority’s annual accounts are reliable and that the underlying transactions are legal and regular;

Budget and financial management

1. Notes with satisfaction that budget monitoring efforts during the financial year 2018 resulted in a budget implementation rate of 100 %, representing an increase of 0,21 % compared to 2017; notes furthermore that the payment appropriations execution rate was 85,48 %, representing a decrease of 2,61 % compared to 2017;

2. Notes that the Authority’s workload is constantly evolving and includes both regulatory tasks and the enforcement and application of Union law;

Performance

3. Notes that each of the Authority’s three operationally focused strategic objectives have key performance indicators (KPIs) assessing the added value provided by its activities and the improvement of its budget management, in addition to other indicators used internally;

4. Notes that the Authority achieved its target for eleven KPIs; acknowledges that it was close to achieving the target for the remaining two KPIs, which were missed only marginally;

5. Notes that the majority of the Authority’s planned work (218 products and services) was delivered successfully and that 25 products and services experienced minor delays due to insufficient resources, but also to changes in requirements and priorities; further notes that only three work streams were not delivered as planned or with a tolerable delay;

6. Notes that the Authority is replacing its current e-human resources management system with Sysper, which is provided by the Commission; notes with concern the delay in the implementation of Sysper 2; calls on the Authority to report to the discharge authority on developments in that regard;

7. Notes with satisfaction that the Authority is proactive in identifying opportunities for efficiency and synergies with other agencies, in particular with the European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA), through the European Supervisory Authorities’ Joint Committee and through joint procurements; welcomes the Authority’s priority to develop common guidance in cooperation with EBA and ESMA on how to integrate anti-money laundering and terrorist financing risks in prudential supervision; strongly encourages the Authority to actively seek further and broader cooperation with all Union agencies; moreover calls on the Authority to explore possible ways of merging its non-expert services, such as ICT, with other Union agencies;

8. Emphasises that the Authority’s role in promoting a common supervisory regime across the European financial system is essential in order to ensure financial stability, a better integrated, more efficient and safer financial market, as well as a high degree of consumer protection in the Union by promoting fairness and transparency on the product and financial services market;

9. Underlines the central role of the Authority in contributing to high quality common regulatory and supervisory standards and practices, to the consistent application of legally binding Union acts, to stimulate and facilitate the delegation of tasks and responsibilities among competent authorities, to monitor and access market developments within the scope of its competence and to foster the protection of policy holders, pension scheme members and beneficiaries;

10. Emphasises the need for closer supervision in certain Member States with a view to addressing vulnerabilities in the insurance markets of those Member States and protecting consumers from unfair practices of multinational insurance companies;

11. Stresses that, while making sure that all assignments are carried out in full and within deadline, the Authority should adhere to and make full use of the tasks and the mandate assigned to it by Parliament and the Council and that the Authority must never attempt to go beyond its mandate; points out that focussing on the mandate assigned by Parliament and the Council will lead to a more effective and efficient use of resources;

12. Shares the Court’s concern that, through peer reviews, national supervisors have a decisive say in the Authority’s main governing body, which means that they are in a position to decide the scope of the Authority’s action to review their own effectiveness;

Staff policy

13. Notes that, on 31 December 2018, the establishment plan was 95,54 % executed, with 107 temporary agents appointed out of 112 temporary agents authorised under the Union budget (compared with 101 authorised posts in 2017); notes that, in addition, 33 contract agents and 18 seconded national experts worked for the Authority in 2018;

14. Regrets the unbalanced participation of men (6 members) and women (1 member) in the management board; notes that the Authority has reported a relatively good gender balance for 2018 with regard to senior managers (5 men and 3 women);

15. Notes that the Court considers that the Authority has not yet accomplished the shift from regulatory to supervisory tasks and that the Authority should strengthen human resources assigned to supervisory tasks;

Procurement

16. Notes with concern that the Authority applied award criteria that consisted of non-competitive price elements for one procurement procedure; calls on the Authority to use award criteria that focus on competitive price elements;

Prevention and management of conflicts of interest and transparency

17. Acknowledges the measures the Authority already has in place and its ongoing efforts to secure transparency, to prevent and manage conflicts of interests, and to protect whistleblowers; notes the fact that the Authority publishes on its website a register of meetings with external stakeholders;

18. Underlines the importance of an open, efficient and independent administration for all Union agencies and the Union as a whole; recalls the problem of conflict of interest arising from ‘revolving door’ situations and stresses the need for a unified legal framework to address such issues;

Internal Controls

19. Notes that the Commission’s Internal Audit Service issued an audit report on “Stress Tests in EIOPA”, which led to five recommendations for improvement and the implementation of an action plan;

20. Notes that in 2018, the Authority used 29 interim workers through contracts with temporary work agencies; recalls that, according to Directive 2008/104/EC[17], those workers should work under the same working conditions as workers employed directly by the Authority; notes with concern that the contracts did not require the temporary work agencies to respect those working conditions, causing litigation and reputational risks; calls on the Authority to analyse the working conditions of its interim workers and ensure they are in line with Union and national labour law;

Other comments

21. Notes that a future decrease in the Authority’s revenue is possible as a result of the United Kingdom’s withdrawal from the Union; notes that the Authority issued two opinions to insurers and national supervisory authorities on steps to take to avoid service interruptions and to minimise risk;

22. Underlines the responsibility of the financial system in meeting sustainability challenges and ensuring that the Union meets the obligations undertaken in the framework of the Paris Agreement under the United Nations Framework Convention on Climate Change; highlights the crucial role of the Authority in integrating environmental, social and governance related factors into the regulatory and supervisory framework and in mobilising and guiding private capital flows towards sustainable investments; therefore stresses the need for sufficient resources to monitor the implementation of that framework by financial institutions and national competent authorities;

23. Calls upon the Authority to focus on disseminating the results of its research to the public, and to reach out to the public via social media and other media outlets;

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24. Refers, for other observations of a cross-cutting nature accompanying its decision on discharge, to its resolution of ... March 2020[18] on the performance, financial management and control of the agencies.


 

 

 

OPINION OF THE COMMITTEE ON ECONOMIC AND MONETARY AFFAIRS (27.1.2020)

<CommissionInt>for the Committee on Budgetary Control</CommissionInt>


<Titre>on discharge in respect of the implementation of the budget of the European Insurance and Occupational Pensions Authority for the financial year 2018

</Titre><DocRef>(2019/2091(DEC))</DocRef>

Rapporteur for opinion: <Depute>Derk Jan Eppink</Depute>

 

 

SUGGESTIONS

The Committee on Economic and Monetary Affairs calls on the Committee on Budgetary Control, as the committee responsible, to incorporate the following suggestions into its motion for a resolution:

1. Notes that, in the opinion of the Court of Auditors (the ‘Court’), the transactions of the European Insurance and Occupational Pensions Authority (the ‘Authority’) underlying the annual accounts for the year 2018 are legal and regular in all material aspects;

2. Emphasises that the Authority’s role in promoting a common supervisory regime across the European financial system is essential in order to ensure financial stability, a better integrated, more efficient and safer financial market, as well as a high degree of consumer protection in the Union by promoting fairness and transparency on the product and financial services market;

3. Underlines the central role of the Authority in contributing to high quality common regulatory and supervisory standards and practices, to the consistent application of legally binding Union acts, to stimulate and facilitate the delegation of tasks and responsibilities among competent authorities, to monitor and access market developments within the scope of its competence and to foster the protection of policy holders, pension scheme members and beneficiaries;

4. Emphasises the need for closer supervision in certain Member States with a view to addressing vulnerabilities in the insurance markets of those Member States and protecting consumers from unfair practices of multinational insurance companies;

5. Underlines the responsibility of the financial system in meeting sustainability challenges and ensuring that the Union meets its obligations undertaken in the framework of the Paris Agreement under the United Nations Framework Convention on Climate Change; highlights the crucial role of the Authority in integrating environmental, social and governance related factors into the regulatory and supervisory framework and in mobilising and guiding private capital flows towards sustainable investments; therefore stresses the need for sufficient resources to monitor the implementation of that framework by financial institutions and national competent authorities;

6. Underlines that the Authority, when carrying out its activities, needs to pay particular attention to ensuring compatibility with Union law, to respecting the principle of proportionality and to complying with the fundamental principles of the internal market;

7. Stresses the need to allocate adequate funding and resources to the Authority in order to be able to fulfil its mandate consistently, independently and efficiently;

8. Underlines the importance of an open, efficient and independent administration for all Union agencies and the Union as a whole; recalls the problem of conflict of interest arising from ‘revolving door’ situations and stresses the need for a unified legal framework to address such issues;

9. Stresses that, while making sure that all assignments are carried out in full and within deadline, the Authority should adhere to and make full use of the tasks and the mandate assigned to it by the European Parliament and the Council and that the Authority must never attempt to go beyond its mandate; points out that focussing on the mandate assigned by Parliament and the Council will lead to a more effective and efficient use of resources;

10. Notes that, according to the Court’s annual report on EU agencies for the financial year 2018[19], interim workers should work under the same working conditions as workers employed directly by the user undertaking; notes, however, that it seems likely that the Authority did not carry out any comparison between the working conditions for its own staff and those of interim workers; therefore calls on the Authority to analyse the working conditions of its interim workers and ensure that they are in line with European and national labour law;

11. Notes that the Authority’s workload is constantly evolving and includes both regulatory tasks and the enforcement and application of Union law; notes that 32 new members of staff are foreseen to fulfil the modified areas of the Agency’s work; notes however that, according to the Court, the Authority should continue its efforts in the shift from regulatory to supervisory tasks and that the Authority should strengthen human resources assigned to supervisory tasks;

12. Shares the Court’s concern that national supervisors have a decisive say in the Authority’s main governing body, which means that they are in a position to decide the scope of the Authority’s action to review their own effectiveness (peer reviews);


INFORMATION ON ADOPTION IN COMMITTEE ASKED FOR OPINION

Date adopted

23.1.2020

 

 

 

Result of final vote

+:

–:

0:

48

3

0

Members present for the final vote

Marek Belka, Stefan Berger, Gilles Boyer, Engin Eroglu, Markus Ferber, Jonás Fernández, Frances Fitzgerald, José Manuel García-Margallo y Marfil, Luis Garicano, Sven Giegold, Neena Gill, Valentino Grant, José Gusmão, Enikő Győri, Eero Heinäluoma, Danuta Maria Hübner, Stasys Jakeliūnas, Othmar Karas, Billy Kelleher, Georgios Kyrtsos, Philippe Lamberts, Aušra Maldeikienė, Costas Mavrides, Siegfried Mureşan, Luděk Niedermayer, Dimitrios Papadimoulis, Piernicola Pedicini, Lídia Pereira, Sirpa Pietikäinen, Dragoş Pîslaru, Luisa Porritt, Robert Rowland, Alfred Sant, Martin Schirdewan, Joachim Schuster, Molly Scott Cato, Pedro Silva Pereira, Irene Tinagli, Ernest Urtasun, Inese Vaidere, Johan Van Overtveldt, Stéphanie Yon-Courtin

Substitutes present for the final vote

Francesca Donato, Martin Hlaváček, Eugen Jurzyca, Bogdan Rzońca, Julie Ward

Substitutes under Rule 209(7) present for the final vote

César Luena, Cristina Maestre Martín De Almagro, Rob Rooken, Anna Zalewska

 

 


FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

48

+

ECR

Eugen Jurzyca, Rob Rooken, Bogdan Rzońca, Johan Van Overtveldt, Anna Zalewska

GUE/NGL

José Gusmão, Dimitrios Papadimoulis, Martin Schirdewan

NI

Piernicola Pedicini

PPE

Stefan Berger, Markus Ferber, Frances Fitzgerald, José Manuel García-Margallo y Marfil, Enikő Győri, Danuta Maria Hübner, Othmar Karas, Georgios Kyrtsos, Aušra Maldeikienė, Siegfried Mureşan, Luděk Niedermayer, Lídia Pereira, Sirpa Pietikäinen, Inese Vaidere

RENEW

Gilles Boyer, Engin Eroglu, Luis Garicano, Martin Hlaváček, Billy Kelleher, Dragoş Pîslaru, Luisa Porritt, Stéphanie Yon-Courtin

S&D

Marek Belka, Jonás Fernández, Neena Gill, Eero Heinäluoma, César Luena, Cristina Maestre Martín De Almagro, Costas Mavrides, Alfred Sant, Joachim Schuster, Pedro Silva Pereira, Irene Tinagli, Julie Ward

VERTS/ALE

Sven Giegold, Stasys Jakeliūnas, Philippe Lamberts, Molly Scott Cato, Ernest Urtasun

 

3

-

ID

Francesca Donato, Valentino Grant

NI

Robert Rowland

 

0

0

 

 

 

Key to symbols:

+ : in favour

- : against

0 : abstention

 

 

 

INFORMATION ON ADOPTION IN COMMITTEE RESPONSIBLE

Date adopted

19.2.2020

 

 

 

Result of final vote

+:

–:

0:

17

2

1

Members present for the final vote

Matteo Adinolfi, Olivier Chastel, Caterina Chinnici, Lefteris Christoforou, Ryszard Czarnecki, Luke Ming Flanagan, Daniel Freund, Isabel García Muñoz, Cristian Ghinea, Monika Hohlmeier, Jean-François Jalkh, Joachim Kuhs, Sabrina Pignedoli, Michèle Rivasi, Angelika Winzig, Lara Wolters

Substitutes present for the final vote

Maria Grapini, David Lega, Mikuláš Peksa, Ramona Strugariu

 


 

FINAL VOTE BY ROLL CALL IN COMMITTEE RESPONSIBLE

17

+

ECR

Ryszard Czarnecki

GUE/NGL

Luke Ming Flanagan

NI

Sabrina Pignedoli

PPE

Lefteris Christoforou, Monika Hohlmeier, David Lega, Angelika Winzig

RENEW

Olivier Chastel, Cristian Ghinea, Ramona Strugariu

S&D

Caterina Chinnici, Isabel García Muñoz, Maria Grapini, Lara Wolters

VERTS/ALE

Daniel Freund, Mikuláš Peksa, Michèle Rivasi

 

2

-

ID

Matteo Adinolfi, Joachim Kuhs

 

1

0

 

 

ID

Jean-François Jalkh

 

Key to symbols:

+ : in favour

- : against

0 : abstention

 

 

[1] OJ C 417, 11.12.2019, p. 1.

[2] OJ C 417, 11.12.2019, p. 34.

[3] OJ L 298, 26.10.2012, p. 1.

[4] OJ L 193, 30.7.2018, p. 1.

[5] OJ L 331, 15.12.2010, p. 48.

[6] OJ L 328, 7.12.2013, p. 42.

[7] OJ L 122, 10.5.2019, p. 1.

[8] OJ C 417, 11.12.2019, p. 1.

[9] OJ C 417, 11.12.2019, p. 34.

[10] OJ L 298, 26.10.2012, p. 1.

[11] OJ L 193, 30.7.2018, p. 1.

[12] OJ L 331, 15.12.2010, p. 48.

[13] OJ L 328, 7.12.2013, p. 42.

[14] OJ L 122, 10.5.2019, p. 1.

[15] OJ C 108, 22.3.2018, p. 149.

[16] OJ C 108, 22.3.2018, p. 148.

[17] Directive 2008/104/EC of the European Parliament and of the Council of 19 November 2008 on temporary agency work (OJ L 327, 5.12.2008, p. 9).

[18] Texts adopted, P9_TA-PROV(2020)0000.

[19]  OJ C 417, 11.12.2019, p. 1.

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