Memos, guidance and guidelines on record creation

Alexander Fanta made this Informationsfreiheit request to Europäische Wertpapier- und Marktaufsichtsbehörde as part of a batch sent to 44 authorities

Automatic anti-spam measures are in place for this older request. Please let us know if a further response is expected or if you are having trouble responding.

Ihre Anfrage war teilweise erfolgreich.

Greetings,

under the right of access to documents in the EU treaties, as developed in Regulation 1049/2001, I am requesting documents which contain the following information:

1. Memos, guidance, guidelines, or training material (or any other document) for staff on record creation and/or record keeping. I am particularly interested in documents that refer to creation/keeping of text messages.

2. Memos, guidance, guidelines, or training material (or any other document) for staff on the processing of access to information requests.

Yours faithfully,

Alexander Fanta
netzpolitik.org
Schönhauser Allee 6-7
10119 Berlin
Germany

Enrico Gagliardi, Europäische Wertpapier- und Marktaufsichtsbehörde

Dear Mr Fanta,

We acknowledge receipt of your message and will get back to you in due course.

With kind regards

Enrico Gagliardi

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Enrico Gagliardi, Europäische Wertpapier- und Marktaufsichtsbehörde

5 Attachments

Dear Mr Fanta,

 

We would like to refer to the request for access to documents you
submitted to ESMA on 25 April 2022 pursuant to Regulation (EC) No
1049/2001.

 

In particular, you requested access to the following:

 

"1. Memos, guidance, guidelines, or training material (or any other
document) for staff on record creation and/or record keeping. I am
particularly interested in documents that refer to creation/keeping of
text messages.

 

2. Memos, guidance, guidelines, or training material (or any other
document) for staff on the processing of access to information requests."

 

Preliminarily, we would like to inform you that ESMA does not have a
specific policy on text messages. However, these may be subject to the
ESMA's general policy on document management and may amount to documents
where the criteria defined in that policy are met.

 

Against this background, please find attached the requested documents.
Please also note that, certain parts of the documents have been redacted
either to remove personal data in compliance with data protection
requirements laid down in Regulation (EU) No 2018/1725 or because outside
the scope of your request.

 

Finally, please be informed that ESMA is in the process of reviewing
policies and procedures concerning records management. To this end, the
review originally planned has been postponed due to resources constrains
and different emerging priorities.

 

We trust this response addresses your request in full.

 

With kind regards

 

Enrico Gagliardi

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