Esta es la versión HTML de un fichero adjunto a una solicitud de acceso a la información 'Memos, guidance and guidelines on record creation DG CLIMA'.


 
EUROPEAN COMMISSION 
DIRECTORATE-GENERAL 
CLIMATE ACTION 
 
  DG 001. Administrative and Legal support, Liaison SRD  
 
Brussels, June 2016 
 
Subject: 
Working arrangements of the 'Access to Documents' network 
 
This short note gives an outline of the process of dealing with Access to Documents 
requests within DG CLIMA as well as the important benchmarks and guidelines with 
regard to the application of the Regulation No.1049/2001 of the European Parliament and 
of the Council regarding public access to European Parliament, Council and Commission 
documents. 
The proposed approach is based on the need for overall coordination and coherence of 
the work of DG CLIMA as well as to be able to cope efficiently with a rising number of 
files while reducing to the extent possible the administrative burden on the DG. Given 
the complexity of some of the requests and the prescribed deadline for the reply to the 
applicant in the language of the request in accordance with the Art.7 (1) of the 
Reg.1049/2001, the cooperation between CLIMA.001 and the units is essential. This is 
why DG CLIMA set up a solid network of ADO correspondents (one correspondent per 
unit, one in the Cabinet and one dealing with archived documents in SRD.1).  
CLIMA.001 is responsible for the coordination of the requests for access to documents 
received via the functional mailbox CLIMA ACCESS DOCUMENTS (CLIMA-
xxxxxxxxxxxxxxxx@xx.xxxxxx.xx) within DG CLIMA. In order to treat 
applications for access to documents as efficiently and swiftly as possible and keep a 
sound record of actions, we recommend all contacts between the ADO coordinator in 
CLIMA.DG.001 and units to continue passing via the CLIMA ADO functional mailbox. 
1. 
ATTRIBUTIONS 
CLIMA.001 will register the incoming ADO request in Gestdem database if it is received 
directly by DG CLIMA, inform the relevant ADO correspondents in the units and send 
the acknowledgment receipt to the applicant. If the ADO request is received by SG via 
the electronic form, SG will reattribute the request to the relevant DG and CLIMA.001 
will then inform relevant ADO correspondents on the incoming request. If the request 
arrived directly to the unit, CLIMA.001 should be informed immediately so that the 
request can be registered ASAP in the Gestdem database by the ADO coordinator. 
2. 
ASSESSMENT AND ANALYSES OF THE DOCUMENTS 
Any document (understood as 'any content whatever its medium (written on paper or 
stored in electronic form or as a sound, visual or audiovisual recording) concerning a 
matter relating to the policies, activities and decisions falling within the institution's 

 
Commission européenne/Europese Commissie, 1049 Bruxelles/Brussel, BELGIQUE/BELGIË - Tel. +32 22991111 
 - Tel. direct line +32 229-91276 

sphere of responsibility'1) held by the Commission are, in principle, subject to the right of 
access. This also includes e-mails and documents received by third parties as far as they 
fulfil the criteria set forth in Article 3 (a) of Regulation 1049/2001 "concerning a matter 
relating to the policies, activities and decisions falling within the institution's sphere of 
responsibility". No type of document can be automatically excluded from access (not 
even the documents marked as 'confidential' or 'sensitive'). Therefore, each document has 
to be examined on a case-by case basis, with regard to its actual content. 
However, in case an initial application is worded in imprecise terms which do not enable the 
documents falling under the scope of the application to be sufficiently easily identified, 001 
will get back to the applicant, as soon as possible, and ask him/her to further clarify his/her 
request pursuant to Article 6(2). SG's intranet provides a template of such clarification 
request.  
The ADO correspondent in the unit should act as the contact person for the ADO 
coordinator. He/she will follow up the processing of requests attributed to their unit, will 
be the first contact point for questions of colleagues on the handling of ADO 
applications, monitor deadlines and carry out a first compliance checks based on the 
"check-list" for negative replies elaborated in compliance with the note by SG from 21 
January 20112.  
The ADO correspondent will analyse the request and send the documents identified to 
CLIMA.001. The ADO correspondent should consult his/her Head of Unit about the line 
to take before the relevant documents are submitted to the ADO coordinator. Should the 
reply to the request be (partially) negative, the units should provide substance for their 
reasoning in accordance with one of the exceptions in the Article 4 of the Regulation 
1049/2001. In case of doubt, the unit can refer to the ADO coordinator to seek legal 
advice. The ADO coordinator can himself/herself seek legal advice at SG. 
In view of the tight deadline for reply to the applicant (15 working days from the 
registration of the application), the units should provide CLIMA.001 with their inputs 
within the shortest possible delay. CLIMA.001 will then prepare the reply to the 
applicant. Failure to reply within the prescribed time limits is equivalent to refusing the 
access. In exceptional cases; the deadline to handle the application can be extended to 15 
other working days. Should it be the case, the unit will provide CLIMA 001 with the 
reasons of the delay and CLIMA 001 is in charge of informing the applicant that the 
deadline has been extended. 
3.
FILING OF THE DOCUMENTS AND RESPONSE TO THE APPLICANT
Registration and filing of the documents must be appropriate and reliable in conformity 
with e-domec rules. An appropriate registration and filing system is essential for the 
handling of access to documents requests, as the existing documents registers (e.g. Ares; 
Vista, etc.) are the starting point for identifying the requested documents. Exhaustive 
guidance on the registration of documents can be found on the following page: 
https://myintracomm.ec.europa.eu/sg/dm/basics/Pages/registration.aspx.  
1 See Article 3(a) of Regulation 1049/2001. 
2 See https://myintracomm.ec.europa.eu/sg/docinter/Documents/Note-DAY_ROMERO-Acces_documents-
21012011.pdf 


If the reply to the applicant is negative or partially negative, CLIMA.001 ensures the 
quality of the reasoning for giving no or partial access to the document/documents 
requested. A list of documents in form of table must be included for all such replies. 
The ADO coordinator in CLIMA.001 ensures communication with the external 
applicants and coordinates the handling of the requests with the units, as well as the 
contacts with the Cabinet, and any other associated DG, MS as well as any other third 
party consultation concerning the disclosure of documents in accordance with Art.4(4) of 
the Regulation 1049/20013.  
In case of requests which contain personal data of the 3rd parties (such as names, emails 
and telephone numbers), CLIMA.001 shall blank out such personal data, using the 
suitable Adobe Professional tools, unless these can be disclosed in accordance with 
Article 18 of the Regulation 45/2001 on personal data protection.4  
The final reply is then prepared by CLIMA.001. (partially) negative replies except the 
partially negative with redaction of personal data only for which the head of 001 can 
sign) must be signed by the Director-General.  
In case of a positive reply to the request, CLIMA.001 will sign. No signataire is needed 
in such case.  
(Partially) negative replies are to be sent to the applicant both electronically and per 
postal mail, via registered mail with acknowledgement of receipt.  
Throughout the handling of the request, correspondence either with the applicant or with 
third parties in case of a consultation has to be duly registered in Ares and uploaded in 
the Gestdem database.  
4.
CONFIRMATORY REQUESTS
In case of confirmatory application, SG will ask DG CLIMA to provide input in order to 
help them assessing the request. The DG's inputs have to respect this guidance note 
issued by SG.  
CLIMA 001 coordinates the input of DG CLIMA to SG and remains the main contact 
point during the entire handling of the confirmatory application. 
Yours sincerely, 
3 Regulation (EC) No. 1049/2001 of the European Parliament and of the Council of 30 May 2001 
regarding public access to European Parliament, Council and Commission documents 
4 Regulation (EC) No. 45/2001 of the European Parliament and of the Council of 18 December 2000 on the 
protection of individuals with regard to the processing of personal data by the Community institutions and 
bodies and on the free movement of such data