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
2
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
3