This is an HTML version of an attachment to the Freedom of Information request 'Memos, guidance and guidelines on record creation DG EAC'.

Ref. Ares(2013)2760789 - 26/07/2013
Ref. Ares(2016)5750696 - 04/10/2016
  Logistics and document management 
EAC.R.5/APa, MMi 
File code: 2013-AA0201 
List of documents of the DG EAC to be registered 
Some of the members of EAC staff (similar to staff of other directorates-generals) 
periodically require a tool that identifies the documents to be officially registered. The 
Secretariat-General has always proposed the conditions of registration as they are 
exposed in the fundamental e-Domec documents1 as the reference guideline to be taken 
into account. 
In fact, a defined and closed list could generate the risk of restricting the number of 
official documents to be registered and could dissuade the staff from including not 
foreseen items, even if they are compliant with the registration rules. 
Nevertheless, in order to provide assistance in this task, the EAC Document Management 
Team has drawn up a list of some examples of documents that require registration in the 
main official system of the Institution (Ares). Therefore, the list here presented is not 
(and cannot be) exhaustive and absolutely does not exclude other types of documents 
from registration. 
Indeed, drafts, versions or amendments of the types included in this list may sometimes 
also be object of registration. It is the case when the person responsible considers it 
necessary to reflect the effective administrative or legal evidence and always provided 
that they comply with the registration conditions2. 
Thus, the members of the staff are reminded to always verify beforehand the registration 
conditions with any document drawn up or received in the development of their 
1 Mainly SEC(2009)1643, II.2.2. You can find more complete texts in enclosure. 
2 Likewise what the Secretariat-General does with the different versions of SEC and COM documents that 
you can find in Vista. 
Commission européenne/Europese Commissie, 1049 Bruxelles/Brussel, BELGIQUE/BELGIË - Tel. +32 22991111 
Office: J-70 04/019 - Tel. direct line +32 229-64099 

List of documents of the DG EAC to be regis red – Enclosure I/EN 
Ref. Ares(2013)2760789 - 26/07/2013
  Logistics and document management 
Documents to be registered are all documents, regardless of the medium2, that: 
are received or formally drawn up by a Commission department in the course of 
its activities;  
are likely to require action, follow-up or a reply from the Commission or 
one or more of its departments; 
involve the responsibility of the Commission or one or more of its 
contain important information which is not short-lived. 
Documents that are drawn up as effective administrative or legal evidence3 of decisions, 
situations, intentions or events linked to the activities of the Commission or its 
departments must also be registered. 
Documents which fulfil either the condition set out in the preceding paragraph or all 
the conditions set out in points (1) to (3)
 above must be registered in the general 
register or in a specific register unless they are governed by rules or procedures with 
equivalent effect.  
1 The following text is extracted and adapted from SEC(2009)1643, II.2.2. 
2 This includes e-mail. Given the informality of many e-mails exchanged within the Commission and the 
informal appearance of the e-mail format as such, confusion might arise as to whether e-mails carrying 
formal communication should be registered or not. To address this problem, guidelines on the 
registration of e-mails have been adopted by the Secretary-General (see SEC(2006)353). 
3 ‘Effective evidence’ means the capacity of the document to produce the effects intended by the author on 
the addressee: the addressee must be able to regard the document (and the facts represented therein) as 
credible and therefore be able (or required) to act accordingly. 

It is not necessary to register a document in the general register if it is already registered 
in a specific register and vice versa. 
A specific register must fulfil the same criteria as the general register, and the procedure 
involved must afford equivalent guarantees. 
2.1.  Received 
A document is considered received when it is available to the service(s) for 
which it is intended. 
Available means that the document has arrived at the premises of the service 
or has been handed to an official competent to deal with the document or can 
be accessed through an information system available to the service. 
An  official competent to deal with the document is either an official 
involved in the handling of the matter to which the document is related, or an 
official charged with the task of receiving or treating incoming documents.  
In the absence of formal procedures for the transmission, a document handed 
to an official competent to deal with it is considered available to the service at 
the moment of handing over. If the document fulfils the conditions for 
registration, it must be registered as soon as possible. A document handed to 
any other official is not considered available to the service at the moment of 
handing over, but must be forwarded to an official competent to deal with it as 
soon as possible

An e-mail is available to the service(s) for which it is intended as soon as it is 
accessible to an official competent to deal with it through the Commission’s 
e-mail system, i.e. when it has been delivered to that official’s inbox, or to a 
functional mailbox available to that official. 
In the case of a document accessible through an external information 
, there must also be intention of transmission from the author to the 
Commission. A document is not received by the Commission simply because 
it is accessible via a website somewhere in the world. If, however, someone 
makes it known to the Commission that a document, which someone wishes 
the Commission to read, is available at a certain web address, the document in 
question is then considered received by the Commission5, and should 
immediately be downloaded and processed for possible registration in the 
same way as a document received by post. 
2.2.  Formally drawn up 
A document is considered formally drawn up when it has been approved as 
 by the author and is ready for transmission. 
4 The following texts are extracted from SEC(2009)1643, IV.3. 
5 Provided that the document can actually be found and identified on the given website. 

A document in general is approved as ready either by an act of approval (for 
example a signature), or by de facto treating the document as ready (for 
example by sending it to the intended recipient(s), by making it accessible via 
a website, etc.). An e-mail is approved as ready when the author decides to 
send it to the intended recipient(s).  
Author does not mean the person(s) charged with the practical task of 
drafting or typing. The author is the person or the organisational entity 
responsible for the content directly in accordance with the established rules 
and procedures of the Commission (including the rules and procedures on 
Ready does not necessarily mean the final version. An intermediate or draft 
version of a document may be considered ready as such (for example ready to 
be sent out for an inter-service consultation). 
Transmission means an author sending a document to a recipient6. This 
recipient can be a person, an organisational entity or an archiving/information 

If the recipient is a person or an organisational entitytransmission is formal 
when the recipient is the one for whom the document is ultimately intended. If 
the recipient is an archiving/information system (for example in the case of 
a note to the file) transmission is formal when the document is incorporated 
into the system, for example the file in question. 
2.3.  Important and not short-lived 
When deciding if a document should be registered, the key issue will often be 
to decide whether it is important and not short-lived
Important and not short-lived are criteria subject to subtle judgment that 
will vary with the content and context of the document. 
Documents containing information which is unimportant and short‑ lived are, 
in contrast, documents: 
•  whose loss would not prevent the departments concerned from meeting the 
Commission’s administrative or evidential needs7; or 
•  whose value is clearly temporary and rapidly lapsing8, ancillary and 
instrumental; or 
6 ‘Author’ and ‘recipient’ can be one or several persons, depending on circumstances. 
7 Therefore, when judging the importance of a document, the effect of not having it available when 
accounting for the actions based on its content should be considered. Has the Commission made a 
decision, paid out money, entered into a legal obligation, or taken some other kind of action based on a 
certain document? Would it be needed if that action at some point had to be justified or explained? Or 
would it be necessary in order to prove that the Commission has fulfilled its legal, financial, 
administrative or other obligations? If yes, it is important. 

•  which are considered or treated as unimportant and short-lived by a records 
schedule, a procedural regulation or routine administrative practice. 
8 This importance may be short-lived. After a short time, it no longer matters if the action can be justified 
or explained. The issue is to define the duration of a short time. It seems reasonable that this should be 
measured in weeks rather than months.