Annual Reports of External Audit Units, personal data protection, FP6 & FP7 programmes. overriding public interest

La demande est partiellement réussie.

Mr. Tasos Ntetsikas

Dear Research and Innovation (RTD),

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:

******

In GestDem No 2013/3375, http://www.asktheeu.org/en/request/dg_cn...,
DG CNECT released on 3/12/2013 the document of 21/2/2011 entitled 'External Audits Synthesis Reports 2011'. The Synthesis Report is Annex D of the of DG CONNECT
‘Bi-Annual Management Report, 01 July 2012 – 31 December 2012’.

The current organisational chat of DG RTD lists the following two Units and Sector:
- M.1 - External audits
- Sector : Outsourced audits and audit certification policy
- M.3 - Risk management

I would appreciate if DG RTD would FULLY release the following documents:

1. The External Audits Synthesis Reports (or equivalent documents) of years 2008, 2009, 2010, 2011 and 2012, drawn up by the DG RTD M1 ‘External Audit’ Unit, or its predecessor(s) Units or Sectors, as the case may be. This includes all annexes and appendices thereto.

2. The External Audits Synthesis Reports (or equivalent documents) of years 2008, 2009, 2010, 2011 and 2012, drawn up by the DG RTD M3 ‘Risk Management’ Unit, or its predecessor(s) Units or Sectors, as the case may be. This includes all annexes and appendices thereto.

3. The External Audits Synthesis Reports (or equivalent documents) of years 2008, 2009, 2010, 2011 and 2012, drawn up by the DG RTD Sector ‘Outsourced audits and audit certification policy’, or its predecessor(s) Units or Sectors, as the case may be. This includes all annexes and appendices thereto.

4. The documents drawn up by DG RTD setting forth the methodologies, practices, and techniques of the DG RTD risk-based audits.

5. The documents drawn up by DG RTD setting forth the methodologies, practices, and techniques of the DG RTD corrective external financial audits.

6. The internal administrative decision, or equivalent, authorising the DG RTD External Audit Unit(s) or Sector(s) to carry out audits pursuant to the above-mentioned methodologies, practices, and techniques.

7. The internal administrative decision, or equivalent, authorising the DG RTD External Audit Unit(s) or Sector(s) to instruct external audit firms to carry out risk-based audits. One such example is found in the case T-165/13 Talanton v Commission, where the field audit was conducted by KPMG Greece. The same audit firm drew up the draft audit report.

*******

There is an overriding public interest for the full release of the requested documents.

In the interest of brevity, the applicant points out:

1. The two false statements of the prior notification DG RTD DPO-3398.1 and its complete lack of legal basis show that there has been something profoundly wrong in every single DG RTD external financial audit in so far compliance with Regulation 45/2001 and Directive 46/95/EC are concerned.

2. The above false statements make the DPO-3398.1 data controller (a DG RTD Director) liable for several infringements of the Staff Regulations, Regulation 45/2001 by virtue of his personal responsibility according to article 1 second indent of Commission Decision 597/2008. If a senior DG RTD official was prepared to take such personal risks, this implies that the whole Directorate-General stood behind him in full support. This is second proof of the above profoundly wrong nature of the DG RTD external financial audits.

3. The 'sister' of DG RTD DG CNECT even caused the President of the European Commission to misrepresent simple facts in the letter of 30/8/2013 Ares(2013) 2952891,
http://www.asktheeu.org/en/request/583/r...,
apparently to prevent further revelations about the illegalities of the risk-based audits. DG RTD is referred to a confirmatory application dated 20/10/2013 submitted to the Ombudsman, http://www.asktheeu.org/en/request/forme...,
for a good analysis of the illegalities. The DG RTD risk-based audits suffer from the same problems as the DG INFSO risk-based audits. Consequently, the DG RTD risk-based audits are directly associated with the DG CNECT desperate efforts to avoid the disclosure of further information about the risk-based audits of the Research DGs

The overriding public interest is to scrutinise the conduct of the DG RTD external financial audits, especially the risk-based and the corrective ones, shedding light on the role of the high-ranking officials of DG RTD in the illegalities.

High-ranking officials of the Research DGs should not expect that their personal conduct will escape for ever public scrutiny.

Yours faithfully,

Mr. Tasos Ntetsikas

Direction générale de la recherche et de l’innovation

1 Attachment

Dear Sir,

 

Thank you for your e-mail dated 16/12/2013.  We hereby acknowledge receipt
of your application for access to documents, which was registered on
19/12/2013 under reference number GestDem 2013/6469.

 

In accordance with Regulation (EC) No 1049/2001 regarding public access to
European Parliament, Council and Commission documents, your application
will be handled within 15 working days. The time limit will expire on
21/01/2014. In case this time limit needs to be extended, you will be
informed in due course.

 

Yours faithfully,

 

Silvia BOJINOVA

Head of Unit

 

[1]Description: cid:image001.png@01CDDFB2.68871B70

European Commission

DG Research & Innovation

R5

 

ORBN 09/151

B-1049 Brussels/Belgium

+32 229-85891

[2][email address]

 

[3]http://ec.europa.eu/research

 

 

 

 

References

Visible links
2. mailto:[email address]
3. http://ec.europa.eu/research

Direction générale de la recherche et de l’innovation

1 Attachment

Dear Mr Ntetsikas,

We refer to your email of 16/12/2013 in which you submit a request for
access to documents, registered on 19/12/2013 under the above mentioned
reference number.

Your application is currently being handled. However, we will not be in a
position to complete the handling of your application within the time
limit of 15 working days, which expires on 21/01/2014.

An extended time limit is needed as large files have to be examined in
order to retrieve the documents requested.

Therefore, we have to extend the time limit with 15 working days in
accordance with Article 7(3) of Regulation (EC) No 1049/2001 regarding
public access to documents. The new time limit expires on 11/02/2014.

We apologise for this delay and for any inconvenience this may cause.

Yours faithfully,

Liliane DE WOLF

Head of Unit

 

[1]cid:image001.gif@01CF0AE9.BBA1E200

European Commission

DG Research & Innovation

J1

ORBN 01/037

1049 Brussels/Belgium

+32 229-61073

[2][email address]

 

[3]http://ec.europa.eu/research

 

 

 

 

References

Visible links
2. mailto:[email address]
3. http://ec.europa.eu/research

Direction générale de la recherche et de l’innovation

1 Attachment

Dear Mr Ntetsikas,

We refer to your email of 16/12/2013 in which you submit a request for
access to documents, registered on 19/12/2013 under the above mentioned
reference number.

Your application is currently being handled. However, we will not be in a
position to complete the handling of your application within the time
limit of 15 working days, which expires on 21/01/2014.

An extended time limit is needed as large files have to be examined in
order to retrieve the documents requested.

Therefore, we have to extend the time limit with 15 working days in
accordance with Article 7(3) of Regulation (EC) No 1049/2001 regarding
public access to documents. The new time limit expires on 11/02/2014.

We apologise for this delay and for any inconvenience this may cause.

Yours faithfully,

Liliane DE WOLF

Head of Unit

 

[1]cid:image001.gif@01CF0AE9.BBA1E200

European Commission

DG Research & Innovation

J1

 

ORBN 01/037

1049 Brussels/Belgium

+32 229-61073

[2][email address]

 

[3]http://ec.europa.eu/research

 

 

 

 

References

Visible links
2. mailto:[email address]
3. http://ec.europa.eu/research

Mr. Tasos Ntetsikas

Dear Research and Innovation (RTD),

I refer to the application pursuant to Regulation No 1049/2001 GestDem 2013/6469 and your email of 20/1/2014 Ares(2014)114217 extending the time-limit to the 11th of February http://www.asktheeu.org/en/request/annua....

This is a kind reminder that DG RTD has not provided an the initial response.

Yours faithfully,

Mr. Tasos Ntetsikas

Direction générale de la recherche et de l’innovation

1 Attachment

Dear Mr Ntetsikas,

Thank you very much for your kind reminder of 12/02/2014 in relation to
your application for access to documents, registered on 19/12/2013 under
the above mentioned reference number.

We would like to apologise sincerely for the overrun of the time limit and
reassure you that your application is currently being processed with the
utmost care.

The handling of your request involves the assessment of voluminous
documents originating from another service which need to be assessed
individually. Such a detailed analysis cannot be carried out within the
normal time limits set out in Article 7 of Regulation 1049/2001.

 

Yet, the Regulation also provides for a possibility to confer with
applicants in order to find a fair solution in such circumstances. Article
6(3) provides that "in the event of an application relating to a very long
document or to very large number of documents, the institution concerned
may confer with the applicant informally, with a view to finding a fair
solution".

 

Based on this provision, we would kindly ask you whether you would agree
that we extend the deadline for handling your application until 15 March
2014.  Needless to say, we will endeavour to finalise the handling of your
application for access to documents as promptly as possible.

 

If you have any questions concerning this proposal, you can contact us by
email to: [1][email address]

Thank you in advance for your understanding.

Yours faithfully,

Liliane DE WOLF

Head of Unit

 

[2]Description: Description: cid:image001.gif@01CF0AE9.BBA1E200

European Commission

DG Research & Innovation

J1

ORBN 01/037

1049 Brussels/Belgium

+32 229-61073

[3][email address]

 

[4]http://ec.europa.eu/research

 

 

 

 

 

References

Visible links
1. mailto:[email address]
3. mailto:[email address]
4. http://ec.europa.eu/research

Mr. Tasos Ntetsikas

Dear Research and Innovation (RTD),

Thank you for your email of 17 February concerning the application GestDem No 6469/2013, http://www.asktheeu.org/en/request/annua....

In view of the considerations of DG RTD regarding the documents falling under the scope of the application, the proposal to extent the time-limit to the 15th of March 2014 is completely reasonable, and is therefore accepted.

Having said that, I would like to take this opportunity to make the following comments.

1. The undersigned submitted the confirmatory application GestDem 2013/6329 http://www.asktheeu.org/en/request/exter... its object is the release of the DG INFSO/CNECT External Audits Units Synthesis Reports 2008 - 2012, and the associated methodologies.

2. I respectfully suggest that DG RTD take into account the arguments of that confirmatory application, especially sections I to VIII inclusive; the arguments therein are directly applicable to this application.

3. It is patently obvious that DG RTD has been a follower of DG INFSO in the risk-based audits, perhaps a very reluctant one. This is inferred from: (i) DG RTD officials have refrained from proudly publishing their 'pioneering' work in risk-based audits; (ii) DG INFSO/CNECT has a near monopoly of the actions before the General Court arising out of external financial audits; (iii) the prior notification DG INFSO DPO-3338.1 is the archetype of the completely bogus prior notifications of the Research DGs covering the external financial audits - this is a clear sign of who the leader of illegalities has been.

4. The ultimate logical conclusion is that risk-based audits have been a marginal activity of DG RTD, and that DG RTD has kept a modest and measured attitude towards the auditees, as opposed to the outright aggressive, biased and unfair of DG INFSO (e.g., fabrication of extra-contractual obligations about non compliance with the FP6 Guidelines, inadequate time-keeping, objections for researchers working in two beneficiaries, and so on).

The above considerations suggest that it is reasonable to expect that DG RTD would lean towards more transparency in this application in comparison to DG CNECT.

Yours faithfully,

Mr. Tasos Ntetsikas

Direction générale de la recherche et de l’innovation

8 Attachments

Dear Mr Ntetsikas,

 

We refer to your e-mail dated 16/12/2013 in which you make a request for
access to documents, registered on 19/12/2013, under the above mentioned
Gestdem reference number. Please find enclosed the reply of Directorate
General for Research and Innovation.

 

Due to the large size of the documents, they will be sent in two separate
emails.

 

Yours faithfully,

 

Liliane DE WOLF

Head of Unit

 

[1]cid:image001.gif@01CF0AE9.BBA1E200

European Commission

DG Research & Innovation

J1

ORBN 01/037

1049 Brussels/Belgium

+32 229-61073

[2][email address]

 

[3]http://ec.europa.eu/research

 

 

 

 

 

 

References

Visible links
2. mailto:[email address]
3. http://ec.europa.eu/research

Direction générale de la recherche et de l’innovation

5 Attachments

Dear Mr Ntetsikas,

 

Please find the 2^nd part of documents.

 

Yours faithfully,

 

Liliane DE WOLF

Head of Unit

 

[1]cid:image001.gif@01CF0AE9.BBA1E200

European Commission

DG Research & Innovation

J1

ORBN 01/037

1049 Brussels/Belgium

+32 229-61073

[2][email address]

 

[3]http://ec.europa.eu/research

 

 

References

Visible links
2. mailto:[email address]
3. http://ec.europa.eu/research