Rules governing public access to European Parliament documents

Bureau decision of 28 November 2001 [1] [2] [3]

(2005/C 289/06)

THE BUREAU,

Having regard to Article 255(2) and (3) of the EC Treaty,

Having regard to 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 and, in particular, to Articles 11, 12 and 18 thereof,

Having regard to Rules 22(2) and (11), 96(1) and 97 of and to Annex VII to the Rules of Procedure,

HEREBY DECIDES:

TITLE I

REGISTER OF REFERENCES

Article 1

Creation

1. In application of Article 11(2) of Regulation (EC) No 1049/2001 and of Rule 97(3) of the Rules of Procedure, a register of references shall be established at the European Parliament.

2. The register of references thus created shall include references to documents drawn up or received by the European Parliament after the date on which Regulation (EC) No 1049/2001 became applicable [4].

3. These references shall constitute the "document's identity papers" which include not only the data required by Article 11(2) of Regulation (EC) No 1049/2001 but also, as far as possible, references which enable the originating authority of each document, the available languages, the status of the document, the category of the document and the place of storage of the document to be identified.

Article 2

Objectives

The register of references shall be structured so as to allow:

- use of a uniform reference system,

- direct access to documents, in particular legislative documents, in electronic form,

- identification of documents which cannot be accessed electronically,

- searches for documents which are not adequately identified by applicants,

- identification of documents in respect of which public access is subject to the restrictions laid down in Articles 4 and 9 of Regulation (EC) No 1049/2001,

- recording of confidential documents, in compliance with the restrictions laid down in Article 9 of the Regulation referred to above.

Article 3

Operation

The unit responsible for managing the register of references shall:

- monitor the recording of documents drawn up or received by the European Parliament,

- receive applications for access in written or electronic form and keep a calendar with a view to ensuring compliance with the time limit for reply of 15 working days,

- send out acknowledgements of receipt,

- assist applicants with clarifying the substance of their applications,

- assist applicants with access to documents already published,

- forward applications for access to the relevant service or authorised person when the application relates to a document not recorded in the register or a document subject to the restrictions laid down in Articles 4 and 9 of Regulation (EC) No 1049/2001,

- negotiate with applicants where applications relate to very long or complex documents.

Article 4

Recording of documents

1. Any document drawn up by the European Parliament shall be entered in the register of references as soon as possible. The Secretary-General shall adopt the internal implementing measures required to ensure that all documents drawn up by the European Parliament are recorded.

2. European Parliament documents as defined by Rule 97(2) of the European Parliament's Rules of Procedure shall be recorded in the register of references under the responsibility of the body or service which is the originator of the document.

3. Documents drawn up under the legislative procedure or for the purposes of parliamentary business shall be entered in the register as soon as they have been tabled or made public.

4. Other documents which fall within the remit of the administrative services of the European Parliament's Secretariat shall, as far as possible, be entered in the register of references immediately upon authorisation by the originating service.

5. Any document received by the European Parliament from a third party within the meaning of Article 3 of Regulation (EC) No 1049/2001 shall be forwarded by the Mail Service to the Public Register of References Unit, which shall enter it, unless it is a sensitive document within the meaning of Article 9 of the Regulation referred to above in respect of which compliance with the time limits prescribed in that article is mandatory.

Article 5

Directly accessible documents

1. All documents drawn up or received by the European Parliament under the legislative procedure must be accessible to citizens in electronic form, subject to the restrictions laid down in Articles 4 and 9 of Regulation (EC) No 1049/2001.

2. In this connection, the European Parliament shall make all legislative documents accessible through the register so as to enable citizens to have access to the full texts of documents.

3. The European Parliament shall make this register electronically accessible on the Europarl website and provide on-line assistance to citizens concerning arrangements for the submission of applications for access to documents.

4. Other documents, in particular documents relating to the drafting of policy or strategy, shall, as far as possible, be made directly accessible.

5. The categories of documents that are directly accessible shall be set out in a list adopted by the European Parliament and annexed to its Rules of Procedure. Documents not included on that list shall be accessible on written request.

Article 6

Documents accessible on request

1. Documents drawn up or received by the European Parliament outside the legislative procedure shall, as far as possible, be directly accessible to citizens through the register, subject to the restrictions laid down in Articles 4 and 9 of Regulation (EC) No 1049/2001.

2. Where entry of a document in the register of references does not permit direct access to the full text, either because the document is not available in electronic form or because the exceptions provided for in Articles 4 and 9 of Regulation (EC) No 1049/2001 are applicable, the applicant may apply for access to the document in writing or using the electronic form available on the Europarl website. The European Parliament may either grant access to the document or give the reasons for its total or partial refusal in writing.

3. Documents drawn up or received by the European Parliament before the entry into force of Regulation (EC) No 1049/2001 and therefore not available in the register of references shall be accessible on written request, subject to the restrictions laid down in Articles 4 and 9 of the Regulation referred to above.

Article 7

Storage of documents

1. All documents shall be saved in the archives of the database of the register of references. This database shall include all the documents drawn up by the European Parliament. A copy of the data and documents shall be forwarded to the European Parliament's historical archives (CARDOC).

2. Until the database responsible for archiving documents to be entered in the register is operational, the service responsible for the register shall use the European Parliament's existing systems and databases and confine itself to establishing links with the latter in order to extract the necessary data and make the full texts of documents accessible.

TITLE II

INITIAL APPLICATIONS

Article 8

Submission of the initial application

1. Applications for access to a European Parliament document may be made in writing or in electronic form in one of the languages listed in Article 314 of the EC Treaty.

2. Applications must be made in a sufficiently precise manner and include the name and address of the applicant and information enabling the document or documents requested to be identified.

3. If an application is not sufficiently precise, the European Parliament shall ask the applicant to clarify it and shall assist him or her to do so.

4. The applicant shall not be obliged to state reasons for the application.

Article 9

Processing of written applications

1. Applications for access to a document held by the European Parliament shall be sent, on the same day as it is registered, by the Mail Service to the unit responsible for managing the register of references, which must acknowledge receipt of the application, draft a reply and deliver the document within the prescribed time limit.

2. Where the application relates to a document drawn up by the European Parliament to which one of the exceptions laid down in Article 4 of Regulation (EC) No 1049/2001 is applicable, the unit responsible for the register of references shall contact the service or body that is the originator of the document, which shall suggest the course of action to be taken within five working days.

3. Where any doubt as to disclosure concerns documents from third parties, the European Parliament shall consult the latter, giving them five working days in which to make their position known, with a view to assessing whether one of the exceptions laid down in Articles 4 or 9 of Regulation (EC) No 1049/2001 is applicable.

4. Where the application for access submitted to the European Parliament concerns a document which has not yet been made public by the originating institution, the European Parliament shall give the institution responsible for the document five working days in which to express any reservations regarding disclosure of the document.

5. If no reply is received within five working days, the European Parliament shall continue the procedure.

Article 10

Processing of applications in electronic form

1. Applications submitted in electronic form shall be forwarded to the address indicated on the European Parliament's website, as far as possible using the electronic form provided and the on-line help system created to facilitate the submission of applications of this kind.

2. Applications in electronic form sent to the European Parliament's Europarl website shall be forwarded automatically to the unit responsible for the register of references for recording and further action.

3. Applications received in electronic form and including all the necessary information required by Article 8 of this Decision shall automatically trigger dispatch of an acknowledgement of receipt to the applicant.

4. The procedures laid down in Articles 9(2) et seq. of this Decision for the processing of initial applications submitted in writing shall also apply to applications submitted in electronic form.

Article 11

Deadline for reply

1. Within a period of 15 working days from the registration of the application, the unit responsible for the register of references shall grant access to the requested document and shall supply it within the same period.

2. Where the European Parliament is unable to grant access to the requested document, it shall notify the applicant in writing of the grounds for its total or partial refusal and inform the applicant of his or her right to submit a confirmatory application.

3. In that event, the applicant shall have 15 working days from receipt of the reply in which to submit a confirmatory application.

4. In exceptional cases, where an application relates to a very long document or a large number of documents, the period laid down in paragraph 1 of this article may be extended by 15 working days, provided that the applicant is notified in advance and that detailed reasons are given.

5. Failure by the European Parliament to reply within the prescribed time limit shall entitle the applicant to submit a confirmatory application.

6. The period of 15 working days laid down in Article 7 of Regulation (EC) No 1049/2001 shall begin on the date of registration of the initial application.

Article 12

Competent authority

1. Initial applications submitted to the European Parliament shall be handled by the Secretary-General under the authority of the President and the Vice-President responsible for supervision of the handling of applications for access to documents, as provided for by Rule 97(6) of the European Parliament's Rules of Procedure.

2. Favourable replies to initial applications shall be forwarded to the applicant by the Secretary-General himself or by his delegate.

3. Refusal of an initial application, with a statement of the reasons, shall be determined by the Secretary-General on a proposal from the Public Register of References Unit and after consultation of the document. Any decision to deny access shall be forwarded to the Vice-President responsible for transparency, for information.

4. The Secretary-General, or his or her delegate, may, at any time, refer an application to the Legal Service and/or the officer responsible for data protection.

TITLE III

CONFIRMATORY APPLICATIONS

Article 13

Submission

1. Confirmatory applications may be submitted to the European Parliament in written or in electronic form either within 15 working days of receipt of a total or partial refusal of access to the document requested or in the absence of any reply to the initial application.

2. Confirmatory applications must be submitted in accordance with the formal requirements laid down in Article 8 of this Decision.

Article 14

Processing

1. Confirmatory applications shall be registered in accordance with the arrangements laid down in Articles 9(1) and 10(2) of this Decision for applications in written or in electronic form.

2. The Public Register of References Unit shall forward an acknowledgement of receipt to the applicant and shall initiate the procedures laid down in Articles 9 and 10 of this Decision, with a view to preparing the European Parliament's reply.

3. Within 15 working days of registration of the application, the European Parliament shall either grant access to the document or notify the applicant in writing of the reasons for its total or partial refusal.

4. In exceptional cases, where an application relates to a very long document or a large number of documents, the period laid down in the previous paragraph may be extended by 15 working days, provided that the applicant is notified in advance and that detailed reasons are given.

Article 15

Competent authority

1. The reply to confirmatory applications shall be a matter for the Bureau of the European Parliament. The Vice-President responsible for transparency shall take a decision on confirmatory applications on behalf of the Bureau and under its authority.

2. The Vice-President concerned shall inform the Bureau of his or her decision at the first meeting of the Bureau which follows the taking of the decision and notification thereof to the applicant. Should he or she deem it necessary, and within the time-limits laid down, the Vice-President may refer his or her draft decision to the Bureau, in particular if the reply might involve matters of principle relating to the European Parliament's policy of transparency. In his or her reply to the applicant, the Vice-President shall be bound by the decision of the Bureau.

3. The Vice-President and the Bureau shall take a decision on the basis of the proposal drawn up by the Public Register of References Unit by way of delegation from the Secretary-General. The Public Register of References Unit shall be entitled to seek the opinion of the Legal Service and/or the officer responsible for data protection, both of whom shall deliver their opinions within three working days.

Article 16

Remedies

1. Where the European Parliament totally or partially refuses to grant access to a document, it shall inform the applicant of the remedies open to him or her, namely: instituting court proceedings against the Institution and/or submitting a complaint to the Ombudsman, under the conditions laid down in Articles 230 and 195 of the EC Treaty.

2. Failure to reply within the prescribed time limit shall be regarded as a negative response and entitle the applicant to bring an action or submit a complaint under the conditions set out in the previous paragraph.

TITLE IV

RECORDING OF, AND ACCESS TO, SENSITIVE DOCUMENTS

Article 17

Recording of sensitive documents

1. Recording of documents classified as sensitive within the meaning of Article 9 of Regulation (EC) No 1049/2001 received from the Institutions, agencies, Member States, non-member countries or international organisations shall be subject to prior agreement of the originating authority.

2. The originating authority of a document classified as sensitive shall forward the document directly to the President of the European Parliament via the channel best suited to ensuring the confidentiality of the contents of the document.

3. Any forwarding of a sensitive document must be accompanied by a statement of the position of the originating authority concerning authorisation for recording and disclosure of the document.

4. Where the originating authority agrees that such a document may be recorded in the European Parliament's register of references, the President shall determine which references may appear in the register of references. The President shall consult the Vice-President responsible for supervision of the handling of applications for access to documents, the Secretary-General or, where appropriate, the chairman of the committee concerned.

5. Any document drawn up by the European Parliament referring to a document classified as sensitive within the meaning of Article 9 of Regulation (EC) No 1049/2001 shall be recorded and released only with the authorisation of the President. The references assigned to such a document shall be determined under the conditions set out in the previous paragraph.

6. Where one of the institutions expresses doubts as to the confidential nature of documents received by the European Parliament, the matter shall be referred to the interinstitutional committee established under Article 15(2) of Regulation (EC) No 1049/2001.

Article 18

Processing of applications for access

1. Applications for access to a sensitive document within the meaning of Article 9 of Regulation (EC) No 1049/2001 submitted in written or in electronic form shall be registered in accordance with the arrangements laid down in Article 9(1) or Article 10(2) of this Decision.

2. The Secretary-General shall forward applications for access to sensitive documents to the President. The reply to an application, at either the initial application or confirmatory application stage, shall be a matter for the Bureau, which may delegate it to the President, pursuant to Rule 22(10) of the European Parliament's Rules of Procedure. In such cases, the President shall consult the Vice-President responsible for supervision of the handling of applications for access to documents, the Secretary-General or, where appropriate, the chairman of the committee concerned.

3. The period of 15 working days laid down in Articles 7 and 8 of Regulation (EC) No 1049/2001 shall begin on the date of registration of the initial or confirmatory application.

Article 19

Authorised persons

The persons authorised to read sensitive documents shall be: the President of the European Parliament, the Vice-President responsible for supervision of the handling of applications for access to documents, the chairman of the committee directly concerned and the Secretary-General, unless agreements with the other institutions provide for special authorisation.

Article 20

Protection of sensitive documents

1. Sensitive documents within the meaning of Article 9 of Regulation (EC) No 1049/2001 shall be subject to strict security rules so as to ensure their confidential handling in the European Parliament.

2. In this connection, the Secretary-General shall submit draft rules to the Bureau, taking account of contacts and agreements established with the Commission and the Council.

3. The proposal adopted by the Bureau shall be submitted to the House for approval, and the text thus adopted shall be annexed to the European Parliament's Rules of Procedure.

TITLE V

ISSUE OF DOCUMENTS

Article 21

Issue

1. Documents shall be supplied in the form of a paper copy or in electronic format, whichever the applicant prefers.

2. If a document has already been released by the European Parliament or by another institution and is easily accessible, the European Parliament may grant access to the document by informing the applicant how to obtain the document requested.

Article 22

Cost of the reply

1. The cost of producing and sending copies may be charged to the applicant. This charge may not exceed the real cost of the operation.

2. On-the-spot consultation, copies of less than twenty A4 pages and direct access in electronic form or through the register shall be free of charge.

Article 23

Applications for very large documents

1. The issuing of documents exceeding twenty A4 pages shall be subject to a fee of EUR 10, plus EUR 0,030 per page.

2. This fee may be revised by a decision of the European Parliament's Bureau on a proposal from the Secretary-General.

3. Fees for other means of transmission shall be determined by the Secretary-General but may not exceed the real cost of the operation.

4. In the event of repeated or successive applications concerning very long documents or a large number of documents, the European Parliament may negotiate informally with the applicant with a view to reaching an appropriate agreement.

5. Published documents are not covered by this Decision and shall continue to be subject to their own pricing system.

Article 24

Additional translation costs

Where translation into a language other than those available is requested by the applicant, the existing freelance rates applied by the European Parliament to external translations shall apply.

TITLE VI

APPLICATION

Article 25

Application

This Decision shall apply with due regard for and without prejudice to the provisions of Regulation (EC) No 1049/2001 and of the European Parliament's Rules of Procedure.

Article 26

Review

This Decision shall be reviewed two years after its entry into force. To this end, the Secretary-General of the European Parliament shall submit a report on the implementation of this Decision.

Article 27

Entry into force

This Decision shall enter into force on the date of its publication in the Official Journal of the European Union [5]. The register of references established by this Decision shall become operational on 3 June 2002.

[1] Published in the OJ C 374 of 29.12.2001, p. 1-6.

[2] Consolidated by the Bureau on 3 May 2004.

[3] As amended by the Bureau on 26 September 2005.

[4] i.e. 3 December 2001.

[5] i.e. 29 December 2001.

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