COMMON COMMISSION-LEVEL RETENTION LIST FOR EUROPEAN COMMISSION FILES

Transcription

1 EUROPEAN COMMISSION SECRETARIAT-GENERAL The Secretary-General Brussels, 4 July 2007 SEC(2007) 970 COMMON COMMISSION-LEVEL RETENTION LIST FOR EUROPEAN COMMISSION FILES 1/8

2 1. INTRODUCTION The common Commission-level retention list for European Commission files ("CRL") is a regulatory document that sets the conditions and periods for retaining the different types of Commission files. It has been adopted on the basis of Article 6 of the provisions on document management 1 and supplements the implementing rules on "Preservation of the institution's files". 2 The CRL classifies the files in use at the Commission into broad types. 3 The CRL is a tool for managing documents in time and space. After the filing plan, it is the second document management tool which manages files according to activities. The CRL consists of this memorandum and the annexes thereto. The management schedule specifying the retention period for each type of file is set out in Annex AIMS OF THE CRL The aims of the CRL are: to identify the type of each file created and held by Directorates-General (DGs) and equivalent Commission departments (cabinets, offices, task forces, etc.) in order to ensure that it is properly preserved; to lay down the retention period for each type of file, taking into account its administrative usefulness for departments, statutory and legal obligations and its potential historical value. The retention period for each type of file is determined by: a) its period of administrative usefulness the "administrative retention period" or "ARP"; b) the action to be taken at the end of the ARP ("post-arp action" or "first review within the appraisal process"); c) where applicable, the action to be taken after archives ("action after archives"). The three parameters referred to at points a), b) and c) are set for each type of file in the CRL management schedule; to establish the administrative procedures for eliminating documents which DGs/departments must apply to certain types of files; to define the action to be taken by the DG/department on the various types of files once the ARP has expired; As annexed to the Commission's Rules of Procedure by Commission Decision 2002/47/EC, ECSC, Euratom of 23 January 2002, published in OJ L 21, , p. 23. SEC(2007)734. According to Chapter III of the implementing rules on "Filing and the management of the institution s files" [SEC(2003)349/2], a file is a "group of documents, as defined in the implementing rules on "Registration and keeping registers" [SEC(2003)349/1], organised in such a way as to form a coherent and relevant unit in terms of the activities conducted by the Commission and/or its departments". 2/8

3 to determine what action should be taken by the Commission's Historical Archives Service on the various types of files it receives. 3. SCOPE The CRL will be applied as follows by all Directorates-General and equivalent departments (cabinets, offices attached to the Commission for administrative purposes, task forces, etc.): application is mandatory for all files created in accordance with the e-domec rules, i.e. in accordance with the provisions on document management adopted by Decision 2002/47/EC 4, the provisions on electronic and digitised documents adopted by Decision 2004/563/EC 5, the implementing rules on "Registration", 6 "Filing", 7 "Preservation" 8 and "Electronic and digitised documents"; 9 it will be applied on a voluntary basis and with due care to closed files which have not been created in accordance with the aforementioned e-domec rules (past files). The CRL applies to files irrespective of the medium: paper, electronic or mixed. 4. STRUCTURE OF THE CRL MANAGEMENT SCHEDULE The CRL management schedule (Annex 1) lays down the retention period for each type of Commission file. It is set out in seven columns: File types: files concerning the same type of activities, questions or procedures. E.g.: "contract management" file, "personal" file, "state aid" file, "infringement" file, etc. Description: general content of files belonging to that type. ARP: period (in years) during which the DG/department is required to keep a file depending on its usefulness for administrative purposes and the relevant statutory and legal obligations. The ARP begins to run from the time when the file is closed. This column contains the following references for certain types of files: "L n " indicates (using the "concordance table" in Annex 2 to this memo) the legal basis which lays down a specific retention period for that type of file and, where applicable, the opinions of the Legal Service and the European Data Protection Supervisor (EDPS), which recommend retention periods in order to comply with legal obligations for that type of file; "T n " indicates (using the concordance table in Annex 3 to this memo) that an administrative procedure for eliminating documents applies to that type of file OJ L 21, , p. 23. OJ L 251, , p. 9. "Registration and keeping registers of the institution s documents", SEC(2003) 349/1. "Filing and the management of the institution s files", SEC(2003) 349/2. "Preservation of the institution's files", SEC(2007) 734. "Electronic and digitised documents", SEC(2005) /8

4 Post-ARP action or first review within the appraisal process: 10 action to be taken by DG at the end of the ARP, within a reasonable time-frame (the following six months). Three courses of action are possible: 1. : the files are transferred to the Commission's historical archives. 2. ECH/SEL (Sampling 11 and/or Selection 12 ): a group of files is chosen for, with all the rest being destroyed. The files identified for are transferred to the Commission's historical archives. 3. EL (Elimination): the files are physically destroyed. Action after archives: the types of files to be transferred to the historical archives may be assigned (in their entirety or in the form of a sample or ion) for: 1. : permanent ème TRI (second appraisal): the Commission's Historical Archives Service assesses the historical value of the files to decide whether they should be permanently preserved or eliminated. Lead department for : DGs which have files of this type and are required to keep them according to the CRL management schedule. Observations: Information that DGs must take into account when preserving these types of files. 5. ADMINISTRATIVE RETENTION PERIOD (ARP) 5.1. Principles and rules of application DGs and departments are required to preserve their files (on paper, in electronic form or in mixed media) during the administrative retention period (ARP) laid down by the CRL. During that period files may not be eliminated. 13 The ARP begins to run from the date when the file is closed. However, the convention is to start calculating the period from 1 January of the year following closure. Note that a file is closed by the lead department when the case has been dealt with, i.e. when no more documents need to be added to the file. For example: The rules to be followed by DGs in making this first appraisal will be laid down in the implementing rules on "Appraisal and transfer of files to the historical archives", currently being drafted. "Sampling" is a particular form of appraisal where the aim is to preserve a certain number of files regarded as representative of the whole, according to objective criteria. "Selection" is a particular form of appraisal where the aim is to preserve a certain number of files according to subjective criteria (importance, media impact, etc.). When a file exists in both electronic and paper form, elimination of one of the two forms does not constitute elimination of the file. If a department chooses to eliminate the paper file, it must nevertheless take account of the Commission's provisions on electronic and digitised documents [Decision 2004/563/EC and SEC(2005)1578] and, above all, it must not destroy certain paper documents which are rendered valid only by a handwritten signature (e.g. contracts, Commission minutes, etc.). Such documents must be preserved on paper and the DG will therefore have hybrid files (in electronic and paper form). 4/8

5 A "grant agreement/grant decision management" file will be closed just after final payment of the grant. A "procurement procedure" file will be closed just after the contract in question has been signed. If the file is not properly closed, the date of registration or, failing that, the date of the most recent document in the file will be deemed to be the date of closure. The file may also be deemed closed from the time when it is transferred to the DG's internal archive department. However, certain events may prevent departments from closing a file, for example in the following cases: Investigations: where irregularities are suspected or have been established in relation to a file which has financial implications (project receiving funding, mission, etc.) and is still open, the file will be closed only when: 1) it has finally been established that no irregularity took place; or 2) the irregularity has been rectified, possibly - but not necessarily - as a result of litigation. Disputes: where an unsuccessful candidate in a competition lodges an appeal, the relevant file must be kept until the final judgment rejecting the appeal or, if the candidate wins the case, until the judgment has been implemented. (It may be that the candidate was not admitted to the competition and his written test was not marked after the preion stage but remained on file; if the Court annuls the ion board's decision not to admit the candidate, his file must be available so that the written test can be marked and the judgment implemented). Where it emerges that a file that has been closed is needed to help protect the Commission's interests, particularly in the event of a dispute, an investigation or a complaint to the Ombudsman, the ARP is suspended (under the legal hold process) until the matter has been dealt with. This rule also applies if only some documents in a file are covered by the legal hold. For example: a dispute where a number of closed files serve as the basic source of information or a source of additional information. When the legal hold is over, the suspended ARP begins to run again. When files are communicated (lent) for administrative purposes, this does not result in the suspension of the ARP. However, if a file is on loan when the ARP expires, any action to be taken will be carried out after it has been returned Special rules for calculating the ARP For certain types of (closed) files, the ARP may be calculated differently, for example: files belonging to cabinets: the ARP corresponds to the Commission's term of office; no matter when files are closed, they are all transferred to the historical archives when the Commission's term of office ends; personal files are kept for up to 8 years after the extinction of all rights of the person concerned and of any dependants, but until at least 120 years after the date of birth of the interested party; medical files are kept for 30 years after the termination of duties of the person concerned (but for at least 40 years after exposure for workers who have been exposed to carcinogens or mutagens) and, in any event, at least until the person concerned reaches the age of 75. 5/8

6 5.3. Administrative procedures for eliminating documents Under the administrative procedures for eliminating documents, which apply to certain well-defined types of files, 14 DGs/Services must eliminate certain documents or information from such files only for very specific reasons, for example, when certain documents in a file no longer have any legal, administrative or historical value after a given date. For example: unsuccessful bids in "procurement procedure" files will be eliminated after five years, even though the files themselves will be preserved for at least the ten-year ARP. 15 Unsuccessful bids may be numerous and voluminous and are of no interest for the file itself after five years (the deadline for lodging an appeal). Documents are eliminated by the DG before the end of the ARP for the file in question, following the instructions set out in the CRL: documents to be eliminated, deadline for elimination, etc. (see Annexes 1 and 3). This approach means that certain, ive information can be preserved rather than whole files being lost. It encourages the of files that have a greater intrinsic value. 6. POST-ARP ACTION At least once a year DGs should identify the files for which the ARP has expired and carry out the post-arp action laid down in the management schedule of the CRL (or where appropriate the SRL - specific retention list) for the types of files concerned. DGs have six months from the end of the ARP to carry out the post-arp action (elimination, transfer to historical archives or sampling/ion). This constitutes the first review within the appraisal process of the archives. The procedures and rules applicable to this first review within the appraisal process of archives will be laid down in the implementing rules on "Appraisal and transfer of files to the historical archives", backed up by a special manual REVISION OF THE CRL The Secretariat-General will keep the CRL up-to-date, in close cooperation with the Directorates-General and equivalent departments. If necessary, the CRL might be reviewed for the first time three years after its adoption. The need for such a review will become clear once DGs have drawn up and implemented their archive schedules (see point 9). The CRL might also have to be reviewed as a result of the adoption or amendment of legal bases, EDPS opinions or Legal Service opinions imposing retention periods for certain types of files These elimination procedures must be specifically laid down in the common retention list or, where appropriate, the specific retention list. For that type of file, the CRL gives sampling/ion as the post-arp action. Some files will therefore be chosen for beyond the ten-year ARP (2 or even permanently). These documents are in the process of being drafted. 6/8

7 Any review of the CRL will be submitted to the EDPS under Article 28(1) of Regulation (EC) No 45/ SPECIFIC DG/SERVICE-LEVEL RETENTION LIST (SRL) Where DGs have types of files which are quite specific, do not concern any other DG/Service and are not included in the CRL, they must draw up a specific retention list (SRL) within six months of the CRL being adopted. In accordance with point VI.2.3 of the Implementing Rules on "Preservation of the institution's files", 18 the SRL, which will have the same structure as the CRL, must have the prior approval of the Secretariat-General, the Legal Service and the Commission's Historical Archives Service. It will then be submitted to the EDPS under Article 28(1) of Regulation (EC) No 45/ ARCHIVE SCHEDULE The archive schedule is an administrative document which must be drawn up and adopted by each DG to lay down internally the procedures and actions arising from implementation of the implementing rules on "Preservation" and the CRL/SRL. It will make a link between the list of the DG's files and the types of files set out in the CRL and/or, where appropriate, the SRL. The schedule must also: address the question of the location of files during their lifecycle; name the successive lead departments; respond to practical questions concerning over time. These instructions may also refer to: the minimum content of the file; the preferred format in which each type of file should be preserved (electronic or paper); the circumstances that may give rise to the re-use of a file already closed (e.g. OLAF or IDOC investigation, court actions, complaints to the Ombudsman). The DGs' archive schedules will be updated in line with reviews of the CRL and, where appropriate, the SRL. Secretary-General 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 (OJ L 8, , p. 1). SEC(2007)734. 7/8

8 Catherine Day Annex 1: CRL management schedule Annex 2: List of legal bases, opinions of the Legal Service and the EDPS Annex 3: List of administrative procedures for eliminating documents 8/8

9 FIRST APPRAISAL: : : Permanent 1 INSTITUTIONAL AND GOVERNANCE ISSUES 1,1 Horizontal institutional issues and revision of the Treaties Interpretation of the Treaties in force, reflections on the future of the EU, its powers, means of action, enlargement vs deepening, amendment of the Treaties, etc. SG: coordination files ECH/SEL DG: contribution files 1,2 European governance Adoption of rules promoting European Governance (better regulation, impact assessment, consultation, evaluation, simplification, taking account of the subsidiarity principle, proportionality, etc.), coordination of their implementation and monitoring of compliance (annual reports etc.). SG, BUDG, ENTR: coordination files ECH/SEL DG: contribution files 1,3 Multilingualism European Commission's adoption of rules promoting multilingualism (translating, interpreting, etc.). and coordination of their implementation. SG, DGT, SCIC, EAC 2 1,4 Rules of Procedure of the Commission Amendment of the Rules of Procedure of the Commission and rules and/or procedures (circulars, notes, follow-up, etc.) for their implementation (e.g. procedure for inter-departmental consultation, procedure for the creation of inter-departmental groups) Policy programme of the Commission (multiannual) In compliance with the political guidelines laid down by the President, the Commission establishes its multiannual strategic objectives ABM (Activity-Based Management)/ ABB (Activity-Based Budgeting) Activity-based management - one of the pillars of the reform approved by the Commission in March consists in taking decisions on policy priorities and decisions on the corresponding resources in tandem at every level in the organisation. This allows resources to be allocated to policy priorities Commission's Legislative and Work Programme (CLWP) This programme, adopted by the College, identifies specific measures and legislative/executive initiatives that translate APS priorities into operational terms. It includes mid-term reviews and road-maps DG's Annual Management Plan (AMP) On the basis of the APS and the work programme, the departments draw up their annual management plans (AMP) and the budgetary authority adopts the budget. AMPs, following the principles of activity-based management, translate the priority objectives into specific annual and long-term objectives and specify the indicators to be used to measure progress Annual Activity Report (AAR) Services elaborate their AARs, measuring results against the set objectives and accounting for the sound management of the resources allocated to them. The AARs are accompanied by a declaration of assurance (DAS) signed by the Director-General of Head of service Overview of the state of the internal control The Overview of the state of internal control in the Commission DGs and services is drafted by DG BUDG and used by the SG to prepare the synthesis report (Article 48 IR). SG, ADMIN STRATEGY AND COORDINATION 2,1 Strategic programming and planning (SPP) In compliance with the political guidelines laid down by the President, the Commission establishes its multiannual strategic objectives and Annual Policy Strategy, on the basis of which it adopts each year its work programme and the preliminary draft budget for the following year (Article 2 of the Rules of Procedure of the Commission) Annual Policy Strategy (APS) The APS provides guidelines on policy and resources for the preliminary draft budget, the Commission's annual work programme and annual operational programming (DG's annual management plans). ECH/SEL SG: coordination file All DGs: contribution files All DGs All DGs BUDG The original of the AMP with an accompanying note signed (SG) by the Director-General or head of department must be preserved (paper versions). The original of the AAR, signed by the Director General or head of department must be preserved (paper version). 1 8/08/2007

10 2,2 2, Synthesis Report The Commission draws up a Synthesis Report based on all the AARs. This report covers policy results as well as management and control performance. Cabinet activities and coordination with the DGs Cabinet activities A Positions adopted/follow-up on files B Speeches, articles, attendance at meetings and events, etc. A Meetings and working methods B Correspondence C Briefings D Speeches, interviews and articles Inter-DG coordination Coordination of DGs with cabinets Interdepartmental consultation (CIS), including the fast-track procedure A Launch of a CIS B Response to CIS etc. Cabinet files on issues going to the College. These include both files presented by a Commissioner as "lead department" and cabinet positions on issues presented by other Commissioners. Files on the attendance of the Commissioner and cabinet members at meetings (other than Chefs de cabinet, IRG and College): see point 3.1) or at other events, etc. Relations of each DG with the cabinets, in particular its own cabinet. Adoption of working procedures between the DG and the cabinet, meetings of departments with cabinet(s), organisation (agenda, minutes, relevant documents) of Groups of Commissioners (e.g. Audit Progress Committee CSA/APC) and "ad hoc steering groups" and other coordinating activities. Processing of the correspondence for the President of the Commission, the Commissioners, "round robin" correspondence or correspondence for more than one Commissioner. DGs' preparation and follow-up of briefings for their cabinets, the President or the cabinets of other Commissioners. DGs' drafting of speeches, articles and other types of contributions for the press or other media, for their cabinet, the President or the cabinets of other Commissioners. The lead department for the drafting of a proposal consults the DGs which may have a specific legitimate interest in the content of the proposal. A DG's responses (including the actions necessary to arrive at these responses) to CIS launched by other DGs. FIRST APPRAISAL: : : Permanent SG Term of the College Term of the College Cabinets Cabinets All DGs Term of the College Cabinets: Final versions (except correspondence for more than one Commissioner, for which the lead DG is the SG). DG which launches the CIS 2 years ECH/SEL All DGs Cabinet files and DG files concerning direct relations with their own cabinet and/or the cabinet of the President of the Commission and other files on DGs' work with the cabinets in general (preparation of briefings, meetings of groups of Commissioners, etc.). Commissioner's files and files of members of the cabinet on the monitoring of political/legislative issues, attendance at meetings (other than Chefs de cabinet, IRG and College: see point 3.1) or at other events, DG: preparatory and follow-up files for Commissioners SG: preparatory and follow-up files for the President Cabinet members' notes should be in the files wherever possible, given their high historical value. Most of these files are closed at the end of the term of the College. The quality and coherence of the Commission's work and that of its departments depends on effective coordination, as early as possible, between all the departments involved and with all the external groups concerned. Procedure whereby a DG requests the opinion of other DGs on a specific proposal (legislative or not). Same ARP and final outcome as the file to which it relates (legislative proposal or other, project to be financed, Article 90 complaint, etc.) Sybil is the computer application that manages coordination of answers to correspondence to the President. Cis-Net is the computer application which manages/stores most CIS. The lead department should compile a complete file. Although the most important documents can be found on CIS-NET (document submitted for CIS, answers of DGs consulted, final text), others may not be in the application (e.g. negotiations with departments). At the time of ion (SEL), only files with a special importance for the DG which responded should be permanently preserved (difficult or controversial cases). 2 8/08/2007

11 FIRST APPRAISAL: : : Permanent Business Continuity Planning Adoption and implementation of the plans and procedures necessary to guarantee the Commission's capacity to deal with a major disturbance and its preparation for and resilience to major disruptions. This includes strengthening its infrastructure where necessary. 2 years SG: coordination files ECH/SEL DG: contribution files High-level coordination A Meetings at Director-General level The Group of Directors-General is chaired by the Secretary-General and meets once or twice a week. Bilateral meetings between the Secretary- General and the Directors-General in the context of up-stream coordination. 2 years SG B Meetings of Resources Directors The group of Resources Directors meets at least twice a month, chaired by the Deputy Secretary-General. C Other inter-dg coordination groups and meetings Meetings of the interdepartmental coordination group, the ABM steering group, the group of Directors-General for administrative preparation for enlargement, etc. 2 years Interdepartmental coordination groups Groups or networks of Commission departments set up on a formal basis to meet increased coordination needs in specific areas. 2 years 2,4 Interinstitutional relations Interinstitutional agreements Interinstitutional working groups As the EU institutions coordinate their activities in certain areas (administration, publications, languages and communication), they are assisted by a number of interinstitutional working groups (50 in 2004). These groups can take the form of committees, sub-committees, working parties, sub-groups or formal networks. Work of the various high-level coordination groups managed and chaired by the Secretary-General. These files contain agendas, minutes, documents relating to the meetings, etc. Files concerning the signing and implementation of agreements between the Commission and at least one other Community institution to establish cooperation in a specific area (e.g. the Interinstitutional Agreement on better law-making of 16 December 2003 between the European Parliament, the Council and the Commission). SG DG which sets up and coordinates the group There is a database of interdepartmental groups active at the Commission, managed by the SG. SG (Greffe): file on File on the signing of the Agreement. signing agreement The core file contains documents on Lead DG on behalf of the preparation for the Agreement and on its Commission: core file implementation. Lead DG on behalf of the Commission: Parliamentary questions It is an essential element of Parliamentary oversight that, under the EC Treaty, "The Commission shall reply orally or in writing to questions put to it by the European Parliament or by its Members" Petitions Coordination and draft answers to the EP, setting out the Commission's point of view on the petition and any means of satisfying the petitioner. ECH/SEL SG: coordination files on answers to the EP (questions and petitions) BASIL is the computer application that DG: contribution files on stores parliamentary questions. answers to the EP (questions and petitions) Relations with the Council (other than codecision, see 2.4.7) Monitoring the work of COREPER I and II, SAC, IGE, Council working groups Relations with the European Parliament (other than codecision, Based on the Framework Agreement between the EP and the see 2.4.7) Commission of 26 May Codecision: Relations with the EP and the Council Co-ordination both externally with the two colegislators (EP/Council) and internally, ensuring that all steps of the codecision procedure are properly followed by the DGs and that the appropriate institutional response is given at all times, in conformity with the Revised Joint Declaration on the Practical Arrangements for Codecision of 13/06/2007. ECH/SEL SG: coordination files DG: core files The SG coordinates the DGs' actions vis-àvis the institutions to ensure that the Commission's position on different subjects is consistent and in line with institutional and procedural practice. Every DG has an official responsible for relations with the other institutions, who makes up the fil 3 8/08/2007

12 2.4.8 Relations with the Committee of the Regions Provided for by the Commission-CoR Cooperation Protocol of Relations with the European Economic and Social Committee Provided for by the Commission-EESC Cooperation Protocol of Relations with the Court of Auditors Includes files concerning Court of Auditors reports (drafting and follow-up) examining whether all revenue has been received and all expenditure incurred in a lawful and regular manner and establishing whether the Commission's financial management is sound Relations with the Court of Justice (excluding litigation - see Files on relations with the Court of Justice other than those relating to Chapter 11) litigation: opinions, meetings, etc Relations with the European Central Bank Relations with the EIB (European Investment Bank) Files concerning relations with the ECB: opinions, activities, statistics, studies, reports. Any application to the EIB for a loan or guarantee to be financed from the Bank's own resources must be submitted to the Commission for its opinion (Article 21 of the EIB Statute). The EIB interdepartmental group at the Commission (GIB) prepares Commission opinions on applications for EIB financing. 7 years FIRST APPRAISAL: : : Permanent BUDG: coordination files ECH/SEL DG: core files DG ECFIN: coordination files ECH/SEL DG: core files ECFIN: coordination files ECH/SEL DG: core files pp files. DG ECFIN is responsible for preparing Commission opinions on applications for EIB loans and guarantees Relations with European Ombudsman Relations with the European Ombudsman, coordination and draft responses to the Ombudsman on the Commission's opinion on complaints concerning alleged maladministration by the Commission (activity under Article 195 of the EC Treaty). SG: coordination files ECH/SEL DG: core files An Ombudsman database storing all Ombudsman investigations will be operational towards the end of Relations with the European Data Protection Supervisor Relations with the EDPS, including DGs' files concerning notifications and (EDPS) communications of personal data processing procedures. DG 2,5 Relations with executive agencies (other than coordination of the agency's implementation of programmes by the parent DG - see 7.1.1) Coordination and relations of departments with the executive agencies. SG, BUDG, ADMIN: coordination files ECH/SEL DG: core files 2,6 Relations with European Agencies Departments' coordination and relations with the more than 25 bodies which currently fit the definition of "regulatory agency", although the terms used for them vary widely (Centre, Foundation, Agency, Office, Observatory), and their legal bases are variously in the 1st, 2nd and 3rd pillars of the Treaty. These agencies are bodies established under European public law and enjoying legal personality which have been set up by an instrument of Community secondary legislation to carry out a specific technical, scientific or administrative task. SG, BUDG: coordination files ECH/SEL DG: core files 2,7 Relations with the authorities of the Member States Comitology procedures Comitology committees are set up by the legislator (the Council acting alone or with Parliament) when it adopts acts which the Commission is then empowered to implement. In such cases the Commission must consult the committees on certain types of measures. They are known as "committee procedures" committees or, informally, "comitology" committees. SG: coordination file DG responsible for each committee: file on its work The "Comitology Register", coordinated by the SG, contains all the committees' work: preparatory documents for meetings (agendas, draft implementing measures) and post-meeting documents (summary records, voting results, attendance lists). 4 8/08/2007

13 2, Advisory committees (other than those covered under point 2.7.1) Files concerning the cooperation structures between the Commission and the authorities of the Member States, provided for by the Community legislator (e.g.: Transparency Committee provided for in Article 11 of Directive 89/105/EC) and not covered by the comitology approach Relations with national Parliaments Since September 2006, the Commission has been sending all its proposals to the national Parliaments. The Parliaments may then request more information or submit their comments Relations with regional and local authorities Official visits Relations with groups of experts, civil society and other interlocutors Structuring of dialogue and general relations of the Commission and its Directorates-General with regional and local authorities, alongside the Committee of the Regions (see point 2.4.8). Coordination and organisation of practical aspects and protocol of official visits to the Commission by high-ranking personalities (heads of state and government, foreign ministers, etc.) Groups of experts: creation, work and follow-up The groups of experts are set up by the Commission, on a permanent or temporary basis, to advise it. This may be done at any time during the policy-making process (from the first development phases through to the implementation, monitoring and evaluation phases). A group of experts may be made up of national experts, but also of experts or stakeholders from the world of business, from NGOs, trade unions, universities, etc. FIRST APPRAISAL: : : Permanent DG responsible for each committee SG In the course of its preparatory work, the Commission often consults various advisory committees, groups of experts, etc. SG: coordination files ECH/SEL DG: core files SG: coordination and protocol files ECH/SEL DG: core files DG The SG has a coordinating and centralising role. If the file contains documents concerning contractual or financial obligations, the ARP will be Dialogue with civil society, social partners, interest representatives, etc. A Structuring dialogue B Consultations: launch and results COMMISSION DECISION-MAKING 3,1 Preparation and decision Under the White Paper on European Governance (July 2001) the Commission should involve civil society, the social partners and interest representatives (NGOs, trade associations, trade unions, etc) in the preparation and implementation of Community policies. Coordination files to structure dialogue between the Commission and civil society bodies and institutions (setting up a register, code of conduct for interest representatives, etc.). Consultations, discussions, debates and forums launched by the Commission and results obtained (responses from bodies and individuals consulted). The consultations may be formal (following White Papers and Green Papers) or of other kinds. They can be held via Internet or at meetings, hearings etc Preparatory meetings: meetings of Chefs de cabinet and the interinstitutional relations group (IRG) Files concerning meetings of Chefs de cabinet (weekly and special meetings) and the IRG (interinstitutional relations group). These include agendas, minutes and related documents Meetings of the College Minutes are taken of every Commission meeting (Art. 11 Rules of Procedure) which record the discussions of the College and the decisions adopted by oral procedure and register decisions adopted by written procedure, empowerment and delegation. SG: coordination files ECH/SEL DG DG SG One person per DG coordinates this dialogue, in agreement with the SG. Sole access to open public consultation is through the "Your Voice on Europe" web portal (designed in the context of the Interactive Policy Making initiative). Any department preparing an act or proposal for adoption by the Commission must bear in mind that the Commission as a whole will carry responsibility for that act. Although individual Commissioners are each responsible for specific sectors, the principles of the collective responsibility of the Commission and the indivisibility of the administration mean that the administration as a whole i.e. all Commission departments together serve the Commission as a whole Term of the College SGVista contains most of the electronic documents concerning Commission meetings (agendas, minutes and related documents). 5 8/08/2007

14 3,2 FIRST APPRAISAL: : : Permanent Decision-making procedures Procedures under which the Commission takes its decisions: by oral procedure in meetings of the College, by written procedure, empowerment or delegation Oral procedure Commission decision-making procedure under which the College approves proposals at its weekly meetings. approved if no Member makes any comments or expresses any reservations within the time-limit (Article 12 of the Rules of Procedure) Written procedure Commission decision-making procedure under which proposals submitted in writing to all the Members of the Commission are deemed to be 2 years Empowerment procedure Commission decision-making procedure under which, provided the principle of collective responsibility is fully respected, the Commission empowers one of its Members to take management or administrative measures on its behalf and subject to such restrictions and conditions as it imposes (Article 13 of the Rules of Procedure). Same ARP and final outcome as the file to which it relates Delegation and subdelegation Commission decision-making procedure under which, provided the principle of collective responsibility is fully respected, the Commission (legislative proposal or other) empowers a Director-General or head of department to take management or administrative measures on its behalf and subject to such restrictions and conditions as it imposes (Article 14 of the Rules of Procedure). SG: files relating to procedures DG: core and/or implementation files SGVista contains electronic versions of most of the decisions adopted by the Commission, classified by type of procedure (oral, written, empowerment or delegation). "Core file" means the file prepared by the DG and sent to Greffe for adoption. Implementation files exist for empowerments and delegations. 3,3 Follow-up on decision-making process Authentication Acts are authenticated in accordance with Article 17 of the Rules of Procedure Notification and dispatch to Member States and third parties for To notify an act adopted by the Commission, the SG sends it together information with a dispatch note addressed to the permanent representatives, asking them to forward the document to their Ministry of Foreign Affairs if the addressee is a Member State, or addressed to third parties (natural or legal persons). The SG Registry performs this notification (Article 254 of the Treaty) Transmission to other institutions Commission documents are sent to the other EU institutions by the SG Registry either because of their type or as the result of a specific decision by the Commission. These files include the covering letter and also, for some institutions (Parliament and Council), the proof of receipt sent by the institution to the Commission. 2 years SG Oral/written/empowerment procedure: hard copy files. Delegation: stored in Greffe EU FINANCIAL SYSTEM AND THE BUDGET 4,1 Financial perspective Financial framework A Establishment of the financial framework B Annual management of the financial framework and application of the interinstitutional agreement on budgetary discipline and sound financial management Interinstitutional agreement between the Commission, the Council and the EP establishing the multi-annual framework (seven years) for EU expenditure and defining the maximum amounts (ceilings) for major categories of expenditure (headings). The financial framework is the multi-annual spending plan which guarantees sufficient resources to finance long-term EU activities. On the expenditure side, the financial framework falls under the general responsibility of the SG, which coordinates with BUDG on all financial aspects. BUDG prepares the annual technical adjustment, any proposals for adapting or revising the financial framework and any proposals for mobilising one of the flexibility mechanisms provided for in the interinstitutional agreement (solidarity fund, flexibility instrument, globalisation adjustment fund). 2 years BUDG and SG: coordination files ECH/SEL DG: core files 2 years BUDG 6 8/08/2007

15 4, Own resources Covers files relating to the decision on own resources [fiscal revenue directly channelled to the EU budget (agricultural levies, customs duties, % VAT and % GNP)]. Annual budget of the EU FIRST APPRAISAL: : : Permanent 2 years BUDG As the budget is published in the OJ, these files accompany the estimates for the new budget, implementation of the current budget (n) and closure of the budget once the EP has given budget discharge (n+2) Budget procedure A Establishment of the Preliminary Draft Budget (PDB) B Interinstitutional procedure for budget approval Implementation of the budget and accounting A Budget implementation framework B Reports on budget implementation C Management of own resources, interest on arrears and amounts recovered under the PPI The annual spending plans are negotiated between the European Parliament and the Council of Ministers on the basis of a proposal by the Commission. BUDG prepares the PDB and its working papers and annexes (e.g. application of the Interinstitutional Agreement on legal bases). It is drafted BUDG: coordination file on the basis of the framework set out in the APS decision to guarantee that the necessary resources are allocated to the Commission's priority objectives. DG: core files Follow-up on budget approval by the budgetary authorities, including letters of amendment and the amending budget. BUDG The European Commission bears final responsibility for implementing the budget, although approximately 76% of the Community budget is implemented under so-called "shared management" (i.e. the Member State authorities manage expenditure, but a series of controls and counterbalancing mechanisms are in place to ensure that the funds are properly managed in compliance with the rules in force). Circulars and notes to Directors-General setting the budget implementation framework for the year in question. BUDG Covers files (at BUDG and DG level) relating to: the weekly or monthly budget implementation tables and budget implementation plan sent to the budgetary authority; the Report on Budgetary and Financial Management (Article 128 FR) sent to the budgetary authority and the Court of Auditors; the annual European Union Financial Report, etc. Fiscal revenue channelled directly to the EU budget (agricultural levies, sugar levies, customs duties, % VAT, % GNP, PPI, interest on arrears, UK correction). Includes files relating to: budget forecasts of own resources, maximum rate of increase and EFTA proportionality factor, preparation of report on allocated expenditure (budget balances), management of own resources, recovery of VAT and PPI, control of TOR (traditional own resources) management, recovery of TOR, verification of VAT and GNI. BUDG: coordination file ECH/SEL All DGs: contribution files L 1 and L 3 All DGs D Management of other revenue Files relating to offsetting of recovery orders and payments, validation of recovery orders, reconciliation of receipts, various bookings, debt management and follow-up. Recovery files cover: pre-information notice for the recovery, the issue of the recovery order itself and any follow-up, until the matter is either brought before the Court (chapter 11) or enforced under Article 256 of the Treaty (enforcement). Financial files concerning the sale of publications (Publications Office) are included in this category. L 1 and L 3 BUDG: coordination files ECH/SEL DG: core files E Management of expenditure Also includes files relating to the release of appropriations, transfers, etc. L 3 All DGs F Management of accounts Includes files relating to budget accounts, general accounts, bank accounts and payments, the institution's annual accounts, management of imprest accounts, the accounting framework and its rules, cash management, validation of accounting systems. BUDG 7 8/08/2007

16 4.2.3 Management of third-party files (FEL/BAF) and EWS. Files concerning all third parties with which the Commission conducts revenue and expenditure transactions. files containing bank data on all the companies, organisations and persons with which the Commission has financial relations; files concerning information on fund beneficiaries who have committed or are suspected of committing administrative errors or fraud. FIRST APPRAISAL: : : Permanent BUDG Budget discharge: obtaining discharge and follow-up 4,3 Implementation of the budget and EDF accounts With the discharge, Parliament "releases" the Commission from its management responsibility and ends the budget cycle. These files include prior contacts with the Court of Auditors to obtain the discharge (the CA draws up external audit reports on the legality and correctness of receipts and expenditure and establishes whether the Commission has exercised sound financial management). BUDG: coordination file ECH/SEL DG: contribution files and files on discharge follow-up The files can only be closed once we have received the final decision of the EP and Council on the follow-up report (N+3). The DGs are lead departments for of the files concerning their part in budget implementation. The EDF (European Development Fund) is funded not from the Community budget but from direct contributions from the EU Member States. It awards grants to aid programmes for countries that are signatories to the series of Lomé Conventions, replaced on 23 June 2000 by the Cotonou Agreement. It is managed by DGs DEV and AIDCO, except for the emergency aid line, which is managed by ECHO Budget implementation framework Circulars and notes to Directors-General, plus the chart of accounts. BUDG Revenue management Files relating to offsetting of recovery orders and payments, validation of recovery orders, reconciliation of receipts, various bookings, debt management and follow-up. AIDCO, BUDG, DEV, Management of expenditure Also includes files relating to the release of appropriations, transfers, etc. ECHO Management of accounts Includes files relating to general accounts, bank accounts and payments, annual accounts, management of imprest accounts, debts, the accounting framework and its rules, cash management, validation of accounting systems and discharge. 4,4 Application of the Financial Regulation, including the Financial Includes files relating to the Financial Regulation, its detailed Regulation in respect of the executive agencies implementing rules, the Internal Rules for the Implementation of the General Budget of the European Communities (Commission section), delegation, subdelegation, cross-subdelegation and regulatory files. BUDG All DGs 4,5 Application of EDF financial rules Includes files relating to the Financial Regulations, delegation, subdelegation, cross-subdelegation and regulatory files. AIDCO, DEV, ECHO 4,6 Cash and loans (non-budget) EC/Euratom borrowing/lending and non-budget cash management of the ECSC in liquidation. 7 years ECFIN 4,7 Protection of EU financial interests - Investigations Files on investigations to protect the financial interests of the European Union and to fight fraud, corruption and any other illegal activity, including within the European institutions. 20 years L 2 EL OLAF: coordination file EL DG: contribution file 8 8/08/2007

17 FIRST APPRAISAL: : : Permanent 4,8 Setting up and running the financial circuit in a DG Setting up and implementing the financial circuit in a DG: appointment of authorising officers by delegation and subdelegation, financial initiators, verifiers, evaluation of financial circuits, etc. BUDG: coordination file ECH/SEL All DGs: core file 4,9 Ex post checks Ex post checks, the purpose of which is generally to verify operations relating to budget implementation, are based on documents held by Commission departments (contracts, additional agreements, beneficiaries declarations of expenditure, supporting documents received, audit certificates, etc.) and on additional documents formally requested from the beneficiary (often during on-the-spot checks) in order to collect information previously submitted. The last category includes supporting accounting documents such as invoices, but also paper or electronic documents needed for management purposes (analytical data, presence of persons, travel costs, sub-contracting, procurement procedures, etc.). Note that under shared management the documents will be in the systems set up by the Member States. All DGs 5 POLICY DEVELOPMENT 5,1 Analyses and information, first steps towards developing a policy The first steps from acquiring in-depth information (identifying indicators, methods for measuring or assessing needs, etc.) up to the drafting of preliminary documents (green papers, white papers, studies and reports), which should provide the basis for a general approach or recommendation on the policy concerned. DG For the drafting of preliminary documents, you are advised, if applicable, to add to the file the document finally adopted by the College. 5,2 5,3 Strategies and action plans These files contain, as appropriate, the relevant impact analysis or ex ante evaluations Definition of strategies This kind of file contains the whole procedure up to final adoption by the Commission or the Council and/or Parliament. Commission or the Council and/or Parliament Drawing up action plans This kind of file contains the whole procedure up to final adoption by the DG Legislation and other legal acts Drawing up binding (directives, regulations and decisions) and non-binding (recommendations, resolutions and opinions) legal acts, as well as any amendment, recasting or repeal of existing legislation, including consolidation and codification of legislation. These files include, as appropriate, impact analyses, financial statements, ex ante evaluations (Articles 27 and 28 FR and Article 21 IR) and any other reports or analyses that prove necessary Legal acts adopted by the Commission (autonomous acts) Work on drafting the legal acts adopted by the Commission exercising its own power of decision (including the power to legislate conferred on it by the Council and/or Parliament through the basic legislation), taking the form of Commission regulations, directives, decisions, recommendations, opinions or administrative decisions (sui generis decisions). This thus includes any detailed measure adopted by the Commission through the committee procedure (questionnaires, lists of substances, etc.) and the adaptation of legislation (annexes above all) to technical progress. DG 9 8/08/2007