02000Q3614 — EN — 23.04.2020 — 013.001

This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document

►B RULES OF PROCEDURE OF THE COMMISSION (C(2000) 3614) (OJ L 308 8.12.2000, p. 26)

Amended by:









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RULES OF PROCEDURE OF THE COMMISSION

(C(2000) 3614)







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CHAPTER I

THE COMMISSION

Article 1

The principle of collective responsibility

The Commission shall act collectively in accordance with these Rules of Procedure and in compliance with the priorities which it has set in the context of the political guidelines laid down by the President in accordance with Article 17(6) TEU.

Article 2

Political guidelines, priorities, work programme and budget

In compliance with the political guidelines laid down by the President, the Commission shall establish its priorities and reflect them in its work programme and the draft budget which it shall adopt each year.

Article 3

The President

1. The President shall lay down the political guidelines within which the Commission shall exercise its functions ( 1 ). The President shall steer the work of the Commission in order to ensure it is carried out.

2. The President shall decide on the internal organisation of the Commission, ensuring that it acts consistently, efficiently and as a collegiate body ( 2 ).

Without prejudice to Article 18(4) TEU, the President shall assign to Members of the Commission special fields of activity with regard to which they are specifically responsible for the preparation of Commission work and the implementation of its decisions ( 3 ).

The President may ask Members of the Commission to carry out specific tasks with a view to ensuring that the political guidelines that he has laid down and the priorities set by the Commission are implemented.

He may change these assignments at any time ( 4 ).

The Members of the Commission shall carry out the duties devolved to them by the President under his authority (4) .

3. The President shall appoint Vice-Presidents, other than the High Representative of the Union for Foreign Affairs and Security Policy, from among the Members of the Commission ( 5 ), and shall draw up the order of precedence within the Commission.

4. The President may set up groups of Members of the Commission, designating their chairpersons, setting their mandate and operating procedures, and deciding on their membership and term.

5. The President shall represent the Commission. He shall designate the Members of the Commission to assist him in this task.

6. Without prejudice to Article 18(1) TEU, a member of the Commission shall resign if the President so requests ( 6 ).

Article 4

Decision-making procedures

Commission decisions shall be taken:

(a) at Commission meetings by oral procedure in accordance with Article 8 of these Rules of Procedure; or

(b) by written procedure in accordance with Article 12 of these Rules of Procedure; or

(c) by empowerment procedure in accordance with Article 13 of these Rules of Procedure; or

(d) by delegation procedure in accordance with Article 14 of these Rules of Procedure.







SECTION 1

Commission meetings

Article 5

Convening Commission meetings

1. Meetings of the Commission shall be convened by the President.

2. The Commission shall, as a general rule, meet at least once a week. It shall hold additional meetings whenever necessary.

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In exceptional circumstances, if part or all of the Members of the Commission are prevented from attending a meeting of the Commission in person, the President may invite them to participate by means of telecommunication systems allowing for their identification and effective participation.

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3. Members of the Commission shall be required to attend all meetings. If a Member of the Commission is unable to attend a meeting, they shall inform the President in good time of the reasons for their absence. The President shall judge whether Members may be released from these requirements in certain circumstances.

Article 6

Agenda of Commission meetings

1. The President shall adopt the agenda of each Commission meeting.

2. Without prejudice to the prerogative of the President to adopt the agenda, any proposal involving significant expenditure must be presented in agreement with the Member of the Commission responsible for the budget.

3. If a Member of the Commission proposes the inclusion of an item on the agenda, the President must be notified as prescribed by the Commission in the implementing rules referred to in Article 28 of these Rules of Procedure, hereinafter referred to as ‘the implementing rules’.

4. The agenda and the necessary documents shall be circulated to the Members of the Commission as prescribed in accordance with the implementing rules.

5. The Commission may, on a proposal from the President, discuss any question which is not on the agenda or for which the necessary documents have been distributed late.

Article 7

Quorum

The number of Members whose presence is necessary to constitute a quorum shall be equal to a majority of the number of Members specified in the Treaty.

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When the President makes use of the second subparagraph of Article 5(2), the Members of the Commission who participate in the deliberations by means of the telecommunication systems referred to therein shall be deemed to be present for the purposes of the quorum.

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Article 8

Decision-making

1. The Commission shall take decisions on the basis of proposals from one or more of its Members.

2. A vote shall be taken if any Member so requests. The vote may be on the original draft text or on an amended draft text by the Member or Members responsible for the initiative or by the President.

3. Commission decisions shall be adopted if a majority of the number of Members specified in the Treaty vote in favour.

4. The President shall formally note the outcome of discussions, which shall be recorded in the minutes of the meeting provided for in Article 11 of these Rules of Procedure.

Article 9

Confidentiality

Meetings of the Commission shall not be public. Discussions shall be confidential.

Article 10

Attendance of officials or other persons

1. Unless the Commission decides otherwise, the Secretary-General and the President’s Head of Cabinet shall attend meetings. The circumstances in which other persons may attend Commission meetings shall be determined in accordance with the implementing rules.

2. In the absence of a Member of the Commission, his Head of Cabinet may attend the meeting and, at the invitation of the President, state the views of the absent Member.

3. The Commission may decide to hear any other person.

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4. When the President makes use of the second subparagraph of Article 5(2), the persons referred to in paragraphs 1 to 3 above may attend the meetings by means of the telecommunication systems referred to in the said subparagraph.

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Article 11

Minutes

1. Minutes shall be taken of all meetings of the Commission.

2. The draft minutes shall be submitted to the Commission for approval at a subsequent meeting. The approved minutes shall be authenticated by the signatures of the President and the Secretary-General.







SECTION 2

Other decision-making procedures

Article 12

Decisions taken by written procedure

1. The agreement of the Members of the Commission to a draft text from one or more of its Members may be obtained by means of written procedure, provided that the approval of the Legal Service and the agreement of the departments consulted in accordance with Article 23 of these Rules of Procedure has been obtained.

Such approval and/or agreement may be replaced by an agreement between the Members of the Commission where a meeting of the College has decided, on a proposal from the President, to open a finalisation written procedure as provided for in the implementing rules.

2. For this purpose, the draft text shall be circulated in writing to all Members of the Commission as laid down by it in accordance with the implementing rules, with a time limit within which Members must make known any reservations they may have or amendments they wish to make.

3. Any Member of the Commission may, in the course of the written procedure, request that the draft text be discussed. He shall send a reasoned request to that effect to the President.

4. A draft text on which no Member has made and maintained a request for suspension up to the time limit set for the written procedure shall stand adopted by the Commission.

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5. Any Member of the Commission wishing to suspend a written procedure in the field of coordination and surveillance of the economic and budgetary policies of the Member States, in particular of the euro area, shall send a reasoned request to that effect to the President, explicitly indicating the aspects of the draft decision to which it relates, based on an impartial and objective assessment of the timing, structure, reasoning or result of the proposed decision.

If the President considers that the reasons given are not well-founded, and if the request for suspension is maintained, he or she may refuse to allow the suspension and may decide that the written procedure shall continue; in that case, the Secretary-General shall ask the other Members of the Commission for their position to ensure that the quorum laid down in Article 250 of the Treaty on the Functioning of the European Union has been met. The President may also include the item on the agenda of the next Commission meeting with a view to its adoption.

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Article 13

Decision taken by empowerment procedure

1. The Commission may, provided the principle of collective responsibility is fully respected, empower one or more of its Members to take management or administrative measures on its behalf and subject to such restrictions and conditions as it shall impose.

2. The Commission may also instruct one or more of its Members to adopt, with the agreement of the President, the definitive text of any instrument or of any proposal to be presented to the other institutions, the substance of which has already been determined in discussion.

3. Powers conferred in this way may be subdelegated to the Directors-General and Heads of Department unless this is expressly prohibited in the empowering decision.

4. The provisions of paragraphs 1, 2 and 3 shall be without prejudice to the rules concerning delegation in respect of financial matters or the powers conferred on the appointing authority and the authority empowered to conclude contracts of employment.

Article 14

Decisions taken by delegation procedure

The Commission may, provided the principle of collective responsibility is fully respected, delegate the adoption of management or administrative measures to the Directors-General and Heads of Department, acting on its behalf and subject to such restrictions and conditions as it shall impose.

Article 15

Subdelegation for individual decisions awarding grants and contracts

The Director-General or Head of Department who has received delegated or subdelegated powers under Articles 13 and 14 for the adoption of financing decisions may decide to subdelegate certain decisions selecting projects and certain individual decisions awarding grants and public procurement contracts to the competent Director or, in agreement with the Member of the Commission responsible, to the competent Head of Unit, subject to the restrictions and conditions laid down in the implementing rules.

Article 16

Information concerning decisions adopted

Decisions adopted by written procedure, empowerment procedure or delegation procedure shall be recorded in a day note or week note which shall be recorded in the minutes of the next Commission meeting.







SECTION 3

Provisions common to all decision-making procedures

Article 17

Authentication of instruments adopted by the Commission

1. Instruments adopted by the Commission in the course of a meeting, in the authentic language or languages, shall be attached to a summary note prepared during the meeting at which they were adopted in such a way that they cannot be separated from it. They shall be authenticated by the signatures of the President and the Secretary-General on the last page of the summary note.

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When the President makes use of the second subparagraph of Article 5(2), and when the circumstances prevent the summary note from being signed, the express written consent of the President and that of the Secretary-General of the Commission may exceptionally replace their respective signature and shall be attached to this note.

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2. The non-legislative instruments of the Commission referred to in Article 297(2) TFEU and adopted by written procedure shall be authenticated by the signatures of the President and the Secretary-General on the last page of the summary note referred to in the preceding paragraph, unless these instruments must be published and enter into force before the date of the next meeting of the Commission. For the purposes of authentication, copies of the day notes referred to in Article 16 of these Rules of Procedure shall be attached to the summary note referred to in the preceding paragraph in such a way that they cannot be separated from it.

The other instruments adopted by written procedure and the instruments adopted by empowerment procedure in accordance with Article 12, Article 13(1) and (2) of these Rules of Procedure shall be attached, in the authentic language or languages, to the day note referred to in Article 16 of these Rules of Procedure in such a way that they cannot be separated from it. They shall be authenticated by the signature of the Secretary-General on the last page of the day note.

3. Instruments adopted by delegation procedure or by subdelegation shall be attached in the authentic language or languages, in such a way that they cannot be separated, by the computer application provided for that purpose, to the day note referred to in Article 16 of these Rules of Procedure. They shall be authenticated by a certifying statement signed by the official to whom the powers have been delegated or subdelegated in accordance with Article 13(3), Articles 14 and 15 of these Rules of Procedure.

4. For the purposes of these Rules of Procedure, ‘instrument’ means any instrument referred to in Article 288 TFEU.

5. For the purposes of these Rules of Procedure, ‘authentic language or languages’ means the official languages of the European Union, without prejudice to the application of Council Regulation (EC) No 920/2005 ( 7 ), in the case of instruments of general application, and the language or languages of those to whom they are addressed, in other cases.







SECTION 4

Preparation and implementation of Commission decisions

Article 18

Groups of Members of the Commission

Groups of Members of the Commission shall contribute to the coordination and preparation of the work of the Commission in accordance with the political guidelines and mandate laid down by the President.

Article 19

Members’ cabinets and relations with departments

1. Members of the Commission shall have their own cabinet to assist them in their work and in preparing Commission decisions. The rules governing the composition and operation of the cabinets shall be laid down by the President.

2. In compliance with the principles laid down by the President, Members of the Commission shall approve their working arrangements with the departments for which they are responsible. In particular, these arrangements must specify the way in which Members of the Commission give instructions to the departments concerned, which will regularly provide them with all the information on their area of activity necessary for them to exercise their responsibilities.

Article 20

The Secretary-General

1. The Secretary-General shall assist the President so that, in the context of the political guidelines laid down by the President, the Commission achieves the priorities that it has set.

2. The Secretary-General shall also help to ensure political consistency by organising the necessary coordination between departments at the start of the preparatory stages, in accordance, inter alia, with Article 23 of these Rules of Procedure.

He shall see that documents submitted to the Commission are of good quality in terms of substance and comply with the rules as to form and, in this context, shall help to ensure that they are consistent with the principles of subsidiarity and proportionality, external obligations, interinstitutional considerations and the Commission’s communication strategy.

3. The Secretary-General shall assist the President in preparing the proceedings and conducting the meetings of the Commission.

He shall also assist the Members chairing groups of Members set up under Article 3(4) of these Rules of Procedure in preparing and conducting their meetings. He shall provide the secretariat of these groups.

4. The Secretary-General shall ensure that decision-making procedures are properly implemented and that effect is given to the decisions referred to in Article 4 of these Rules of Procedure.

In particular, except in specific cases, he shall take the necessary steps to ensure that Commission instruments are officially notified to those concerned and are published in the Official Journal of the European Union and that documents of the Commission and its departments are transmitted to the other institutions of the European Union and to the national parliaments.

He shall be responsible for distributing written information that the Members of the Commission wish to circulate within the Commission.

5. The Secretary-General shall be responsible for official relations with the other institutions of the European Union, subject to any decisions by the Commission to exercise any function itself or to assign it to its Members or departments.

In this context, he shall help to ensure overall consistency by providing coordination between departments during procedures involving other institutions.

6. The Secretary-General shall ensure that appropriate information is given to the Commission concerning the progress made on internal and interinstitutional procedures.







CHAPTER II

COMMISSION DEPARTMENTS

Article 21

Structure of departments

The Commission shall establish a number of Directorates-General and equivalent departments forming a single administrative service to assist it in the preparation and performance of its tasks, and in the implementation of its priorities and the political guidelines laid down by the President.

The Directorates-General and equivalent departments shall normally be divided into directorates, and directorates into units.

Article 22

Creation of specific functions and structures

In special cases the President may set up specific functions or structures to deal with particular matters and shall determine their responsibilities and method of operation.

Article 23

Cooperation and coordination between departments

1. In order to ensure the effectiveness of Commission action, departments shall work in close cooperation and in coordinated fashion from the outset in the preparation and implementation of Commission decisions.

2. The department responsible for preparing an initiative shall ensure from the beginning of the preparatory work that there is effective coordination between all the departments with a legitimate interest in the initiative by virtue of their powers or responsibilities or the nature of the subject.

3. Before a document is submitted to the Commission, the department responsible shall, in accordance with the implementing rules, consult the departments with a legitimate interest in the draft text in sufficient time.

4. The Legal Service shall be consulted on all drafts or proposals for legal instruments and on all documents which may have legal implications.

The Legal Service must always be consulted before initiating any of the decision-making procedures provided for in Articles 12, 13 and 14 of these Rules of Procedure, except for decisions concerning standard instruments where its agreement has already been secured (repetitive instruments). Such consultation is not required for the decisions referred to in Article 15 of these Rules of Procedure.

5. The Secretariat-General shall be consulted on all initiatives which:

— are subject to approval by oral procedure, without prejudice to personnel questions concerning individual members of staff, or

— are of political importance, or

— are part of the Commission’s annual work programme or the programming instrument in force, or

— concern institutional issues, or

— are subject to impact assessment or public consultation,

and for any joint position or initiative that may commit the Commission vis-à-vis other institutions or bodies.

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5a. The Directorate-General responsible for economic and financial affairs must be consulted on all initiatives relating to or having a potential impact on growth, competitiveness or economic stability in the European Union or in the euro area.

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6. With the exception of the decisions referred to in Article 15 of these Rules of Procedure, the Directorate-General responsible for the budget and the Directorate-General responsible for human resources and security shall be consulted on all documents which may have implications for the budget and finances or for personnel and administration respectively. The department responsible for combating fraud shall likewise be consulted where necessary.

7. The department responsible shall endeavour to frame a proposal that has the agreement of the departments consulted. In the event of a disagreement it shall append to its proposal the differing views expressed by these departments, without prejudice to Article 12 of these Rules of Procedure.







CHAPTER III

DEPUTISING

Article 24

Continuity of service

The Members of the Commission and the departments shall ensure they take all appropriate measures to ensure continuity of service, in compliance with the provisions adopted for that purpose by the Commission or the President.

Article 25

Deputising for the President

Where the President is prevented from exercising his functions, they shall be exercised by one of the Vice-Presidents or Members in the order laid down by the President.

Article 26

Deputising for the Secretary-General

Where the Secretary-General is prevented from exercising his functions, or where the post is vacant, they shall be exercised by the Deputy Secretary-General present with the highest grade or, in the event of equal grade, by the Deputy Secretary-General with the greatest seniority in the grade or, in the event of equal seniority, by the eldest or by an official designated by the Commission.

If there is no Deputy Secretary-General present and no official has been designated by the Commission, the subordinate official present in the highest function group with the highest grade or, in the event of equal grade, the subordinate official with the greatest seniority in the grade or, in the event of equal seniority, the one who is eldest, shall deputise.

Article 27

Deputising for hierarchical superiors

1. Where a Director-General is prevented from exercising his functions, or where the post is vacant, they shall be exercised by the Deputy Director-General present with the highest grade or, in the event of equal grade, by the Deputy Director-General with the greatest seniority within the grade or, in the event of equal seniority, by the eldest or by an official designated by the Commission.

If there is no Deputy Director-General present and no official has been designated by the Commission, the subordinate official present in the highest function group with the highest grade or, in the event of equal grade, the subordinate official with the greatest seniority in the grade or, in the event of equal seniority, the one who is eldest, shall deputise.

2. Where a Head of Unit is prevented from exercising his functions, or where the post is vacant, they shall be exercised by the Deputy Head of Unit or an official designated by the Director-General.

If there is no Deputy Head of Unit present and no official has been designated by the Commission, the subordinate official present in the highest function group with the highest grade or, in the event of equal grade, the subordinate official with the greatest seniority in the grade or, in the event of equal seniority, the one who is eldest, shall deputise.

3. Where any other hierarchical superior is prevented from exercising his duties, or where the post is vacant, the Director-General shall designate an official in agreement with the Member of the Commission responsible. If no replacement has been designated, the subordinate official present in the highest function group with the highest grade, or in the event of equal grade, the subordinate official with the greatest seniority in the grade or, in the event of equal seniority, the one who is eldest, shall deputise.







CHAPTER IV

FINAL PROVISIONS

Article 28

The Commission shall, as necessary, lay down implementing rules to give effect to these Rules of Procedure.

The Commission may adopt supplementary measures relating to the functioning of the Commission and of its departments, taking into account developments in technology and information technology.

Article 29

These Rules of Procedure shall enter into force on the day following their publication in the Official Journal of the European Union.

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ANNEX

CODE OF GOOD ADMINISTRATIVE BEHAVIOUR FOR STAFF OF THE EUROPEAN COMMISSION IN THEIR RELATIONS WITH THE PUBLIC

Quality service

The Commission and its staff have a duty to serve the Community interest and, in so doing, the public interest.

The public legitimately expects quality service and an administration that is open, accessible and properly run.

Quality service calls for the Commission and its staff to be courteous, objective and impartial.

Purpose

In order to enable the Commission to meet its obligations of good administrative behaviour and in particular in the dealings that the Commission has with the public, the Commission undertakes to observe the standards of good administrative behaviour set out in this Code and to be guided by these in its daily work.

Scope

The Code is binding on all staff covered by the Staff Regulations of Officials and the Conditions of Employment of Other Servants of the European Communities (hereinafter referred to as the ‘Staff Regulations’) and the other provisions on relations between the Commission and its staff that are applicable to officials and other servants of the European Communities. However, persons employed under private law contracts, experts on secondment from national civil services and trainees, etc. working for the Commission should also be guided by it in their daily work.

Relations between the Commission and its staff are governed exclusively by the Staff Regulations.

1. GENERAL PRINCIPLES

The Commission respects the following general principles in its relations with the public:

Lawfulness The Commission acts in accordance with the law and applies the Rules and Procedures laid down in Community legislation.

Non-discrimination and equal treatment The Commission respects the principle of non-discrimination and in particular, guarantees equal treatment for members of the public irrespective of nationality, gender, racial or ethnic origin, religion or beliefs, disability, age or sexual orientation. Thus, differences in treatment of similar cases must be specifically warranted by the relevant features of the particular case in hand.

Proportionality The Commission ensures that the measures taken are proportional to the aim pursued. In particular, the Commission will ensure that the application of this Code never leads to the imposition of administrative or budgetary burdens out of proportion to the benefit expected.

Consistency The Commission shall be consistent in its administrative behaviour and shall follow its normal practice. Any exceptions to this principle must be duly justified.

2. GUIDELINES FOR GOOD ADMINISTRATIVE BEHAVIOUR

Objectivity and impartiality

Staff shall always act objectively and impartially, in the Community interest and for the public good. They shall act independently within the framework of the policy fixed by the Commission and their conduct shall never be guided by personal or national interest or political pressure.

Information on administrative procedures

Where a member of the public requires information relating to a Commission administrative procedure, staff shall ensure that this information is provided within the deadline fixed for the relevant procedure.

3. INFORMATION ON THE RIGHTS OF INTERESTED PARTIES

Listening to all parties with a direct interest

Where Community law provides that interested parties should be heard, staff shall ensure that an opportunity is given to them to make their views known.

Duty to justify decisions

A Commission decision should clearly state the reasons on which it is based and should be communicated to the persons and parties concerned.

As a general rule, full justification for decisions should be given. However, where it may not be possible, for example because of the large number of persons concerned by similar decisions, to communicate in detail the grounds of individual decisions, standard replies may be given. These standard replies should include the principal reasons justifying the decision taken. Furthermore, an interested party who expressly requests a detailed justification shall be provided with it.

Duty to state arrangements for appeals

Where Community law so provides, decisions notified shall clearly state that an appeal is possible and describe how to submit it, (the name and office address of the person or department with whom the appeal must be lodged and the deadline for lodging it).

Where appropriate, decisions should refer to the possibility of starting judicial proceedings and/or of lodging a complaint with the European Ombudsman in accordance with Article 230 or 195 of the Treaty establishing the European Community.

4. DEALING WITH INQUIRIES

The Commission undertakes to answer enquiries in the most appropriate manner and as quickly as possible.

Requests for documents

If a document has already been published, the person making the enquiry should be directed to the sales agents of the Office for Official Publications of the European Communities or to the documentation or information centres which provide free access to documents, such as Info-Points, European documentation centres, etc. Many documents are also easily accessible in electronic form.

The rules on access to documents are laid down in a specific measure.

Correspondence

In accordance with Article 21 of the Treaty establishing the European Community, the Commission shall reply to letters in the language of the initial letter, provided that it was written in one of the official languages of the Community.

A reply to a letter addressed to the Commission shall be sent within 15 working days from the date of receipt of the letter by the responsible Commission department. The reply should identify the person responsible for the matter and state how he or she may be contacted.

If a reply cannot be sent within 15 working days, and in all cases where the reply requires other work on it, such as interdepartmental consultation or translation, the member of staff responsible should send a holding reply, indicating a date by which the addressee may expect to be sent a reply in the light of this additional work, taking into account the relative urgency and complexity of the matter.

If the reply is to be drawn up by a department other than the one to which the initial correspondence is addressed, the person making the enquiry should be informed of the name and office address of the person to whom the letter has been passed.

These rules do not apply to correspondence which can reasonably be regarded as improper, for example because it is repetitive, abusive and/or pointless. Then the Commission reserves the right to discontinue any such exchanges of correspondence.

Telephone communication

When answering the telephone, staff shall identify themselves or their department. They shall return telephone calls as promptly as possible.

Staff replying to enquiries shall provide information on subjects for which they have direct responsibility and should direct the caller to the specific appropriate source in other cases. If necessary, they should refer callers to their superior or consult him or her before giving the information.

Where enquiries concern areas for wich staff are directly responsible, they shall establish the identity of the caller and check whether the information has already been made public before giving it out. If this is not the case, the member of staff may consider that it is not in the Community interest for the information to be disclosed. In this case he or she should explain why they are unable to disclose it and refer in appropriate cases to the obligation to exercise discretion as laid down in Article 17 of the Staff Regulations.

When appropriate, staff should request confirmation in writing of the enquiries made by telephone.

Electronic mail

Staff shall reply to e-mail messages promptly following the guidelines described in the section on telephone communication.

However, where the e-mail message is, by its nature, the equivalent of a letter, it shall be handled according to the guidelines for handling correspondence and shall be subject to the same deadlines.

Requests from the media

The Press and Communication Service is responsible for contacts with the media. However, when requests for information from the media concern technical subjects falling within their specific areas of responsibility, staff may answer them.

5. PROTECTION OF PERSONAL DATA AND CONFIDENTIAL INFORMATION

The Commission and its staff shall respect, in particular:

— the rules on the protection of personal privacy and personal data,

— the obligations set out in Article 287 of the Treaty establishing the European Community and in particular those which relate to professional secrecy,

— the rules on secrecy in criminal investigations,

— the confidentiality of matters falling within the ambit of the various committees and bodies provided for in Article 9 of and Annexes II and III to the Staff Regulations.

6. COMPLAINTS

The European Commission

Complaints may be lodged concerning a possible breach of the principles set out in this Code directly with the Secretariat-General ( 8 ) of the European Commission, which shall forward it to the relevant department.

The Director-General or head of Department shall reply to the complainant in writing, within two months. The complainant then has one month in which to apply to the Secretary-General of the European Commission to review the outcome of the complaint. The Secretary-General shall reply to the request for a review within one month.

The European Ombudsman

Complaints may also be lodged with the European Ombudsman in accordance with Article 195 of the Treaty establishing the European Community and the Statute of the European Ombudsman.

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COMMISSION PROVISIONS ON SECURITY

Whereas:

(1) In order to develop Commission activities in areas which require a degree of confidentiality, it is appropriate to establish a comprehensive security system applicable to the Commission, the other institutions, bodies, offices and agencies established by virtue or on the basis of the EC Treaty or the Treaty on European Union, the Member States, as well as any other recipient of European Union classified information, hereafter referred to as ‘EU classified information’.

(2) In order to safeguard the effectiveness of the security system thus established, the Commission will make EU classified information available only to those outside bodies which offer guarantees that they have taken all measures necessary to apply rules strictly equivalent to these provisions.

(3) These provisions are taken without prejudice to Regulation No 3 of 31 July 1958 implementing Article 24 of the Treaty establishing the European Atomic Energy Community ( 9 ), to Council Regulation (EC) No 1588/90 of 11 June 1990 on the transmission of data subject to statistical confidentiality to the Statistical Office of the European Communities ( 10 ) and to Commission Decision C (95) 1510 final of 23 November 1995 on the protection of informatics systems.

(4) The Commission's security system is based on the principles put forward in Council Decision 2001/264/EC of 19 March 2001 adopting the Council's security regulations ( 11 ) with a view to ensuring a smooth functioning of the decision-making process of the Union.

(5) The Commission underlines the importance of associating, where appropriate, the other institutions with the rules and standards of confidentiality which are necessary in order to protect the interests of the Union and its Member States.

(6) The Commission recognises the need to create its own concept of security, taking into consideration all elements of security and the specific character of the Commission as an institution.

(7) These provisions are taken without prejudice to Article 255 of the Treaty and 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 ( 12 );

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(8) These provisions are without prejudice to Article 286 of the Treaty and to Regulation (EC) 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.

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Article 1

The Commission's rules on security are set out in the Annex.

Article 2

1. The Member of the Commission responsible for security matters shall take appropriate measures to ensure that, when handling EU classified information, the rules referred to in Article 1 are respected within the Commission by Commission officials and other servants, by personnel seconded to the Commission, as well as within all Commission premises, including its Representations and Offices in the Union and its Delegations in third countries and by contractors external to the Commission.

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When a contract or grant agreement between the Commission and an external contractor or beneficiary involves the processing of EU classified information in the contractor's or beneficiary's premises, the appropriate measures to be taken by the said external contractor or beneficiary to ensure that the rules referred to in Article 1 are complied with, when handling EU classified information, shall be an integral part of the contract or grant agreement.

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2. Member States, other institutions, bodies, offices and agencies established by virtue or on the basis of the Treaties shall be allowed to receive EU classified information on the condition that they ensure that, when EU classified information is handled, rules strictly equivalent to those referred to in Article 1 are respected within their services and premises, in particular by:

(a) members of Member States' permanent representations to the European Union as well as by members of national delegations attending meetings of the Commission or of its bodies, or participating in other Commission activities,

(b) other members of the Member States' national administrations handling EU classified information, whether they serve in the territory of the Member States or abroad,

(c) external contractors and seconded personnel, handling EU classified information.

Article 3

Third states, international organisations and other bodies shall be allowed to receive EU classified information on the condition that they ensure that, when such information is handled, rules strictly equivalent to those referred to in Article 1 are respected.

Article 4

In keeping with the basic principles and minimum standards of security contained in Part I of the Annex, the Member of the Commission responsible for security matters may take measures in accordance with Part II of the Annex.

Article 5

As from the date of their application, these provisions shall replace:

(a) Commission Decision C (94) 3282 of 30 November 1994 on the security measures applicable to classified information produced or transmitted in connection with activities of the European Union;

(b) Commission Decision C (99) 423 of 25 February 1999 relating to the procedures whereby officials and other employees of the European Commission may be allowed access to classified information held by the Commission.

Article 6

As from the date of application of these provisions, all classified information held by the Commission until that date, with the exception of Euratom classified information, shall:

(a) if created by the Commission, be considered to be reclassified ‘ ►M2 RESTREINT UE ◄ ’ by default, unless its author decides to give it another classification by 31 January 2002. In such case the author shall inform all addressees of the document concerned;

(b) if created by authors outside the Commission, retain its original classification and thus be treated as EU classified information of the equivalent level, unless the author agrees to declassification or downgrading of the information.









ANNEX

RULES ON SECURITY

Contents PART I: BASIC PRINCIPLES AND MINIMUM STANDARDS OF SECURITY 1. INTRODUCTION 2. GENERAL PRINCIPLES 3. FOUNDATIONS OF SECURITY 4. PRINCIPLES OF INFORMATION SECURITY 4.1. Objectives 4.2. Definitions 4.3. Classification 4.4. Aims of security measures 5. ORGANISATION OF SECURITY 5.1. Common minimum standards 5.2. Organisation 6. SECURITY OF PERSONNEL 6.1. Clearance of personnel 6.2. Records of personnel clearances 6.3. Security instruction of personnel 6.4. Management responsibilities 6.5. Security status of personnel 7. PHYSICAL SECURITY 7.1. Need for protection 7.2. Checking 7.3. Security of buildings 7.4. Contingency plans 8. SECURITY OF INFORMATION 9. COUNTER-SABOTAGE AND CONTROL OF OTHER FORMS OF MALICIOUS WILFUL DAMAGE 10. RELEASE OF CLASSIFIED INFORMATION TO THIRD STATES OR INTERNATIONAL ORGANISATIONS PART II: THE ORGANISATION OF SECURITY IN THE COMMISSION 11. THE MEMBER OF THE COMMISSION RESPONSIBLE FOR SECURITY MATTERS 12. THE COMMISSION SECURITY POLICY ADVISORY GROUP 13. THE COMMISSION SECURITY BOARD 14. THE ►M3 COMMISSION SECURITY DIRECTORATE ◄ 15. SECURITY INSPECTIONS 16. CLASSIFICATIONS, SECURITY DESIGNATORS AND MARKINGS 16.1. Levels of classification 16.2. Security designators 16.3. Markings 16.4. Affixing of classification 16.5. Affixing of security designators 17. CLASSIFICATION MANAGEMENT 17.1. General 17.2. Application of classifications 17.3. Downgrading and declassification 18. PHYSICAL SECURITY 18.1. General 18.2. Security requirements 18.3. Physical security measures 18.3.1. Security areas 18.3.2. Administrative area 18.3.3. Entry and exit controls 18.3.4. Guard patrols 18.3.5. Security containers and strong rooms 18.3.6. Locks 18.3.7. Control of keys and combinations 18.3.8. Intrusion detection devices 18.3.9. Approved equipment 18.3.10. Physical protection of copying and telefax machines 18.4. Protection against overlooking and eavesdropping 18.4.1. Overlooking 18.4.2. Eavesdropping 18.4.3. Introduction of electronic and recording equipment 18.5. Technically secure areas 19. GENERAL RULES ON THE NEED TO KNOW PRINCIPLE AND EU PERSONAL SECURITY CLEARANCES 19.1. General 19.2. Specific rules on access to ►M2 TRES SECRET UE/EU TOP SECRET ◄ information 19.3. Specific rules on access to ►M2 SECRET UE ◄ and ►M2 CONFIDENTIEL UE ◄ information 19.4. Specific rules on access to ►M2 RESTREINT UE ◄ information 19.5. Transfers 19.6. Special instructions 20. SECURITY CLEARANCE PROCEDURE FOR COMMISSION OFFICIALS AND OTHER EMPLOYEES 21. PREPARATION, DISTRIBUTION, TRANSMISSION, COURRIER PERSONAL SECURITY AND EXTRA COPIES OR TRANSLATIONS AND EXTRACTS OF EU CLASSIFIED DOCUMENTS 21.1. Preparation 21.2. Distribution 21.3. Transmission of EU classified documents 21.3.1. Packaging, receipts 21.3.2. Transmission within a building or group of buildings 21.3.3. Transmission within a country 21.3.4. Transmission from one State to another 21.3.5. Transmission of ►M2 RESTREINT UE ◄ documents 21.4. Courier personnel security 21.5. Electronic and other means of technical transmission 21.6. Extra copies and translations of and extracts from EU classified documents 22. EUCI REGISTRIES, MUSTERS, CHECKS, ARCHIVE STORAGE AND DESTRUCTION OF EUCI 22.1. Local EUCI Registries 22.2. The ►M2 TRES SECRET UE/EU TOP SECRET ◄ Registry 22.2.1. General 22.2.2. The Central ►M2 TRES SECRET UE/EU TOP SECRET ◄ Registry 22.2.3. ►M2 TRES SECRET UE/EU TOP SECRET ◄ sub-registries 22.3. Inventories, musters and checks of EU classified documents 22.4. Archive storage of EU classified documents 22.5. Destruction of EU classified documents 22.6. Destruction in emergencies 23. SECURITY MEASURES FOR SPECIFIC MEETINGS HELD OUTSIDE THE COMMISSION PREMISES AND INVOLVING EU CLASSIFIED INFORMATION 23.1. General 23.2. Responsibilities 23.2.1. The ►M3 Commission Security Directorate ◄ 23.2.2. Meeting Security Officer (MSO) 23.3 Security measures 23.3.1. Security areas 23.3.2. Passes 23.3.3. Control of photographic and audio equipment 23.3.4. Checking of briefcases, portable computers and packages 23.3.5. Technical security 23.3.6. Delegations' documents 23.3.7. Safe custody of documents 23.3.8. Inspection of offices 23.3.9. Disposal of EU classified waste 24. BREACHES OF SECURITY AND COMPROMISE OF EU CLASSIFIED INFORMATION 24.1. Definitions 24.2. Reporting breaches of security 24.3. Legal action 25. PROTECTION OF EU CLASSIFIED INFORMATION HANDLED IN INFORMATION TECHNOLOGY AND COMMUNICATION SYSTEMS 25.1. Introduction 25.1.1. General 25.1.2. Threats to, and vulnerabilities of systems 25.1.3. Main purpose of security measures 25.1.4. System-specific security requirement statement (SSRS) 25.1.5. Security modes of operation 25.2. Definitions 25.3. Security responsibilities 25.3.1. General 25.3.2. The Security accreditation authority (SAA) 25.3.3. The INFOSEC Authority (IA) 25.3.4. The Technical Systems Owner (TSO) 25.3.5. The Information Owner (IO) 25.3.6. Users 25.3.7. INFOSEC training 25.4. Non technical security measures 25.4.1. Personnel security 25.4.2. Physical security 25.4.3. Control of access to a system 25.5. Technical security measures 25.5.1. Security of information 25.5.2. Control and accountability of information 25.5.3. Handling and control of removable computer storage media 25.5.4. Declassification and destruction of computer storage media 25.5.5. Communications security 25.5.6. Installation and radiation security 25.6. Security during handling 25.6.1. Security operating procedures (SecOPs) 25.6.2. Software protection/configuration management 25.6.3. Checking for the presence of malicious software/computer viruses 25.6.4. Maintenance 25.7. Procurement 25.7.1. General 25.7.2. Accreditation 25.7.3. Evaluation and certification 25.7.4. Routine checking of security features for continued accreditation 25.8. Temporary or occasional use 25.8.1. Security of microcomputers/personal computers 25.8.2. Use of privately-owned IT equipment for official Commission work 25.8.3. Use of contractor-owned or nationally-supplied IT equipment for official Commission work 26. RELEASE OF EU CLASSIFIED INFORMATION TO THIRD STATES OR INTERNATIONAL ORGANISATIONS 26.1.1. Principles regulating the release of EU classified information 26.1.2. Levels 26.1.3. Security agreements 27. COMMON MINIMUM STANDARDS ON INDUSTRIAL SECURITY 27.1. Introduction 27.2. Definitions 27.3. Organisation 27.4. Classified contracts and grant decisions 27.5. Visits 27.6. Transmission and transportation of EU classified information APPENDIX 1: Comparison of national security classifications APPENDIX 2: Practical classification guide APPENDIX 3: Guidelines for the release of EU classified information to third States or international organisations: Level 1 cooperation APPENDIX 4: Guidelines for the release of EU classified information to third States or international organisations: Level 2 cooperation APPENDIX 5: Guidelines for the release of EU classified information to third States or international organisations: Level 3 cooperation APPENDIX 6: List of abbreviations

PART I: BASIC PRINCIPLES AND MINIMUM STANDARDS OF SECURITY

1. INTRODUCTION

These provisions lay down the basic principles and minimum standards of security to be respected in an appropriate manner by the Commission in all its places of employment, as well as by all recipients of EUCI, so that security is safeguarded and each may be assured that a common standard of protection is established.

2. GENERAL PRINCIPLES

The Commission's security policy forms an integral part of its general internal management policy and is thus based on the principles governing its general policy.

These principles include legality, transparency, accountability and subsidiarity (proportionality).

Legality indicates the need to stay strictly within the legal framework in executing security functions and the need to conform to the legal requirements. It also means that responsibilities in the domain of security have to be based on proper legal provisions. The provisions in the Staff Regulations fully apply, notably its Article 17 on the obligation of staff to exercise discretion with regard to Commission information and its Title VI on disciplinary measures. Finally it means that breaches of security within the responsibility of the Commission have to be dealt with in a manner consistent with Commission policy on disciplinary actions and with its policy on cooperation with Member States in the area of criminal justice.

Transparency indicates the need for clarity regarding all security rules and provisions, for balance between the different services and the different domains (physical security versus information protection etc.) and the need for a consistent and structured security awareness policy. It also defines a need for clear written guidelines for implementing security measures.

Accountability means that responsibilities in the domain of security will be clearly defined. Moreover it indicates the need to test regularly whether these responsibilities have been correctly executed.

Subsidiarity, or proportionality, means that security shall be organised on the lowest possible level and as close as possible to the Directorates General and services of the Commission. It also indicates that security activities shall be limited to only those elements that really need it. And finally it means that security measures shall be proportional to the interests to be protected and to the actual or potential threat to these interests, allowing for a defence which causes the least possible disruption.

3. FOUNDATIONS OF SECURITY

The foundations of sound security are:

(a) Within each Member State, a national security organisation responsible for: 1. The collection and recording of intelligence on espionage, sabotage, terrorism and other subversive activities, and 2. Providing information and advice to its governments, and through it, to the Commission, on the nature of the threats to security and the means of protection against them;

(b) Within each Member State, and within the Commission, a technical INFOSEC authority (IA) responsible for working with the security authority concerned to provide information and advice on technical threats to security and the means for protection against them;

(c) Regular collaboration among government departments and the appropriate services of the European institutions to order to establish and recommend, as appropriate: 1. What persons, information and resources need to be protected, and 2. Common standards of protection;

(d) Close cooperation between the ►M3 Commission Security Directorate ◄ and the security services of the other European institutions and with the NATO Office of Security (NOS).

4. PRINCIPLES OF INFORMATION SECURITY

4.1. Objectives

Information security has the following principal objectives:

(a) To safeguard EU classified information (EUCI) from espionage, compromise or unauthorised disclosure;

(b) To safeguard EU information handled in communications and information systems and networks, against threats to its confidentiality, integrity and availability;

(c) To safeguard Commission premises housing EU information from sabotage and malicious wilful damage;

(d) In the event of failure, to assess the damage caused, limit its consequences and adopt the necessary remedial measures.

4.2. Definitions

Throughout these rules:

(a) The term ‘EU classified information’ (EUCI) means any information and material, an unauthorised disclosure of which could cause varying degrees of prejudice to EU interests, or to one or more of its Member States, whether such information originates within the EU or is received from Member States, third States or international organisations.

(b) The term ‘document’ means any letter, note, minute, report, memorandum, signal/message, sketch, photograph, slide, film, map, chart, plan, notebook, stencil, carbon, typewriter or printer ribbon, tape, cassette, computer disk, CD-ROM, or other physical medium on which information has been recorded.

(c) The term ‘material’ means ‘document’ as defined in b) and also any item of equipment, either manufactured or in the process of manufacture.

(d) The term ‘need to know’ means the need of an individual employee to have access to EU classified information in order to be able to perform a function or a task.

(e) ‘Authorisation’ means a decision by the ►M3 Director of the Commission Security Directorate ◄ to grant an individual access to EUCI up to a specific level, on the basis of a positive result of a security screening (vetting), carried out by a National Security Authority under national law.

(f) The term ‘classification’ means the allocation of an appropriate level of security to information the unauthorised disclosure of which might cause a certain degree of prejudice to Commission or to Member State interests.

(g) The term ‘downgrading’ (déclassement) means a reduction in the level of classification.

(h) The term ‘declassification’ (déclassification) means the removal of any classification.

(i) The term ‘originator’ means the duly authorised author of a classified document. Within the Commission, Heads of departements may authorize their staff to originate EUCI.

(j) The term ‘Commission departments’ means Commission departments and services, including the cabinets, in all places of employment, including Joint Research Centre, Representations and Offices in the Union and Delegations in third countries.

4.3. Classification

(a) Where confidentiality is concerned, care and experience are needed in the selection of information and material to be protected and the assessment of the degree of protection it requires. It is fundamental that the degree of protection should correspond to the security criticality of the individual piece of information and material to be protected. In order to ensure the smooth flow of information, steps shall be taken to avoid both overclassification and underclassification.

(b) The classification system is the instrument for giving effect to these principles; a similar system of classification shall be followed in planning and organising ways to counter espionage, sabotage, terrorism and other threats so that the greatest measure of protection is given to the most important premises housing classified information and to the most sensitive points within them.

(c) Responsibility for classifying information lies solely with the originator of that information.

(d) The level of classification may solely be based on the content of that information.

(e) Where a number of items of information is grouped together, the classification level to be applied to the whole shall at least be as high as the highest classification. A collection of information may however be given a higher classification than its constituent parts.

(f) Classifications shall be assigned only when necessary and for as long as necessary.

4.4. Aims of security measures

The security measures shall:

(a) Extend to all persons having access to classified information, classified information-carrying media, all premises containing such information and important installations.

(b) Be designed to detect persons whose position might endanger the security of classified information and important installations housing classified information and provide for their exclusion or removal.

(c) Prevent any unauthorised person from having access to classified information or to installations that contain it.

(d) Ensure that classified information is disseminated solely on the basis of the need-to-know principle that is fundamental to all aspects of security.

(e) Ensure the integrity (i.e. prevention of corruption or unauthorised alteration or unauthorised deletion) and the availability (i.e. access is not denied to those needing and authorised to have access) of all information, either classified or not classified, and especially of such information stored, processed or transmitted in electromagnetic form.

5. ORGANISATION OF SECURITY

5.1. Common minimum standards

The Commission shall ensure that common minimum standards of security are observed by all recipients of EUCI, inside the institution and under its competence, e.g. by all departments and contractors, so that EU classified information can be passed in the confidence that it will be handled with equal care. Such minimum standards shall include criteria for the clearance of personnel, and procedures for the protection of EU classified information.

The Commission shall only allow access of EUCI to outside bodies under the condition that they ensure that, when EUCI is handled, provisions at least strictly equivalent to these minimum standards are respected.

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Such minimum standards shall also be applied when the Commission confers by contract or grant agreement, tasks involving, entailing and/or containing EU classified information on industrial or other entities: these common minimum standards are contained in Section 27 of Part II.

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5.2. Organisation

Within the Commission security is organised on two levels:

(a) On the level of the Commission as a whole there is a ►M3 Commission Security Directorate ◄ with a Security Accreditation Authority (SAA) also acting as Crypto Authority (CrA) and as TEMPEST Authority, and with an INFOSEC Authority (IA) and one or more Central EUCI Registries, each with one or more Registry Control Officer (RCO).

(b) On the level of the Commission departments, security is the responsibility of one or more Local Security Officers (LSO), one or more Central Informatics Security Officers (CISO), Local Informatics Security Officers (LISO) and Local EU Classified Information Registries with one or more Registry Control Officers.

(c) The central security bodies will provide operational guidance to the local security bodies.

6. SECURITY OF PERSONNEL

6.1. Clearance of personnel

All persons who require access to information classified ►M2 CONFIDENTIEL UE ◄ or above shall be appropriately cleared before such access is authorised. Similar clearance shall be required in the case of persons whose duties involve the technical operation or maintenance of communication and information systems containing classified information. This clearance shall be designed to determine whether such individuals:

(a) Are of unquestioned loyalty;

(b) Are of such character and discretion as to cast no doubt upon their integrity in the handling of classified information, or

(c) May be vulnerable to pressure from foreign or other sources;

Particularly close scrutiny in the clearance procedures shall be given to persons:

(d) To be granted access to ►M2 TRES SECRET UE/EU TOP SECRET ◄ information;

(e) Occupying positions involving regular access to a considerable volume of ►M2 SECRET UE ◄ information;

(f) Whose duties give them special access to secure communication or information systems and thus the opportunity to gain unauthorised access to large amounts of EU classified information or to inflict serious damage upon the mission through acts of technical sabotage.

In the circumstances outlined in subparagraphs (d), (e) and (f), the fullest practicable use shall be made of the technique of background investigation.

When persons not having an established ‘need to know’ are to be employed in circumstances in which they may have access to EU classified information (e.g. messengers, security agents, maintenance personnel and cleaners, etc.), they shall first be appropriately security-cleared.

6.2. Records of personnel clearances

All Commission departments handling EU classified information or housing secure communication or information systems shall maintain a record of the clearances granted to the personnel assigned thereto. Each clearance shall be verified as the occasion demands to ensure that it is adequate for that person's current assignment; it shall be re-examined as a matter of priority whenever new information is received indicating that continued assignment on classified work is no longer consistent with the interests of security. The Local Security Officer of the Commission department shall hold record of the clearances within his or her domain.

6.3. Security instruction of personnel

All personnel employed in positions where they could have access to classified information shall be thoroughly instructed on taking up assignment and at regular intervals in the need for security and the procedures for accomplishing it. Such personnel are required to certify in writing that they have read and fully understand the present security provisions.

6.4. Management responsibilities

Managers shall have the duty of knowing those of their staff who are engaged in classified work or who have access to secure communication or information systems and of recording and reporting any incidents or apparent vulnerabilities, likely to have a bearing on security.

6.5. Security status of personnel

Procedures shall be established to ensure that, when adverse information becomes known concerning an individual, it is determined whether the individual is employed on classified work or has access to secure communication or information systems, and the ►M3 Commission Security Directorate ◄ is informed. If it is established that such an individual constitutes a security risk, he or she shall be barred or removed from assignments where he or she might endanger security.

7. PHYSICAL SECURITY

7.1. Need for protection

The degree of physical security measures to be applied to ensure the protection of EU classified information shall be proportional to the classification, volume of and threat to the information and material held. All holders of EU classified information shall follow uniform practices regarding classification of that information and meet common standards of protection regarding custody, transmission and disposal of information and material requiring protection.

7.2. Checking

Before leaving areas containing EU classified information unattended, persons having custody thereof shall ensure that it is securely stored and that all security devices have been activated (locks, alarms, etc.). Further independent checks shall be carried out after working hours.

7.3. Security of buildings

Buildings housing EU classified information or secure communication and information systems shall be protected against unauthorised access. The nature of the protection afforded to EU classified information, e.g. barring of windows, locks for doors, guards at entrances, automated access control systems, security checks and patrols, alarm systems, intrusion detection systems and guard dogs, shall depend on:

(a) The classification, volume and location within the building of the information and material to be protected;

(b) The quality of the security containers for this information and material, and

(c) The physical nature and location of the building.

The nature of the protection afforded to communication and information systems shall similarly depend upon an assessment of the value of the assets at stake and of the potential damage if security were compromised, upon the physical nature and location of the building in which the system is housed, and upon the location of the system within the building.

7.4. Contingency plans

Detailed plans shall be prepared in advance for the protection of classified information during a local or national emergency.

8. SECURITY OF INFORMATION

Information security (INFOSEC) relates to the identification and application of security measures to protect EU classified information processed, stored or transmitted in communication, information and other electronic systems against loss of confidentiality, integrity or availability, whether accidental or intentional. Adequate countermeasures shall be taken in order to prevent access to EU classified information by unauthorised users, to prevent the denial of access to EU classified information to authorised users, and to prevent corruption or unauthorised modification or deletion of EU classified information.

9. COUNTER-SABOTAGE AND CONTROL OF OTHER FORMS OF MALICIOUS WILFUL DAMAGE

Physical precautions for the protection of important installations housing classified information are the best protective security safeguards against sabotage and malicious wilful damage, and clearance of personnel alone is not an effective substitute. The competent national body shall be asked to provide intelligence regarding espionage, sabotage, terrorism and other subversive activities.

10. RELEASE OF CLASSIFIED INFORMATION TO THIRD STATES OR INTERNATIONAL ORGANISATIONS

The decision to release EU classified information originating in the Commission to a third State or international organisation shall be taken by the Commission as a college. If the originator of the information for which release is desired is not the Commission, the Commission shall first seek the originator's consent to release. If the originator cannot be established, the Commission will assume the former's responsibility.

If the Commission receives classified information from third States, from international organisations or from other third parties, that information shall be given protection appropriate to its classification and equivalent to the standards established in these provisions for EU classified information, or such higher standards as may be required by the third party releasing the information. Mutual checks may be arranged.

The above principles shall be implemented in accordance with the detailed provisions set out in Part II, Section 26, and Appendixes 3, 4 and 5.

PART II: THE ORGANISATION OF SECURITY IN THE COMMISSION

11. THE MEMBER OF THE COMMISSION RESPONSIBLE FOR SECURITY MATTERS

The Member of the Commission responsible for security matters shall:

(a) Implement the Commission's security policy;

(b) Consider security problems referred to him by the Commission or its competent bodies;

(c) Examine questions involving changes in the Commission security policy, in close liaison with the National Security (or other appropriate) Authorities of the Member States (hereinafter ‘NSA’).

In particular, the Member of the Commission responsible for security matters shall be responsible for:

(a) Co-ordinating all matters of security relating to Commission activities;

(b) Addressing to the designated authorities of the Member States requests for the NSA to provide security clearances for personnel employed in the Commission in accordance with Section 20;

(c) Investigating or ordering an investigation into any leakage of EU classified information that, on prima facie evidence, has occurred in the Commission;

(d) Requesting the appropriate security authorities to initiate investigations when a leakage of EU classified information appears to have occurred outside the Commission, and co-ordinating the enquiries when more than one security authority is involved;

(e) Carrying out periodic examinations of the security arrangements for the protection of EU classified information;

(f) Maintaining close liaison with all security authorities concerned in order to achieve overall co-ordination of security;

(g) Keeping the Commission security policy and procedures constantly under review and, as required, preparing appropriate recommendations. In this regard, the Member of the Commission responsible for security matters shall present to the Commission the annual inspection plan prepared by the ►M3 Commission Security Directorate ◄ .

12. THE COMMISSION SECURITY POLICY ADVISORY GROUP

A Commission Security Policy Advisory Group shall be set up. It shall consist of the Member of the Commission responsible for security matters or his/her delegate, who shall have the chair, and of representatives of the NSA of each Member State. Representatives of other European institutions may also be invited. Representatives of relevant EC and EU decentralised agencies may also be invited to attend when questions concerning them are discussed.

The Commission Security Policy Advisory Group shall meet at the request of its chair or any of its members. The Group shall have the task to examine and assess all relevant security issues, and to present recommendations to the Commission as appropriate.

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13. THE COMMISSION SECURITY BOARD

A Commission Security Board shall be set up. It shall consist of the Director-General for Administration and Personnel, who shall have the chair, a Member of the Cabinet of the Commissioner responsible for security matters, a Member of the Cabinet of the President, the Deputy Secretary-General who chairs the Commission crisis management group, the Directors-General of the Legal Service, External Relations, Justice, Freedom and Security, the Joint Research Centre, Informatics and the Internal Audit Service and the Director of the Commission Security Directorate, or their representatives. Other Commission officials may be invited. Its remit is to assess security measures within the Commission and to make recommendations in this domain to the Member of the Commission responsible for security matters.

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14. THE ►M3 COMMISSION SECURITY DIRECTORATE ◄

In order to fulfil the responsibilities mentioned in Section 11 the Member of the Commission responsible for security matters shall have the ►M3 Commission Security Directorate ◄ at his or her disposal for co-ordinating, supervising and implementing security measures.

The ►M3 Director of the Commission Security Directorate ◄ shall be the principal adviser to the Member of the Commission responsible for security matters on security matters and shall act as secretary to the Security Policy Advisory Group. In this regard he or she shall direct the updating of the security regulations and co-ordinate security measures with the competent authorities of the Member States and, as appropriate, with international organisations linked to the Commission by security agreements. To that effect, he/she shall act as a liaison officer.

The ►M3 Director of the Commission Security Directorate ◄ shall be responsible for the accreditation of IT systems and networks within the Commission. The ►M3 Director of the Commission Security Directorate ◄ shall decide, in agreement with the relevant NSA, on the accreditation of IT systems and networks involving the Commission on the one hand, and on the other hand any other recipient of EU classified information.

15. SECURITY INSPECTIONS

Periodic inspections of the security arrangements for the protection of EU classified information shall be carried out by the ►M3 Commission Security Directorate ◄ .

The ►M3 Commission Security Directorate ◄ may be assisted in this task by the security services of other EU institutions holding EUCI or by Member State National Security Authorities ( 13 ).

At the request of a Member State an inspection of EUCI can be conducted by its NSA within the Commission, jointly with the ►M3 Commission Security Directorate ◄ and in mutual agreement.

16. CLASSIFICATIONS, SECURITY DESIGNATORS AND MARKINGS

16.1. Levels of classification ( 14 )

Information is classified at the following levels (see also, Appendix 2):

►M2 ◄ : This classification shall be applied only to information and material the unauthorised disclosure of which could cause exceptionally grave prejudice to the essential interests of the European Union or of one or more of its Member States. TRES SECRET UE/EU TOP SECRET: This classification shall be applied only to information and material the unauthorised disclosure of which could cause exceptionally grave prejudice to the essential interests of the European Union or of one or more of its Member States.

►M2 ◄ : This classification shall be applied only to information and material the unauthorised disclosure of which could seriously harm the essential interests of the European Union or of one or more of its Member States. SECRET UE: This classification shall be applied only to information and material the unauthorised disclosure of which could seriously harm the essential interests of the European Union or of one or more of its Member States.

►M2 ◄ : This classification shall be applied to information and material the unauthorised disclosure of which could harm the essential interests of the European Union or of one or more of its Member States. CONFIDENTIEL UE: This classification shall be applied to information and material the unauthorised disclosure of which could harm the essential interests of the European Union or of one or more of its Member States.

►M2 ◄ : This classification shall be applied to information and material the unauthorised disclosure of which could be disadvantageous to the interests of the European Union or of one or more of its Member States. RESTREINT UE: This classification shall be applied to information and material the unauthorised disclosure of which could be disadvantageous to the interests of the European Union or of one or more of its Member States.

No other classifications are permitted.

16.2. Security designators

To set limits to the validity of a classification (for classified information signifying automatic downgrading or declassification) an agreed security designator may be used. This designator shall either be ‘UNTIL …(time/date)’ or ‘UNTIL …(event)’.

Additional security designators such as CRYPTO or any other EU-recognised security designator, shall apply where there is a need for limited distribution and special handling in addition to that designated by the security classification.

Security designators shall only be used in combination with a classification.

16.3. Markings

A marking may be used for specifying the field covered by the document or a particular distribution on a need-to-know basis, or (for non-classified information) to signify the end of an embargo.

A marking is not a classification and must not be used in lieu of one.

The ESDP marking shall be applied to documents and copies thereof concerning the security and defence of the Union or of one or more of its Member States, or concerning military or non-military crisis management.

16.4. Affixing of classification

Classification shall be affixed as follows:

(a) On ►M2 RESTREINT UE ◄ documents, by mechanical or electronic means;

(b) On ►M2 CONFIDENTIEL UE ◄ documents, by mechanical means or by hand or by printing on pre-stamped, registered paper;

(c) On ►M2 SECRET UE ◄ and ►M2 TRES SECRET UE/EU TOP SECRET ◄ documents, by mechanical means or by hand.

16.5. Affixing of security designators

Security designators shall be affixed directly under the classification, by the same means as those for affixing classifications.

17. CLASSIFICATION MANAGEMENT

17.1. General

Information shall be classified only when necessary. The classification shall be clearly and correctly indicated, and shall be maintained only as long as the information requires protection.

The responsibility for classifying information and for any subsequent downgrading or declassification rests solely with the originator.

Officials and other employees of the Commission shall classify, downgrade or declassify information on instruction from or with the agreement of their Head of department.

The detailed procedures for the treatment of classified documents have been so framed as to ensure that they are subject to protection appropriate to the information they contain.

The number of persons authorised to originate ►M2 TRES SECRET UE/EU TOP SECRET ◄ documents shall be kept to a minimum, and their names kept on a list drawn up by the ►M3 Commission Security Directorate ◄ .

17.2. Application of classifications

The classification of a document shall be determined by the level of sensitivity of its contents in accordance with the definition at Section 16. It is important that classification is correctly and sparingly used. This applies especially to ►M2 TRES SECRET UE/EU TOP SECRET ◄ classification.

The originator of a document that is to be given a classification shall bear in mind the rules set out above and curb any tendency to over- or under-classify.

A practical guide for the classification is contained in Appendix 2.

Individual pages, paragraphs, sections, annexes, appendices, attachments and enclosures of a given document may require different classifications and shall be classified accordingly. The classification of the document as a whole shall be that of its most highly classified part.

The classification of a letter or note covering enclosures shall be as high as the highest classification of its enclosures. The originator should indicate clearly at which level it should be classified when detached from its enclosures.

Public access shall remain governed by Regulation (EC) No 1049/2001.

17.3. Downgrading and declassification

EU classified documents may be downgraded or declassified only with the permission of the originator, and, if necessary, after discussion with other interested parties. Downgrading or declassification shall be confirmed in writing. The originator shall be responsible for informing its addressees of the change, and they in turn shall be responsible for informing any subsequent addressees, to whom they have sent or copied the document, of the change.

If possible, originators shall specify on classified documents a date, period or event when the contents may be downgraded or declassified. Otherwise, they shall keep the documents under review every five years, at the latest, in order to ensure that the original classification is necessary.

18. PHYSICAL SECURITY

18.1. General

The main objectives of physical security measures are to prevent an unauthorised person from gaining access to EU classified information and/or material, to prevent theft and degradation of equipment and other property and to prevent harassment or any other type of aggression of staff, other employees and visitors.

18.2. Security requirements

All premises, areas, buildings, rooms, communication and information systems, etc. in which EU classified information and material is stored and/or handled shall be protected by appropriate physical security measures.

In deciding what degree of physical security protection is necessary, account shall be taken of all relevant factors such as:

(a) The classification of information and/or material;

(b) The amount and form (e.g. hard copy, computer storage media) of the information held;

(c) The locally assessed threat from intelligence services which target the EU, the Member States, and/or other institutions or third parties holding EU classified information from, namely, sabotage, terrorism and other subversive and/or criminal activities.

The physical security measures applied shall be designed to:

(a) Deny surreptitious or forced entry by an intruder;

(b) Deter, impede and detect actions by disloyal personnel;

(c) Prevent those who do not have a need to know from having access to EU classified information.

18.3. Physical security measures

18.3.1. Security areas

Areas where information classified ►M2 CONFIDENTIEL UE ◄ or higher is handled and stored shall be so organised and structured as to correspond to one of the following:

(a) Class I Security Area: an area where ►M2 CONFIDENTIEL UE ◄ or above is handled and stored in such a way that entry into the area constitutes, for all practical purposes, access to classified information. Such an area requires: (i) A clearly defined and protected perimeter through which all entry and exit is controlled; (ii) An entry control system, which admits only those duly cleared and specially authorised to enter the area; (iii) Specification of the classification of the information normally held in the area, i.e. the information to which entry gives access.

(b) Class II Security Area: an area where ►M2 CONFIDENTIEL UE ◄ or above is handled and stored in such a way that it can be protected from access by unauthorised persons by means of internally established controls, e.g. premises containing Services in which ►M2 CONFIDENTIEL UE ◄ or above is regularly handled and stored. Such an area requires: (i) A clearly defined and protected perimeter through which all entry and exit is controlled; (ii) An entry control system that admits unescorted only those duly cleared and specially authorised to enter the area. For all other persons, provision shall be made for escorts or equivalent controls, to prevent unauthorised access to EU classified information and uncontrolled entry to areas subject to technical security inspections. Those areas not occupied by duty personnel on a 24-hour basis shall be inspected immediately after normal working hours to ensure that EU classified information is properly secured.

18.3.2. Administrative area

Around or leading up to Class I or Class II security areas, an administrative area of lesser security may be established. Such an area requires a visibly defined perimeter allowing personnel and vehicles to be checked. Only ►M2 RESTREINT UE ◄ and non-classified information shall be handled and stored in such areas.

18.3.3. Entry and exit controls

Entry and exit into and from Class I and Class II security areas shall be controlled by a pass or personal recognition system applicable to all staff normally working in these areas. A system of visitor checks designed to deny unauthorised access to EU classified information shall also be established. Pass systems may be supported by automated identification, which shall be regarded as a supplement to, but not a total replacement for, guards. A change in the threat assessment may entail a strengthening of the entry and exit control measures, for example during the visit of prominent persons.

18.3.4. Guard patrols

Patrols of Class I and Class II security areas are to take place outside normal working hours to protect EU assets against compromise, damage or loss. The frequency of patrols will be determined by local circumstances but, as a guide, are to be conducted once every 2 hours.

18.3.5. Security containers and strong rooms

Three classes of containers shall be used for the storage of EU classified information:

— ►M2 ◄ information within a Class I or a Class II security area; Class A: containers nationally approved for storage ofTRES SECRET UE/EU TOP SECRETinformation within a Class I or a Class II security area;

— ►M2 ◄ and ►M2 ◄ information within a Class I or a Class II security area; Class B: containers nationally approved for storage ofSECRET UEandCONFIDENTIEL UEinformation within a Class I or a Class II security area;

— ►M2 ◄ information only. Class C: Service furniture suitable for storage ofRESTREINT UEinformation only.

For strong rooms constructed within a Class I or a Class II security area, and for all Class I security areas where information classified ►M2 CONFIDENTIEL UE ◄ and higher is stored on open shelves or displayed on charts, maps, etc., the walls, floors and ceilings, door(s) with lock(s) need to be certified by the SAA as offering equivalent protection to the class of security container approved for the storage of information of the same classification.

18.3.6. Locks

Locks used with security containers and strong rooms in which EU classified information is stored shall meet the following standards:

— Group A: nationally approved for Class A containers;

— Group B: nationally approved for Class B containers;

— Group C: suitable for Class C Service furniture only.

18.3.7. Control of keys and combinations

Keys of security containers shall not be taken out of the Commission buildings. Combination settings of security containers shall be committed to memory by persons needing to know them. For use in an emergency, the Local Security Officer of the Commission department concerned shall be responsible for holding spare keys and a written record of each combination setting; the latter shall be held in separate sealed opaque envelopes. Working keys, spare security keys and combination settings shall be kept in separate security containers. These keys and combination settings should be given security protection no less stringent than the material to which they give access.

Knowledge of the combination settings of security containers shall be restricted to as few people as practicable. Combinations shall be reset:

(a) On receipt of a new container;

(b) Whenever a change of personnel occurs;

(c) Whenever a compromise has occurred or is suspected;

(d) At intervals of preferably six months, and at least every twelve months.

18.3.8. Intrusion detection devices

When alarm systems, closed circuit television and other electrical devices are used to protect EU classified information, an emergency electrical supply shall be available to ensure the continuous operation of the system if the main power supply is interrupted. Another basic requirement is that a malfunction in or tampering with such systems shall result in an alarm or other reliable warning to the surveillance personnel.

18.3.9. Approved equipment

The ►M3 Commission Security Directorate ◄ shall maintain up-to-date lists by type and model of the security equipment that they have approved for the protection of classified information under various specified circumstances and conditions. The ►M3 Commission Security Directorate ◄ shall base these lists, inter alia, on information from NSAs.

18.3.10. Physical protection of copying and telefax machines

Copying and telefax machines shall be physically protected to the extent necessary to ensure that only authorised persons can use them for processing classified information and that all classified products are subject to proper controls.

18.4. Protection against overlooking and eavesdropping

18.4.1. Overlooking

All appropriate measures shall be taken by day and by night to ensure that EU classified information is not seen, even accidentally, by any unauthorised person.

18.4.2. Eavesdropping

Services or areas in which information classified ►M2 SECRET UE ◄ and above is regularly discussed shall be protected against passive and active eavesdropping attacks where the risk demands it. The assessment of the risk of such attacks shall be the responsibility of the ►M3 Commission Security Directorate ◄ after consultation, as necessary, with NSAs.

18.4.3. Introduction of electronic and recording equipment

It is not permitted to introduce mobile phones, private computers, recording devices, cameras and other electronic or recording devices into security areas or technically secure areas without prior authorisation from the ►M3 Director of the Commission Security Directorate ◄ .

To determine the protective measures to be taken in premises sensitive to passive eavesdropping (e.g. insulation of walls, doors, floors and ceilings, measurement of compromising emanations) and to active eavesdropping (e.g. search for microphones), the ►M3 Commission Security Directorate ◄ may request assistance from experts from NSAs.

Likewise, when circumstances require, the telecommunications equipment and the electrical or electronic office equipment of any kind used during meetings at ►M2 SECRET UE ◄ level and above may be checked by technical security specialists of NSAs at the request of the ►M3 Director of the Commission Security Directorate ◄ .

18.5. Technically secure areas

Certain areas may be designated as technically secure areas. A special entry check shall be carried out. Such areas shall be kept locked by an approved method when not occupied and all keys treated as security keys. Such areas shall be subject to regular physical inspections, which will also be undertaken following any unauthorised entry or suspicion of such an entry.

A detailed inventory of equipment and furniture shall be kept in order to monitor their movements. No item of furniture or equipment shall be brought into such an area until it has undergone a careful inspection by specially trained security personnel, designed to detect any listening devices. As a general rule, the installation of communication lines in technically secure areas is not permitted without prior authorisation from the appropriate authority.

19. GENERAL RULES ON THE NEED TO KNOW PRINCIPLE AND EU PERSONAL SECURITY CLEARANCES

19.1. General

Access to EU classified information shall be authorised only for persons having a ‘need-to-know’ for carrying out their duties or missions. Access to ►M2 TRES SECRET UE/EU TOP SECRET ◄ , ►M2 SECRET UE ◄ and ►M2 CONFIDENTIEL UE ◄ information shall be authorised only for persons in possession of the appropriate security clearance.

The responsibility for determining ‘need-to-know’ shall rest with the department in which the person concerned is to be employed.

Requesting the clearance of personnel shall be the responsibility of each department.

This will result in the issue of a ‘EU personal security certificate’ showing the level of classified information to which the cleared person may have access and the date of expiry.

An EU personal security certificate for a given classification may give the holder access to information with a lower classification.

Persons other than officials or other employees, such as external contractors, experts or consultants, with whom it may be necessary to discuss, or to whom it may be necessary to show, EU classified information, must have a EU personal security clearance as regards EU classified information and be briefed as to their responsibility for security.

Public access shall remain governed by Regulation (EC) No 1049/2001.

19.2. Specific rules on access to ►M2 TRES SECRET UE/EU TOP SECRET ◄ information

All persons who are to have access to ►M2 TRES SECRET UE/EU TOP SECRET ◄ information shall first be screened for access to such information.

All persons who are required to have access to ►M2 TRES SECRET UE/EU TOP SECRET ◄ information shall be designated by the Member of the Commission responsible for security matters and their names kept in the appropriate ►M2 TRES SECRET UE/EU TOP SECRET ◄ registry. The ►M3 Commission Security Directorate ◄ will create and maintain this registry.

Before having access to ►M2 TRES SECRET UE/EU TOP SECRET ◄ information, all persons shall sign a certificate to the effect that they have been briefed on Commission security procedures and that they fully understand their special responsibility for safeguarding ►M2 TRES SECRET UE/EU TOP SECRET ◄ information, and the consequences which the EU rules and national law or administrative rules provide when classified information passes into unauthorised hands, either by intent or through negligence.

In the case of persons having access to ►M2 TRES SECRET UE/EU TOP SECRET ◄ information at meetings, etc., the competent Control Officer of the service or body in which that person is employed shall notify the body organising the meeting that the persons concerned have such authorisation.

The names of all persons ceasing to be employed on duties requiring access to ►M2 TRES SECRET UE/EU TOP SECRET ◄ information shall be removed from the ►M2 TRES SECRET UE/EU TOP SECRET ◄ list. In addition, the attention of all such persons shall be drawn again to their special responsibility for the safeguarding of ►M2 TRES SECRET UE/EU TOP SECRET ◄ information. They shall also sign a declaration stating that they will neither use nor pass on ►M2 TRES SECRET UE/EU TOP SECRET ◄ information in their possession.

19.3. Specific rules on access to ►M2 SECRET UE ◄ and ►M2 CONFIDENTIEL UE ◄ information

All persons who are to have access to ►M2 SECRET UE ◄ or ►M2 CONFIDENTIEL UE ◄ information shall first be screened to the appropriate grading.

All persons who are to have access to ►M2 SECRET UE ◄ or ►M2 CONFIDENTIEL UE ◄ information shall be acquainted with the appropriate security provisions and shall be aware of the consequences of negligence.

In the case of persons having access to ►M2 SECRET UE ◄ or ►M2 CONFIDENTIEL UE ◄ information at meetings, etc., the Security Officer of the body in which that person is employed shall notify the body organising the meeting that the persons concerned have such authorisation.

19.4. Specific rules on access to ►M2 RESTREINT UE ◄ information

Persons with access to ►M2 RESTREINT UE ◄ information will be made aware of these security rules and of the consequences of negligence.

19.5. Transfers

When a member of staff is transferred from a post which involves the handling of EU classified material, the Registry will oversee the proper transfer of that material from the outgoing to the incoming official.

When a member of staff is transferred to another post involving the handling of EU classified material the Local Security Officer will brief him accordingly.

19.6. Special instructions

Persons who are required to handle EU classified information should, on first taking up their duties and periodically thereafter, be made aware of:

(a) The dangers to security arising from indiscreet conversation;

(b) Precautions to take in their relations with the press and with representatives of special interest groups;

(c) The threat presented by the activities of intelligence services that target the EU and Member States as regards EU classified information and activities;

(d) The obligation to report immediately to the appropriate security authorities any approach or manoeuvre giving rise to suspicions of espionage activity or any unusual circumstances relating to security.

All persons normally exposed to frequent contact with representatives of countries whose intelligence services target the EU and Member States as regards EU classified information and activities shall be given a briefing on the techniques known to be employed by various intelligence services.

There are no Commission security provisions concerning private travel to any destination by personnel cleared for access to EU classified information. The ►M3 Commission Security Directorate ◄ shall, however, acquaint the officials and other servants falling within their responsibility with travel regulations to which they may be subjected.

20. SECURITY CLEARANCE PROCEDURE FOR COMMISSION OFFICIALS AND OTHER EMPLOYEES

(a) Only Officials and other employees of the Commission or persons working within the Commission who, by reason of their duties and for the requirements of the service, need to have knowledge of, or to use, classified information held by the Commission, shall have access to such information.

(b) In order to have access to information classified as ‘ ►M2 TRES SECRET UE/EU TOP SECRET ◄ ’, ‘ ►M2 SECRET UE ◄ ’ and ‘ ►M2 CONFIDENTIEL UE ◄ ’, the persons referred to in paragraph (a) above must have been authorised, in accordance with the procedure referred to in paragraphs (c) and (d) of this Section.

(c) Authorisation shall be granted only to persons who have undergone security screening by the competent national authorities of the Member States (NSA) in accordance with the procedure referred to in paragraphs (i) to (n).

(d) The ►M3 Director of the Commission Security Directorate ◄ shall be responsible for granting the authorisations referred to in paragraphs (a), (b) and (c).

(e) He/she shall grant authorisation after obtaining the opinion of the competent national authorities of the Member States on the basis of security screening carried out in accordance with paragraphs (i) to (n).

(f) The ►M3 Commission Security Directorate ◄ shall maintain an up to date list of all sensitive posts, provided by the relevant Commission departments, and of all persons who have been granted a (temporary) authorisation.

(g) Authorisation, which shall be valid for a period of five years, may not exceed the duration of the tasks on the basis of which it was granted. It may be renewed in accordance with the procedure referred to in paragraph (e).

(h) Authorisation shall be withdrawn by the ►M3 Director of the Commission Security Directorate ◄ where he/she considers there are justifiable grounds for doing so. Any decision to withdraw authorisation shall be notified to the person concerned, who may ask to be heard by the ►M3 Director of the Commission Security Directorate ◄ , and to the competent national authority.

(i) Security screening shall be carried out with the assistance of the person concerned and at the request of the ►M3 Director of the Commission Security Directorate ◄ . The competent national authority for screening is the one of the Member State of which the person subject to authorisation is a national. Where the person concerned is not a national of an EU Member State, the ►M3 Director of the Commission Security Directorate ◄ will request a security screening from the EU Member State in which the person is domiciled or usually resident.

(j) As part of the screening procedure, the person concerned shall be required to complete a personal information form.

(k) The ►M3 Director of the Commission Security Directorate ◄ shall specify in its request the type and level of classified information to be made available to the person concerned, so that the competent national authorities can carry out the screening process and give their opinion as to the level of authorisation it would be appropriate to grant to that person.

(l) The whole security-screening process together with the results obtained shall be subject to the relevant rules and regulations in force in the Member State concerned, including those concerning appeals.

(m) Where the competent national authorities of the Member State give a positive opinion, the ►M3 Director of the Commission Security Directorate ◄ may grant the person concerned authorisation.

(n) A negative opinion by the competent national authorities shall be notified to the person concerned, who may ask to be heard by the ►M3 Director of the Commission Security Directorate ◄ . Should he consider it necessary, the ►M3 Director of the Commission Security Directorate ◄ may ask the competent national authorities for any further clarification they can provide. If the negative opi