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
Date: 2001-05-30
Institutions: Council of the European Union, European Parliament
Subjects: Council of the European Union, European Commission, European Parliament, access to EU information, document, provision of documents

31.5.2001

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REGULATION (EC) No 1049/2001 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

regarding public access to European Parliament, Council and Commission documents

of 30 May 2001

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

this Regulation as regards documents concerning the
activities covered by those two Treaties.

Having regard to the Treaty establishing the European
Community, and in particular Article 255(2) thereof,

Having regard to the proposal from the Commission (1),

Acting in accordance with the procedure referred to in Article
251 of the Treaty (2),

Whereas:

(1)

(2)

(3)

(4)

(5)

The second subparagraph of Article 1 of the Treaty on
European Union enshrines the concept of openness,
stating that the Treaty marks a new stage in the process
of creating an ever closer union among the peoples of
Europe,
in which decisions are taken as openly as
possible and as closely as possible to the citizen.

Openness enables citizens to participate more closely in
the decision-making process and guarantees that
the
administration enjoys greater legitimacy and is more
effective and more accountable to the citizen in a demo-
cratic system. Openness contributes to strengthening the
principles of democracy and respect for fundamental
rights as laid down in Article 6 of the EU Treaty and in
the Charter of Fundamental Rights of
the European
Union.

The conclusions of the European Council meetings held
at Birmingham, Edinburgh and Copenhagen stressed the
need to introduce greater transparency into the work of
the Union institutions. This Regulation consolidates the
initiatives that the institutions have already taken with a
view to improving the transparency of the decision-
making process.

The purpose of this Regulation is to give the fullest
possible effect to the right of public access to documents
and to lay down the general principles and limits on
such access in accordance with Article 255(2) of the EC
Treaty.

Since the question of access to documents is not covered
by provisions of the Treaty establishing the European
Coal and Steel Community and the Treaty establishing
the European Atomic Energy Community, the European
Parliament, the Council and the Commission should, in
accordance with Declaration No 41 attached to the Final
Act of the Treaty of Amsterdam, draw guidance from

(6) Wider access should be granted to documents in cases
where the institutions are acting in their legislative
capacity, including under delegated powers, while at the
same time preserving the effectiveness of the institutions'
decision-making process. Such documents should be
made directly accessible to the greatest possible extent.

(7)

(8)

(9)

(10)

(11)

In accordance with Articles 28(1) and 41(1) of the EU
Treaty, the right of access also applies to documents
relating to the common foreign and security policy and
to police and judicial cooperation in criminal matters.
Each institution should respect its security rules.

In order to ensure the full application of this Regulation
to all activities of the Union, all agencies established by
the institutions should apply the principles laid down in
this Regulation.

On account of their highly sensitive content, certain
documents should be given special treatment. Arrange-
ments for informing the European Parliament of the
content of such documents should be made through
interinstitutional agreement.

In order to bring about greater openness in the work of
the institutions, access to documents should be granted
the Council and the
by the European Parliament,
Commission not only to documents drawn up by the
institutions, but also to documents received by them. In
this context,
is recalled that Declaration No 35
attached to the Final Act of the Treaty of Amsterdam
provides that a Member State may request the Commis-
sion or the Council not to communicate to third parties
a document originating from that State without its prior
agreement.

it

In principle, all documents of the institutions should be
accessible to the public. However, certain public and
private interests should be protected by way of excep-
tions. The institutions should be entitled to protect their
internal consultations and deliberations where necessary
to safeguard their ability to carry out their tasks. In
assessing the exceptions, the institutions should take
account of
the principles in Community legislation
concerning the protection of personal data, in all areas
of Union activities.

(1) OJ C 177 E, 27.6.2000, p. 70.
(2) Opinion of

the European Parliament of 3 May 2001 (not yet
published in the Official Journal) and Council Decision of 28 May
2001.

(12) All rules concerning access to documents of the institu-

tions should be in conformity with this Regulation.

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(13)

(14)

(15)

(16)

(17)

the right of access is fully
In order to ensure that
respected, a two-stage administrative procedure should
apply, with the additional possibility of court proceed-
ings or complaints to the Ombudsman.

Each institution should take the measures necessary to
inform the public of the new provisions in force and to
train its staff to assist citizens exercising their rights
under this Regulation. In order to make it easier for
citizens to exercise their rights, each institution should
provide access to a register of documents.

Even though it is neither the object nor the effect of this
legislation on access to
Regulation to amend national
documents, it is nevertheless clear that, by virtue of the
principle of loyal cooperation which governs relations
between the institutions and the Member States, Member
States should take care not
to hamper the proper
application of this Regulation and should respect the
security rules of the institutions.

This Regulation is without prejudice to existing rights of
access to documents for Member States, judicial authori-
ties or investigative bodies.

In accordance with Article 255(3) of the EC Treaty, each
institution lays down specific provisions regarding access
to its documents in its rules of procedure. Council
Decision 93/731/EC of 20 December 1993 on public
access to Council documents (1), Commission Decision
94/90/ECSC, EC, Euratom of 8 February 1994 on public
access to Commission documents (2), European Parlia-
ment Decision 97/632/EC, ECSC, Euratom of 10 July
1997 on public access to European Parliament docu-
ments (3), and the rules on confidentiality of Schengen
documents should therefore, if necessary, be modified or
be repealed,

HAVE ADOPTED THIS REGULATION:

Article 1

Purpose

(b) to establish rules ensuring the easiest possible exercise of

this right, and

(c) to promote good administrative practice on access to docu-

ments.

Article 2

Beneficiaries and scope

Any citizen of the Union, and any natural or legal person
1.
residing or having its registered office in a Member State, has a
right of access to documents of the institutions, subject to the
principles, conditions and limits defined in this Regulation.

The institutions may, subject

2.
to the same principles,
conditions and limits, grant access to documents to any natural
or legal person not residing or not having its registered office
in a Member State.

3.
This Regulation shall apply to all documents held by an
institution, that is to say, documents drawn up or received by it
and in its possession, in all areas of activity of the European
Union.

4. Without prejudice to Articles 4 and 9, documents shall
be made accessible to the public either following a written
application or directly in electronic form or through a register.
In particular, documents drawn up or received in the course of
a legislative procedure shall be made directly accessible in
accordance with Article 12.

5.
Sensitive documents as defined in Article 9(1) shall be
subject to special treatment in accordance with that Article.

This Regulation shall be without prejudice to rights of
6.
public access to documents held by the institutions which
might follow from instruments of international law or acts of
the institutions implementing them.

Article 3

Definitions

The purpose of this Regulation is:

(a) to define the principles, conditions and limits on grounds
of public or private interest governing the right of access to
European Parliament, Council and Commission (hereinafter
referred to as ‘the institutions’) documents provided for in
Article 255 of the EC Treaty in such a way as to ensure the
widest possible access to documents,

For the purpose of this Regulation:

(a) ‘document’ shall mean any content whatever its medium
(written on paper or stored in electronic form or as a
sound, visual or audiovisual recording) concerning a matter
relating to the policies, activities and decisions falling
within the institution's sphere of responsibility;

(1) OJ L 340, 31.12.1993, p. 43. Decision as last amended by Decision

2000/527/EC (OJ L 212, 23.8.2000, p. 9).

(2) OJ L 46, 18.2.1994, p. 58. Decision as amended by Decision 96/

567/EC, ECSC, Euratom (OJ L 247, 28.9.1996, p. 45).

(3) OJ L 263, 25.9.1997, p. 27.

(b) ‘third party’ shall mean any natural or legal person, or any
entity outside the institution concerned,
including the
Member States, other Community or non-Community insti-
tutions and bodies and third countries.

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Article 4

Exceptions

the exceptions may, if necessary, continue to apply after this
period.

The institutions shall refuse access to a document where

1.
disclosure would undermine the protection of:

Article 5

Documents in the Member States

(a) the public interest as regards:

— public security,

— defence and military matters,

— international relations,

— the financial, monetary or economic policy of

the

Community or a Member State;

(b) privacy and the integrity of the individual, in particular in
accordance with Community legislation regarding the
protection of personal data.

The institutions shall refuse access to a document where

2.
disclosure would undermine the protection of:

— commercial interests of a natural or legal person, including

intellectual property,

— court proceedings and legal advice,

— the purpose of inspections,

investigations and audits,

unless there is an overriding public interest in disclosure.

3.
Access to a document, drawn up by an institution for
internal use or received by an institution, which relates to a
matter where the decision has not been taken by the institu-
tion, shall be refused if disclosure of the document would
seriously undermine the institution's decision-making process,
unless there is an overriding public interest in disclosure.

Access to a document containing opinions for internal use as
part of deliberations and preliminary consultations within the
institution concerned shall be refused even after the decision
has been taken if disclosure of the document would seriously
undermine the institution's decision-making process, unless
there is an overriding public interest in disclosure.

As regards third-party documents, the institution shall
4.
consult the third party with a view to assessing whether an
exception in paragraph 1 or 2 is applicable, unless it is clear
that the document shall or shall not be disclosed.

A Member State may request

5.
to
disclose a document originating from that Member State
without its prior agreement.

the institution not

If only parts of the requested document are covered by
6.
any of the exceptions, the remaining parts of the document
shall be released.

The exceptions as laid down in paragraphs 1 to 3 shall
7.
only apply for the period during which protection is justified
on the basis of the content of the document. The exceptions
may apply for a maximum period of 30 years. In the case of
documents covered by the exceptions relating to privacy or
commercial interests and in the case of sensitive documents,

Where a Member State receives a request for a document in its
possession, originating from an institution, unless it is clear
that the document shall or shall not be disclosed, the Member
State shall consult with the institution concerned in order to
take a decision that does not jeopardise the attainment of the
objectives of this Regulation.

The Member State may instead refer
institution.

the request

to the

Article 6

Applications

Applications for access to a document shall be made in
1.
any written form,
in one of the
including electronic form,
languages referred to in Article 314 of the EC Treaty and in a
sufficiently precise manner to enable the institution to identify
the document. The applicant is not obliged to state reasons for
the application.

If an application is not sufficiently precise, the institution
2.
shall ask the applicant to clarify the application and shall assist
the applicant in doing so, for example, by providing informa-
tion on the use of the public registers of documents.

In the event of an application relating to a very long
3.
document or to a very large number of documents, the institu-
tion concerned may confer with the applicant informally, with
a view to finding a fair solution.

4.
The institutions shall provide information and assistance
to citizens on how and where applications for access to docu-
ments can be made.

Article 7

Processing of initial applications

1.
An application for access to a document shall be handled
promptly. An acknowledgement of receipt shall be sent to the
applicant. Within 15 working days from registration of the
application, the institution shall either grant access to the docu-
ment requested and provide access in accordance with Article
10 within that period or, in a written reply, state the reasons
for the total or partial refusal and inform the applicant of his
or her right to make a confirmatory application in accordance
with paragraph 2 of this Article.

2.
In the event of a total or partial refusal, the applicant
may, within 15 working days of receiving the institution's
reply, make a confirmatory application asking the institution to
reconsider its position.

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In exceptional cases,

for example in the event of an
3.
application relating to a very long document or to a very large
number of documents, the time-limit provided for in paragraph
1 may be extended by 15 working days, provided that the
applicant is notified in advance and that detailed reasons are
given.

4.
Failure by the institution to reply within the prescribed
time-limit shall entitle the applicant to make a confirmatory
application.

Article 8

Processing of confirmatory applications

1.
A confirmatory application shall be handled promptly.
Within 15 working days from registration of such an applica-
tion, the institution shall either grant access to the document
requested and provide access in accordance with Article 10
within that period or, in a written reply, state the reasons for
the total or partial refusal. In the event of a total or partial
the
refusal,
remedies open to him or her, namely instituting court proceed-
ings against the institution and/or making a complaint to the
Ombudsman, under the conditions laid down in Articles 230
and 195 of the EC Treaty, respectively.

inform the applicant of

the institution shall

In exceptional cases,

2.
for example in the event of an
application relating to a very long document or to a very large
number of documents, the time limit provided for in paragraph
1 may be extended by 15 working days, provided that the
applicant is notified in advance and that detailed reasons are
given.

3.
Failure by the institution to reply within the prescribed
time limit shall be considered as a negative reply and entitle the
applicant to institute court proceedings against the institution
and/or make a complaint to the Ombudsman, under the rele-
vant provisions of the EC Treaty.

Article 9

Treatment of sensitive documents

1.
Sensitive documents are documents originating from the
institutions or the agencies established by them, from Member
States, third countries or International Organisations, classified
in
as ‘TRÈS SECRET/TOP SECRET’,
accordance with the rules of the institution concerned, which
protect essential interests of the European Union or of one or
more of its Member States in the areas covered by Article
4(1)(a), notably public security, defence and military matters.

‘SECRET’ or ‘CONFIDENTIEL’

2.
Applications for access to sensitive documents under the
procedures laid down in Articles 7 and 8 shall be handled only
by those persons who have a right to acquaint themselves with
those documents. These persons shall also, without prejudice
to Article 11(2), assess which references to sensitive documents
could be made in the public register.

An institution which decides to refuse access to a sensi-
4.
tive document shall give the reasons for its decision in a
manner which does not harm the interests protected in
Article 4.

5. Member States shall take appropriate measures to ensure
that when handling applications for sensitive documents the
principles in this Article and Article 4 are respected.

The rules of the institutions concerning sensitive docu-

6.
ments shall be made public.

7.
The Commission and the Council shall inform the Euro-
pean Parliament regarding sensitive documents in accordance
with arrangements agreed between the institutions.

Article 10

Access following an application

1.
The applicant shall have access to documents either by
consulting them on the spot or by receiving a copy, including,
where available, an electronic copy, according to the applicant's
preference. The cost of producing and sending copies may be
charged to the applicant. This charge shall not exceed the real
cost of producing and sending the copies. Consultation on the
spot, copies of less than 20 A4 pages and direct access in
electronic form or through the register shall be free of charge.

2.
If a document has already been released by the institution
concerned and is easily accessible to the applicant, the institu-
tion may fulfil its obligation of granting access to documents
by informing the applicant how to obtain the requested
document.

3.
Documents shall be supplied in an existing version and
format (including electronically or in an alternative format such
as Braille, large print or tape) with full regard to the applicant's
preference.

Article 11

Registers

1.
To make citizens' rights under this Regulation effective,
each institution shall provide public access to a register of
documents. Access to the register should be provided in elec-
tronic form. References to documents shall be recorded in the
register without delay.

(including, where applicable,

2.
For each document the register shall contain a reference
the interinstitutional
number
reference), the subject matter and/or a short description of the
content of the document and the date on which it was received
or drawn up and recorded in the register. References shall be
made in a manner which does not undermine protection of the
interests in Article 4.

Sensitive documents shall be recorded in the register or

3.
released only with the consent of the originator.

The institutions shall

3.
immediately take the measures
necessary to establish a register which shall be operational by
3 June 2002.

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Article 12

Direct access in electronic form or through a register

(c) directives other than those referred to in Article 254(1) and
(2) of the EC Treaty, decisions other than those referred to
in Article 254(1) of the EC Treaty, recommendations and
opinions.

The institutions shall as far as possible make documents
1.
directly accessible to the public in electronic form or through a
register
the institution
concerned.

in accordance with the rules of

3.
Each institution may in its rules of procedure establish
which further documents shall be published in the Official
Journal.

2.
In particular, legislative documents, that is to say, docu-
ments drawn up or received in the course of procedures for the
adoption of acts which are legally binding in or for the
Member States, should, subject to Articles 4 and 9, be made
directly accessible.

3. Where possible, other documents, notably documents
relating to the development of policy or strategy, should be
made directly accessible.

4. Where direct access is not given through the register, the
register shall as far as possible indicate where the document is
located.

Article 14

Information

Each institution shall

1.
inform the public of
Regulation.

take the requisite measures to
this

they enjoy under

the rights

The Member States shall cooperate with the institutions

2.
in providing information to the citizens.

Article 13

Administrative practice in the institutions

Article 15

Publication in the Official Journal

1.
In addition to the acts referred to in Article 254(1) and
(2) of the EC Treaty and the first paragraph of Article 163 of
the Euratom Treaty, the following documents shall, subject to
Articles 4 and 9 of this Regulation, be published in the Official
Journal:

(a) Commission proposals;

(b) common positions adopted by the Council in accordance
with the procedures referred to in Articles 251 and 252 of
the EC Treaty and the reasons underlying those common
positions, as well as the European Parliament's positions in
these procedures;

(c) framework decisions and decisions referred to in Article

34(2) of the EU Treaty;

(d) conventions established by the Council in accordance with

Article 34(2) of the EU Treaty;

(e) conventions signed between Member States on the basis of

Article 293 of the EC Treaty;

(f) international agreements concluded by the Community or

in accordance with Article 24 of the EU Treaty.

As far as possible, the following documents shall be

2.
published in the Official Journal:

(a) initiatives presented to the Council by a Member State
pursuant to Article 67(1) of the EC Treaty or pursuant to
Article 34(2) of the EU Treaty;

(b) common positions referred to in Article 34(2) of the EU

Treaty;

1.
The institutions shall develop good administrative prac-
tices in order to facilitate the exercise of the right of access
guaranteed by this Regulation.

The

shall

institutions

establish an interinstitutional
2.
committee to examine best practice, address possible conflicts
and discuss
to
future developments on public
documents.

access

Article 16

Reproduction of documents

This Regulation shall be without prejudice to any existing rules
on copyright which may limit a third party's right to reproduce
or exploit released documents.

Article 17

Reports

1.
Each institution shall publish annually a report for the
preceding year including the number of cases in which the
institution refused to grant access to documents, the reasons
for such refusals and the number of sensitive documents not
recorded in the register.

At the latest by 31 January 2004, the Commission shall
2.
publish a report on the implementation of the principles of this
Regulation and shall make recommendations,
if
appropriate, proposals for the revision of this Regulation and
an action programme of measures
to be taken by the
institutions.

including,

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Article 18

Application measures

Each institution shall adapt its rules of procedure to the
1.
provisions of this Regulation. The adaptations shall take effect
from 3 December 2001.

2. Within six months of the entry into force of this Regula-
tion, the Commission shall examine the conformity of Council
Regulation (EEC, Euratom) No 354/83 of 1 February 1983
concerning the opening to the public of the historical archives
of
the European Economic Community and the European
Atomic Energy Community (1) with this Regulation in order to

ensure the preservation and archiving of documents to the
fullest extent possible.

3. Within six months of the entry into force of this Regula-
tion, the Commission shall examine the conformity of the
existing rules on access to documents with this Regulation.

Article 19

Entry into force

into force on the third day
This Regulation shall enter
following that of its publication in the Official Journal of the
European Communities.

It shall be applicable from 3 December 2001.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 30 May 2001.

For the European Parliament

The President

N. FONTAINE

For the Council

The President

B. LEJON

(1) OJ L 43, 15.2.1983, p. 1.