EBA欧洲银行-EBA-DC-036-Decision-on-Access-to-Documents-FINAL_1_9页_260kb

Summary of the Decision of the Management Board on Access to Documents

Core Content

This decision outlines the procedures and arrangements for public access to documents held by the European Banking Authority (EBA), in accordance with Regulation (EC) No 1049/2001 and Article 72 of Regulation (EU) No 1093/2010. It establishes a structured process for handling access requests, defines the scope of accessible documents, and sets out the obligations of the EBA and third parties in facilitating transparency while protecting sensitive information.

Main Views and Key Information

1. Applicability and Scope

• This decision applies to all documents held by the EBA.
• Citizens of the EU and natural/legal persons in Member States can access EBA documents under Regulation (EC) No 1049/2001.
• Non-residents may also access documents if they meet the conditions outlined in the Access Regulation.

2. Application Process

• Submission Methods: Applications can be submitted via EBA's website, email, post, or fax.
• Language: Applications must be in one of the Union's official languages.
• Response Time:
  • Initial applications must be responded to within 15 working days.
  • Confirmatory applications may also be processed within 15 working days, with possible extensions if necessary.
• Clarification Requests: If an application is imprecise, EBA will request additional information and respond within 15 working days after receiving it.
• Denial of Access: Any refusal must be based on one of the access exceptions and include the reason for the refusal, along with information about available remedies.

3. Processing of Initial Applications

• EBA will notify applicants if the requested document is directly accessible (as defined in the Access Regulation and Article 8 of this decision).
• For non-directly accessible documents, EBA will acknowledge receipt unless it can be sent by return post.
• The document access coordinator is responsible for initial decisions and may seek assistance from the relevant EBA service.
• Applicants may submit a confirmatory application within 15 working days if access is denied or if they wish to challenge the decision.

4. Processing of Confirmatory Applications

• The Executive Director is authorized to make decisions on confirmatory applications.
• The decision must inform the applicant of the right to appeal to the Board of Appeal or to the European Ombudsman.

5. Third-Party Documents

• EBA must check for access exceptions when handling documents from third parties.
• If access is denied, EBA may do so without consulting the third-party author, depending on the nature of the document and the applicable exceptions.
• In some cases, EBA may grant access without consultation, especially if the document is already disclosed or if disclosure would not affect any protected interest.
• If consultation is required, EBA must provide the third-party author with a deadline to respond, and will proceed based on available information if no response is received.

6. Exercise of the Right of Access

• Documents can be provided via mail or electronic means, respecting the applicant's preference.
• For voluminous documents, the applicant may be invited to consult the documents at EBA's premises, which is free of charge.
• If a document is already published, EBA will provide publication references or URLs.
• Fees may apply for documents exceeding 20 pages, with standard fees detailed in Annex 1.

7. Measures Facilitating Access

• EBA must maintain and provide access to a document register, available in electronic form.
• The register includes categories of documents listed in Annex 2, which may be updated by the Executive Director.
• The register must include:
  • Title and subject matter of the document
  • Reference number
  • Author (EBA or third party)
  • Date of receipt or creation
  • Date of entry in the register
• For directly accessible documents, the register includes hyperlinks to the document or series.

8. Directly Accessible Documents

• Documents listed in Annex 2 are to be made directly accessible to the public, subject to access exceptions.

9. Internal Organisation

• The Executive Director is responsible for ensuring the uniform implementation of these rules across EBA staff.
• A document access coordinator is designated to handle initial applications and prepare decisions for confirmatory applications.

10. Final Provisions

• This decision enters into force immediately.
• The European Ombudsman is informed of this decision and any subsequent revisions.

Annexes

Annex 1 - Standard Fees

• Paper copies of 20 pages or more are subject to a fee of EUR 0.10 per page, plus carriage costs.

Annex 2 - Document Register Categories

• Includes a wide range of documents such as:
  • Board of Supervisors and Management Board decisions
  • Budget, work programme, and other decisions
  • Staff vacancies
  • Draft technical standards submitted to the Commission
  • Guidelines and recommendations (excluding those concerning individual participants)
  • Consultation process documents
  • Decisions on breaches of Union law and cross-border issues
  • Delegation agreements
  • Best practices and peer review results
  • Opinions issued by EBA
  • Opinions and advice of the Banking Stakeholder Group
  • Board of Appeal decisions
  • Press releases and publications
  • Meeting calendars
  • Agendas and conclusions of meetings with industry representatives
  • Memoranda of understanding
  • Third-party documents already disclosed
  • Previously disclosed documents
  • Other documents required or adopted for publication

Key Principles

• Transparency: Public access to documents is encouraged and facilitated.
• Professional Secrecy: Protection of commercial interests and professional secrecy is maintained where necessary.
• Public Interest: The public interest in transparency is balanced against the need for confidentiality.
• Efficiency: The process is designed to be efficient, with clear timelines and procedures.