Mandated staff
1. Only staff authorised on the basis of a nominative mandate conferred to them by the Director-General for Human Resources and Security, given their current duties, may be entrusted with the power to take one or several of the following measures:
(1)
Carry side arms;
(2)
Conduct security inquiries as referred to in Article 13;
(3)
Take security measures as referred to in Article 12 as specified in the mandate.
2. The mandates referred to in paragraph 1 shall be conferred for a duration which shall not exceed the period during which the person concerned hold the post or function in respect of which the mandate has been conferred. They shall be conferred in compliance with the applicable provisions set out in Article 3(1).
3. As regards mandated staff, this Decision constitutes a service instruction within the meaning of Article 21 of the Staff Regulations.
General provisions regarding security measures
1. When taking security measures, the Commission shall in particular ensure so far as reasonably possible, that:
(a)
it only seeks support or assistance from the state concerned, provided that that state either is a Member State of the European Union or, if not, party to the European Convention on Human Rights, or guarantees rights which are at least equivalent to the rights guaranteed in this Convention;
(b)
it shall only transfer information on an individual to recipients, other than Community institutions and bodies, which are not subject to national law adopted pursuant to Directive 95/46/EC of the European Parliament and of the Council ( 11 ) , in accordance with Article 9 of Regulation (EC) No 45/2001;
(c)
where an individual poses a threat to security, any security measure shall be directed against that individual and that individual may be subjected to bearing the incurring costs. Those security measures may only be directed against other individuals if an immediate or major threat to security must be controlled and the following conditions are fulfilled:
(a)
the envisaged measures against the individual posing the threat to security cannot be taken or are not likely to be effective;
(b)
the Commission cannot control the threat to security by its own actions or cannot do so in a timely manner;
(c)
the measure does not constitute a disproportionate danger for the other individual and his rights.
2. The Security Directorate of the Directorate-General for Human Resources and Security shall establish an overview of security measures which may require an order by a judge in accordance with the laws and regulations of the Member States hosting Commission premises.
3. The Security Directorate of the Directorate-General for Human Resources and Security may turn to a contractor to carry out, under the direction and supervision of the Security Directorate, tasks relating to security.
Security measures regarding persons
1. An appropriate level of protection shall be afforded to persons in the premises of the Commission, taking into account security and safety requirements.
2. In case of major risks to security, the Directorate-General for Human Resources and Security shall provide close protection for Members of the Commission or other staff where a threat assessment has indicated that such protection is needed to ensure their safety and security.
3. In case of major risks to security, the Commission may order the evacuation of its premises.
4. Victims of accidents or attacks within Commission premises shall receive assistance.
5. In order to prevent and control risks to security, mandated staff may carry out background checks of persons falling under the scope of this Decision, so as to determine whether giving such persons access to Commission premises or information presents a threat to security. For that purpose, and in compliance with Regulation (EC) No 45/2001 and provisions referred to under Article 3(1), the mandated staff concerned may:
(a)
use any source of information available to the Commission, taking into account the reliability of the source of information;
(b)
access the personnel file or data the Commission holds with regard to individuals it employs or intends to employ, or for contractors' staff when duly justified.
Security measures regarding physical security and assets
1. Security of assets shall be ensured by applying appropriate physical and technical protective measures and corresponding procedures, hereinafter called ‘physical security’, creating a multi-layered system.
2. Measures may be adopted pursuant to this Article in order to protect persons or information in the Commission as well as to protect assets.
3. Physical security shall have the following objectives:
—
preventing acts of violence directed against Members of the Commission or persons falling within the scope of this Decision,
—
preventing espionage and eavesdropping on sensitive or classified information,
—
preventing theft, acts of vandalism, sabotage and other violent actions aimed at damaging or destroying Commission buildings and assets,
—
enabling investigation and inquiry into security incidents including through checks on access and exit control log files, CCTV coverage, telephone call recordings and similar data as referred to in Article 22(2) hereunder and other information sources.
4. Physical security shall include:
—
an access policy applicable to any person or vehicle requiring access to Commission premises, including the parking lots,
—
an access control system comprising guards, technical equipment and measures, information systems or a combination of all of those elements.
5. In order to ensure physical security, the following actions may be taken:
—
recording entry to and exit from Commission premises of persons, vehicles, goods and equipment,
—
identity controls at its premises,
—
inspection of vehicles, goods and equipment by visual or technical means,
—
preventing unauthorised persons, vehicles and goods, from entering Commission premises.
Security measures regarding information
1. Security of information covers all information handled by the Commission.
2. Security of information, regardless of its form, shall balance transparency, proportionality, accountability and efficiency with the need to protect information from unauthorised access, use, disclosure, modification or destruction.
3. Security of information shall be aimed at protecting confidentiality, integrity and availability.
4. Risk management processes shall therefore be used to classify information assets and to develop proportionate security measures, procedures and standards, including mitigating measures.
5. These general principles underlying security of information shall be applied in particular as regards:
(a)
‘European Union Classified Information’ (hereafter ‘EUCI’), that is to say any information or material designated by an EU security classification, the unauthorised disclosure of which could cause varying degrees of prejudice to the interests of the European Union or of one or more of the Member States;
(b)
‘Sensitive non-classified information’, that is to say information or material the Commission must protect because of legal obligations laid down in the Treaties or in acts adopted in implementation thereof, and/or because of its sensitivity. Sensitive non-classified information includes, but is not limited to, information or material covered by the obligation of professional secrecy, as referred to in Article 339 TFEU, information covered by the interests protected in Article 4 of Regulation (EC) No 1049/2001 of the European Parliament and of the Council ( 12 ) read in conjunction with the relevant case-law of the Court of Justice of the European Union or personal data within the scope of Regulation (EC) No 45/2001.
6. Sensitive non-classified information shall be subject to rules regarding its handling and storage. It shall only be released to those individuals who have a ‘need-to-know’. When deemed necessary for the effective protection of its confidentiality, it shall be identified by a security marking and corresponding handling instructions approved by the Director-General for Human Resources and Security. When handled or stored on Communication and Information Systems, such information shall be protected also in compliance with Decision C(2006) 3602, its implementing rules and corresponding standards.
7. Any individual who is responsible for compromising or losing EUCI or sensitive non-classified information, which is identified as such in the rules regarding its handling and storage, may be liable to disciplinary action in accordance with the Staff Regulations. That disciplinary action shall be without prejudice to any further legal or criminal proceedings by the competent national authorities of the Member States in accordance with their laws and regulations and to contractual remedies.
Security measures regarding Communication and Information Systems
1. All Communication and Information Systems (‘CIS’) used by the Commission shall comply with the Commission's Information Systems Security Policy, as set out in Decision C(2006) 3602, its implementing rules and corresponding security standards.
2. Commission services owning, managing or operating CIS shall only allow other Union institutions, agencies, bodies or other organisations to have access to those systems provided that those Union institutions, agencies, bodies or other organisations can provide reasonable assurance that their IT systems are protected at a level equivalent to the Commission's Information Systems Security Policy as set out in Decision C(2006) 3602, its implementing rules and corresponding security standards. The Commission shall monitor such compliance, and in case of serious non-compliance or continued failure to comply, be entitled to prohibit access.
Forensic analysis regarding cyber-security
The Directorate-General for Human Resources and Security shall in particular be responsible for conducting forensic technical analysis in cooperation with the competent Commission departments in support of the security inquiries referred to in Article 13, related to counterintelligence, data leakage, cyberattacks and information systems security.
Security measures regarding persons and objects
1. In order to ensure the security in the Commission and to prevent and control risks, staff mandated in accordance with Article 5 may, in compliance with the principles set out in Article 3, take inter alia one or more of the following security measures:
(a)
securing of scenes and evidence, including access and exit control log files, CCTV images, in case of incidents or conduct that may lead to administrative, disciplinary, civil or criminal procedures;
(b)
limited measures concerning persons posing a threat to security, including ordering persons to leave the Commission's premises, escorting persons from the Commission's premises, banning persons from the Commission's premises for a period of time, the latter defined in accordance with criteria to be defined in implementing rules;
(c)
limited measures concerning objects posing a threat to security including removal, seizure and disposal of objects;
(d)
searching of Commission premises, including of offices, within such premises;
(e)
searching of CIS and equipment, telephone and telecommunications traffic data, log files, user accounts, etc.;
(f)
other specific security measures with similar effect in order to prevent or control risks to security, in particular in the context of the Commission's rights as a landlord or as an employer in accordance with the applicable national laws.
2. Under exceptional circumstances, staff members of the Security Directorate of the Directorate-General for Human Resources and Security, mandated in accordance with Article 5, may take any urgent measures needed, in strict compliance with the principles laid down in Article 3. As soon as possible after having taken those measures, they shall inform the Director of the Security Directorate, who shall seek the appropriate mandate from the Director-General for Human Resources and Security, confirming the measures taken and authorising any further necessary actions and shall liaise, where appropriate with the competent national authorities.
3. Security measures pursuant to this Article shall be documented at the time they are taken or, in the event of an immediate risk or a crisis situation, within reasonable delay after they are taken. In the latter case, the documentation must also include the elements on which the assessment regarding the existence of an immediate risk or a crisis situation was based. The documentation can be concise, but should be constituted in such a way as to allow the person subjected to the measure to exercise his rights of defence and of protection of personal data in accordance with Regulation (EC) No 45/2001, and to allow a scrutiny as to the legality of the measure. No information about specific security measures addressed to a member of staff shall be part of the person's personnel file.
4. When taking security measures pursuant to point (b), the Commission shall in addition guarantee that the individual concerned is given the opportunity to contact a lawyer or a person of his confidence and be made aware of their right to have recourse to the European Data Protection Supervisor.
Inquiries
1. Without prejudice to Article 86 and Annex IX of the Staff Regulations and to any special arrangement between the Commission and the EEAS, such as the special arrangement signed on 28 May 2014 between the Directorate General for Human Resources and Security of the European Commission and the European External Action Service on the duty of care towards Commission staff posted in Union Delegations, security inquiries may be conducted:
(a)
in case of incidents affecting security at the Commission, including suspected criminal offences;
(b)
in case of potential leakage, mishandling or compromise of sensitive non-classified information, EUCI or Euratom Classified Information;
(c)
in the context of counter-intelligence and counter-terrorism;
(d)
in case of serious cyber-incidents.
2. The decision to conduct a security inquiry shall be taken by the Director-General for Human Resources and Security who will also be the recipient of the inquiry report.
3. Security inquiries shall be conducted only by dedicated members of staff of the Directorate-General for Human Resources and Security, duly mandated in accordance with Article 5.
4. The mandated staff shall exercise their powers of security inquiry independently, as specified in the mandate and shall have the powers listed in Article 12.
5. Mandated staff having the competence to conduct security inquiries may gather information from all available sources related to any administrative or criminal offences committed within the Commission premises or involving persons referred to in Article 2(3) either as victim or perpetrator of such offences.
6. The Directorate-General for Human Resources and Security shall inform the competent authorities of the host Member State or any other Member State concerned, where appropriate, and in particular if the inquiry has given rise to indications of a criminal act having been perpetrated. In this context, the Directorate-General for Human Resources and Security may, where appropriate or required, provide support to the authorities of the host Member State or any other Member State concerned.
7. In the case of serious cyber-incidents the Directorate-General for Informatics shall collaborate closely with the Directorate-General for Human Resources and Security to provide support on all technical matters. The Directorate-General for Human Resources and Security shall decide, in consultation with the Directorate-General for Informatics, when it is appropriate to inform the competent authorities of the host country or any other Member State concerned. The incident coordination services of Computer Emergency Response Team for the European institutions, bodies and agencies (‘CERT-EU’) will be used as regards support to other EU institutions and agencies that may be affected.
8. Security inquiries shall be documented.
Delineation of competences with regard to security inquiries and other types of investigations
1. Where the Security Directorate of the Directorate-General for Human Resources and Security conducts security inquiries, as referred to in Article 13, and if these enquiries fall within the competences of the European Anti-Fraud Office (OLAF) or the Investigation and Disciplinary Office of the Commission (IDOC), it shall liaise with those bodies at once with a view, in particular, not to compromise later steps by either OLAF or IDOC. Where appropriate, the Security Directorate of the Directorate-General for Human Resources and Security shall invite OLAF or IDOC to be involved in the investigation.
2. The security enquiries, as referred to in Article 13, shall be without prejudice to the powers of OLAF and IDOC as laid down in the rules governing those bodies. The Security Directorate of the Directorate-General for Human Resources and Security may be requested to provide technical assistance for inquiries initiated by OLAF or IDOC.
3. The Security Directorate of the Directorate-General for Human Resources and Security may be asked to assist OLAF's agents when they access Commission premises in accordance with Articles 3(5) and 4(4) of Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council ( 13 ) , in order to facilitate their tasks. The Security Directorate informs of such requests for assistance the Secretary-General and the Director-General of the Directorate-General for Human Resources and Security or, if such investigation is carried out on premises of the Commission occupied by its Members or by the Secretary-General, the President of the Commission and the Commissioner in charge of Human Resources.
4. Without prejudice to Article 22(a) of the Staff Regulations, where a case may fall within the competence of both the Security Directorate of the Directorate-General for Human Resources and Security and IDOC, the Security Directorate shall, when it reports to the Director-General of Human Resources in compliance with Article 13 at the earliest possible stage advise whether there are grounds that justify that IDOC is seized with the matter. This stage shall in particular be considered to have been reached when an immediate threat to security has come to an end. The Director-General of Human Resources and Security shall decide on the matter.
5. Where a case may fall within the competence of both the Security Directorate of the Directorate-General for Human Resources and Security and OLAF, the Security Directorate shall without delay report to the Director-General of Human Resources and Security and shall inform the Director-General of OLAF at the earliest possible stage. This stage shall in particular be considered to have been reached when an immediate threat to security has come to an end.
Security inspections
1. The Directorate-General for Human Resources and Security shall undertake security inspections in order to verify compliance by Commission services and individuals with this Decision and its implementing rules and to formulate recommendations when deemed necessary.
2. Where appropriate, the Directorate-General for Human Resources and Security shall undertake security inspections or security monitoring or assessment visits to verify whether the security of Commission staff, assets and information falling under the responsibility of other Union institutions, agencies or bodies, Member States, third states or international organisations, is appropriately protected in accordance with security rules, regulations and standards which are at least equivalent to those of the Commission. Where appropriate and in the spirit of good cooperation between administrations, those security inspections shall also include inspections conducted in the context of the exchange of classified information with other Union institutions, bodies and agencies, Member States or with third states or international organisations.
3. This Article shall be implemented, mutatis mutandis, for Commission staff in Union Delegations, without prejudice to any special arrangement between the Commission and the EEAS, such as the special arrangement signed on 28 May 2014 between the Directorate General for Human Resources and Security of the European Commission and the European External Action Service on the duty of care towards Commission staff posted in Union Delegations.
Alert states and management of crisis situations
1. The Directorate-General for Human Resources and Security shall be responsible for putting in place appropriate alert state measures in anticipation of or in response to threats and incidents affecting security at the Commission, and for measures required for managing crisis situations.
2. The alert state measures referred to in paragraph 1 shall be commensurate with the level of threat to security. The alert states levels shall be defined in close cooperation with the competent services of other Union institutions, agencies and bodies, and of the Member State or Member States hosting Commission premises.
3. The Directorate-General for Human Resources and Security shall be the contact point for alert states and management of crisis situations.
Source: EUR-Lex (Publications Office of the EU), © European Union, reuse permitted under Commission Decision 2011/833/EU.
