Presentation for the EU Ombudsman / ReNEUAL conference EU Administrative Procedures –

ReNEUAL Research Network on EU Administrative Law

Shared Information and Mutual Assistance

Book V – Mutual AssistanceBook VI – Administrative Information Management

Presentation for the

EU Ombudsman / ReNEUAL conference

EU Administrative Procedures –

The ReNEUAL Draft Model Rules 2014

Brussels, May 19-20th 2014

1

Prof. Dr. Diana-Urania GalettaUniversity of Milan

Prof. Jens-Peter SchneiderUniversity of Freiburg i. Brsg.


Book V - Structure V-1 Scope and application of Book V V-2 General concept of mutual assistance

(1) In order to receive the assistance necessary to fulfil its tasks under Union law, the requesting public authority may ask a Member State or EU public authority (the requested authority) for support, provided it cannot reasonably be expected to execute the necessary task itself.

V-3 Duties of the requesting authority V-4 Duties of the requested authority

(3) The requested authority is obliged to comply with any lawful request for assistance. It shall refuse to provide personal data where the transfer would infringe applicable EU or national data protection law.

(4) It may refuse to comply particularly in the following cases: […]

V-5 Right of a person concerned to be informed V-6 Allocation of costs

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Book VI - Introduction

Information management is a core feature of each administrative

procedure.

Information-related activities - as the essence of composite

decision-making procedures - are already partially addressed in

Books II-IV

Book VI deals with specific categories of inter-

administrative information management activities

consisting either in certain forms of inter-

administrative information exchange or in

databases directly accessible to public authorities

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Book VI - Structure

Chapter 1: General Provisions Scope; Definitions

The regulatory standards of Book VI apply only to the specified information management activities. These standards vary for the different types of information management activities: Databases, which are necessarily supported by an information system duties to inform other authorities, if they are supported by an

information system structured information mechanisms, if they are supported by an

information system (simple) duties to inform other authorities (simple) structured information mechanisms.

An information system is either a specific software or IT infrastructure (IT system) or an organizational infrastructure supporting inter-administrative information exchange or establishing a database.

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Information management activities:definitions, Art. VI-2

A structured cooperation mechanism means a pre-defined workflow allowing authorities to communicate and interact with each other in a structured manner beyond the general obligations of mutual assistance according to Book V.

A duty to inform is an obligation for an authority which exists in EU law to provide data or information to another authority without prior request.

Art. VI-26 (1): Personal data stored in a database as a result of an information exchange under a duty to inform, shall be accessible only for so long as necessary to achieve the purposes for which they were supplied. If a duty to inform is triggered by a specified event the data shall only be accessible until the administrative tasks connected with that event are accomplished and no longer than six months after the formal closure of the relevant administrative procedure. […]

Database means a structured collection of data supported by an IT system and managed by a public authority, which provides at least one other competent authority at EU or Member State level with access to stored data without prior request.

Art. VI-27 (1): Data may be accessible through databases irrespective of the limits set out in Article VI-26 in accordance with the rules of the basic act for the respective database.

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Information Management Activities

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Single Case Decision-making (Book III) [or conclusion of contracts, Art. IV-7]

Initiation(Chap. 2)

Conclusion(Chap. 5)

Hearing …(Chap. 4)

Info. Gathering(Chap. 3)

(informational) Mutual Assistance (Book V)

(specific) Information Management Activities (Book VI)

supported by Info. Systems (IT Systems / …)

(shared) Data Bases

Duties to inform other authorities

Structured Cooperation Mechanisms


Book VI - Structure


A) information exchange schemes regularly involve EU as well as national authorities

B) the most important data-bases are accessible to EU as well as to national authorities

C) these issues can only marginally be regulated by existing national administrative law

A + B + C = As a consequence the scope of application of Book VI includes not only information management activities of EU authorities but also of national authorities

On the contrary, book VI does not apply to information management activities legally confined to a single Member State with no information exchange with either another Member State or an EU authority

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Book VI - Structure


Relation to general data protection law and freedom of information

rights Book VI combines rules on structural issues (procedures, organisation,

inter-administrative obligations) as well as rules on data protection’s

aspects of information law

It is not simply a duplication of data protection rules but an adaptation

of them to the problems and needs of inter-administrative information

exchange and databases

The project Book VI at this stage does not cover rules on access

to documents or the proactive display of data held by public

authorities

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Book VI - Structure

Chapter 1: General Provisions Need for a basic act

“A basic act shall be adopted before an information management activity within the scope of this book may be performed. No duty to perform such an activity shall exist without a basic act” (VI-3)

A legal framework for composite information management activities is necessary: A) to steer the informational course of composite administrative

procedures and provide the various actors involved in such procedures with legal certainty as to their tasks and obligations

B) to ensure that the various stages of the composite information management activities comply with the procedural rights afforded to concerned persons and third parties in EU administrative procedures

C) to provide solutions to overcome the challenges stemming from the inherent fragmentation of composite procedures

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Book VI - Structure Chapter 1: General Provisions

Scope; Definitions Need for a basic act and Evaluation Principles

Duties of sincere cooperation Principle of transparent information management Principle of data quality

Actors/Functions → architecture of info systems Competent authorities Management authorities for IT systems Contact points

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Architecture:duties to informsupported by anInformation System

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Business / Citizens

follow-up measures

competent authorities


restrictive measures

Business / Citizens

information flow:- notifications- (requests for) additional information



12

Business / Citizens Business / Citizens

follow-up measures

competent authorities competent authorities



Business / Citizens




13


follow-up measures


IT System forinfo. exchange



Business / Citizens


EU (operational)Management Authority



14


follow-up measures


contact point in Member State B

contact point in Member State …


contact point in Member State A



Business / Citizens


EU Contact Point



Book VI - Structure Chapter 2: Structured cooperation mechanisms

A “structured information mechanism” is a cooperation system

in which the cooperation obligations are structured in a pre-

defined workflow, allowing authorities to communicate and

interact with one another

The system involves the use of standardising instruments aimed

at facilitating cooperation and the exchange of information

In accordance with Article VI-3 a basic act has to be adopted,

which should indicate the standardising instruments, which

characterise the specific mechanism

Example: Internal Market Information System (IMI)

Actual problem: the use of Networks of informal cooperation

without a formal legal basis – Examples: SOLVIT; EU-PILOT

NETWORK; PUBLIC PROCUREMENT NETWORK15


Book VI - Structure Chapter 1: General Provisions Chapter 2: Structured cooperation mechanisms Chapter 3: Duties to inform other public authorities without prior

request and shared data bases Section 1: General standards for duties to inform and shared data bases:

esp. verification Section 2: Management of information

Subsection 1: Access to data and information Subsection 2: Alteration and deletion of data and information:

Competencies and Obligations Subsection 3: Use of data and information:

Duties to use/consult, independently assess, take specific action; Restrictions

Subsection 4: Data protection and information security Storage, blocking and deletion of data; Confidentiality; Security

standards

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17


follow-up measures








Business / Citizens


EU Contact Point




18


follow-up measures





verification




Business / Citizens


EU Contact Point

EU Verification Authority



Book VI - Structure Chapter 1: General Provisions Chapter 2: Structured cooperation mechanisms Chapter 3: Duties to inform other public authorities without prior request and shared data bases

Chapter 4: Supervision and dispute resolution Section 1: General supervision and dispute resolution

Establishment of a Central Supervisory Authority Mediation procedure; Binding inter-administrative decisions Power to grant access to data and to alter or delete data

Section 2: Data protection supervision of shared data bases Internal supervision by Data Protection Officers Cooperative external data protection supervision of shared data bases Establishment of a European Data Protection Board as an option

Chapter 5: Remedies and Liability

The supervisory and judicial procedures should ensure the efficiency of administrative action while at the same time guaranteeing that concerned persons are in a position to obtain the enforcement of their rights

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20


follow-up measures





verification




Business / Citizens


EU Contact Point





21


follow-up measures





verification




Business / Citizens


EU Contact Point


EUSupervisory Authority




22


follow-up measures





verification




Business / Citizens


EU Contact Point




MS Data Protec. AuthorityMS

Data Protec. AuthorityMS Data Protec. AuthorityMS

Data Protec. Authority

EDPS



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follow-up measures





verification




Business / Citizens


EU Contact Point




representative of MS Data Protec. Authorityrepresentative of MS

Data Protec. Authorityrepresentative of MS Data Protec. Authorityrepresentative of MS

Data Protec. Authority

EDPS

EDPB


Book VI - Structure Chapter 1: General Provisions

Scope; Definitions Need for a basic act and Evaluation Duties of sincere cooperation; Principle of transparent information management;

Principle of data quality Actors/Functions: Competent authorities; Single central contact points;

Management authorities for IT systems Chapter 2: Structured cooperation mechanisms Chapter 3: Duties to inform other public authorities without prior request and

shared data bases Section 1: General standards for duties to inform and shared data bases: esp.

verification Section 2: Management of information

Chapter 4: Supervision and dispute resolution Section 1: General supervision and dispute resolution Section 2: Data protection supervision of shared data bases

Chapter 5: Remedies and Liability

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Shared Information and Mutual Assistance

Book V – Mutual AssistanceBook VI – Administrative Information Management

Presentation for the

EU Ombudsman / ReNEUAL conference

EU Administrative Procedures –

The ReNEUAL Draft Model Rules 2014

Brussels, May 19-20th 2014

25

Prof. Dr. Diana-Urania GalettaUniversity of Milan

Prof. Jens-Peter SchneiderUniversity of Freiburg i. Brsg.

Documents

Presentation for the EU Ombudsman / ReNEUAL conference EU Administrative Procedures –