KLUWER LAW INTERNATIONAL

The Availability of Spatial and EnvironmentalData in the European Union: At the Crossroads

between Public and Economic Interests

by Katleen Janssen

0 . Wolters KluwerLaw & Business

AUSTIN BOSTON CHICAGO NEW YORK THE NETHERLANDS

Table of Contents

Preface xxvii

Acknowledgement xxix

List of Abbreviations and Short References xxxi

Chapter 1Introduction 1I. Setting 1

A. Spatial Data 1B. Public Sector Spatial Data 2C. Value of Public Sector Spatial Data 3D. The Role of the Public Sector in Making Spatial Data

Available 4E. The Legal Framework for the Availability of Public

Sector Spatial Data 6II. The Problematic Character of the EU Legal Framework

for the Availability of Public Sector Spatial Data 7III. Structure and Outline of the Following Chapters 8

A. Structure 8B. Outline 8

Chapter 2Scope and Definitions 11I. Introduction 11II. Scope from the Point of View of the Legislation 12III. Scope from the Point of View of the Type of Data 16

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A. Spatial Data 161. Data 16

a. Data or Information 16b. Information or Document 19

2. Spatial 203. Spatial Data 21

B. Spatial Data under the INSPIRE Directive 21C. Environmental Data 27

1. Environmental 272. Environmental Information in the Access Directive 283. Environmental Information in the Aarhus Convention 30

D. Public Sector Data 321. Public Sector Information - Government

Information - Public Information - Public DomainInformation 32

2. Public Sector Documents under the PSI Directive 33IV. Scope from the Point of View of the Organizations Holding

the Data 34A. Public Sector and Related Terms 35

1. Public Sector 352. State and Government 363. Administration 394. Public Service 39

B. Public Authorities under the Access Directiveand the INSPIRE Directive 401. The Definition of Public Authority in the Access

Directive 402. The Definition of Public Authority in the INSPIRE

Directive 423. The Definition of Public Authority in the Aarhus

Convention 44C. Public Sector Bodies under the PSI Directive 45

1. The Definition of the PSI Directive 452. Contracting Authorities under the Public Procurement

Directives 47a. State, Regional, and Local Authorities 47b. Bodies Governed by Public Law 49

i. Meeting Needs in the General InterestNot Having an Industrial or CommercialCharacter 50

ii. The Close Dependency Test 55c. Associations Formed by One or Several

Authorities or One or Several Bodies Governedby Public Law 57

d. Relevance for the PSI Directive 57

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D. Common Denominator between Public Sector Bodiesand Public Authorities 58

V. Common Denominator Between Spatial Data, Public Sector Data,and Environmental Data 59

VI. Scope from the Point of View of the Purpose of Use 61A. Access 62B. Re-use 64C. Sharing 66D. Interim Summary 67

VII. A First Indication of the Problematic Character of the EU LegalFramework for the Availability of Public Sector Spatial Data 67

Chapter 3Existing Legal Framework for the Availability of PublicSector Spatial Data 69I. Introduction 69II. Access 70

A. Introduction 70B. The Access Directive 70

1. History: Directive 90/313/EEC 71a. Access upon Request 71b. Dissemination by Public Authorities of their Own

Motion 74c. Follow-Up 74

2. The Access Directive 75a. Introduction 75b. Objectives 75c. Definitions 77d. Access to Environmental Information upon Request 79

i. General Principle 79ii. Time Limits 79iii. Requests Formulated in Too General a Manner 81iv. Form or Format of the Information 82v. Facilitating Measures 84vi. Exceptions to the Right of Access 85vii. Charges 91

e. Access to Justice 93f. Dissemination of Environmental Information 95g. Quality of Environmental Information: Article 8

of the Access Directive 973. Review of the Access Directive 98

C. INSPIRE Directive 991. Introduction 992. The INSPIRE Directive and the Access Directive 100

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3. Access to Network Services 100a. Establishment of Network Services 101b. Limitation of Access to Network Services 103c. Charges for Network Services 107

III. Re-use 111A. History 111

1. Guidelines for Improving the Synergy between the Publicand Private Sectors in the Information Market 111

2. The Publaw Reports 1143. The Stockholm Conference and the 1997 Bonn Ministerial

Conference 1164. The Green Paper on Public Sector Information 1175. The eEurope 2002 Communication 119

B. The PSI Directive 1211. Objective 1222. Title 1233. Subject Matter and Scope 125

a. Introduction 125b. Re-use of Existing Documents 125c. Re-use by any Natural or Legal Person 127d. Practical Means of Facilitating Re-use 127e. Limitations on the Field of Application 128

i. Documents the Supply of Which Is an ActivityFalling outside of the Public Task 129

ii. Documents for Which Third Parties holdIntellectual Property Rights 129

iii. Documents Excluded from Access 131iv. Documents Held by Public Service Broadcasters 132v. Documents Held by Educational, Research,

and Cultural Establishments 133f. Documents Containing Personal Data 134

4. Definitions 136a. Public Sector Body 136b. Document 136c. Re-use 137d. Held by 139e. Public Task 139

5. General Principle 1406. Requirements for the Processing of Requests for Re-use 143

a. Time Limits 143b. Communication of the Grounds for Refusal

and the Means of Redress 1457. Conditions for Re-use 146

a. Available Formats 146b. Charges 148

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c. Transparency 150d. Licenses 151e. Practical Arrangements 152

8. Non-discrimination 1549. Prohibition of Exclusive Arrangements 155

C. The Review of the PSI Directive 156IV. Sharing 158

A. History 159B. Preparatory Phase 160C. The INSPIRE Directive 162

1. Objective and General Provisions 1622. Network Services 1643. Data Sharing 164

a. General Principle 164b. Restrictions at the Point of Use 165c. Licensing and Charging 166d. Authorities outside the Borders of the Member States 168e. Limitations on Sharing 169f. References to Re-use? 170

V. Summary 170A. Access 171B. Re-use 172C. Sharing 173D. Differences between the Rules on Access, Re-use,

and Sharing 1731. Obligatory Character 1742. Limitations on the Availability of Data 1743. Charges 1754. Time Limits 177

E. Towards the Next Chapter 177

Chapter 4The Problematic Character of the EU Legal Frameworkfor the Availability of Public Sector Spatial Data 179I. The Distinction between Access, Re-use, and Sharing 179II. Importance of the Difference between Access, Re-use,

and Sharing 179III. Example: Charging for Public Sector Spatial Data 181

A. Introduction 181B. Existing Rules on Charges for Access, Re-use,

and Sharing in the Access Directive, the PSI Directive,and the INSPIRE Directive 181

C. Basis of the Debate on Charging: Cost Recovery v. OpenAccess 183

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1. Background of the Debate 1832. Description of the Open Access and Cost Recovery

Models 1843. Demarcation between Open Access and Cost Recovery 185

D. Arguments for Open Access and Cost Recovery 1861. Introduction 1862. 'Democratic Arguments': Open Access Increases

Democracy and Participation of the Citizen 1893. The 'Why Pay Twice' Arguments 192

a. 'The Investments Have Been Made forthe Public Task' 192

b. 'The Taxpayer Has Already Paid' 193c. 'Charges Between Public Bodies Merely

Shift the Budget' 1974. 'The Macro-Economic Arguments': Open Access

Is an Incentive for Economic Activity and EconomicGrowth 198

5. 'The Micro-Economic Argument': Better Performanceof the Public Bodies 201a. Quality of the Data 201b. Quality and Efficiency of the Service 203c. Liability 205d. Transaction Costs of Charging for Public

Sector Spatial Data 2066. 'The Political Argument': Cost Recovery Improves

the Negotiation Position of the Public Body 2087. Evaluation of the Arguments 209

IV. Problematic Character of the Distinction between Access,Re-use, and Sharing 209

Chapter 5Obligations to Make Public Sector Spatial Data Availablein International and European Legislation and Policy Documents 213I. Introduction 213II. The Obligation of Making Public Sector Spatial Data

Available for Access 214A. Introduction 214B. The Obligation of Making Public Sector Data Available

for Access as a Part of Freedom of Information 2151. United Nations 215

a. Universal Declaration on Human Rights 215b. The International Covenant on Civil and Political

Rights 2162. Council of Europe 218

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a. The European Convention on the Protectionof Human Rights and Fundamental Freedoms 218

b. Documents of the Council of Ministersand the Parliamentary Assembly 219

c. The Case Law of the European Court of Human Rights 2213. Interim Summary 225

C. International and European Documents 2261. Access: From Passive to Active? 2262. United Nations 227

a. United Nations Special Rapporteur on Freedomof Opinion and Expression 227

b. United Nations Educational, Scientific and CulturalOrganization (UNESCO) 228

3. Organization for Economic Co-operation and Development 231a. Report on Digital Broadband Content: Public Sector

Information and Content 232b. Recommendation for Enhanced Access and More

Effective Use of Public Sector Information 2334. Council of Europe 234

a. Recommendation 854 (1979) of the ParliamentaryAssembly on Access by the Public to GovernmentRecords and Freedom of Information 234

b. Recommendation No. R(81)19 of the Committeeof Ministers on the Access to Information Heldby Public Authorities 235

c. Recommendation Rec(2002)2 of the Committeeof Ministers to Member States on Access to OfficialDocuments 236

d. Convention on Access to Official Documents 2375. European Union 240

a. Access to Public Sector Data Held by theEuropean Union Institutions and Bodies 240i. Article 15 of the Treaty on the Functioning

of the European Union (Former Article 255of the EC Treaty) 240

ii. Article 42 of the Charter of FundamentalRights of the EU 242

iii. Regulation 1049/2001 Regarding PublicAccess to European Parliament, Council,and Commission Documents 242

iv. Towards a Review of Regulation 1049/2001:the Green Paper on Public Access toDocuments Held by Institutions of the EuropeanCommunity 246

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b. Access to Public Sector Data Held by the MemberStates 248i. Publaw Reports 249ii. Green Paper on Public Sector Information 249

D. The Obligation of Making Environmental Data Availablefor Access in European and International Documents 2501. United Nations 250

a. Rio Declaration on Environment and Development 250b. Guidelines for Access to Environmental Information 251c. The Aarhus Convention 253

i. Background 253ii. Article 3 of the Aarhus Convention: General

Provisions 255iii. Article 4 of the Aarhus Convention:

Access to Information upon Request 256iv. Article 5 of the Aarhus Convention:

Dissemination of Environmental Information 2582. Organization for Economic Cooperation and Development:

Recommendation of the Council on EnvironmentalInformation 261

3. Council of Europe: The Lugano Convention 2624. European Union 263

a. Access to Documents Held by the CommunityInstitutions and Bodies: Regulation 1367/2006 263

b. Access to Documents Held by Member States 266i. Directive 90/313/EEC 266ii. Access Directive 267iii. Access to Documents Held by Member

States and the European Union: SharedEnvironmental Information System (SEIS) 268

E. The Obligation of Making Spatial Data Availablefor Access in European and International Documents 2681. United Nations 268

a. United Nations Spatial Data Infrastructure 268b. Global Earth Observation System of Systems 269

2. European Union 270a. The INSPIRE Directive 270b. Global Monitoring for Environment and Security

(Kopernikus) 271F. Interim Summary 272

III. The Obligation of Making Public Sector Spatial DataAvailable for Re-use 274A. Introduction 274B. Does Freedom of Information Include a Right to Re-use the

Information? 275

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C. International and European Documents 2751. United Nations 276

a. UNESCO Policy Guidelines 276b. United Nations Spatial Data Infrastructure 276c. Global Earth Observation System of Systems 277

2. Organization for Economic Cooperation andDevelopment 277

3. Council of Europe 2794. European Union 280

a. Synergy Guidelines 280b. The PUBLAW Reports 280c. Green Paper on Public Sector Information 282d. eEurope 2002 Communication 283e. The PSI Directive 283f. The Commission Decision on the Re-use

of Commission Information 285g. Global Monitoring for Environment and Security

(Kopernikus) 286D. Interim Summary 287

IV. The Obligation of Making Public Sector Spatial DataAvailable for Sharing 289A. Introduction 289B. International and European Documents 290

1. United Nations 290a. Rio Declaration and Agenda 21 290b. Framework Convention on Climate Change 291c. United Nations Spatial Data Infrastructure 291d. Global Earth Observation System of Systems 293

2. European Union 295a. INSPIRE 295b. Shared Environmental Information System (SEIS) 296c. Global Monitoring for Environment and Security 297

C. Interim Summary 299V. Conclusion and Outlook towards the Next Chapter:

What Is the Scope of the Obligations of the Public Bodiesto Make Public Sector Spatial Data Available? 300

Chapter 6Defining the Distinctions between Access, Re-use, and Sharing 303I. Introduction 303II. Type of User to Whom Public Sector Spatial Data Is Made

Available 304A. Users Requesting Public Sector Spatial Data for Access 305B. Users Requesting Public Sector Spatial Data for Re-use 305C. Users Requesting Public Sector Spatial Data for Sharing 306

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III. Type of Public Sector Spatial Data That Is Made Available 307A. Typologies of Public Sector Data 308B. Types of Public Sector Data Based on the Content 313

1. Spatial Data 3132. Environmental Data 315

C. Types of Public Sector Spatial Data Basedon the Level of Processing 316

D. Types of Public Sector Spatial Data Based on Formatand Volume 318

E. Interim Summary 320IV. The Purpose for Which Public Sector Spatial Data

Should Be Made Available 321A. Democratic Objectives 322

1. Transparency 3222. Public Participation 3223. Legitimacy and Accountability 3244. Fulfilling One's Rights and Obligations 326

B. Socio-Economic Objectives 3271. Participation in Society: Societal Growth 3272. Development of Communities 3303. Economic Growth 3314. Public Sector Spatial Data as a Public Good 332

a. What Is a Public Good? 332b. Is Information a Public Good? 335c. Is Public Sector Spatial Data a Public Good? 337

C. Better Decision Making 338D. Interim Summary 339

V. The Problematic Character of the Distinctions Between Access,Re-use, and Sharing 340A. Access and Re-use 341B. Re-use and Sharing 347

Chapter 7The Public Task of Providing Spatial Information Servicesin International and European Legislation and Policy Documents 351I. Introduction 351II. The Scope of the Public Task of Providing Information Services

from a Positive Point of View 353A. Introduction 353B. The Public Task of Providing Spatial Information Services

as Part of Freedom of Information? 3531. United Nations 354

a. Universal Declaration on Human Rights 354b. The International Covenant on Civil and Political

Rights 354

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2. Council of Europe 355a. The European Convention on the Protection

of Human Rights and Fundamental Freedoms 355b. Documents of the Committee of Ministers and the

Parliamentary Assembly 355c. The Case Law of the European Court

of Human Rights 3563. Interim Summary 356

C. The Public Task of Providing Public Sector InformationServices in International and European Documents 3571. Introduction 3572. United Nations 357

a. UN Special Rapporteur on Freedom of Opinionand Expression 357

b. United Nations Economic, Social and CulturalOrganization (UNESCO) 358

3. Organization for Economic Co-operation and Development 3594. Council of Europe 360

a. Recommendation No. R(81)19 of the Committeeof Ministers on the Access to Information Heldby Public Authorities 360

b. Recommendation Rec(2002)2 of the Committeeof Ministers to Member States on Access to OfficialDocuments 361

c. Convention on Access to Official Documents 3615. European Union 362

a. The Provision of Information Servicesby the European Union Institutions and Bodies 362i. Regulation 1049/2001 Regarding Public Access

to European Parliament, Council,and Commission Documents 362

ii. Green Paper on Public Access to DocumentsHeld by Institutions of the European Community 362

b. Documents Held by the Member States 363i. Publaw Reports 363ii. Green Paper on Public Sector Information 364

D. The Public Task of Providing Environmental InformationServices in European and International Documents 3651. United Nations 365

a. Rio Declaration on Environment and Developmentand Agenda 21 365

b. Guidelines for Access to Environmental Information 366c. The Aarhus Convention 367

2. OECD: Recommendation of the Council on EnvironmentalInformation 369

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3. European Union 370a. Access to Documents Held by the European

Union Institutions and Bodies: Regulation 1367/2006 370b. Access to Documents Held by Member States 371

i. Directive 90/313/EEC 371ii. Access Directive 371

c. Access to Documents Held by the Member Statesand the Institutions and Bodies of the European Union:Shared Environmental Information System (SEIS) 372

E. The Public Task of Providing Spatial Information Servicesin European and International Documents 3731. United Nations: Global Earth Observation System

of Systems 3732. European Union 374

a. The INSPIRE Directive 374b. Global Monitoring for Environment and Security

(Kopernikus) 375F. Interim Summary 375

III. The Scope of the Public Task of Providing InformationServices from a Negative Point of View 377A. Introduction 377B. The Limits on the Public Task in European

and International Documents 3771. Organization for Economic Cooperation

and Development 3772. European Union 379

a. Guidelines for Improving the Synergybetween the Public and the Private Sectorsin the Information Market 379

b. Publaw Reports 380c. Green Paper on Public Sector Information 381d. The eEurope 2002 Communication 382e. PSI Directive 382f. Commission Decision on the Re-use of Commission

Information 383g. Review of the PSI Directive 383

C. Interim Summary 385IV. Towards the Next Chapter: What Is the Scope of

the Public Task of Providing Information Services? 385

Chapter 8The Possibility of Defining the Public Task 387I. Introduction 387II. The Question of the Scope of the Public Task 388

A. Introduction 388

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B. Recognition of the Problem 388C. Impact of the Lack of Definition of the Public Task 393D. The What-Question and the How-Question 395

III. Attempts at Criteria to Determine the Public Task 396A. Introduction 396B. The Positive Approach: What the Public Bodies Should Do 397

1. Legal Basis 3972. Link with the Core Responsibility of the Public Body 4013. Market Failure 4014. Public Interest 405

a. General 405b. Concretization of Public Interest: Accessibility 407

i. Aspects of Accessibility 408ii. Measures to Ensure Accessibility 410iii. The Dilemma in Ensuring Accessibility 411iv. Link with the Discussion on Raw Data

and Added Value 411v. Dilemma of the Public Task 413

c. Concretization of Public Interest: Types or TargetGroups of Information Services 414

d. Concretization of Public Interest: Universal Service 416i. The Concept and Characteristics of Universal

Service 416ii. Approaches to the Universal Service Concept 420iii. The Usefulness of the Concept for Spatial

Information Services 4215. Interim Summary 423

C. The Negative Approach: What the Public BodiesShould Not Do 424

D. Public Task v. Market: An Absolute Demarcation Line? 4271. Not Exhaustive 4272. Not Mutually Exclusive 429

a. Selling Information Products as Part of the Public Task 429i. General 429ii. The Example of the Ordnance Survey 430

b. Market Services in the Public Interest 431E. The Public Task Debate and Competition Law 431

IV. Competition Law 433A. Public Bodies as Undertakings 434

1. Definition 4342. The State or Public Bodies as Undertakings 4363. Applicability to Spatial Information Services 438

B. Distortions of Competition by Public Bodies ProvidingSpatial Information Services as Undertakings 441

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1. Article 101 Treaty on the Functioning of the EU:Agreements between Undertakings 442a. General 442b. Applicability to Spatial Information Services 443

2. Article 102 Treaty on the Functioning of the EU:Abuse of a Dominant Position 444a. General 444

i. Dominant Position 445ii. Abuse of Dominant Position 446iii. Examples of Abusive Acts with Regard to Pricing 447iv. Example of Abusive Acts: Refusal to Supply 449

b. Applicability to Spatial Information Services 451C. Distortions of Competition by the State as a Sovereign Power 457

1. Article 107 Treaty on the Functioning of the EU:State Aid 457a. General 457

i. Principle: Prohibition of State Aid 457ii. Elements of the State Aid Concept 458iii. Compatible State Aid 460

b. Applicability to Spatial Information Services 461c. Transparency and Separation of Activities 462

i. Transparency Directive 462ii. Treaty on the Functioning of the EU 463iii. Applicability to Spatial Information Services 464

2. Article 106(1) of the Treaty on the Functioningof the EU: Measures Regarding Public Undertakings andUndertakings with Special or Exclusive Rights 466a. Introduction 466b. Public Undertakings and Undertakings

with Special or Exclusive Rights 467c. Measures Contrary to the Treaty on the Functioning

of the EU 470d. Enforcement 472e. Applicability to Spatial Information Services 472

i. The Practice in the Member States 472ii. PSI Directive 473

D. Special Case: Services of General (Economic) Interest 4751. Article 106(2) Treaty on the Functioning of the EU 476

a. Introduction 476b. Definitions 477

i. Revenue Producing Monopoly 477ii. Service of General Economic Interest 477

c. Conditions of Application 480i. Entrustment 480

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ii. Proportionality 481iii. Effect on the Development of Trade 485

d. Enforcement 486e. Interim Summary 486

2. Legislative Activities 486a. Article 16 of the EC-Treaty: From Derogation to

Obligation 487b. The European Commission: From Services of General

Economic Interest to Services of General Interest 489i. Importance of Services of General Interest 489ii. Concept of Services of General Interest 490iii. No Clear Definition 491iv. Some Elements of a Service of General Economic

Interest 492c. Services of General Economic Interest and State Aid 493

3. Applicability to Spatial Information Services 496a. Spatial Information Services of General Economic

Interest 496b. The Public Task and Services of General Economic

Interest 497E. Interim Summary: Competition Law and Spatial Information

Services 498F. Confrontation of Competition Law with the Division

in the EU Legal Framework for the Availabilityof Public Sector Spatial Data 499

V. The Definition of Public Task Remains Contingent 501A. The Definition of Public Task Continues to Evolve 501B. The Definition of Public Task Remains Political 505C. The Scope of the Public Task Depends on Who Defines It 507

1. Democratic Process 5072. Stakeholders Involvement 5083. Regulatory or Advisory Body 5094. Level of Decision Making 510

VI. Interim Summary 512

Chapter 9Conclusion 515I. Hypothesis: The Problematic Character of the EU Legal

Framework 515II. Overview of the Results 516

A. Access, Re-use and Sharing in the Access Directive,the PSI Directive and the INSPIRE Directive 516

B. The Need for a Demarcation between Access, Re-use,and Sharing 516

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1. The Content of Access, Re-use, and Sharing 517a. Access 517b. Re-use 518c. Sharing 519d. Comparison 520

2. The Importance of the Demarcation 521C. The Problematic Character of the Distinction

Between Access, Re-use, and Sharing 522D. Public Bodies as Providers of Public Sector Spatial Data 522

1. Obligations to Make Public Sector Spatial DataAvailable in International and European Legislationand Policy Documents 523

2. Defining the Distinction Between Access, Re-use,and Sharing 524a. Indicators for the Type of Use 524b. The Purpose of the Use 525

3. Confirmation of the Problematic Characterof the Distinction Between Access, Re-use,and Sharing in the Access Directive, the PSI Directive,and the INSPIRE Directive 526

E. Public Bodies as Providers of Spatial Information Services 5281. The Public Task to Provide Spatial Information Services

in International and European Legislation and PolicyDocuments 528

2. The Possibility of Defining the Public Task 530a. Criteria for Defining the Scope of the Public Task

to Provide Spatial Information Services 530b. Competition Law as a Source of Inspiration 532c. Confirmation of the Problematic Character

of the Distinction between Re-use and Sharing 535III. Final Conclusions and Further Thoughts 535

A. Confirmation of the Hypothesis 535B. Comments and Reflections 535

1. Wide Definition of Re-use 536a. Risk for the Right of Access 536b. Revision of the Definition 537

2. The Concept of the Public Task 538a. The Uncertain Character of the Public Task 539b. Reduction of the Uncertain Character of the Public

Task 540c. The Public Task on the Level of the European

Union 541d. Reduction of the Uncertainty of the Public

Task at the Level of the European Union 542

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3. Coherence with Other Legislation and Policies 542a. Competition Law 542b. Other Information Policies and Legislation 543

Table of Legislation and Policy Documents 545

Table of Cases 573

List of References 581

Index 613

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