1 The Internal Market Information System (IMI) and the Services Directive Training for IMI Coordinators: How to set up the alert network and what else you need to know about IMI Version 2.0 Brussels, 10th March 2010

2 1.Authority data management  New authority and user roles  Access to legislative areas and workflows  Other new features of IMI Version Setting up the alert network in your country 3.Case-by-case derogation 4.Questions and answers Content of the plenary session Overview

33 The IMI System Professional Qualifications Information Request Workflow Services Information Request Workflow Alert Workflow 1. Authority data management

44 1. Authority types / Legislative area roles NIMIC - National overall responsibility - Access to all legislative areas - Access to all legislative areas SDIMIC - Overall responsibility for one region - Access to all legislative areas LIMIC - Overall responsibility for one legislative area DIMIC - Responsibility for a legislative area, area of competence or geographical region CA - Main actor involved in exchanging information with other MS

55 1. New legislative area role  Overall competence for one legislative area  One LIMIC per legislative area per MS / region  Can register DIMICs and CAs in its legislative area (LA)  Can manage their access to the LA and related workflows Contact the Commission if you plan to nominate a LIMIC! Contact the Commission if you plan to nominate a LIMIC! The Legislative Area IMI Coordinator (LIMIC)

66 1. Authority roles Distinction of coordinator roles in IMI Version 2.0 Administrative role Registration and validation of authorities Registration and validation of authorities = Validating Coordinator Management of access to legislative areas and workflows Management of access to legislative areas and workflows = Access Coordinator Content-related role Monitoring, intervention in requests, handling referrals Monitoring, intervention in requests, handling referrals = Request Coordinator Monitoring and participation in alert workflow Monitoring and participation in alert workflow = Alert Coordinator

77 1. Administrative roles  Registers and/or validates authorities  Responsible for those authorities’ data management  Can reset the password of the authorities’ Local Data Administrator (LDA) The Validating Coordinator

88 1. Who can register whom? The Validating Coordinator NIMICSDIMICLIMICDIMIC Register/validate SDIMICs √ Register/validate LIMICs √√ Register/validate DIMICs √√√ Register/validate CAs √√√√

99 1. Administrative roles  Grants and manages authorities’ access to  Legislative area(s)  Workflow(s)  Can modify keywords (+ professions) and linked authorities  Can set «flags»  Can set and change the authorities’ workflow role  Can link other coordinators to the authorities The Access Coordinator

Who can manage access? The Access Coordinator NIMICSDIMICLIMICDIMIC Manage access for SDIMICs √ Manage access for LIMICs √√ Manage access for DIMICs √√√ Manage access for CAs √√√√

1111 IMI Authority Information request workflow 1. Content-related roles Content-related roles are defined per workflow Authority (Requests) - Sends and responds to requests for information Request Coordinator - Linked to one or more authorities - Can be selected for a particular request - May intervene in approval or referral process

1212 IMI Authority Alert workflow 1. Content-related roles Content-related roles are defined per workflow Alert Authority - Initiates and receives alerts, reacts to them Request Coordinator - Broadcasts alerts and alert-related information - Can add recipients to incoming alerts Incoming Alert Postbox - Central entry point for alerts - First dissemination - Receives all outgoing alerts

Who can assign workflow roles? NIMICSDIMICLIMICDIMIC Assign the role of Authority (Requests) √√√√ Assign the role of Request Coordinator √√√√ Assign the role of Alert Authority √√√√ Assign the role of Alert Coordinator √√√ Assign the role of IAP √√√ DIMICs cannot assign the role of Alert Coordinator or IAP.

Combination of authority types and roles

Combination of authority types and roles An authority’s administrative role within IMI… … does not determine its content-related role.

Actors and their roles – User privileges User rights in IMI Basic user Local data administrator (LDA) Data administrator General Only for coordinators: Request viewer Request handler Allocator Referral handler Information requests Only for coordinators: Alert viewer Alert handler Alert disseminator Alerts Only for coordinators:

17 Local data administrator (LDA) 1. Actors and their roles – User privileges Data administrator (only for coordinators)  Registers, invites and manages data of other authorities  Can reset passwords of LDAs in coordinated authorities  Manages data of own authority  Registers and manages users in own authority

18 1. Actors and their roles – User privileges Data administrator (only for coordinators)  All LDAs in coordinators have automatically been given data administrator rights  Now possible to separate responsibilities  Possible to restrict number of users with access to other authorities’ data

19 1. Actors and their roles – User privileges Alert Viewer  Can view, save or print full details of alerts (including personal data)  Cannot take any action on them Alert Handler  Deals with alerts on behalf of his authority

20 Alert Disseminator (in Alert Coordinators)  Broadcasts alerts and alert-related information to other Member States  Acknowledges receipt of incoming alerts (IAP only)  Disseminates alerts in own Member State 1. Actors and their roles – User privileges

21 Alert Disseminator (in Alert Coordinators) If the Alert Coordinator has ‘final approval’, an alert disseminator can:  update and edit the content of an alert  delete an alert if he decides not to broadcast it to other MS  edit additional information concerning an alert  update and edit data relating to the proposal/objection to close 1. Actors and their roles – User privileges

22 Request viewer 1. Actors and their roles – User privileges  Can view, save or print full details of requests (including personal data)  Cannot take any action on them

23 1. Lifecycles in IMI Version 1.7 Version 2.0 Introduce authority lifecycle in IMI Introduce authority lifecycle in IMI No changes to authority lifecycle No changes to authority lifecycle Introduce legislative area lifecycle Introduce legislative area lifecycle Two legislative area access statuses renamed Two legislative area access statuses renamed Introduce workflow lifecycle Introduce workflow lifecycle

24 1. Lifecycles in IMI Access to IMI system Access to legislative area Access to workflow

25 1. Access to the alert workflow Authority lifecycle in IMI ACTIVE SUSPENDED INACTIVE Self-registered CA Validated by Coordinator CA registered by Coordinator DELETED

26 1. Authority lifecycle Authority Suspended CA can still deal with ongoing requests CA can still deal with ongoing requests It can still edit its data It can still edit its data It is no longer visible for other users (e.g. when searching) It is no longer visible for other users (e.g. when searching) When all legislative area and workflow accesses are removed, the Validating Coordinator can inactivate the CA When all legislative area and workflow accesses are removed, the Validating Coordinator can inactivate the CA It is now possible to reactivate a suspended authority. It is now possible to reactivate a suspended authority.

27 1. Authority lifecycle Authority Inactivated CA users still login to IMI  possibility to view requests CA users still login to IMI  possibility to view requests LDA can still register new users LDA can still register new users CA not visible for other users (e.g. when searching) CA not visible for other users (e.g. when searching) 6 months after being inactivated, the CA is completely removed from IMI 6 months after being inactivated, the CA is completely removed from IMI

28 1. Legislative area access management Statuses of Legislative Area and workflow access ACCESSACTIVE ACCESSSUSPENDED ACCESSREMOVED ACCESSREQUESTED REACTIVATIONREQUESTED CAREGISTRATION REQUEST REACTIVATION

29 1. Legislative area access management Access status Competent Authority can…  REQUESTED Edit its settings for this LA Edit its settings for this LA  GRANTED Send and receive requests in the LA Send and receive requests in the LA Register users with rights in this LA Register users with rights in this LA  SUSPENDED (and «reactivation requested») Request LA reactivation Request LA reactivation Handle ongoing requests in the LA Handle ongoing requests in the LA  REMOVED Request LA reactivation Request LA reactivation

30 1. Workflow access management Access status Competent Authority can…  REQUESTED Edit its settings for this LA Edit its settings for this LA  GRANTED Send and receive requests in the LA Send and receive requests in the LA Register users with rights in this LA Register users with rights in this LA  SUSPENDED (and «reactivation requested») Request workflow reactivation Request workflow reactivation Handle ongoing requests in the LA Handle ongoing requests in the LA  REMOVED Request workflow reactivation Request workflow reactivation

31 When registering a new authority, a coordinator now needs to…  Choose the legislative area(s) for which the authority will use IMI  Define the authority’s role in each area  Choose the workflow(s) to which the authority should have access  Define the authority’s role in each workflow  Specifically choose at least one linked coordinator per workflow (request coordinator, alert coordinator) 1. What does this mean for registration?

32 Changes to the self-registration process  Legislative area and workflow are no longer selected by default  They can be selected by individual editing or bulk changes to invitations (not for alert workflow!)  Re-submission, deletion of multiple invitations and bulk changes to rejected invitations possible 1. What does this mean for registration?

33 Authorities can…  Request access to new legislative areas/workflows  Request reactivation of legislative areas/workflows to which access was suspended or removed Coordinator validates or rejects request: 1. Requests for access

34 1. Change authority role Version 2.0 allows Coordinators to change authority roles:  Workflow role – e.g. Alert Authority Alert Coordinator Role change possible in workflow status «Suspended» or «Requested»  Legislative area role – e.g. DIMIC LIMIC Role change possible in LA status «Suspended» or «Requested» Workflow access needs to be suspended as well!

35 Small icons indicate the status of the legislative area and workflow access RequestedGrantedSuspendedRemoved 1. IMI lifecycles

36 1. Other new features of Version 2.0 First improvements to CA search  Dropdown lists for keywords and professions  Search by role in legislative area/workflow  Explanation of how free text search functions

37 How to ensure that your authority is found easily 1. Other new features of Version 2.0 Select all relevant keywords and professions upon registration, and keep them up to date Select all relevant keywords and professions upon registration, and keep them up to date After registration, update authority data by selecting economic and policy areas – they are searchable, but they can only be selected and updated after registration After registration, update authority data by selecting economic and policy areas – they are searchable, but they can only be selected and updated after registration Where relevant, use the region name in the informal title (then searchable using free text) Where relevant, use the region name in the informal title (then searchable using free text) …

38 facility for coordinators 1. Other new features of Version 2.0  No more limitation on maximum number of addressees  s sent separately to each recipient  Possibility to add free text to pre-formatted asking an authority to update its data

39 1. Questions and answers

40 1.Authority data management  New authority and user roles  Access to legislative areas and workflows  Other new features of IMI Version Setting up the alert network in your country 3.Case-by-case derogation 4.Questions and answers Content of the plenary session Overview

41 2. The alert workflow – Simplified overview Create and submit Check and broadcast Acknowledge receipt and disseminate Propose closure Comment on closure proposal Broadcast closure proposal Submit objection to closure proposal Close Broadcast objection to closure proposal Initiating MS All receiving MS Member State of Establishment (MSE) MSE All receiving MS Send additional information

42 2. Alert actors The alert mechanism involves up to 3 actors: Alert Authority Alert Authority Alert Coordinator Alert Coordinator One Alert Coordinator flagged as Incoming Alert Postbox (IAP) One Alert Coordinator flagged as Incoming Alert Postbox (IAP)

43 2. Alert actors The Alert Authority Is responsible for issues concerning the health/safety of people or the environment Is responsible for issues concerning the health/safety of people or the environment Is able to initiate outgoing alerts and to react to incoming alerts Is able to initiate outgoing alerts and to react to incoming alerts

44 2. Alert actors The Alert Coordinator Ensures that alerts are adequately treated Ensures that alerts are adequately treated Outgoing alerts: Are the criteria met? Is the information clear? Outgoing alerts: Are the criteria met? Is the information clear? Incoming alerts: Selects recipient Alert Authorities Incoming alerts: Selects recipient Alert Authorities Has a good knowledge of the administrative structure of its own MS Has a good knowledge of the administrative structure of its own MS May be responsible for issues of health/safety of people or the environment May be responsible for issues of health/safety of people or the environment

45 2. Alert actors The Incoming Alert Postbox (IAP) Is the central entry point for alerts Is the central entry point for alerts Acknowledges receipt of incoming alerts Acknowledges receipt of incoming alerts Selects Alert Coordinators and/or Alert Authorities that should receive an alert Selects Alert Coordinators and/or Alert Authorities that should receive an alert Has an overview of all incoming and outgoing alerts for its Member State Has an overview of all incoming and outgoing alerts for its Member State Has a good knowledge of the administrative structure of its own MS Has a good knowledge of the administrative structure of its own MS

46 1. Outgoing alerts Alert Authority Alert Coordinator Incoming Alert Postbox Create an alert  Check/broadcast an alert to other MS*  Receive all outgoing alerts  *Editing the content is only possible if desired (subject to "final approval “ settings for Coordinator) 2. Alert actors

47 2. Alert actors 2. Incoming alerts Alert Authority Alert Coordinator Incoming Alert Postbox Receive all incoming alerts  Acknowledgement of receipt and first dissemination within receiving MS  Add recipients in receiving MS  

48 2. Setting up the alert network Alert Authority Alert Coordinator Incoming Alert Postbox NIMIC  SDIMIC  LIMIC (Services)  DIMIC (Services)  CA (Services)  Who can play which workflow role?

49 2. Setting up the alert network Alert Authority Alert Coordinator Incoming Alert Postbox COM  NIMIC  SDIMIC  LIMIC (Services)  DIMIC (Services)  Who registers whom in the system?

50 2. Setting up the alert network The registration process COM registers IAPs and gives NIMICs and SDIMICs access to alert workflow NIMIC, SDIMICs or LIMIC give further alert coordinators access NIMIC, SDIMICs, LIMIC or DIMICs give further alert authorities access During registration, alert authorities need to be linked to at least 1 alert coordinator/IAP

51 2. Setting up the alert network Linked coordinators  When an authority has access to the alert workflow, the access coordinator can add or remove linked alert coordinators  Alert authorities can only submit alerts and alert- related information to a linked alert coordinator  Alert coordinators can disseminate incoming alerts to any alert authorities or other alert coordinators

52 2. Questions and answers

53 2. Setting up the alert network Discussion: Which structure for the alert network in your country?

54 1.Authority data management  New authority and user roles  Access to legislative areas and workflows  Other new features of IMI Version Setting up the alert network in your country 3.Case-by-case derogation 4.Questions and answers Content of the plenary session Overview

55 3. Case-by-case derogation: introduction Legal basis: Articles 18 of the Services Directive (criteria for sending) and 35 (procedure) Legal basis: Articles 18 of the Services Directive (criteria for sending) and 35 (procedure) Use highly likely to be anecdotical or non-existent Use highly likely to be anecdotical or non-existent Purpose of the case by case derogation: to provide for the safety of services in very exceptional scenarios Purpose of the case by case derogation: to provide for the safety of services in very exceptional scenarios

56 3. Case-by-case derogation: substantive criteria Guidelines available through links in IMI: a) Measure relates to safety of services a) Measure relates to safety of services b) Measure taken against an individual service provider and in exceptional circumstances b) Measure taken against an individual service provider and in exceptional circumstances c) National provisions not subject to Community harmonisation c) National provisions not subject to Community harmonisation d) Measure gives service recipients higher level of protection or/ Member State of establishment does not take sufficient measures in the specific case d) Measure gives service recipients higher level of protection or/ Member State of establishment does not take sufficient measures in the specific case e) Measure is proportionate e) Measure is proportionate

57 3. Case-by- case derogation: procedure Two types of procedure foreseen by the Directive Two types of procedure foreseen by the Directive (I) Normal procedure: Based on prior consultation between the Member State which intends to take measures and the Member State of establishment of service provider. (I) Normal procedure: Based on prior consultation between the Member State which intends to take measures and the Member State of establishment of service provider. (II) Urgent procedure: no prior consultation due to an inminent risk to the safety of services (II) Urgent procedure: no prior consultation due to an inminent risk to the safety of services

58 3. Case-by-case derogation Case-by-case derogation in IMI  No separate workflow ( alerts)  Handled through standard information exchange Authority in charge of case-by-case derogation needs to be registered in IMI (1) for the services module and (2) for the information request workflow

59 3. Case-by-case derogation The « normal procedure » 1.MS in which service is provided sends a request to Member State of Establishment (MSE) 2.MSE checks and replies to the request 3.If the requesting MS is not satisfied, it notifies the MSE and the Commission

60 3. Case-by-case derogation The « normal procedure » CBC Derogation Request CBC Notification of Measures MS of service provision MSE Commission Reply to Request

61 3. Case-by-case derogation

62 3. Case-by-case derogation

63 3. Case-by-case derogation

64 3. Case-by-case notification Important: Notification is not technically linked to derogation request Possibility to assign responsibilities to different authorities Include reference to request number in notification

65 3. Case-by-case notification The « urgency procedure » CBC Notification of Measures MS of service provision MSE Commission Imminent risk to safety of services

66 3. Case-by-case notification

67 1.Authority data management  New authority and user roles  Access to legislative areas and workflows  Other new features of IMI Version Setting up the alert network in your country 3.Case-by-case derogation 4.Questions and answers Content of the plenary session Overview

68 4. Questions and answers

69 Or consult the IMI website: For further information, please contact: