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(The homepage for this consultation is on DEFRA’s website. The deadline for submission is 26 May 2009.)

Introduction

1. This document seeks your views on the way in which Defra and the Devolved Administrations of Northern Ireland, Scotland and Wales propose to transpose1 the Infrastructure for Spatial Information in the European Community (INSPIRE) Directive 2007/2/EC (the “Directive”) into UK law.

2. INSPIRE is about electronic spatial data and services for environmental information. It aims to create a European Spatial Data Infrastructure, based on Member States’ infrastructures, to improve the interoperability of spatial information. These data and services will be delivered through initiatives across Europe, for example, the provision of a European Inspire geo-portal.

3. Developing this initiative will require negotiation and adoption at a pan European level of a range of implementing rules covering for example metadata, data specifications, network services, data and data service sharing, monitoring and reporting requirements. This work has begun but will continue beyond the transposition of the parent Directive. The adoption of new implementing rules may require further UK regulation and a preliminary timetable based on the latest available information is set out in Annex 3.

4. In implementing this Directive there will be a duty placed on all public authorities. However INSPIRE does not require the collection of new data sets and so for those public authorities already publishing environmental data this may be very much ‘business as usual’ but the overall impact will need to be assessed by all public authorities on a case by case basis. The implementation of this Directive may also create efficiencies through opportunities for better collaboration and faster access to data.

5. The scope of this Directive is very wide but is focused on the Environment for which Defra has the cross government policy lead. Defra, with the support of all relevant Government Departments and the Devolved Administrations, is coordinating this consultation and future management of this Directive. Separate Geographic Information Strategies and activities for place-related information in the Devolved Administrations are already in place. The impact of INSPIRE on these is currently being assessed, as well as their contribution to the overall implementation of the Directive by the UK.

6. The Directive has already been adopted and is therefore no longer open for debate. This consultation is about the transposition of that Directive and concerns the policy principles to be used when undertaking the detailed drafting of the transposition Statutory Instrument (SI). Defra, with the agreement of the Northern Ireland and Welsh Assemblies, is preparing to transpose this Directive in England, Wales and Northern Ireland. It is proposed that complementary regulations will be prepared by the Scottish Government. This joint consultation will inform the making of both sets of Regulations.

7. Annex 1 describes how we propose to apply the policy principles – see paragraph 12 – in developing the SIs. Many of the provisions in the Directive are straightforward and have the support of those stakeholders involved in the detailed negotiations that have already taken place. There are discrete questions set out in the main body of this document that seek your views in areas where the UK has some discretion.

8. In line with normal regulatory practice we have developed a draft impact assessment for the UK which can be found as a separate document on the Defra website. The impact assessment seeks to estimate the costs and benefits of the transposition for the UK as a whole. The main body of this document contains questions on the impact assessment and invites views on any other issues raised by this consultation.

Transposing the INSPIRE Directive

9. This section briefly explains the organisations we have involved in developing our proposals so far and the policy principles we have used in that process. Annex 1 contains details of how we propose to undertake this transposition.

Stakeholder involvement

10. Defra has involved all major central government departments, representatives of local government and other public authority stakeholders in discussions throughout the negotiation of the Directive and there is a cross-government working group and a transposition project board advising on the latest stages of this process. These activities have included all the Devolved Administrations. Those organisations and government departments consulted so far are listed in Annex 4.

11. Defra has also taken part in a range of outreach activities to engage a wide community of stakeholders, including presentations at annual EC events on geospatial information systems, the annual conference of the Association of Geographic Information; and attendance at technical meetings such as the Digital National Framework programme8.

Policy Principles

12. The following policy principles have formed the basis for preparing the transposition:

13. Annex 1 sets out the detailed proposals for the transposition which as explained above will result initially in two SIs. In simple terms these will set out obligations on public authorities to:

14. There are also obligations on Member States to, for example, facilitate the process of data sharing between its public authorities, between the public authorities of other Member States and provide the European Commission with monitoring reports and information. For the UK, Defra and the Devolved Administrations are proposing to create a Coordination Unit to bring all this work together see paragraphs 31 - 34 of Annex 1.

Impact Assessment

15. A draft Impact Assessment for the UK has been prepared in line with Government good practice. It summarises the available evidence on costs and benefits and other impacts and can be found at http://www.defra.gov.uk/corporate/consult/inspire/index.htm. At earlier stages in the development of the Directive, a Community-wide Impact Assessment was undertaken. The UK also developed an assessment of the Directive’s final proposals. In looking at transposition, two options have been considered: a business as usual (do nothing) approach and an implementation option reflecting the proposals in this consultation document. In summary the impact assessment concludes that the benefits of implementation outweigh the costs, although further work needs be done to develop this assessment. As part of the consultation process you are invited to provide us with evidence to help in that development.

Costs

16. It is believed that the provision of the underpinning infrastructure for INSPIRE can be accommodated within current planned expenditure under business as usual conditions and that future investments and activities will be aligned with the emerging technical standards and implementing rules. The assessment shows that one-off costs of implementation over 10 years are estimated to be some GBP55 - GBP60m for the UK.

Benefits

17. Implementation of the Directive is expected to result in substantial benefits. At this stage it is difficult to provide precise estimates as to their quantum and timing given that many of the implementing rules have yet to be agreed. Nevertheless, the assessment shows that the average annual benefits of implementation, excluding one off benefits, are estimated to be some GBP70 - GBP130m across the UK

How the Directive fits with the UK’s Location Strategy and Spatial Data Infrastructure

18. Implementation of the INSPIRE Directive is a component part of the wider UK Location Strategy, which has wide cross-government and Devolved Administration support. Because of this relationship, implementation will be through a joint work programme which will cover the “environmental” requirements of INSPIRE and requirements for other policy areas that are also covered in the wider Strategy. This work programme will be governed by a Location Council made up of senior government officials and chaired by Defra. Ancillary governance and stakeholder groups will be established to work out the details of implementation and ensure key interests are considered. The programme has been given the working title of the UK Spatial Data Infrastructure Programme. This will also build on the contribution that will be made by the Devolved Administration GI Strategies/SDIs

19. Details of the implementation will emerge as the programme progresses. The programme will need to consider amongst other things:

20. The proposed actions of the joint programme will seek to maximise the potential and business benefit of exploiting spatial information through enhanced knowledge of what data is available, the use of common reference data, a common infrastructure of standards, technology, and business relationships and the development of appropriate skills.

Consultation Questions

Transposition

21. We have set out in Annex 1 our approach to transposition to give you an understanding of what the SIs will contain. In line with our first policy principle (paragraph 12) we have made extensive use of the definitions contained in the Directive. In particular:

(1) Annex 1 Paragraph 2. We propose on grounds of consistency to adopt the definitions of ‘public authority’ already used in the Environmental Information Regulations (EIR) and Environmental Information (Scotland) Regulations (EIR(Scotland)), rather than the definition in the INSPIRE Directive. We would welcome your views.

Derogations

(2a) Annex 1 Paragraph 9(c)(i) concerns the limit we propose to put on the application of INSPIRE to local authorities. The Directive generally applies to public authorities but by way of derogation10 covers the lowest level of government only if there are national laws or regulations requiring the collection of spatial data sets. We intend to limit the scope of this SIs so that they apply only to District Councils or above in England and their equivalents in Northern Ireland, Scotland and Wales; and then only in circumstances in which such local authorities are legally required to collect or disseminate spatial data sets. We would welcome your views.

(2b) Annex 1 Paragraph 25 sets out the derogations on the provision of Network Services. For example, public access to spatial data sets and discovery services may be limited where this would adversely affect international relations, public security or national defence. The Directive proposes wider limitations for public access to spatial data sets and view, download, transformation services and services allowing spatial data services to be invoked which are also set out in paragraph 25. We propose to adopt these when drafting the SIs and would welcome your views.

(2c) Annex 1 Paragraph 29 sets out the derogations on data access and sharing between public authorities when this would compromise the course of justice, public security, national defence or international relations. We propose to adopt these when drafting the SIs and would welcome your views.

(3) We would like to hear from you if you have any other issues about the way we propose to transpose this Directive or the content of the SIs

Impact Assessment

(4) We would welcome from you detailed information about the costs and benefits of INSPIRE and in particular how information about costs and benefits might be collected following transposition.

Other Issues

(5) Are there any other matters in this Consultation Document on which you would like to comment?

Annex 1: Transposition of the Directive in the UK

Definitions

What organisations are covered?

1. The Directive covers spatial data and services relating to environmental information provided by ‘public authorities’, or delivered on their behalf by other organisations. ‘Third parties’, who are not public authorities, to whom the INSPIRE network has been made available, are also within scope.

2. ‘Public authorities’ are defined in the Directive. However they have already defined in UK regulation from previous Directives14 and so as an aid to consistency and general public understanding we propose to adopt the existing legal definitions – see Appendix 1- when transposing the Directive into the SI.

3. ‘Third parties’ are defined in the Directive as meaning ‘any natural or legal person other than a public authority’.

4. Public authorities will be obliged to produce and keep up to date ‘metadata’ (see paragraph 6); to ensure ‘interoperability’ (see paragraph 7) and where practical harmonisation of ‘spatial data sets’ (see paragraphs 9 - 11) and ‘services’ (see paragraph 12), provide network services (see paragraph 15) and adopt measures for sharing spatial data sets and services (see paragraphs starting at 28). These obligations, other than sharing data sets and services, will apply also to third parties joining INSPIRE.

What spatial information and services are covered?

5. The Directive does not require the collection of new spatial data16 but it includes the elements of ‘infrastructure for spatial information’, each of which is separately defined (see below). It includes: ‘metadata, spatial data sets and spatial data services; network services and technologies; agreements on sharing, access and use; and coordination and monitoring mechanisms, processes and procedures, established, operated or made available in accordance with the Directive’.

6. ‘Metadata’ is defined in the Directive as meaning ‘information describing spatial data sets and spatial data services and making it possible to discover, inventory and use them’. Metadata also includes information on the conformity of spatial data sets with the implementing rules; conditions applying to access to and use of spatial data sets and services and where applicable, corresponding fees; quality and validity of spatial data sets; the public authorities responsible for the establishment, maintenance and distribution of spatial data sets and services; and limitations on public access and the reasons for such limitations. Assessing the completeness and quality of such metadata will be a matter for the co-ordination unit described in paragraph 32 below.

7. ‘Interoperability’ means ‘the possibility for spatial data sets to be combined and for services to interact, without repetitive manual intervention, in such a way that the result is coherent and the added value of the data sets and services is enhanced’. Consultees should note that the SIs will say nothing more about interoperability (Article 7) until implementing rules are adopted by the EC22.

8. ‘Spatial data’ are defined in the Directive as meaning ‘any data with a direct or indirect reference to a specific location or geographical area’.

9. A ‘spatial data set’ is defined in the Directive as meaning: ‘an identifiable collection of spatial data’. Spatial data sets are also defined in the Directive as fulfilling a number of conditions:
(a) they relate to an area where the UK has and/or exercises jurisdictional rights;
(b) they are in electronic format;
(c) they are held by or on behalf of any of the following:

(i) a public authority, having been produced or received by a public authority, or being managed or updated by that authority and falling within the scope of its public tasks;
Consultees will wish to note that in the case of local authorities, we intend to limit the scope of this condition to apply only to District Councils or above in England and their equivalents in Northern Ireland, Scotland and Wales; and only then in circumstances in which such local authorities are legally required to collect or disseminate spatial data sets.
(ii) a third party to whom the INSPIRE network has been made available;

(d) they relate to one or more of the themes listed in Annexes I, II or III of the Directive.

10. Consultees will wish to note that the Directive requires that a public authority can only take action over spatial data sets in which a third party holds the intellectual property rights with the consent of that third party.

11. The Directive also recognises that multiple copies of the same spatial data set may exist and that it should apply only to the reference (source) version from which copies have been derived.

12. A ‘spatial object’ is defined in the Directive to mean ‘an abstract representation of a real-world phenomenon related to a specific location or geographical area’.

13. ‘Spatial data services’ are defined in the Directive to mean ‘the operations which may be performed, by invoking a computer application, on the spatial data contained in spatial

14. The Directive sets out a timetable for the creation of metadata for existing data sets and services. In the case of spatial data sets corresponding to the themes listed in Annex I and II of the Directive [see page 25] it is no later than 2 years after the implementing rules are adopted by the EC; and no later than 5 years for themes listed in Annex III [see pages 25 - 26]. The Metadata Regulations No 1205/200833 came into effect on 24 December 2008, hence the metadata service for the data sets corresponding to themes in Annex I and II must be available by 24 December 2010.

Network Services

15. The Directive describes ‘network services’ for the spatial data sets and services for which metadata have been created34. Such services will be provided by public authorities and those third parties to whom the network has been made available. Implementing rules for network services are being developed by the EC and, once they are completed, we will consider whether the SIs will need to be amended in the future. A number of derogations are set down in the Directive and our proposals for these are contained in paragraph 25 below.

16. Network services include:
(a) discovery services making it possible for the public to search free of charge, for spatial data sets and services on the basis of the content of the corresponding metadata and to display the content of the metadata;
(b) view services making it possible, as a minimum, to display, navigate, zoom in/out, pan, or overlay viewable spatial data sets and to display legend information and any relevant content of metadata;
(c) download services, enabling copies of spatial data sets, or parts of such sets, to be downloaded and, where practicable, accessed directly;
(d) transformation services, enabling spatial data sets to be transformed into a standard meeting appropriate standards with a view to achieving interoperability;
(e) services allowing spatial data services to be invoked. [This could involve for example, chaining services from different organisations together to produce a totally new service.]

17. As a minimum, the following combination of search criteria will be adopted for discovery services:
(i) keywords;
(ii) classification of spatial data and services;
(iii) the quality and validity of spatial data sets;
(iv) geographical location;
(v) conditions applying to the access to and use of spatial data sets and services;
(vi) the public authorities responsible for the establishment, management, maintenance and distribution of spatial data sets and services

18. Compatible with Government policy on charging, the Directive provides that view services shall generally be available to the public free of charge37 but that public authorities may apply charges where such charges secure the maintenance of spatial data sets and corresponding data services, especially in cases involving very large volumes of frequently updated data38. The new SIs will give individual public authorities the discretion to exercise this derogation. Where charges are made e-commerce services must be available39 and charges must not exceed the costs of maintaining spatial data sets and services. We do not propose to prescribe what is meant by ‘very large volumes of frequently used data’ in the SIs.

19. Article 14(3) of the Directive states that the data made available through view services may be in a form preventing re-use for commercial purposes. However there is a balance to be struck and this provision should be interpreted in a way that implies a presumption in favour of public access. This may be an issue on which the proposed Co-ordination Unit – see below - issues guidance.

20. The new SIs will require that where charges are levied for download services e-commerce services shall be available.

21. The Directive says that transformation services shall be combined with discovery, view, download and services allowing spatial data services to be invoked in such a way as to enable all services to be operated in conformity with the interoperability implementing rules.

22. The new SIs will require that where charges are levied for download or transformation services, e-commerce services shall be available.

23. The Directive says that the network services shall take into account relevant user requirements and be easy to use, available to the public and accessible via the Internet or any other appropriate means of telecommunication. The SIs will set out these principles but given the rich diversity of user and technical issues involved this will in due course be supplemented by detailed guidance from the Co-ordination Unit.

24. The new SIs created by this transposition should also be seen against the backdrop of the existing framework for information sharing. In particular:

25. The Directive proposes that public access to spatial data sets and services through discovery services may be limited where this would adversely affect international relations, public security or national defence44. Similarly, public access to spatial data sets and view, download, transformation services and services allowing spatial data services to be invoked, together with any associated e-commerce services may be limited where such access would:

26. The Directive goes on to say that the grounds for limiting access shall be interpreted in a restrictive way, taking account of the public interest served by providing access; and this shall not generally limit access to information on emissions into the environment46.

27. These provisions are broadly consistent with those already contained in the EIR and EIR (Scotland) and we intend to take advantage of these derogations.

Data access and sharing

28. The Directive will facilitate the publication and sharing of data between public authorities. The Directive will enable public authorities to gain access to spatial data sets and services for the purposes of public tasks that may have an impact on the environment. Data sharing will be open similarly to other Member States and EU institutions; and the sharing of spatial data sets and services will also be open on a reciprocal and equivalent basis to international bodies to which the UK is a party

29. The Directive allows current arrangements to continue whereby public authorities48 supply, at a charge or under licence, other public authorities or EU institutions with spatial data sets and services Where charges are made these shall be kept to the minimum to ensure the necessary quality and supply of data sets and services and a reasonable return on investment. Data sets and services shall be provided free of charge to institutions and bodies to fulfil Community reporting obligations

30. The Directive provides for limits on the sharing of data when this would compromise the course of justice, public security, national defence or international relations and we would propose to include these limits in the SIs.

Monitoring and Reporting - a unit to co-ordinate implementation of the SIs on a UK basis

31. This section describes what we are proposing to do by creating a Co-ordination Unit to address the UK’s reporting and monitoring requirements of the Directive.

32. The Directive places a number of responsibilities on Member States to coordinate and report outcomes to the EC. Defra has considered alternative arrangements but in conjunction with the Devolved Administrations proposes that the ‘UK Spatial Data Infrastructure Co-ordination Unit’ will have responsibility for monitoring and reporting on prescribed matters to the EC50. An overview of the Unit’s functions would be to:

(a) Co-ordinate implementation and ongoing operations;

(b) Operate a UK portal including metadata registration service;

(c) Act as contact point for the European Commission;

(d) Compile and submit monitoring reports to the EC, and make them publicly available;

(e) Co-ordinate UK representation to EC working groups;

(f) Collate material on costs and benefits to the UK of the implementing rules;

(g) Ensure compliance with Directive56, working with/through the Devolved Administrations where appropriate;

(h) Provide central communications, marketing and guidance;

(i) Promote skills development.

33. Central communications, marketing and skills development are central to realising the benefits from the central coordination unit and these costs have been factored into the Impact Assessment.

34. A key function of this unit, working closely with the Devolved Administrations, will be to ensure effective compliance with the new Regulations. Beyond its scope are access compliance under the EIR and EIR(Scotland) (the granting of access to and supply of spatial information). These will continue to be the responsibility of the Information Commissioners in England/Wales/Northern Ireland and in Scotland; and re-use compliance (agreement to grant licences, licensing terms and fees) will continue to be the responsibility of the Office of Public Sector Information. Access and re-use compliance are governed by existing powers.

Annex 2, 3 and 4 - Link to consultation PDF