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Underlying principles

The interoperability principles are fundamental behavioural aspects to drive interoperability actions. This chapter sets out general interoperability principles which are relevant to the process of establishing interoperable European public services. They describe the context in which European public services are designed and implemented. The twelve underlying principles of the EIF are grouped into four categories:

  1. Principle setting the context for EU actions on interoperability (1); 
  2. Core interoperability principles (2 to 5); 
  3. Principles related to generic user needs and expectations (6 to 9); 
  4. Foundation principles for cooperation among public administrations (10 to 12).

 

Subsidiarity and Proportionality(1recommendation)| Openness(3recommendations)| Transparency(1recommendation)| Reusability(2recommendations)| Technological neutrality and data portability(2 recommendation)| User-centricity(4 recommendation)| Inclusion and accessibility(1 recommendation)| Security and privacy(1 recommendation)| Multilingualism(1 recommendation)| Administrative semplification(1 recommendation) |Preservation of info(1 recommendation)| Assessment of effectiveness and efficiency(1 recommendation)

1. Subsidiarity and Proportionality

The subsidiarity principle requires EU decisions to be taken as closely as possible to the citizen. In other  words, the EU does not take action unless this is more effective than the same action taken at national level. The proportionality principle limits EU actions to what is necessary to achieve the objectives of the Treaties.

  • Recommendation 1. Ensure that national interoperability frameworks and interoperability strategies are aligned with the EIF and, if needed, tailor and extend them to address the national context and needs.

  • General Data Protection Regulation (GDPR): The General Data Protection Regulation (GDPR) allows European Union (EU) citizens to better control their personal data.
  • Web accessibility directive: This Directive aims to make public sector websites and mobile applications more accessible, and to harmonise varying standards within the EU, reducing barriers for developers of accessibility-related products and services.
  • NIS Directive: This Directive proposes a wide-ranging set of measures to boost the level of security of network and information systems (cybersecurity) to secure services vital to the EU economy and society. 
  • European Electronic Communications Code: The Directive establishes a set of updated rules to regulate electronic communications (telecoms) networks, telecoms services, and associated facilities and services.
  • Services Directive: This Directive aims to remove barriers to trade in services in the EU.
  • Law Enforcement Directive: This Directive aims to better protect individuals’ personal data when their data is being processed by police and criminal justice authorities. 

  • The implementation of the Czech central interoperability governance mechanism. This good practice illustrates the implementation by the Czech Republic of the EIF underlying Principle 1 on subsidiarity and proportionality at the national level. The good practice includes the implementation of a legislative framework in areas of public ICT systems and services where interoperability is a must.
  • The National Interoperability Framework of Spain (ENI). In Spain, cooperation among public administrations, citizens and businesses is considered as a key pre-requisite for interoperability. In the country, interoperability is implemented through the National Interoperability Framework of Spain (ENI), which has been developed in line with the EIF. The compliance of the ENI with the EIF is ensured by the implementation of a gap analysis based on a traffic light system. 
  • The Norwegian Interoperability Framework (NIF). Two main initiatives characterize Norway’s efforts to foster cooperation and coordination among public administrations. The first one is the revision (in 2019 and 2020) of the architecture principles for public sector digitalization which goal is to foster the public sector’s interoperability and interactions with businesses.The second initiative is the publication of the Norwegian Interoperability Framework (NIF) in 2018. It is a national transposition of the European Interoperability Framework (EIF) that aims to help public administrations in defining, developing and managing digital public services, including cross-sectorial ones.
  • The Dutch Governmental Reference Architecture (NORA). One of the key initiatives taken by the combined governmental organizations in the Netherlands was the development of the Dutch Governmental Reference Architecture (NORA) to support the (re)design of governmental services, including European cross-border services. According to the cabinet’s decision in 2008, NORA is designated to ensure the deployment of the EIF in the Dutch government.

2. Openness

The concept of openness mainly relates to data, specifications and software. Open government data (here simply referred ‘open data’) refers to the idea that all public data should be freely available for use and reuse by others, unless restrictions apply e.g. for protection of personal data, confidentiality, or intellectual property rights.

  • Recommendation 2. Publish the data you own as open data unless certain restrictions apply.
  • Recommendation 3. Ensure a level playing field for open source software and demonstrate active and fair consideration of using open source software, taking into account the total cost of ownership of the solution.
  • Recommendation 4. Give preference to open specifications, taking due account of the coverage of functional needs, maturity and market support and innovation.

  • Open Data Directive: The directive promotes the use of open data and lays down the legal framework for the reuse of public-sector information such as geographical, land registry, statistical or legal information held by public-sector bodies or public undertakings, and of publicly funded research data.
  • INSPIRE DIRECTIVE: The INSPIRE Directive lays down general rules setting up an infrastructure for spatial information in Europe for the purposes of European Union (EU) environmental policies and for policies or activities which may have an impact on the environment.
  • Regulation on the free flow of non-personal data: This regulation aims to ensure that electronic data, apart from personal data, can be processed freely throughout the EU. 
  • eProcurement Directive: The legislation specifies that when national authorities use public procurement to invite tenders to provide works, supplies or services, they must treat all applicants equally and not discriminate between them.

3. Transparency

Enabling visibility inside the administrative environment of a public administration. This is about allowing other public administrations, citizens and businesses to view and understand administrative rules, processes, data, services and decision-making.

  • Recommendation 5. Ensure internal visibility and provide external interfaces for European public services.

  • Open Data Directive: The directive promotes the use of open data and lays down the legal framework for the reuse of public-sector information such as geographical, land registry, statistical or legal information held by public-sector bodies or public undertakings, and of publicly funded research data. 
  • INSPIRE DIRECTIVE: The INSPIRE Directive lays down general rules setting up an infrastructure for spatial information in Europe for the purposes of European Union (EU) environmental policies and for policies or activities which may have an impact on the environment.
  • General Data Protection Regulation (GDPR): The General Data Protection Regulation (GDPR) allows European Union (EU) citizens to better control their personal data. 
  • Data Governance Act: This Proposal aims at creating a legislative framework for the governance of common European data spaces.
  • eProcurement Directive: The legislation specifies that when national authorities use public procurement to invite tenders to provide works, supplies or services, they must treat all applicants equally and not discriminate between them.
  • Privacy and Electronic Communications Directive: This Directive sets out rules to ensure security in the processing of personal data, the notification of personal data breaches, and confidentiality of communications.
  • European Electronic Communications Code: The Directive establishes a set of updated rules to regulate electronic communications (telecoms) networks, telecoms services, and associated facilities and services.
  • Single Digital Gateway Regulation: The single digital gateway will facilitate online access to the information, key administrative procedures and assistance and problem-solving services that citizens and businesses may wish to contact if they encounter problems when exercising their internal market rights while living in or doing business in another EU country.
  • Services Directive: This Directive aims to remove barriers to trade in services in the EU.
  • Law Enforcement Directive: This Directive aims to better protect individuals’ personal data when their data is being processed by police and criminal justice authorities.

4. Reusability

Interfaces, standards, information and data are enablers of interoperability and improve quality because they extend operational use as well as saving money and time. This makes it a major contributor to the development of a digital single market in the EU.

  • Recommendation 6. Reuse and share solutions and cooperate in the development of joint solutions when implementing.
  • Recommendation 7. Reuse and share information and data when implementing European public services, unless certain privacy or confidentiality restrictions apply.

  • Open Data Directive: The directive promotes the use of open data and lays down the legal framework for the reuse of public-sector information such as geographical, land registry, statistical or legal information held by public-sector bodies or public undertakings, and of publicly funded research data.
  • INSPIRE DIRECTIVE: The INSPIRE Directive lays down general rules setting up an infrastructure for spatial information in Europe for the purposes of European Union (EU) environmental policies and for policies or activities which may have an impact on the environment.
  • Data Governance Act: This Proposal aims at creating a legislative framework for the governance of common European data spaces.
  • Regulation on Interoperability in the field of police and judicial cooperation, asylum and migration: This regulation aims to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.
  • Regulation on Interoperability in the field of justice, freedom and security: It aims to to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.

5. Technological neutrality and data portability

When establishing European public services, public administrations should focus on functional needs and defer decisions on technology as long as possible in order to minimize technological dependencies to avoid imposing specific technical implementations or products on their constituents.

  • Recommendation 8. Do not impose any technological solutions on citizens, businesses and other administrations that are technology-specific or disproportionate to their real needs.
  • Recommendation 9. Ensure data portability, namely that data is easily transferable between systems and applications supporting the implementation and evolution of European public services without unjustified restrictions, if legally possible.

  • European Directive on patients’ rights: The aim of this directive is to set out the conditions under which a patient may travel to another EU country to receive safe and high-quality medical care and have the cost reimbursed by their own health insurance scheme.
  • NIS Directive: This Directive proposes a wide-ranging set of measures to boost the level of security of network and information systems (cybersecurity) to secure services vital to the EU economy and society. 
  • Single Digital Gateway Regulation: The single digital gateway will facilitate online access to the information, key administrative procedures and assistance and problem-solving services that citizens and businesses may wish to contact if they encounter problems when exercising their internal market rights while living in or doing business in another EU country.
  • Privacy and Electronic Communications Directive: This Directive sets out rules to ensure security in the processing of personal data, the notification of personal data breaches, and confidentiality of communications.
  • General Data Protection Regulation (GDPR): The General Data Protection Regulation (GDPR) allows European Union (EU) citizens to better control their personal data. 
  • Web accessibility directive: This Directve aims to make public sector websites and mobile applications more accessible, and to harmonise varying standards within the EU, reducing barriers for developers of accessibility-related products and services.
  • eIDAS Regulation: The Electronic Identification and Trust Services (eIDAS) Regulation creates a new system for secure electronic interactions across the EU between businesses, citizens and public authorities.

6. User centricity

Users’ needs should be considered when determining which public services should be provided and how they should be delivered.

  • Recommendation 10. Use multiple channels to provide the European public service, to ensure that users can select the channel that best suits their needs.
  • Recommendation 11. Provide a single point of contact in order to hide internal administrative complexity and facilitate users’ access to European public services.
  • Recommendation 12. As far as possible under the legislation in force, ask users of European public services once-only and relevant-only information.
  • Recommendation 13. Users should be asked to provide only the information that is absolutely necessary to obtain a given public service.

  • European Directive on patients’ rights: The aim of this directive is to set out the conditions under which a patient may travel to another EU country to receive safe and high-quality medical care and have the cost reimbursed by their own health insurance scheme.
  • Single Digital Gateway Regulation: The single digital gateway will facilitate online access to the information, key administrative procedures and assistance and problem-solving services that citizens and businesses may wish to contact if they encounter problems when exercising their internal market rights while living in or doing business in another EU country.
  • Services Directive: This Directive aims to remove barriers to trade in services in the EU.
  • Open Data Directive: The directive promotes the use of open data and lays down the legal framework for the reuse of public-sector information such as geographical, land registry, statistical or legal information held by public-sector bodies or public undertakings, and of publicly funded research data.
  • INSPIRE DIRECTIVE: The INSPIRE Directive lays down general rules setting up an infrastructure for spatial information in Europe for the purposes of European Union (EU) environmental policies and for policies or activities which may have an impact on the environment.
  • Web accessibility directive: This Directive aims to make public sector websites and mobile applications more accessible, and to harmonise varying standards within the EU, reducing barriers for developers of accessibility-related products and services.
  • Regulation on the free flow of non-personal data: This regulation aims to ensure that electronic data, apart from personal data, can be processed freely throughout the EU. It bans restrictions on where the data can be stored or processed.
  • Commission Implementing Decision: This Decision lays down the procedural arrangements for facilitating cooperation between Member States, as is necessary in order to ensure the interoperability and security of electronic identification schemes of which Member States are intending to notify or have notified the Commission.
  • Data Governance Act: This Proposal aims at creating a legislative framework for the governance of common European data spaces. 

  • The Norwegian Interoperability Framework (NIF). Two main initiatives characterize Norway’s efforts to foster cooperation and coordination among public administrations. The first one is the revision (in 2019 and 2020) of the architecture principles for public sector digitalization which goal is to foster the public sector’s interoperability and interactions with businesses.The second initiative is the publication of the Norwegian Interoperability Framework (NIF) in 2018. It is a national transposition of the European Interoperability Framework (EIF) that aims to help public administrations in defining, developing and managing digital public services, including cross-sectorial ones.

7. Inclusion and accessibility

Inclusion is about enabling everyone to take full advantage of the opportunities offered by new technologies to access and make use of European public services, overcoming social and economic divides and exclusion. Accessibility ensures that people with disabilities, the elderly and other disadvantaged groups, can use public services at service levels comparable to those provided to other citizens.

  • Recommendation 14. Reuse and share solutions and cooperate in the development of joint solutions when implementing.

  • European Directive on patients’ rights: The aim of this directive is to set out the conditions under which a patient may travel to another EU country to receive safe and high-quality medical care and have the cost reimbursed by their own health insurance scheme.
  • Regulation on Interoperability in the field of police and judicial cooperation, asylum and migration: This regulation aims to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.
  • Single Digital Gateway Regulation: The single digital gateway will facilitate online access to the information, key administrative procedures and assistance and problem-solving services that citizens and businesses may wish to contact if they encounter problems when exercising their internal market rights while living in or doing business in another EU country.
  • Services Directive: This Directive aims to remove barriers to trade in services in the EU.
  • Law Enforcement Directive: This Directive aims to better protect individuals’ personal data when their data is being processed by police and criminal justice authorities. 
  • Regulation on Interoperability in the field of justice, freedom and security: It aims to to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.
  • INSPIRE DIRECTIVE: This Directve aims to make public sector websites and mobile applications more accessible, and to harmonise varying standards within the EU, reducing barriers for developers of accessibility-related products and services.
  • eIDAS Regulation:The Electronic Identification and Trust Services (eIDAS) Regulation creates a new system for secure electronic interactions across the EU between businesses, citizens and public authorities.

8. Security and privacy

Citizens and businesses must be confident that when they interact with public authorities they are doing so in a secure and trustworthy environment and in full compliance with relevant regulations, e.g. the Regulation and Directive on data protection, and the Regulation on electronic identification and trust services. 

  • Recommendation 15. Define a common security and privacy framework and establish processes for public services to ensure secure and trustworthy data exchange between public administrations and in interactions with citizens and businesses.

  • General Data Protection Regulation (GDPR): The General Data Protection Regulation (GDPR) allows European Union (EU) citizens to better control their personal data. 
  • Data Governance Act: This Proposal aims at creating a legislative framework for the governance of common European data spaces.
  • eProcurement Directive: The legislation specifies that when national authorities use public procurement to invite tenders to provide works, supplies or services, they must treat all applicants equally and not discriminate between them.
  • eIDAS Regulation: The Electronic Identification and Trust Services (eIDAS) Regulation creates a new system for secure electronic interactions across the EU between businesses, citizens and public authorities.
  • Commission Implementing Regulation:This Regulation lays down technical and operational requirements of the interoperability framework in order to ensure the interoperability of the electronic identification schemes which Member States notify to the Commission.
  • European Directive on patients’ rights: The aim of this directive is to set out the conditions under which a patient may travel to another EU country to receive safe and high-quality medical care and have the cost reimbursed by their own health insurance scheme.
  • Regulation on Interoperability in the field of police and judicial cooperation, asylum and migration: This regulation aims to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.
  • Privacy and Electronic Communications Directive: This Directive sets out rules to ensure security in the processing of personal data, the notification of personal data breaches, and confidentiality of communications.
  • NIS Directive: This Directive proposes a wide-ranging set of measures to boost the level of security of network and information systems (cybersecurity) to secure services vital to the EU economy and society. It aims to ensure that EU countries are well-prepared and are ready to handle and respond to cyberattacks.
  • eInvoicing Directive: E-invoicing by a business in one EU country for work done for or goods delivered to a public authority in another has been hampered by problems of a lack of interoperability, i.e. incompatible e-invoicing systems in different countries.
  • Law Enforcement Directive: This Directive aims to better protect individuals’ personal data when their data is being processed by police and criminal justice authorities. 
  • Regulation on Interoperability in the field of justice, freedom and security: It aims to to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.

9. Multilingualism

European public services can potentially be used by anyone in any Member State. So, multilingualism needs to be carefully considered when designing them. Citizens across Europe often have problems in accessing and using digital public services if these are not available in the languages they speak. A balance needs to be found between the expectations of citizens and businesses to be served in their own language(s) or their preferred language(s) and the ability of Member States’ public administrations to offer services in all official EU languages. 

  • Recommendation 16. Use information systems and technical architectures that cater for multilingualism when establishing a European public service. Decide on the level of multilingualism support based on the needs of the expected users.

  • Open Data Directive: The directive promotes the use of open data and lays down the legal framework for the reuse of public-sector information such as geographical, land registry, statistical or legal information held by public-sector bodies or public undertakings, and of publicly funded research data.
  • Regulation on Interoperability in the field of police and judicial cooperation, asylum and migration: This regulation aims to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.
  • Single Digital Gateway Regulation: The single digital gateway will facilitate online access to the information, key administrative procedures and assistance and problem-solving services that citizens and businesses may wish to contact if they encounter problems when exercising their internal market rights while living in or doing business in another EU country.
  • Regulation on Interoperability in the field of justice, freedom and security: It aims to to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.

10. Administrative simplification

Where possible, public administrations should seek to streamline and simplify their administrative processes by improving them or eliminating any that does not provide public value. Administrative simplification can help businesses and citizens to reduce the administrative burden of complying with EU legislation or national obligations. 

  • Recommendation 17. Simplify processes and use digital channels whenever appropriate for the delivery of European public services, to respond promptly and with high quality to users’ requests and reduce the administrative burden on public administrations, businesses and citizens.

  • Web accessibility directive: This Directve aims to make public sector websites and mobile applications more accessible, and to harmonise varying standards within the EU, reducing barriers for developers of accessibility-related products and services.
  • Single Digital Gateway Regulation: The single digital gateway will facilitate online access to the information, key administrative procedures and assistance and problem-solving services that citizens and businesses may wish to contact if they encounter problems when exercising their internal market rights while living in or doing business in another EU country.
  • Services Directive: This Directive aims to remove barriers to trade in services in the EU.

  • The Norwegian Interoperability Framework (NIF). Two main initiatives characterize Norway’s efforts to foster cooperation and coordination among public administrations. The first one is the revision (in 2019 and 2020) of the architecture principles for public sector digitalization which goal is to foster the public sector’s interoperability and interactions with businesses.The second initiative is the publication of the Norwegian Interoperability Framework (NIF) in 2018. It is a national transposition of the European Interoperability Framework (EIF) that aims to help public administrations in defining, developing and managing digital public services, including cross-sectorial ones.

11. Preservation of information

Legislation requires that decisions and data are stored and can be accessed for a specified time. This means that records and information in electronic form held by public administrations for the purpose of documenting procedures and decisions must be preserved and be converted, where necessary, to new media when old media become obsolete. The goal is to ensure that records and other forms of information keep their legibility, reliability and integrity and can be accessed as long as needed subject to security and privacy provisions. 

  • Recommendation 18. Formulate a long-term preservation policy for information related to European public services and especially for information that is exchanged across borders.

  • Open Data Directive: The directive promotes the use of open data and lays down the legal framework for the reuse of public-sector information such as geographical, land registry, statistical or legal information held by public-sector bodies or public undertakings, and of publicly funded research data.
  • General Data Protection Regulation (GDPR): The General Data Protection Regulation (GDPR) allows European Union (EU) citizens to better control their personal data.
  • eIDAS Regulation: The Electronic Identification and Trust Services (eIDAS) Regulation creates a new system for secure electronic interactions across the EU between businesses, citizens and public authorities.
  • Regulation on Interoperability in the field of police and judicial cooperation, asylum and migration: This regulation aims to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.
  • NIS Directive: This Directive proposes a wide-ranging set of measures to boost the level of security of network and information systems (cybersecurity) to secure services vital to the EU economy and society. It aims to ensure that EU countries are well-prepared and are ready to handle and respond to cyberattacks.
  • Law Enforcement Directive: This Directive aims to better protect individuals’ personal data when their data is being processed by police and criminal justice authorities.
  • Regulation on Interoperability in the field of justice, freedom and security: It aims to to improve checks at the EU’s external borders, allow for better detection of security threats and identity fraud, and help in preventing and combating illegal immigration.

  • The Norwegian Interoperability Framework (NIF). Two main initiatives characterize Norway’s efforts to foster cooperation and coordination among public administrations. The first one is the revision (in 2019 and 2020) of the architecture principles for public sector digitalization which goal is to foster the public sector’s interoperability and interactions with businesses.The second initiative is the publication of the Norwegian Interoperability Framework (NIF) in 2018. It is a national transposition of the European Interoperability Framework (EIF) that aims to help public administrations in defining, developing and managing digital public services, including cross-sectorial ones.

12. Assessment of effectiveness and efficiency

There are many ways to take stock of the value of interoperable European public services, including considerations such as return on investment, total cost of ownership, level of flexibility and adaptability, reduced administrative burden, efficiency, reduced risk, transparency, simplification, improved working methods, and level of user satisfaction. 

  • Recommendation 19. Reuse and share solutions and cooperate in the development of joint solutions when implementing.

  • Services Directive: This Directive aims to remove barriers to trade in services in the EU.

  • The Norwegian Interoperability Framework (NIF). Two main initiatives characterize Norway’s efforts to foster cooperation and coordination among public administrations. The first one is the revision (in 2019 and 2020) of the architecture principles for public sector digitalization which goal is to foster the public sector’s interoperability and interactions with businesses. The second initiative is the publication of the Norwegian Interoperability Framework (NIF) in 2018. It is a national transposition of the European Interoperability Framework (EIF) that aims to help public administrations in defining, developing and managing digital public services, including cross-sectorial ones.
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