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Competent Authorities 2 June 2009
http//www.berr.gov.uk/servicesdirective
Email servicesdirective_at_berr.gsi.gov.uk
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The EU Services Directive Guidance for Competent
Authorities
Agenda
1000 - 1115 What is the Services Directive
1130 - 1245 Your connection to the Point of
Single Contact
1245 130 Lunch and Networking
130 230 The Point of Single Contact and your
website
245 400 Next steps, readiness level, follow-up
400 onwards Coffee and Q A
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What is the EU Services Directive
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Aims of the Directive

• To open up the internal market in services
• removes unjustifiable barriers to service
  provision
• introduces measures to help increase cross-border
  provision of services
• Worth 4-6 billion a year up to 80,000 new jobs
  in UK
• Cost and time savings for Competent Authorities

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What the Directive requires

• Abolish restrictive legislation and practices
  hindering service providers
• Set up Point of Single Contact enabling
  businesses to find out what licences and
  authorisations they need and to apply
  electronically
• Regulators to co-operate with counterparts in
  other EU countries
• Clarify rights of consumers

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Timeframe

• December 2006 Directive adopted by EU
  countries
• November 2007 BERR consulted stakeholders on
  implementation proposals
• June 2008 Government response to the
  consultation was published
• January 2009 Start Publicity and awareness
  campaign
• May 2009 Draft regulations published
• July 2009 Regulations laid in Parliament
• 28th December 2009 UK must implement the
  Directive by this date

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Coverage of the Directive

• All service provision unless specifically
  excluded
• Main exclusions are
• Financial services, e-comms and audiovisual,
  transport, healthcare, gambling, social services,
  private security, tax
• Criminal law and labour law
• Day to day rules also affecting individuals

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What does the Directive mean to Competent
Authorities
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What is a Competent Authority?

• A body which as a supervisory or regulatory role
• Authorises a business to operate in the UK
• Licences, registrations, permits, notifications
  etc.
• Includes govt departments, local authorities,
  regulators and professional bodies
• Can have horizontal responsibility (e.g.
  Environment Agency) or sector specific (e.g.
  Solicitors Regulation Authority)

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Tasks for Competent Authorities

• Screen administrative processes
• Administrative Cooperation
• Quality of Services
• Complete procedures electronically via the Point
  of Single Contact (PSC)

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Screening Administrative processes

• Main factors for Competent Authorities to
  consider
• Non discriminatory
• Necessary
• Proportionate
• Reasonable time period
• Professional Qualifications Directive regimes
  predominantly compliant

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Tacit Authorisation

• All applications must be processed within a
  reasonable time period, which is made public in
  advance
• Failure to respond within advertised time implies
  licence is granted
• Clock starts from time when all valid
  documentation has been submitted
• Applicants must be informed ASAP if additional
  documentation is required

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Tacit Authorisation (cont)

• All applications must be acknowledged
• Applicants must be made aware
• if tacit authorisation applies
• time period within which the authorisation should
  be granted

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Administrative Cooperation

• Ensure proper regulatory supervision of service
  providers operating across the EU
• Reply to information requests
• Carrying out checks

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Administrative Cooperation

• Web-based Internal Market Information (IMI)
  system will allow secure messaging for
  Authorities to communicate directly
• Translates requests
• National Liaison Point (will sit in BERR)
• Send alerts to other EU countries
• activity that could cause serious damage to
  peoples health or safety or the environment

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Quality of Services

• Enhance consumer confidence
• Lift total bans on commercial communications
• No restrictions on multi-disciplinary activities
  (except regulated professions and accreditation
  providers)
• Consumer portal

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Action List

• ? Screen administrative processes
• ? Review where Tacit Authorisation applies
• ? Register on the IMI
• ? Provide register details
• ? Register for IMI Training

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Point of Single Contact (PSC) overview

• UK web portal
• Applicants must be able to
• find rules and formalities they need to comply
  with
• complete applications electronically (submit
  application forms, supporting documents, fee
  payment)
• BERR will provide standard online forms and
  document attachment facilities

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User Searches or follows signpost
Arrives at Businesslink
Arrives at PSC
Arrives at CA website
Specifies information required by sector and
location
Obtains broad details of formality
User decides to proceed with license application
(next slide)
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CA has got own online procedure?
No
Yes
User enters data directly into CA online form
system
User sent to PSC/BL transaction with relevant CA
header, tacit authorisation info etc.
CA confirms receipt and tacit authorisation
timescale
User enters data on PSC form
PSC notifies CA form ready for collections
CA processes application
CA collects data acknowledges receipt via PSC and
begins processing
CA confirms decision to user electronically
CA confirms decision to user electronically
through PSC
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Regulations and the PSC

• Regulation 32 CAs to make registration
  application process available electronically
  either directly or using PSC portal.
• Regulations 36-38 CAs providing information
  including the required details on formalities
  (including timescales) in an electronic format.
• Regulation 39 Government to put in place the UK
  Point of Single Contact.

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Point of Single Contact (PSC)

• Websites must provide business information that
  covers
• how service providers apply for a permit /
  licence
• relevant contact details
• how public registers and databases on providers
  and services can be accessed
• means of redress in the event of a dispute

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Session 2Meeting your obligations to accept
online applications
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What is the obligation?

• All procedures and formalities relating to
  access to a service activity and to the exercise
  thereof may be easily completed at a distance and
  by electronic means
• Article 8
• What does electronic mean?
• What is covered by the directive?
• The regulation lifecycle

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All procedures and formalities and exercise
thereof

• This includes an application
• Also includes extra interactions
• Event-driven or periodic returns
• Changes or variations in licences and particulars
• De-registration or similar
• Renewals

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Exclusions

• Inspections physical examinations
• Personal integrity checks
• Appeals and redress
• Any requirement to put registers online

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Completed at a distance and by electronic means

• Not phone or fax
• Online or email
• Not scanned-in, hand-filled forms
• Electronic payment
• Two way traffic
• All supporting documents can be sent
  electronically
• Email has issues security, traceability

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How users can apply online, 1
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How users can apply online, 2
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For the Service Provider

• Advantages of Mode1
• Experience tailored to specific regime
• Possibly better status reporting, handling of
  changes and renewals
• Competent authority can extend journey through
  the complete regulatory lifecycle
• Advantages of Mode 3
• Consistent experience
• Single view of regulation
• Some data re-use

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For the authority

• Advantages of Mode 1
• Web interface can fully meet its own business
  needs
• Integration with back office system removing
  double keying
• Totally integrated payments processing
• Advantages of Mode 3
• Compliance with Directive Art. 8 with no IT
  development
• Based on highly robust, secure infrastructure
• Will be ready for Dec 2009

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Convergence during 2010

• Ability to integrate forms service with authority
  back-end system
• Later authority d-i-y implementations will need
  to fit businesslink.gov transaction standards

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What is expected from your own application?

• Meets the tests
• See handout at http//tinyurl.com/psc-choice
• Availability
• Peak hour for businesslink is 9pm
• 7-12, 7 days a week as a minimum
• Need to understand your own SLAs
• Want you to put a button at the end of the
  transcation pointing back to businesslink

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Forms serviceThe Service Provider Journey
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Forms serviceAuthority sample pages
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Letting us Know PSC Survey

• Practicalities one person filling in
• Questions logic will reduce answers
• Need to know this month
• Policy Questions
• ICT Questions

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Letting us Know PSC Survey - cont

• Contact details
• Formality in your own words
• Your forms or BERRs forms?
• Online tests
• E-payment
• Variations
• Connection

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The Point of Single Contact and your website
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• Aligning your website to the PSC
• An outline for Competent Authorities
• Workshop Session 3

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What will the PSC/businesslink do?

• Signpost users who know what they want to your
  formalities
• Let users enter sector and location details and
  give them a list of licences and regulations that
  might apply
• Give a summary of the licence or regulation that
  might apply.
• Enough detail so that someone unfamiliar with
  what you do can decide to rule OUT applying to
  you
• Enough detail so that someone unfamiliar with
  what you do can decide to check your site further

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What must your site do - applicants

• Cater for users who arrive at it without going
  via the PSC or businesslink
• Give enough information that users can completely
  rule themselves in or out of needing to apply
• E.g. all exemptions or exceptions.
• Up to you whether you show or link to the
  legislation
• Must be in clear and simple English

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What your site must do - applicants

• Tell them about the application
• Process they have to go through
• What is needed to qualify
• Tell them how long it should take
• Should list issues that might legitimately delay
  matters
• Whether tacit authorisation applies
• Point them to an online transaction
• Yours or ours
• You can also offer paper forms (eg. Downloadable
  PDFs) but these are not sufficient on their own.

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What your site must do providers you already
regulate

• Explain how they can apply to change things
• (Including deregister)
• Point them to an online Change of Circumstances
  form
• Yours or ours
• Forms service will offer a default CoC form
• Explain renewals
• Direct debit/standing order is fine, BUT there
  must be a way people without a UK bank account
  can pay electronically.

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What your site must do providers you already
regulate

• If they must provide returns by statute, they
  must be able to do this online
• Your form or ours
• Anything else you do with existing providers does
  not concern the PSC
• E.g. member services
• E.g. surveys

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What your site must do - general

• Contact details
• Accessing public registers
• Redress etc.
• What redress you offer now
• How someone can escalate
• To ombudsman etc.
• PSC/businesslink will have information about
  SOLVIT and other cross-sector resolution
  mechanisms
• Youre not expected to put appeals online

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Service provider contexts

• UK qualified or European qualified
• Temporary visits to the UK
• Service offered from outside the UK
• Establishing in the UK
• Already established abroad
• A brand new business
• Already established in the UK and expanding
• To a new sector
• (eg) from Scotland to England

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Your sites audience?

• All sorts of Service Providers
• Potential applicants
• Potential non-applicants operating in a nearby
  sector
• From UK and Other Member States ( the whole
  world)
• Failed applicants
• Licence holders

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Your sites audience?

• Recipients
• Who want to check a providers bona fides
• Who are unhappy with someone you regulate
• Private consumers
• Commercial or public sector customers
• Other CAs
• Anyone else
• Of no concern for the Services Directive

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The PSCs links to your site

• For each regime we will need from you
• A link to information for applicants
• If you offer your own online application service
  a link to that
• If you use the forms service a link to your
  guidance on how to complete an application
• Links for other services in the regulation cycle
  (tbd)
• Need to know your home page
• Dont need this information yet

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A word about links

• Extending a links management service used by
  Local Authorities to work for the PSC
• Will check your links and tell you if theyre
  dead
• You must keep the links up to date
• Web tool
• Via a help desk

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Links the PSC will provide

• A link for each forms service application (incl.
  CoCs etc. used)
• PSC/businesslink has a range of friendly URLs
  so you can point to key information

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Branding and style

• You keep your own site branding
• There could be a logo you can use on your site to
  make it clear youre an authority
• BERR want to understand level of interest
• You must use plain and simple English at least,
  but the language is yours

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Site standards

• Should be accessible
• Should support Firefox and IE
• Information should be accessed by standard,
  anonymous web access
• Foreign language support up to you
• Optional if you want to link to foreign
  counterparts, trade associations etc.

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Keeping current

• You MUST keep your content current
• Will be a legal obligation
• There will be a way you can get relevant material
  on the PSC/businesslink corrected or changed
• You need to supply us with URL changes
• Businesslink has an annual review cycle
• You will need to maintain a contact point for
  businesslink to deal with.

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Session 4The PSC and next steps
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Readiness Levels Readiness Levels Readiness Levels
1 Competent Authorities nominate a Primary Liaison Point. March 2009
2 Authorities complete a PSC questionnaire indicating which formalities are adopted and answers other basic questions. Deadline 9 April 2009
3 3.1 Authorities supply deep links to the PSC. BERR supplies access to PSC forms. June - September 2009
4 4.1 Authorities enter local formalities data in PSC 4.2 Authorities organise online fee payment 4.3 Authorities register for the Internal Market Information system and advise BERR of any registers of service providers they hold August-October 2009
5 5.1 Authorities confirm to BERR that their application procedures are in line with PSC requirements 5.2 Authorities test the online forms system 5.3 Authorities confirm to BERR that their administrative practices have been screened and comply with the Directive 5.4 Authorities report to BERR justifications for any restrictions on multidisciplinary activities September -November 2009
6 Authorities able to accept applications via the PSC or their own online services. Deadline 27 December 2009
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The road map for competent authorities
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Payment online

• Debit and credit cards
• Cost typically low hundreds to set up
• UK debit cards usually fixed fee
• Credit cards and overseas debit cards, you are
  charged a proportion of fee.
• You bill in sterling
• Need a merchant account

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Payment online

• Taking fees
• You can charge a premium for credit cards
• You cant charge overseas users more than UK
  (debit cards)
• Payment engines
• Planning to support four suppliers
• Testing PSC with their products
• Commercial arrangements up to you
• Around 2 month lead time

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Online Forms

• One application form per formality, plus any CoCs
  and returns prescribed by law created at no
  charge
• Where applicants have to fill in multiple forms
  at the moment, the CA may join these forms into
  one if in so doing the end form is useable for
  the intended purpose(s).
• To implement form on PSC, a design template
  required.
• Lets developers produce an electronic form

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Identification of Forms

• Each CA will identify the form (or combination of
  forms) that is required for PSC
• Where a combination of forms is identified
  additional guidance as required
• to determine appropriateness of selection
• to verify that data capture performed properly

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Form Design

• The data contained within the identified form
  will need defining in a design template.
• Will standardise where possible
• Template used by the developers
• to define the the data within the electronic form
  that will need to be captured from the end user.
• to define precise user experience.

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Form Design

• Envisaged that CAs will produce the design
  templates for themselves.
• Workshops on offer 11th, 18th and 23rd June

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Design Template
Spreadsheet, split into 3 worksheets

• Overview of form to be designed
• Creation guide
• Questions and issues

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Creation Guide
Allows CA to specify data content of form

• Common fields
• Data definition, validation and behavior
• Declarations, agreements and signatures

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Submission of Design
The following will need submitting to enable the
electronic form to be developed

• Completed design template
• Original version of form(s) upon which design
  template based
• Contact details for any queries relating to form
  design and content

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Form Development Process
Identify form
CA
Complete form design template
Submit design template
Developers
Develop electronic form
CA
Test electronic form
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Documents and signatures

• What is the purpose of the signature?
• If you regulate an activity how important is the
  identity of the applicant?
• Whose signature and is it practicable to obtain
  one
• Can you authenticate the applicant by other means?

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PSC forms service and digital signatures

• Will allow PDF signing
• Will implement signing according to European
  Commission rules (Art 8.3) after full
  clarification
• Wherever possible digital signing should be at
  the users option
• Were trying to eliminate legal barriers to
  electronic completion.
• Are you working with DigSigs already?

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Action List PSC

• ? Modify your website to align with directive
• ? Provide Deep Links for the PSC
• Decide on D-I-Y vs Forms Service
• E payment implementation

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Q A
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Thank you !http//www.berr.gsi.gov.uk/servicesdi
rective