European Commission. Inter-institutional Transmission Protocol. Protocol Description

Transcription

1 European Commission Inter-institutional Transmission Protocol Protocol Description Intended readers: all third parties (institutions, organs, offices) willing to implement the inter-institutional transmission protocol Version: Last update date: 26/06/2013 1/19

2 Document History Version Date Auteur Description des modifications /11/2012 Julien LESOUËF /06/2013 Julien LESOUËF Updated the document to the latest version of the format. Fixed workflow numbers given in some examples. Updated the document to the latest version of the format. Reference Documents N Document Description 1 e-trusex Adpapter Interface_v2.1.doc 2 CM zip _JLS_Inter-institutional Transmission_v1.0.0.zip 4 xsd (directory) 5 Inter-institutional Transmission Format - Format Description_v1.1.0.html 6 xml (directory) Documentation for the integration with an e- TrustEx adapter. Core Metadata package containing schemas, examples and documentation. Inter-institutional Transmission package containing schemas, examples and documentation. XML schemas defining the Inter-institutional Transmission format (part of the Interinstitutional Transmission package [3]). Inter-institutional Transmission Format Description (part of the Inter-institutional Transmission package [3]). XML examples of the Inter-institutional Transmission format (part of the Interinstitutional Transmission package [3]). Definitions, Acronyms and Abbreviations Term e-greffe e-trustex Bundle Definition IT system which helps the greffe to manage the decisionmaking process of the European Commission. It allows the electronic transmission of dossiers to institutions, organs, offices Trusted document exchange platform. Two IT systems can use it to exchange messages and documents between each other. In the context of e-trustex, message exchanged by two IT systems. 2/19

3 XML XSD Dossier Work Expression Manifestation Manifestation reference Text Extensible Mark-up Language. Mark-up language making it possible to encode and structure information. XML Schema Definition. Mark-up language making it possible to define an XML format. Consolidated group of works. Each work has a number, but some works can share the same number (example: an act and its annexes). Document in its generic meaning of intellectual unit of content (term referring to the FRBR standard). It is an act, an annex (to an act), a supporting document (staff working document, impact assessment) or any other type of document. Linguistic version of a work (term referring to the FRBR standard). Version of an expression in a particular format (term referring to the FRBR standard). Example: a PDF version in spanish. Reference to a text within a manifestation (attachment name, file name). If the manifestation is made up of several parts, there is a manifestation reference for every part. Actual document content referenced in a manifestation. It is the content of an MS Word document, a PDF document or any other type of manifestation. Table of contents 1 INTRODUCTION OVERALL OVERVIEW INTEGRATION WITH E-TRUSTEX E-TRUSTEX MESSAGE BUNDLE TRANSMISSION SENT THROUGH E-TRUSTEX EUROPEAN COMMISSION TRANSMISSION METADATA XML FORMAT WELL-FORMEDNESS AND VALIDATION ENVELOPE EXTENSIONS DOSSIER METADATA REFERRAL LETTER /19

4 4.6 REFERENCE TO SECONDARY LEGISLATION TRANSMISSION PROTOCOL FOR A LEGAL EVENT DOSSIER COMPLETION WORK VERSIONING WRONG ORDER OF TRANSMISSIONS /19

5 1 Introduction This document aims at describing the protocol of transmission of works and procedural information from the European Commission to the other institutions (Council, European Parliament), the Publications Office (OP), National Parliaments, Permanents Representations The proposed solution is based on the use of the e-trustex platform as mean of transport, and on a metadata description XML format. The purpose of this document is not to describe the e-trustex protocol, but only to describe how e-trustex is used for the transmission. For further details about e-trustex protocol and integration, please refer to the document [1]. This document does not explain in details the metadata description XML format. For further information about the format, please refer to the document [5] and to the documentation included in the Core Metadata package [2]. This document is part of the Inter-institutional Transmission package [3]. 5/19

6 2 Overall overview The following diagram shows how a complete dossier is sent by e-greffe to a third party: e-greffe First transmission Second transmission Final transmission Extra transmission MD Texts MD Texts MD Texts MD Texts Third party time Transaction for a complete dossier Every transmission: Contains inter-institutional transmission metadata (MD), May contain some or all texts of the dossier (Texts). For some reasons, one or several transmissions can be done for a dossier. At the third party's side, the dossier cannot be completed as long as the final transmission is not done. When it is necessary, extra transmissions may be done for a dossier that is already complete. If this is the case, these transmissions can contain new versions of texts which cancel and replace versions of texts sent with previous transmissions. 3 Integration with e-trustex 3.1 e-trustex Message Bundle The e-trustex platform defines the concept of bundle. A bundle is a message that contains multiple attachments. A message bundle is actually made of the following elements: A message bundle description, Several attachments. The message bundle description makes reference to all attachments contained in the bundle. 6/19

7 3.2 Transmission Sent Through e-trustex A transmission is sent through a single e-trustex message bundle (whatever the total size of the attachments is). The documents attached to the message bundle are: An inter-institutional transmission metadata sheet (XML), Zero, one or several texts (acts, annexes, supporting documents). The metadata sheet is identifiable by the fact that it presents the type METADATA. It makes reference to: Texts sent with the current transmission (as the e-trustex message bundle description does), All texts already sent with previous transmissions. 4 European Commission Transmission Metadata XML Format The format of the metadata is defined in XML schemas [4] ( ec-transmission-vx.y.xsd and its associated schemas). A more friendly description is also provided in the document Interinstitutional Transmission Format [5]. In addition, some complete XML examples are provided [6]. The format is based on the Core Metadata format which is defined by the Publications Office (OP) and approved by the Inter-institutional Metadata Management Committee (IMMC). This format is described in the document [3]. The inter-institutional transmission metadata sheet sent with the transmission is generated based on this format. The next sections give further details on some of the aspects of the format. The given XML examples use namespace prefixes defined as follows: <ect:ec_transmission_request xmlns:ect="urn:eu:ec:transmission:vxy" xmlns:ecext="urn:eu:ec:cm:common:extensions:vxy" xmlns:cmt=" xmlns:cm=" xmlns:xsi=" 4.1 Well-formedness and Validation Recipients are free to check that the metadata sheet produced by e-greffe is well-formed and validates against the XML schema. 7/19

8 4.2 Envelope The format defines some elements enveloping the structure of the Core Metadata schema. The root element of the metadata sheet could be: Element Description ec_transmission_request The recipient receives the transmission as an addressee under the legal basis of the act, for consultation, for information or any other reason. Actions may be required from the recipient, depending on the addressee role as specified in the addressee list available in the metadata. If the recipient of a transmission is not in the addressee list, the handling of the transmission is entirely their choice. Under the root element, an element transmission describes the current sending. Two of its sub-elements are of major importance: Element Description procedure_interinstitutional This element is only present for acts being in the context of an inter-institutional procedure. It contains the whole structure defined in the Core Metadata format. All its subelements are independent from the rest of the structure. workflow This element is always present. It describes the internal procedure carried on at the European Commission (procedure type, procedure number, adoption date). Its sub-elements do not describe items (like works and legal basis) already given in the element procedure_interinstitutional (if present). Example 1: autonomous act (no inter-institutional procedure) <cmt:transmission id="222222"> <cmt:workflow> <cmt:legal_basis_list> <!-- Règlement (CE) No 1234/2007 du Conseil --> <cmt:legal_basis> <cm:document_legal>reg/2007/1234/ec</cm:document_legal> </cmt:legal_basis> </cmt:legal_basis_list> <cmt:extension xsi:type="ecext:workflowextensiontype"> <ecext:workflow_number> <ecext:code>ph</ecext:code> <ecext:year cm:public="false">2011</ecext:year> <ecext:number cm:public="false">9895</ecext:number> </ecext:workflow_number> <ecext:adoption_date_time> t17:33:03</ecext:adoption_date_time> <ecext:greffe_manager cm:public="false"> <ecext:first_name>fatima</cn:first_name> <ecext:last_name>elyoussofi</cn:last_name> </ecext:greffe_manager> <ecext:agent_person_list> 8/19

9 <ecext:agent_person role="resp_pers">dacian CIOLOŞ</ecext:agent_person> </ecext:agent_person_list> <ecext:eea_relevance>false</ecext:eea_relevance> <ecext:codified_version>false</ecext:codified_version> <ecext:durability>d</ecext:durability> </cmt:extension> <!-- Acte : SJ Règlement d'exécution (UE) N.../.. de la Commission --> <cm:type_work>reg_impl</cm:type_work> <cm:identifier_work>c(2011)9861/1000</cm:identifier_work> </cmt:workflow> </cmt:transmission> Example 2: legislative proposal (in the context of an inter-institutional procedure) <cmt:transmission id="80389"> <cmt:workflow> <!-- Legal basis later defined in the structure procedure_interinstitutional --> <cmt:extension xsi:type="ecext:workflowextensiontype"> <ecext:workflow_number> <ecext:code>pe</ecext:code> <ecext:year cm:public="false">2010</ecext:year> <ecext:number cm:public="false">7399</ecext:number> </ecext:workflow_number> <ecext:adoption_date_time> t11:07:01</cn:adoption_date_time> <ecext:greffe_manager cm:public="false"> <ecext:first_name>maria Helena</ecext:first_name> <ecext:last_name>monteiro</ecext:last_name> </ecext:greffe_manager> <ecext:eea_relevance>false</ecext:eea_relevance> <ecext:codified_version>false</ecext:codified_version> <ecext:durability>d</ecext:durability> </cmt:extension> <!-- Act later defined in the structure procedure_interinstitutional --> <cn:work_reference ref="com(2010)624/1000"/> <!-- Lettre de saisine au Parlement européen --> <cm:type_work>letter</cm:type_work> <cm:identifier_work>sgd/2011/21079/2000</cm:identifier_work> </cmt:workflow> <cm:procedure_interinstitutional> <cm:identifier_procedure> <cm:year_procedure>2010</cm:year_procedure> <cm:number_procedure>312</cm:number_procedure> </cm:identifier_procedure> <cm:event_legal> <cm:type_event>adp_bycom</cm:type_event> <cm:type_interinstitutionalprocedure>olp</cm:type_interinstitutionalprocedure> <cm:basis_legal_procedure> <cm:document_legal>tfeu_2010</cm:document_legal> <cm:article>77</cm:article> <cm:paragraph>2</cm:paragraph> </cm:basis_legal_procedure> <!-- Act of type Proposal for a REGULATION --> <cm:type_work>prop_reg</cm:type_work> <cm:identifier_work>com(2010)624/1000</cm:identifier_work> </cm:event_legal> </cm:procedure_interinstitutional> </cmt:transmission> 9/19

10 4.3 Extensions The format takes advantage of the extension mechanism of the Core Metadata format by defining extension types which are instantiated at the appropriate extension points. Seven extension points are used: Element TransmissionExtensionType WorkflowExtensionType Description Element type defined at the transmission level. Element type defined at the workflow level. ProcedureExtensionType Element type defined at the procedure_interinstitutional level. EventExtensionType WorkExtensionType ExpressionExtensionType ManifestationExtensionType Element type defined at the event_legal level. Element type defined at the work level. Element type defined at the expression level. Element type defined at the manifestation level. The extension points are always exposed, even if there are no sub-elements to expose. Their types are defined with the attribute xsi:type. Example 1: transmission extension <cmt:transmission id="111111"> <cmt:extension xsi:type="ecext:transmissionextensiontype"> <ecext:sender cm:public="false"> <ecext:name>maria Helena MONTEIRO</ecext:name> <ecext:phone_number>92322</ecext:phone_number> </ecext:sender> </cmt:extension> </cmt:transmission> Example 2: workflow extension <cmt:workflow> <cmt:extension xsi:type="ecext:workflowextensiontype"> <ecext:workflow_number> <ecext:code>pe</ecext:code> <ecext:year cm:public="false">2010</ecext:year> <ecext:number cm:public="false">7399</ecext:number> </ecext:workflow_number> <ecext:adoption_date_time> t11:07:01</ecext:adoption_date_time> <ecext:greffe_manager cm:public="false"> <ecext:first_name>maria Helena</ecext:first_name> <ecext:last_name>monteiro</ecext:last_name> <ecext:person_details> <ecext:address>berl 05/111</ecext:address> <ecext:phone_number>92322</ecext:phone_number> <ecext: _address>maria- <ecext:language_code>fra</ecext:language_code> </ecext:person_details> </ecext:greffe_manager> 10/19

11 <ecext:eea_relevance>false</ecext:eea_relevance> <ecext:codified_version>false</ecext:codified_version> <ecext:durability>d</ecext:durability> </cmt:extension> </cmt:workflow> Example 3: procedure_interinstitutional extension <cm:procedure_interinstitutional> <cm:extension xsi:type="ecext:procedureextensiontype"> <ecext:subsidiarity_proportionality_application> <ecext:competence_type>shared</ecext:competence_type> <ecext:legal_reference> <cm:document_legal>tfeu_2010</cm:document_legal> <cm:article>4</cm:article> </ecext:legal_reference> </ecext:subsidiarity_proportionality_application> </cm:procedure_interinstitutional> Example 4: event_legal extension <cm:event_legal> <cm:extension xsi:type="ecext:eventextensiontype"> <ecext:agent_person role="resp_pers">cecilia MALMSTRÖM</ecext:agent_person> </cm:event_legal> Example 5: work extension <cm:extension xsi:type="ecext:workextensiontype"> <ecext:category>act</ecext:category> <ecext:original_language_code>eng</ecext:original_language_code> <ecext:internal_number> <ecext:code>com</ecext:code> <ecext:year>2010</ecext:year> <ecext:number>624</ecext:number> </ecext:internal_number> <ecext:sequence>1</ecext:sequence> <ecext:security_info> <ecext:sensitivity_level>normal</ecext:sensitivity_level> </ecext:security_info> <ecext:summary_title>proposition de Règlement du Parlement européen et du Conseil portant création d un mécanisme d évaluation destiné à contrôler l application de l acquis de Schengen</ecext:summary_title> Example 6: expression extension <cm:language>dan</cm:language> <cm:title lang="dan"></cm:title> <cm:extension xsi:type="ecext:expressionextensiontype"> <ecext:estimated_transmission_date_time> T23:59:59</ecext:estimated_transmission_date_time> 11/19

12 Example 6: manifestation extension page_count="9">1_en_act_part1_v3.doc</cm:reference_manifestation> 4.4 Dossier Metadata The metadata sheet provides the following pieces of information, as long as they are known by e-greffe: The list of works expected by the third party (even if none of the texts of a work has ever been sent to the third party), The type of every work, The identifier of every work, The number of order of every work, The original language for every work, The list of languages (expressions) expected by the third party for every work (even if none of the texts of an expression has ever been sent to the third party), The title of every work in every language. The metadata sheet provides information about every text, provided that it has already been sent to the third party (with the current transmission or with a previous transmission): The manifestation which the text belongs to, The format of the text (MS Word, PDF), The reference to the text. See the example COM_2011_815-ec-transmission-vx.y.xml [6]: One act and four annexes, Only DEU, ENG and FRA sent. 4.5 Referral Letter A referral letter is always exposed as a work in the structure workflow. It presents the following special characteristics: No version, SGD cote as identifying number (example: SGD/2011/21079), Only one expression with an unknown language (ZXX), Only one manifestation with only one manifestation reference. 12/19

13 4.6 Reference to secondary legislation At various points, the metadata sheet can make references to secondary legislation, i.e., an existing act or agreement. This kind of reference is formatted as follows: [type code]/[year]/[number]/[organisation] The type could be: Code REG DIR DEC AGREEMENT INTERNAL_AGREEMENT PARTNERSHIP_AGREEMENT INTERINSTITUTIONAL_AGREEMENT Description Regulation Directive Decision Agreement Internal Agreement Partnership Agreement Inter-institutionnal Agreement The organisation could be: Code EEC EC EU Description European Economic Community European Community European Union Example for the Council Regulation (EC) No 1234/2007: <cm:document_legal>reg/2007/1234/ec</cm:document_legal> 5 Transmission Protocol for a Legal Event 5.1 Dossier Completion As already said in previous sections, the texts of the dossier can actually be sent over several transmissions. Therefore, it is the third party's responsibility to aggregate texts sent with the transmissions until the complete reception of the dossier. A dossier can be considered as complete when at least one manifestation is exposed for all expressions of all works. Example Step 1: only ENG sent, waiting for FRA, SPA and GAL <cm:language>eng</cm:language> <cm:title lang="eng">proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2000/25/EC as regards the application of emission stages to narrow-track tractors</cm:title> 13/19

14 page_count="5">10001</cm:reference_manifestation> page_count="10">10002</cm:reference_manifestation> <cm:language>fra</cm:language> <cm:title lang="fra"></cm:title> <cm:language>spa</cm:language> <cm:title lang="spa"></cm:title> <cm:language>gal</cm:language> <cm:title lang="gal"></cm:title> Example Step 2: ENG already sent, only FRA sent, waiting for SPA and GAL <cm:language>eng</cm:language> <cm:title lang="eng">proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2000/25/EC as regards the application of emission stages to narrow-track tractors</cm:title> page_count="5">10001</cm:reference_manifestation> page_count="10">10002</cm:reference_manifestation> <cm:language>fra</cm:language> <cm:title lang="fra">proposition de DIRECTIVE DU PARLEMENT EUROPÉEN ET DU CONSEIL modifiant la directive 2000/25/CE en ce qui concerne l'application de phases d'émissions aux tracteurs à voie étroite</cm:title> 14/19

15 page_count="7">10011</cm:reference_manifestation> page_count="10">10012</cm:reference_manifestation> <cm:language>spa</cm:language> <cm:title lang="spa"></cm:title> <cm:language>gal</cm:language> <cm:title lang="gal"></cm:title> Example Step 3: ENG and FRA already sent, only SPA sent, work complete (GAL not expected any longer) <cm:language>eng</cm:language> <cm:title lang="eng">proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 2000/25/EC as regards the application of emission stages to narrow-track tractors</cm:title> page_count="5">10001</cm:reference_manifestation> page_count="10">10002</cm:reference_manifestation> <cm:language>fra</cm:language> <cm:title lang="fra">proposition de DIRECTIVE DU PARLEMENT EUROPÉEN ET DU CONSEIL modifiant la directive 2000/25/CE en ce qui concerne l'application de phases d'émissions aux tracteurs à voie étroite</cm:title> page_count="7">10011</cm:reference_manifestation> 15/19

16 page_count="10">10012</cm:reference_manifestation> <cm:language>spa</cm:language> <cm:title lang="spa">propuesta de DIRECTIVA DEL PARLAMENTO EUROPEO Y DEL CONSEJO por la que se modifica la Directiva 2000/25/CE en lo que respecta a la aplicación de fases de emisiones a los tractores de vía estrecha</cm:title> page_count="7">10021</cm:reference_manifestation> page_count="11">10022</cm:reference_manifestation> A transmission can also contain a text which was already sent with a previous transmission (text with the same exact content). The third party is free to choose the appropriate strategy to apply in such cases (ignore, replace, keep both). 5.2 Work Versioning A correction may be applied to texts already transmitted. When new texts (containing the correction) are sent, the unchanged texts (which did not need a correction) are not resent. The attached metadata sheet mentions a different version for the concerned works and lists: New texts: new manifestation references for each modified manifestation/expression with modified content; Unchanged texts: same manifestation references (as in the previous transmission) for every unchanged manifestation/expression. Note: works sharing the same reference number take the same version, even if they do not all present new texts. Example Step 1: version final with texts ENG and FRA <!-- Act of type Commission from the Commission --> 16/19

17 <cm:type_work>cc</cm:type_work> <cm:identifier_work>com(2011)815/1000</cm:identifier_work> <cm:version_work>final</cm:version_work> <!-- Document No. 3 of type Annex (to adopt) --> <cm:type_work>annex</cm:type_work> <cm:identifier_work>com(2011) 815/4000</cm:identifier_work> <cm:version_work>final</cm:version_work> <cm:language>eng</cm:language> <cm:title lang="eng">annex GROWTH-FRIENDLY TAX POLICIES IN MEMBER STATES AND BETTER TAX COORDINATION IN THE EU to the COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF REGIONS Annual Growth Survey 2012</cm:title> page_count="14">20001</cm:reference_manifestation> page_count="13">20002</cm:reference_manifestation> <cm:language>fra</cm:language> <cm:title lang="fra">annexe RAPPORT MACROÉCONOMIQUE à la COMMUNICATION DE LA COMMISSION AU PARLEMENT EUROPÉEN, AU CONSEIL, AU COMITÉ ÉCONOMIQUE ET SOCIAL EUROPÉEN ET AU COMITÉ DES RÉGIONS Analyse annuelle de la croissance 2012</cm:title> page_count="24">20011</cm:reference_manifestation> page_count="19">20012</cm:reference_manifestation> Example Step 2: version final/2 with corrected text FRA (ENG unchanged) <!-- Act of type Commission from the Commission --> 17/19

18 <cm:type_work>cc</cm:type_work> <cm:identifier_work>com(2011)815/1000</cm:identifier_work> <cm:version_work>final/2</cm:version_work> <!-- Document No. 3 of type Annex (to adopt) --> <cm:type_work>annex</cm:type_work> <cm:identifier_work>com(2011) 815/4000</cm:identifier_work> <cm:version_work>final/2</cm:version_work> <cm:language>eng</cm:language> <cm:title lang="eng">annex GROWTH-FRIENDLY TAX POLICIES IN MEMBER STATES AND BETTER TAX COORDINATION IN THE EU to the COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF REGIONS Annual Growth Survey 2012</cm:title> page_count="14">20001</cm:reference_manifestation> page_count="13">20002</cm:reference_manifestation> <cm:language>fra</cm:language> <cm:title lang="fra">annexe RAPPORT MACROÉCONOMIQUE à la COMMUNICATION DE LA COMMISSION AU PARLEMENT EUROPÉEN, AU CONSEIL, AU COMITÉ ÉCONOMIQUE ET SOCIAL EUROPÉEN ET AU COMITÉ DES RÉGIONS Analyse annuelle de la croissance 2012</cm:title> page_count="24">20021</cm:reference_manifestation> page_count="19">20022</cm:reference_manifestation> 18/19

19 5.3 Wrong Order of Transmissions In the case that the third party receives the transmissions in a different order than they have been sent: All texts should be kept from every transmission, Only metadata sheets attached to the transmission with the most recent sending date should be taken into account. Example: Let us take up the example given in the section 5.1, and assume that transmissions step 1 and step 3 are received first by the third party. In that case, when receiving the transmission step 2, the third party should keep the SPA text (it was not sent in the past, and may never be resent in the future) but should ignore the metadata sheet (it was deprecated by the metadata sheet sent at step 3). 19/19