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INTEROPERABILITY, RECORDS MANAGEMENT AND E-ARCHIVING
IN SPANISH e-GOVERNMENT:
LEGAL FRAMEWORK, PROCESSES AND TOOLS
Rosa Ma...
LEGAL FRAMEWORK
EUROPEAN INTEROPERABILITY FRAMEWORK
• ‘An interoperability framework is an agreed approach to interoperability for
organis...
SPANISH NATIONAL INTEROPERABILITY FRAMEWORK
Royal Decree 4/2010, of January 8th, which regulates the National
Interoperabi...
DEVELOPMENT OF THE NATIONAL INTEROPERABILITY FRAMEWORK:
TECHNICAL REGULATIONS
• Technical Interoperability Standard for E-...
THE LAW 39/2015, 1 OCTOBER,
COMMON ADMINISTRATIVE PROCEDURE OF PUBLIC ADMINISTRATIONS
Article 17. Records Archiving.
• Eve...
SO, WHAT ELEMENTS DO WE HAVE TO MANAGE AND
PRESERVE BEYOND THE PRIMARY BUSINESS ACTIVITY?
NIF RECORDS
Components
Identificador -- ES_L01070110_2014_DOCH167…
Organo -- L01070110
FechaCaptura -- 2014-11-17T10:37:35...
Minimum Required
metadata
NIF FILES Components
Identificador -- ES_L01070110_2014_EXP_0167…
Organo -- L01070110
FechaCaptu...
Processes
NIF ARCHIVES 1. Document capture.
2. Legal registration.
3. Document functional classification according to the
...
ARCHIVE
FUNCTIONAL MODEL
INTEROPERABILITY REQUIREMENTS
SOFTWARE ARQUITECTURE
OAIS MODEL
OAIS MODEL – INFORMATION PACKAGES
ISO 14721
SIP - Submission Information
Package
AIP - Archival Information Package DIP - ...
AUTHENTICITY
E-SIGNATURE RE-SIGNATURE
E-DOCUMENT
E-FILE
<ds:signature> ……… </ds:signature>
BATCH-PROCCESSES
ELECTRONIC STA...
AVAILABILITY
TECHNICAL NEUTRALITY – 1: DOCUMENT LEVEL
- CATALOGUE OF STANDARDS: MIME TYPES AVAILABLE FOR DOCUMENT
FORMATS
...
AVAILABILITY
• TECHNICAL NEUTRALITY – 1: STORAGE LEVEL
Classic Storage for the data, not vendor dependant. Valid por Class...
AVAILABILITY
• TECHNICAL NEUTRALITY – 2: SOFTWARE ARQUITECTURE LEVEL
Database and DataStorage not affected by complex sear...
AVAILABILITY
• TECHNICAL NEUTRALITY – 3: DATA CENTRICITY
Data Respectful
Data Location: Self explanatory route to data. Ea...
CONFIDENCIALITY
ACCESS TO THE APPLICATION ACCESS TO THE DATABASE
E-CERTIFICATE ONLY MANAGEMENT DATA
ACCESS TO THE FILESYST...
INTEGRITY
E-SIGNATURE HASHES
THE E-SIGNATURE PROVIDES INSTRICALLY THE
INTEGRITY FOR DOCUMENTS AND FILES
THE INDEX STRUCTUR...
TRACEABILITY
• Every document and file structure has its own trace metadata, preserved as well along the other
metadata.
•...
THANK YOU VERY MUCH
You can contact us through
rmmr19@gmail.com & javier.hernandez@mpr.es
ICARUS-Meeting #20 | The Age of Digital Technology: Documents, Archives and Society - Rosa María Martín Rey and Javier Her...
ICARUS-Meeting #20 | The Age of Digital Technology: Documents, Archives and Society - Rosa María Martín Rey and Javier Her...
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ICARUS-Meeting #20 | The Age of Digital Technology: Documents, Archives and Society - Rosa María Martín Rey and Javier Hernández Díez: Interoperability, Records Management and e-Archiving in Spanish eGovernment: Legal Framework, Processes and Tools

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Rosa María Martín Rey and Javier Hernández Díez

Interoperability, Records Management and e-Archiving in Spanish eGovernment: Legal Framework, Processes and Tools

ICARUS-Meeting #20 | The Age of Digital Technology: Documents, Archives and Society

23–25 October 2017, Complutense University Madrid, Calle del Prof. Aranguren, 28040 Madrid, Spain

Publié dans : Sciences
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ICARUS-Meeting #20 | The Age of Digital Technology: Documents, Archives and Society - Rosa María Martín Rey and Javier Hernández Díez: Interoperability, Records Management and e-Archiving in Spanish eGovernment: Legal Framework, Processes and Tools

  1. 1. INTEROPERABILITY, RECORDS MANAGEMENT AND E-ARCHIVING IN SPANISH e-GOVERNMENT: LEGAL FRAMEWORK, PROCESSES AND TOOLS Rosa Martín Rey & Javier Hernández Díez The Age of Technology: Documents, Archives and Society ICARUS Meeting #20 23 – 25 October 2017 Universidad Complutense de Madrid Ministry of Finances and Public Administration, ES || Ministry of the Presidency and for Territorial Administrations, ES
  2. 2. LEGAL FRAMEWORK
  3. 3. EUROPEAN INTEROPERABILITY FRAMEWORK • ‘An interoperability framework is an agreed approach to interoperability for organisations that wish to work together towards the joint delivery of public services. Within its scope of applicability, it specifies a set of common elements such as vocabulary, concepts, principles, policies, guidelines, recommendations, standards, specifications and practices.’ Bruxelles, le 16.12.2010 COM(2010) 744 Annex 2 to the Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of Regions 'Towards interoperability for European public services' • Underlying principles of European public services Underlying principle 8: Preservation of information Records and information in electronic form held by administrations for the purpose of documenting procedures and decisions must be preserved. The goal is to ensure that records and other forms of information retain their legibility, reliability and integrity and can be accessed as long as needed, taking into account security and privacy
  4. 4. SPANISH NATIONAL INTEROPERABILITY FRAMEWORK Royal Decree 4/2010, of January 8th, which regulates the National Interoperability Framework within the e-government scope The National Interoperability Framework takes into account the recommendations of the European Union, the technological situation of different Public Administrations and the existing electronic services in such Administrations, the use of open standards, and in addition, standards widely used by citizens. CHAPTER X Retrieval and preservation of the electronic records Article 21. Conditions for the retrieval and preservation of records. Public Administrations will adopt the necessary organizational and technical measures to guarantee the interoperability in the retrieval and preservation of the electronic records during its lifecycle.
  5. 5. DEVELOPMENT OF THE NATIONAL INTEROPERABILITY FRAMEWORK: TECHNICAL REGULATIONS • Technical Interoperability Standard for E-Documents: it regulates the minimum mandatory metadata, the association of the data and metadata of signature or of time stamp as well as other related complementary metadata; and the record formats. • Technical Interoperability Standard for E-Files: it regulates its structure and format, as well as specifications of remission and provision services. • Technical Interoperability Standard for Document Digitisation: it includes the applicable formats and standards, the quality levels, the technical conditions and metadata related to the digitization process. • Technical Interoperability Standard for E-Document Management Policies: it includes guidelines for the assignment of responsibilities, both directive and professional, and the definition of the programmes, processes and controls of recordkeeping and administration of the electronic repositories, and their documentation, to be developed by Public Administrations and by the Public
  6. 6. THE LAW 39/2015, 1 OCTOBER, COMMON ADMINISTRATIVE PROCEDURE OF PUBLIC ADMINISTRATIONS Article 17. Records Archiving. • Every Administration will have to support a unique electronic archive for the electronic records that correspond to finished procedures, in the terms established in the applicable regulation. • The electronic documents will have to be kept in a format that allows to guarantee the authenticity, integrity and conservation of the records, as well as their availability and access no matter how long it has been since their creation.
  7. 7. SO, WHAT ELEMENTS DO WE HAVE TO MANAGE AND PRESERVE BEYOND THE PRIMARY BUSINESS ACTIVITY?
  8. 8. NIF RECORDS Components Identificador -- ES_L01070110_2014_DOCH167… Organo -- L01070110 FechaCaptura -- 2014-11-17T10:37:35.000+01:00 EstadoElaboracion-- Original TipoDocumental – Comunicación Minimum Required Metadata Content File e-Signature
  9. 9. Minimum Required metadata NIF FILES Components Identificador -- ES_L01070110_2014_EXP_0167… Organo -- L01070110 FechaCaptura -- 2014-11-17T10:37:35.000+01:00 Estado-- Abierto/Cerrado/Índice para remisión… Interesado – 550291837H Metadatos del expediente  Expediente electrónico CARPETA Firma Índice electrónico Metadatos del expediente  Expediente electrónico CARPETA Firma Índice electrónico Metadatos del expediente  Expediente electrónico CARPETA Firma Índice electrónico e-Records e-Index e-Signature ES_E00127001_2016_DOC_JHD01 Valor huella: 47ad93ea6ba2d813e2cd97989b39863f Función resúmen:md5 Fecha incorporación expediente: 2016-10-13T00:00:00.000+02:00 Orden documento expediente: 1 ES_E00127001_2016_DOC_JHD02 Valor huella: 11440d08ceb3544e634f2f8ea75f5103 Función resúmen:md5 Fecha incorporación expediente: 2016-10-13T00:00:00.000+02:00 Orden documento expediente: 2
  10. 10. Processes NIF ARCHIVES 1. Document capture. 2. Legal registration. 3. Document functional classification according to the organisation’s classification chart. 4. Document description in accordance to the organisation’s metadata schema. 5. Access to documents, institutional regulation of said access and traceability of related actions. 6. Document rating, including appraisal and decision on conservation periods. 7. Document conservation according to conservation calendars. 8. Document transfer. 9. Document destruction or deletion. Electronic Records Management and Preservation Tool
  11. 11. ARCHIVE FUNCTIONAL MODEL INTEROPERABILITY REQUIREMENTS SOFTWARE ARQUITECTURE
  12. 12. OAIS MODEL
  13. 13. OAIS MODEL – INFORMATION PACKAGES ISO 14721 SIP - Submission Information Package AIP - Archival Information Package DIP - Dissemination Information Package
  14. 14. AUTHENTICITY E-SIGNATURE RE-SIGNATURE E-DOCUMENT E-FILE <ds:signature> ……… </ds:signature> BATCH-PROCCESSES ELECTRONIC STAMP ON THE INDEX SIGNATURE COMMON SERVICES: @FIRMA
  15. 15. AVAILABILITY TECHNICAL NEUTRALITY – 1: DOCUMENT LEVEL - CATALOGUE OF STANDARDS: MIME TYPES AVAILABLE FOR DOCUMENT FORMATS - DOCUMENT CONVERSION: - WEB SERVICE SPECIFICATION: (source format, target format) Re-Signing of the Index of the File
  16. 16. AVAILABILITY • TECHNICAL NEUTRALITY – 1: STORAGE LEVEL Classic Storage for the data, not vendor dependant. Valid por Classic NAS/SAN, Object Oriented Storage, etc. Self Explanatory structure: <ARCHIVE_CENTER>/<Documentary_Serie>/<Year><Month><Date>/SIPAIP
  17. 17. AVAILABILITY • TECHNICAL NEUTRALITY – 2: SOFTWARE ARQUITECTURE LEVEL Database and DataStorage not affected by complex searches. Systems Independence GUI Web browser Business Logic & Data Access Web Server Management Data Database Data FileSystem Search System Indexer Engine
  18. 18. AVAILABILITY • TECHNICAL NEUTRALITY – 3: DATA CENTRICITY Data Respectful Data Location: Self explanatory route to data. Easy migration. Data Sufficiency to migrate systems and to reconstruct the whole system No modification. What it’s sent is what it’s written From only the data the database and the indexer can be reconstructed.
  19. 19. CONFIDENCIALITY ACCESS TO THE APPLICATION ACCESS TO THE DATABASE E-CERTIFICATE ONLY MANAGEMENT DATA ACCESS TO THE FILESYSTEM ANONIMIZATION STRONG IDENTIFICATION FOR USERS PROVIDED BY THE VENDORS STRONG TRACEABILITY Anonymization services (in process) based on regular expressions for car plates, postal codes, names, ID numbers, bank accounts, etc.
  20. 20. INTEGRITY E-SIGNATURE HASHES THE E-SIGNATURE PROVIDES INSTRICALLY THE INTEGRITY FOR DOCUMENTS AND FILES THE INDEX STRUCTURE IN FILE DATA PROVIDES HASH FUNCTIONS FOR EVERY INDEXED DOCUMENT HASH - Document HASH - Document TRANSITIVITY INFRASTRUCTURE RESIGNING THE INDEX PROVIDES FULL INTEGRITY TO EVERY DATA STRUCTURE (FILES AND DOCUMENTS), AS THE FILE SIGNATURE INCLUDES THE HASH FUNCTIONS FOR DOCUMENTS CLOUD LIKE SERVICE WRITE ONCE, REPLICATED SEVERAL TIMES
  21. 21. TRACEABILITY • Every document and file structure has its own trace metadata, preserved as well along the other metadata. • These structures provides all Kind of information: • Office Archive: sectorial management data • Central Archive: archiving management data, Access, modification, etc • This data is never deleted.
  22. 22. THANK YOU VERY MUCH You can contact us through rmmr19@gmail.com & javier.hernandez@mpr.es

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