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

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. LEGAL FRAMEWORK

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. 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. 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. 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. SO, WHAT ELEMENTS DO WE HAVE TO MANAGE AND
PRESERVE BEYOND THE PRIMARY BUSINESS ACTIVITY?

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. 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. 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. ARCHIVE
FUNCTIONAL MODEL
INTEROPERABILITY REQUIREMENTS
SOFTWARE ARQUITECTURE

12. OAIS MODEL

13. OAIS MODEL – INFORMATION PACKAGES
ISO 14721
SIP - Submission Information
Package
AIP - Archival Information Package DIP - Dissemination Information Package

15. AUTHENTICITY
E-SIGNATURE RE-SIGNATURE
E-DOCUMENT
E-FILE
<ds:signature> ……… </ds:signature>
BATCH-PROCCESSES
ELECTRONIC STAMP ON THE INDEX SIGNATURE
COMMON SERVICES: @FIRMA

17. 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

18. 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

19. 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

20. 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.

21. 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.

22. 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

23. 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.

24. THANK YOU VERY MUCH
You can contact us through
rmmr19@gmail.com & javier.hernandez@mpr.es