SESSION2.

6MANAGINGINFORMATIONRECORDS
ARESTAPROJECT:ELECTRONICARCHIVEOFCATALONIA
GOVERNMENT

 Context
ARESTAProject

regulatory issues
technological issues
organizational issues
next steps

Context

CataloniaisanautonomouscommunityofSpainwhich
represents16%ofitspopulation(7.5millionpeople)and
19%ofitsgrossdomesticproduct(GDP).

IthasaParliamentthatcanlegislateonmattersofwhich
therehaslegalpowers.

Thelegalandadministrativepowersareverydiverseand
directlyaffectthewelfareofitscitizens(health,education,
police,socialservices,environment,culture,etc.....)

Tocarryoutitsdepositof13departments,several
governmentagenciesand202,000employeesofwhichthe
majorityarehealthworkers,teachers,police,social
workers,prisonstaff,firemen,etc.

Theadministrativestaffis47,000people(23%ofthe
workforce)
3

Context
OrganizationofrecordsmanagementandarchivesoftheGovernment.
TheDepartmentofCulture,throughtheDirectorateGeneralofArchives,Libraries,
MuseumsandHeritageistheorganthathaslegislativepowers,promotionand
inspectionofrecordsmanagementandhistoricalarchives.Assignedtothe
DirectorateGeneral:
TheNationalArchiveofCataloniaiswhopreserveshistoricaldocuments
Twoservices:
generalcoordination ofArchives
corporativerecordsmanagementcoordinationunit

Context

Technicalcoordination
Thecorporativerecordsmanagementcoordinationunitisformedbyfivearchiviststo
ensurethemomentumoftheglobalmanagementsystemdocumentsof the
Government.
Thetasksoftheunitarefocusedon:
Createandmaintaintechnicalstandards
Developregulations
ManagingtheNationalCommissionofAccess,EvaluationandSelectionof
Records
Providetechnicalsupportandadvicetorecordsmanagersofcentral
administrativearchives.
coordinateworkinggroups(eg reviewofthefunctionalclassificationschema)
anddeveloptechnicallythecentralarchivesperformanceindicators.
CorporatelyAdministertheelectronicarchive
Ensuretrainingandinformationforarchivists

Context
Currentlytheimplementationandmanagementofthe
managementsystemofrecordsineachdepartmentandagencyis
assignedtothecentraladministrativearchive.
Intotalthereare31 centralarchives.Each centraladministrative
archive hasaarchivistresponsibleandresponsiblestaffassigned.
TotalArchives
13centralarchivesdepartments
Threeregionalcentralarchives
15centralarchivesofagenciesandentities.

Totalstaff:
55archivists
193supportstaff

 Context
ARESTAProject

regulatory issues
technological issues
organizational issues
next steps

 ARESTAmeansSecure
ElectronicArchiveand
AdministrativeProceedings
ARESTA:
isasetofnormativemeasures,technologicaland
organizationalaimtofullyelectronicmanagementof
records
ispartofagroupofcorporateinitiativesofeGovernment
Theprojectbeganin2012

 EGov.organization
CurrentlymanagingeGovernmentisdistributedamongvariousgovernment
departmentswhichdevelopsectoral aspects(citizenattention,organization,IT,
etc).
Itsactioniscoordinatedbyahighlevelcommission.Theactionplansproposed
bythiscommitteeareapprovedbytheGovernmentthroughgovernment
agreements.
TheMinistryofCultureisresponsibleforbothrecordsmanagementpoliciesas
policiesrelatedtothehistoricalarchives.
IntheprojectARESTAtheGovernmentassignstheMinistryofCultureadualrole:
Regulatory:buildingandmaintainingstandardsforthemanagementof
electronicdocuments.
Archive:createanelectronicservicethatgivesthewholeofAdministration
9

ARESTA.Objectives
Specific Objectives
1. Providetheadministrationofacorporatedocumentmanagementsystem
to provide departments and agencies access to electronic processing
systemssoastostreamlinedevelopmentandmaintenance.
2. Ensureanefficientandstandardizedtreatmentofelectronicrecordsfrom
predefined document management model and common (set of master
tables,metadataschema...)incompliancewiththeProtocolofElectronic
RecordsManagementandarchiveCatalonia'sGovernment
3. Providing software solutions for eGovernment, for both corporate and
departmental solutions, with the power to have a corporate archiving
solutionforthosescenariosinwhichthelawrequires.

10

10

 Context
ARESTAProject

regulatory issues
technological issues
organizational issues
next steps

11

Regulatory issues

SpanishGovernmentapprovedtheRoyalDecree4/2010of8January,which
regulatestheNationalInteroperabilityFrameworkinthefieldofeGovernment.
RD4/2010allowsthedeploymentofasetofrules(TechnicalStandardsfor
Interoperability)thatregulatevariousaspectsrelatedtoegovernment.Examples
oftheserulesarerelatedtodocumentmanagementpolicy;electronicfile;
metadataschema;digitalizationetc.
Thesetechnicalstandardsaremandatoryforall publicadministrationsinSpain.

In2015theSpanishGovernmentapprovedtheLaw39/2015oftheCommon
AdministrativeProcedureofpublicadministrations.Thislawfollowsthe
guidelinesoftheEuropeanUnioneGovernmentaimtohighlightthat2020
citizensofEuropeanstatesandcompaniescancarryouttheirtransactions
exclusivelybyelectronicmeans.

Thelawstates:

alladministrativeproceduresmustbecarriedoutexclusivelyby electronicmeans.Thisprovision
cameintoforceinOctober2016.
Eachgovernmentshouldhaveasingleelectronicarchive. Thisprovisioncomesintoforcein
October2018.
12

Regulatory issues

TheCatalangovernmentisaffectedbothbythecalendarandprovisionsofstate
law.

Oneoftheconsequencesofthelawisthatrecordsmanagementhasachievedin
ashorttimeasignificantrolewithintheegovernmentpolicies.Essentiallythe
needtoestablishproperlythefilesandelectronicrecordsaswellasthe
obligationtohaveanelectronicArchive.

ToregulatethismattertheGovernmentstatesthattheMinistryofCulture
developtechnicalstandardsthatappliestothewholeadministration.

CLTOrder/172/2014of14May,whichapprovestheprotocolformanaging
electronicdocumentsandArchiveoftheGovernmentofCatalonia
Objective:Determinetheconditionsinwhichtechnicalandorganizational
managementmodelbasedelectronicdocumentationAdministrationofthe
Generalitat ofCatalonia,establishingofElectronicRecordsManagement
policyoftheGovernmentandresponsibilitiesofthedifferentorgansinthe
managementofelectronicrecords.
13

Regulatory issues
CLTOrder/172/2014of14May,whichapprovestheprotocolformanagingelectronic
recordsandArchiveoftheGovernmentofCatalonia

1.Introduction
2.Concepts
3.Object
4.Scope
5.Organs involved

6.ElectronicDocumentManagement
6.1Principles
6.2Guidelines
6.2.1IdentificationandInformation
6.2.2FormatandStructure
6.2.3elementsofcontrol
6.2.4AccessandUse
6.2.5ImplementationofMeasuresof
disposition
6.2.6Maintenanceofavailabilityand
authenticity
6.2.7Electroniccopies
6.2.8ApplicationsSupportformanagement

6.3Technicalinstruments
7.Glossary
14

Regulatory issues

Technicalinstruments:Standardizedrules,ofmandatoryuse,whichareintendedtocarryout
theimplementationofrecordsmanagement.
FunctionalClassificationSchema:Structureoffunctionalcategoriesorganizedsocoded,
hierarchicallogic,basedonalltheactivitiesoftheorganizationinmeetingitsaims.
DocumentaryType:standardlistoftypesofdocumentaries.
MetadataSchemaofRecordsManagement:logicalplanshowingthedifferentissuesused
asmetadataandrulesofusesemantic,syntacticandobligatory.
TablesofAppraisalandAccess(TAAD)determineforeachdocumentaryseries,term
conservationandthecriteriaontheapplicationoftherulesgoverningaccessto
documents.
Othertechnicaltoolsdeemednecessaryasaresultofthedevelopmentofthemodel.

15

Regulatory issues
Instructions DGABMP
Instrucci 1/2015 de 26 de febrer de 2015 , per la
qual saprova linstrument tcnic Quadre de
classificaci funcional del Protocol de Gesti de
Documents Electrnics i Arxiu i sestableixen
directrius per a la seva gesti i actualitzaci
Instrucci 2/2015 de 26 de febrer de 2015 , per la
qual saprova linstrument tcnic Esquema de
Metadades E-SIGeDA del Protocol de Gesti de
Documents Electrnics i Arxiu de la Generalitat
de Catalunya i sestableixen directrius per a la
seva gesti i actualitzaci
Instrucci 3/2015 de 26 de febrer de 2015 , per la
qual saprova linstrument tcnic Quadre de Tipus
Documentals del Protocol de Gesti de
Documents Electrnics i Arxiu de la Generalitat
de Catalunya i sestableixen directrius per a la
seva gesti i actualitzaci

16

 Context
ARESTAProject

regulatory issues
technological issues
organizational issues
next steps

17

technological issues
Currently,electronicprocessing systems ofthe Departments and Agencies of
theGovernmentarebasedstorageandmanagementofdocumentsinseveral
solutions:
Document management systems (FileNet, Documentum, Sharepoint,
Alfresco...)
Sharednetworkdrives.
Relationaldatabases(Oracle,SQL,...)
Most of these solutions are intrinsically linked to their electronic processing
systemandaredeveloped,maintainedandupdatedindependently.
In most of the solutions it does not exist a model document management
common:eachsystemhasimplementeditsowndatamodelandservices.
For their part, corporate eGovernment platforms (eg procurement, human
resources) facilitate the processing of electronic documents but not yet
includeacorporatesolutiontostorethem(Archive)

18

technological issues
Consequences
Absence of functional coverage: in many cases are processed electronically
withoutvalidsecurity,safetyandperdurabilityofdocuments
Lackofastandardizeddocumentmodel:Therearedifferentmodels,orsimply
storeddocumentswithoutadocumentmodeldefined.
Multiple infrastructure and licenses: Each departmental solution uses a
dedicatedinfrastructureandlicenses
Technologicalobsolescence:isnecessarycontinuouslykeepupdatedversions
ofthedocumentmanagement,withthecostsofinfrastructureand migration
ofdataandcorrespondingdocuments
Modelwithlowscalability:Givenanewneed,usuallycreatesanewcontainer
whichinheritedinefficienciesoftheabove
Highcosts:thehighcostofinfrastructureforcommercialproducts

19

19

technological issues
Activitiesinrelationtheapplications
Eachministryandagencymust
AdapttheprofilemetadatafromexistingcorporateapplicationstoARESTA
Havebeenmadeavailablenewcorporateapplications(genericprocedures
and procedures of grants and subsidies). These applications now include
metadata schema, functional classification schema and types of
documentsofARESTA.
Evaluate departmental applications and decide if they are replaced by
corporative.Ifyoudecidetokeepthem,wereviewthemetadataprofileto
adaptittoARESTA.

20

20

technological issues
BO

ARESTA
PSGD
Dcoumentary
services in
processing phase

e-ARCHIVE
closure and
indexation of the
files

iArxiu

FunctionalClassificationSchema
Documentary Types
Metadata Schema

ProtocolformanagingelectronicrecordsandArchive

processing phase

Validity phase

21
21

technological issues
As electronic archive has been selected the application iArxiu of the public
Consortium Open Administration of Catalonia. iArxiu is a digital repository
for the long-term preservation of records which follows OAIS standard
(ISO 14721).
Conceptually OAIS model (PIT creation of and PIA) is very closely to the
concept of file that requires our legislation.
A File should contain all the records and electronic evidences related to an
issue, from the beginning until its final resolution. The law also requires
creating an electronic index for each file that details all the documents
contained therein.

22

technological issues
In addition to repository, iArxiu has of some functionalities that allow to
apply records management policies. Specifically:
Records management policies (classification, access, services)
Management of the documentary series
Management of users of the platform
Traceability actions
Preservation of electronic signatures
Management formats
Integrity and security
Search and consults
Control of the elimination of records
Possibility to manage physical documents

23

technological issues
Has now completed study of functional integration of the platform document services
with electronic archive platform (iArxiu). The second half of 2016 is expected to
work on the integration of platforms and also to carry out the first test of electronic
records transferences.
New functionalities required in the studio functional integration:
Validation of electronic signatures before the transfer.
Complete metadata relating to:
Records formats
Disposition
The purpose of these functionalities is to avoid the application metadata report that
did not will use in processing time and therefore lighten the volume metadata to
manage.

24

technological issues
In the ARESTA project is proposed that applications transfer the files at the time that they
have been resolved.
This "rapprochement" of the moment of the resolution of the file at the time of transfer will
lead to increased complexity in their management due to the volume of files and will
require high availability of the iArxiu platform.
The reasons that lead to this decision are:
Regulatory, if the administration should answer front of a judicial authority or external
control can have no records of who can not respond its integrity.
Functional: the implementation of records management policies and monitoring their
implementation are carried out with the electronic archiving software.
Budget: The cost of storage management applications is much higher than the repository
represents iArxiu.
Operating the authorized officials will access files directly from your business application.

25

 Context
ARESTAProject

regulatory issues
technological issues
organizational issues
next steps

26

Organizational issues
Given the corporate nature of ARESTA its impulse corresponds with the actors who
have responsibilities in information technology, organization and records
management. Currently there has been an permanent project monitoring group
formed by:

Ministry of Culture (DG Archives, Libraries, Museums and Heritage): coordination and impulse of
the general records management system and approval the technical instruments of the protocol of
electronic records and Archive

Department of Governance and Institutional Relations (Office of Process and Electronic

Administration):alignment of this protocol with the strategies of e-government

Center for Telecommunications and Information Technologies: collaborates by providing technological

solutions and services that are necessary to facilitate the implementation of this protocol.

This group monitors:

Departmental projects to be implemented the protocol

The project of construction and integration of the Electronic Archive

Implementation of the agreements of High Level Commission on eGovernment

27

Organizational issues
we believe that the potential success of the project is that the departments and agencies are involved
in the implementation of the protocol. This is a key aspect because our experience shows us that
even today eGovernment projects had been led by the IT areas. The participation of archivists has
been practically nil in these projects since they considered that their action was limited to manage
the files once transferred to the archive and they are also associated with paper records.
The new exposed context requires us to work together and for that reason has been created internal
multidisciplinary working groups (GTM) of departments and agencies, some groups that did not
exist.
Each department and agency must create its group in which there are representatives of the area of
Information Technology, the area of records management and file and the area of organization.
The group is authorized by the Secretary General of the Department and will meet periodically.
Archivists are the secretaries of these groups.

28

Organizational issues
Main functions of the groups (GTM):
Ensure the implementation of the guidelines and the use of instruments of this
protocol
Validate projects ranging in scope from managing electronic records or converting
paper records to electronic records.
Advising Unit or Units promoters of projects including management of electronic
records so that their formulation complies with the guidelines of this the protocol.
Report mentioned corporate bodies involved in the management and conservation
of electronic records of those substantial facts related to these functions.
Ensure the exploitation and efficient use of existing resources.

29

 Context
ARESTAProject

regulatory issues
technological issues
organizational issues
next steps

30

Next steps
Regulatory initiatives
To approve a decree update concerning the evaluation and access to
documentation (second half 2016) harmonizing the current regulations on
access with regulations governing transparency.
Prepare a decree update on the general records management system (first
half 2017) updating the functions and responsibilities of archivists as
administrators of an information system within the context of eGovernment.
technology initiatives
ARESTA platform (electronic archive) integration with document
management services platform

31

Next steps
Organizational initiatives
Present a plan sizing of human resources:

the central administrative archives.

Corporate unit coordination, especially in aspects related to the administration of the
electronic file.

Integration of the Ministry of Culture permanently high level committees

relating to:

Promoting eGovernment
Coordination of transparency.

32

Next steps
Finalconsiderations:
WeareawarethatARESTAprojectisinhisbeginningsandstillwehavenotbeenableto
presentlargematerializations.Inanycasetheprojectputupon thetablesomeissuesthat
ourorganizationsofarhadnotconsidered,suchas:
Theneedtoapproachtheelectronicadministrationfromastrategicandglobal
perspective.Thefeaturedthemanagementofdocumentsfromthemomentinwhich
designprocedures
Themultidisciplinaryworkasthebasisfortheproject.
WethinkthatARESTA,asisstandardizedbothdataandmetadatagovernment
documents,isthebasisofnormalization,insubsequentstages,willallowthe
governmenttooperatemoreeasilytheinformationavailableforthepurposesof
search,transparency,reuseandinteroperability.

33

Thank you for

your attention

34