Spain is developing all the issues about the electronic document as a collective and multidisciplinary effort along the time, including an exhaustive legal framework with lower level regulations and supporting documents, governance, cooperation and collaboration between the public and private sectors, with the engagement of all interested stakeholders, professional or institutional, and the deployment of services for the management of administrative electronic documents and for electronic archiving.

1. 1
DLM Forum Members Meeting and
Annual General Meeting
31st May – 1st June 2018
Tallinn, Estonia
Approach in Spain to
the implementation of
electronic documents
and electronic
archives
31 May 2018
Miguel A. Amutio
Deputy Head of Unit for Coordination of ICT Units
General Secretariat for Digital Administration
Ministry of Finance and Public Function

2. 2
The DLM-FORUM, a key reference
It was 1996, do you remember? Criteria for preservation,
First version late 90,s
Last version 2004
40 references to DLM-Forum
 Life cycle
 File Formats
 Data Storage Media
 Measures for preservation
DLM/Forum 6-8 May 2002
Photo by Marius Masalar on Unsplash

3. 3
A focus on e-DOC along the time
You
are
here

4. 4
1. Key pillars for e-Doc
and e-Archiving:
 Legal Framework
 Cooperation & Governance
 Services
2. Challenges &
Conclusions
Photo by Josh Calabrese on Unsplash

5. 5
The Public Sector in Spain
+ 50 Public Universities

6. 6
Forums for
public-private
collaboration
ICT Steering
Committee
(General State
Administration)
Sectorial
Committee for
eGov (All PAs)
Legal Framework
for eGOV
Catalogue of
services for Digital
Adm.
Shared services

7. 7
A favourable legal framework
An opportunity to take advantage from
Administrative
Laws
Personal Data
Protection
Security
Interoperability
Accesibilitye-SignatureTransparence
Reuse of
Public Sector
Info
Other issues
Archiving & doc
management
(Non exhaustive)
It addresses the
relevant issues:
 E-Document
 E-Files
 E-Archiving
 Copies
 Doc Management
 Metadata
 Digitization
 Disposal
 Other issues

8. 8
Administrative acts shall be produced in writing through
electronic means, unless their nature requires another more adequate
form of expression and record.
Public administrations will issue the administrative
documents in writing, through electronic means, unless
their nature requires another more appropriate form ...
Administrative files will have an electronic format ...
Each Administration must maintain a unique electronic
archive of electronic documents corresponding to finalized
procedures ...
Public administrations will interact through electronic
means, ensuring interoperability and security, the
protection of personal data, and facilitate the joint
Legal framework, going digital

9. 9
CHAPTER X
Retrieval &
preservation of e-documents
Art. 21. Conditions for the retrieval and
preservation of e-documents
Art. 22. Security
Art. 23. Document formats
Art. 24. Digitization of documents
Development of the NIF-> IOP technical
regulations:
E-Document Management Policy
Electronic Document
Electronic File
Digitization of documents
Authentic copies and conversion of
formats
Metadata Schema
Echoed on the Royal Decree on Archives
(RD 1708/2011)

10. 10
E-Document
Management Policy
Guidelines for development of policies
E-Document
Content + eSignature + mandatory metadata
XSD Structure for exchange
E-File
e-index (e-signed) + e-documents + mandatory metadata
XSD Structure for exchange
Digitization of
Documents
Image, metadata and e-Signature
Reqs.: formats, resolution, fidelity to original
Process: digitization, optimization, metadata, and
eSignature of the image
Authentic Copies &
Conversion
Rules for the production of authentic e-copies and paper
copies from administrative eDocuments.
Conditions for the conversion between formats by public
administrations
Technical regulations on eDOC
Metadada Schema
Conceptual model: entity relationship
Description of elements and subelements
+ a Collection of supporting documents
https://administracionelectronica.gob.es/pae_Home/pae_Estrategias/pae_Interoperabilidad_Inicio/pae_Normas_tecnicas_de_interoperab

11. 11
Art. 7. Prevention, reaction and
recovery
...
5. the system will guarantee the
preservation of data and information in an
electronic information device.
…, continue to be available during the whole life
cycle of the digital information, through a design
and procedures that form a basis for the
preservation of digital heritage.
Art. 21. Protection of
information stored and in transit
...
2. Security includes procedures that
ensure the retrieval and long-term
preservation of e-documents produced by
Public Administrations...
ANNEX – Security measures
Measures form the following groups:
 Protection of information
 Protection of media
 Access control

12. 12
General State Administration
Ministerial
Commissions
Digital Admin.
Permanent
Commission
ICT Strategy
Committee CIO
Link
Presides
Secretariat
Cooperation & Governance
Sectorial Commission of eGov
CIO
Reg.
Govs
Local Ent. Pub. Univ.
 Ensures IOP
 Promotes eGov
 Ensures
cooperation
Working Groups
ICT Steering
Committee
Provides advice
to
Working Groups
CIO
Presides
WGs on Interoperability and e-Document
Multidisciplinary

13. 13
Forums for public-private collaboration
Forum eDocument
Photo by Pawel Chu on Unsplash
Inform about strategies and solutions
Inform about results of the working groups
Offer the private sector information on the steps taken
and possible ways of collaboration
Establish guidelines of interest for public or private sector
Collect feedback from the private sector about document
management and preservation
Promote the culture of the preservation of digital assets

14. 14
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS
Services: Practical reality
Deployment of a portfolio of services &
tools according to the specifications of the
Legal Framework and the NIF :
e-Document and e-File management
e-Archiving
Interoperability with other services
 Large scale exchange of e-
Documents and e-Files
 Submission of e-Files to courts of
Justice
InSide and ARCHIVE enable the
management and archiving.
Also available the source code.

15. 15
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS
Defining a common
approach to
eDocument and
eFile exchange
ISA WP 2013: Spain submitted
an action on a common approach
for the exchange of documents &
files. This action goes on in ISA2
Spain participated in the a-ARK
Project
eArchiving
Spain contributed to the collective
effort in support of the new
building block e-Archiving
CEF-Telecom
Contribution to the EU effort on E-DOC
Underlying principle 11:
Preservation of information
Spain supported this underlying
principle 11: preservation of
information (The same did for
EIFv1 2010)
“The use of electronic documents should be promoted across the EU to
reduce costs and administrative burden for business and individuals.” [A DSM
Strategy for Europe]

16. 16
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS
1. Key pillars for e-Doc
and e-Archiving:
 Legal Framework
 Cooperation & Governance
 Services
2. Challenges &
Conclusions
Photo by Josh Calabrese on Unsplash

17. 17
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS
Difficulties and actions adopted
Issue perceived as a novel one,
beyond the experts in doc
management.
It requires a horizontal approach
within the organization to involve
interested stakeholders: business,
archiving and ICT.
It requires entities to have their
document management policy, plus
the rules and procedures that deal with
detail issues.
It requires having adequate tools for
document management.
It is necessary to train personnel,
both those responsible for document
management and those involved in
functional business tasks.
• Produce documentary support
related to the electronic document.
• Involve stakeholders through the
working groups of the cooperation
bodies.
• Facilitate the elaboration of the e-
document management policy:
Guidelines, generic model,
examples.
• Provide services and tools for e
doc management (INSIDE) and
archiving (ARCHIVE).
• Facilitate training , awareness
and cultural change.
Difficulties Actions

18. 18
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS
A collective and multidisciplinary effort with the
engagement of interested stakeholders, institutional and
professional (experts: archiving, e-Doc, ICT, legal, …).
A global approach to e-Doc and e-archiving combining
Legal framework plus technical regulations and support
Cooperation and Governance, + public-private collaboration
Services
An effort along the time which allows perspective of the
roadmap.
Challenges: progress with e-Doc and e-Archiving as
relevant issues of the digital transformation of the
Administration while keeping the lessons learnt, and
alignment with EU policies, actions and projects.
Conclusions

19. 19
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS
More information
Photo by Josh Calabrese on Unsplash

20. 20
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS
IOP Technical Regulations and e-Doc
A collective and
multidisciplinar
effort
Regulations
Guides & Other docs
Schemas
…

21. 21
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS
To explain in detail all the aspects about eDocument and related issues
Focal point on eArchiving
+ a Collection of supporting documents

22. 22
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS

23. 23
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS

24. 24
MINISTERIO
DE HACIENDA
Y ADMINISTRACIONES PÚBLICAS
DLM Forum Members Meeting and
Annual General Meeting
31st May – 1st June 2018
Tallinn, Estonia
Many thanks for
your attention
31 May 2018
Miguel A. Amutio
Deputy Head of Unit for Coordination of ICT Units
General Secretariat for Digital Administration
Ministry of Finance and Public Function