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Spain

ARCHIVE System (ES0035)

Overview

At-a-Glance

Action Plan: Spain Action Plan 2017-2019

Action Plan Cycle: 2017

Status: Inactive

Institutions

Lead Institution: Ministry of Finance and Civil Service

Support Institution(s): General State Administration. Autonomous Communities and local entities that adhere.

Policy Areas

Access to Information, Capacity Building, Data Stewardship and Privacy, Digital Governance, E-Government, Open Data, Records Management

IRM Review

IRM Report: Spain Design Report 2017-2019

Starred: Pending IRM Review

Early Results: Pending IRM Review

Design i

Verifiable: Yes

Relevant to OGP Values: Access to Information

Potential Impact:

Implementation i

Completion: Pending IRM Review

Description

Ministry Responsible: Ministry of Finance and Civil Service; Other actors: Government: General State Administration. Autonomous Communities and local entities that adhere.; Status quo or problem
to be addressed: Archive is a permanent archive web application for the long-term preservation of files and electronic documents, which complies with the provisions in RD 4/2010, dated January 8, which regulates the National Interoperability Framework within the e-government. Archive provides the necessary tools for the creation, through a super-administrator, of an administration and management system of Multi-departmental Archive Centers, as well as the integration of the corresponding consumer applications and the management of the documents and electronic files sent by the same. It is also the fundamental basis for the extraction of information that may be of interest to the administration in general, for the fulfillment of its obligations of transparency, and for the exploitation of information that may be of interest to the very operation of the organization. Main objective: Archive is a long-term web archiving application whose main objective is to ensure that the electronic information stored is authentic, accessible only by users or relevant stakeholders, is complete, available sine die, and provides the necessary traceability information. Archive comes with operations for working with electronic documents and records. The operations available can be roughly divided into: •Administration of an File • File Center Management • Management of the Metadata of the Technical Standards • Records management • Transfer of records between files • Generation of change of custody minutes • Preservation of technical guarantees (resale and other guarantees) The records and documents will be imported and classified within Archives and a collection of documents, and will pass through various states (both automatically and manually), depending on the assigned conservation policy. Archive also provides mechanisms for the notification of changes in the status of records, as well as different management modules (users and roles, documentary archives, SIA and/or functional classification). On the other hand, it has a series of operations accessible through web services, such as sending SIP, searching records or getting entry records. Following the OAIS file management model, Archive covers the entire document life cycle and its successive long-term archive stages. It enables generating, for each File and collection of documents, the metadata of the Metadata Framework of the Technical Standards for Interoperability of Electronic Document, necessary for the management of Records (as an atomic unit). These selections automatically translate into Validation rules of the SIP (Submission Information Package) so that they can be implemented by each Archive center. It includes tools for the generation of these SIPs, as well as a visualization of the AIP (Archival Information Package) that are generated internally in the Archive software.
Similarly, in the exchange process between Archives, it allows the generation of DIPs (Dissemination Information Package) in a semiautomatic way, for the transfer between file centers compatible with these protocols.
Regarding Conservation Policies, it enables the Permanent Elimination, Partial, Permanent Conservation and Pending Judgment. Among the functionalities being developed it now includes, among others: • Large-scale format conversions • Advanced metadata handling for the definition of SIPs and AIPs. • Final file of complete databases
• Paper-electronic hybrid record management • Right of access to information The application is already released with EUPL license and available for reuse.; Brief description of the commitment: Facilitate the capacity of individual administrations to preserve digital assets in the long term, provide reusable data to promote RISP policy, open electronic files to stakeholders or researchers, promote transparency, and foster private sector collaboration in the technological development of these tasks.; Addressed challenge of the OGP by the commitment: ARCHIVE addresses several of the challenges of the Alliance. Improvement of public services, enhancement of public integrity, more efficient management of public resources resources, creation of safer communities and increasing corporate responsibility On the one hand, ARCHIVE represents an improvement in public services by providing administrations with a secure mechanism for the preservation of digital assets, which at present may be lost or kept in unsuitable formats. It undoubtedly improves the transparency of administrations in their administrative actions by making it easier for citizens to access data from files, as well as to advance open data, and the exploitation of information through big data techniques, extraction of useful information (documentary intelligence) and exploitation of information without prejudice to personal data (anonymization) In addition, as it is intended as a mechanism to assist in the implementation of administrations of the national Interoperability Framework, it increases the need for different service providers to carry out work in relation to records, electronic documents and, in general, digital assets, in accordance with these standards. Finally, it also implies a more efficient management of public resources, with it being offered to all local entities, reusing the technological solutions.; Relevance: This commitment enables advancement in the values promoted by the OGP. It promotes access to information and transparency, since it will facilitate access and data held by the administration in its files in the long term, and on the other hand, they can oversee and exercise greater control, empowering civil society.
In this line, furthermore, it promotes the disclosure of collections of free access documents, as well as the general access to researchers of the electronic files that each administration maintains. It is a technological and innovative development of great importance, since it is a cloud based service that is reused in a simple way by all the administrations, that is also available in Open Source, with the multiplier effect of the savings that these types of systems imply. In addition, these technologies are assuming the use and testing of innovative technologies that allow us to deal with digital preservation in the long term.; Aim: Preserve all the relevant information of all the Public Service Administrations in the long term, without risk in the loss of the same in the long term, which constitutes, after all, the history of the administration and its administrators. It implies a change in the philosophy of preservation and awareness of all public administrations, which is also a great driving force in the general management of document management of all the organizations.

IRM Midterm Status Summary

EJE TRANSPARENCIA

3.4 Sistema ARCHIVE

Texto del compromiso como aparece en el plan de acción:

Facilitar la capacidad de las distintas administraciones para la preservación de los activos digitales a largo plazo, ofrecer datos reutilizables para fomentar la política RISP, abrir los archivos electrónicos a los interesados o investigadores, fomentando la transparencia, e impulsar la colaboración del sector privado en el desarrollo tecnológico de estas labores.

El compromiso contiene las siguientes metas:1. Diagnóstico. 2. Creación del archivo electrónico único del MINHAFP e ingreso de, al menos, 2000 expedientes. 3. Creación del archivo electrónico único AGE. 4. Servicio para todas las AAPP. 5.Grupos de trabajo AGE del CDTIC, publicación de decisiones. 6. Grupos de trabajo de CCAA y EELL del Comité Sectorial de eAdmin.

Fecha de inicio: Junio 2017 Fecha de término: Marzo 2018

El texto completo del compromiso se encuentra en Tercer Plan de Acción de Gobierno Abierto 2017-2019 de la Alianza para el Gobierno Abierto, disponible aquí: https://bit.ly/2Wubeyk.

Contexto y objetivos

Objetivo general y relevancia

El texto del compromiso indica que el Sistema ARCHIVE [58] “Promueve el acceso a la información y la transparencia ya que se facilitará el acceso a los datos en poder de la Administración en sus archivos a largo plazo, y por otra parte, pueden fiscalizar y ejercer una mayor acción de control, empoderando a la sociedad civil.”

Es innegable que el sistema descrito mejora la sistematización y explotación de la información que las administraciones (incluidas las autonómicas) poseen de la ciudadanía. Sin embargo se  trata de una medida creada y orientada para el uso interno de las administraciones públicas. Por ende, no se puede establecer una causalidad directa entre el compromiso propuesto y el aumento del control y empoderamiento de la ciudadanía sino a través de aplicaciones secundarias que tomarán la información de ARCHIVE.

De la lectura del compromiso no se desprende cómo el sistema ARCHIVE busca promover mayor acceso o mejorar la calidad de la información a la que los ciudadanos tendrán acceso. En la entrevista sostenida con los responsables de esta medida [59] se informó que el sistema ARCHIVE alimentará la Carpeta Ciudadana (Compromiso 3.3) donde los ciudadanos podrán acceder a sus datos y expedientes. ARCHIVE contribuirá a alimentar herramientas o aplicaciones que redundarán en la transparencia y el acceso a la información, así como entraña soluciones tecnológicas e innovadoras. No obstante se trata de una aplicación web, que al menos por el momento, no implica al ciudadano en su gestión o uso. Sin embargo, los hitos correspondientes a la creación de grupos de trabajo incluyen el compromiso a publicar las decisiones y acuerdos adoptados por los mismos, haciéndolo relevante al acceso a la información.

Verificabilidad e impacto potencial

Las seis metas contenidas en este compromiso son verificables en cuanto suponen la creación de herramientas como los archivos electrónicos del MINHAFP y AGE así como la puesta en marcha de grupos de trabajo interadministrativos y entre la AGE y el CDTIC.

Por otra parte resulta difícil estimar el impacto potencial de la medida porque el texto del compromiso no define el problema sino que describe la herramienta. La investigadora del IRM infiere de la lectura del compromiso que el problema identificado es la dificultad de archivo y conservación de los expedientes antiguos así como la dificultad de sistematizar la gran cantidad de archivos que generan las administraciones españolas. En consecuencia considera que el impacto potencial del compromiso, de ser implementado en su totalidad, es moderado.

En la fase de consultas públicas se realizó una propuesta por parte de la OSC Archiveros Españoles en la Función Pública (AEFP) donde se planteaba aprovechar las potencialidades del sistema de gestión ARCHIVE con el siguiente fin: “transformar el procedimiento electrónico de acceso a la información pública, gestionado a través de GESAT, en un procedimiento que responda plenamente a las exigencias del Esquema Nacional de Interoperabilidad (ENI) y del Esquema Nacional de Seguridad (ENS) y que pueda ser integrado en la aplicación de archivo electrónico definitivo Archive” “…de esta manera podría favorecerse enormemente la gestión de las peticiones de acceso a la información de los ciudadanos, incluso poner, en un futuro, a disposición de los ciudadanos los expedientes de libre acceso a través de esta plataforma”. Esta funcionalidad no se contempló como parte del compromiso finalmente formulado. La DGGP argumentó, en el segundo informe de valoración de propuestas ciudadanas [60], que gradualmente se priorizarán nuevas funcionalidades para su interconexión con el sistema ARCHIVE.

Analizando la propuesta de AEFP junto a los responsables de la medida, comentaban que actualmente GESAT y ARCHIVE son dos categorías diferentes: el primero es un procedimiento administrativo que gestiona las solicitudes de acceso a la información y el segundo es un sistema de gestión y explotación de expedientes de datos. Los responsables de las medidas comentaban que pese a la confusión de conceptos existente, ARCHIVE podría aglutinar dichos expedientes de acceso a la información. No obstante, la dificultad no sería técnica sino competencial, pues exige la necesaria coordinación y cesión de información por parte de las CCAA. Adicionalmente sería necesario habilitar un marco jurídico para posibilitar que las entidades territoriales vuelquen sus datos en un sistema de gestión de archivos así como para posibilitar la publicación de los expedientes.

Un aspecto digno de subrayar es la coordinación interterritorial que se generó en torno al sistema de gestión a través de los grupos de trabajo, creados en ARCHIVE [61].

Siguientes pasos

Tal como se describió en el compromiso anterior (3.3 Carpeta Ciudadana) las medidas de administración electrónica son una condición habilitante para la configuración de acciones de innovación tecnológica en gobierno abierto pero no constituyen un compromiso en materia de gobierno por sí mismas. Gobierno electrónico no es gobierno abierto, y, pese a ser relevantes para el desarrollo y consolidación de las administraciones públicas, las acciones de gobierno electrónico deberían realizarse fuera de los planes de acción de gobierno abierto, de modo que estos incluyan sólo compromisos ambiciosos que atiendan los valores de apertura, transparencia, participación ciudadana y rendición pública de cuentas. Por ello no se recomienda la incorporación de medidas similares como parte del próximo plan de acción de gobierno abierto.

[58] Sistema ARCHIVE, Portal de Administración electrónica (PAe). Ministerio de Política Territorial y Función Pública: https://administracionelectronica.gob.es/ctt/archive#.XHj17dDPw2w
[59] Subdirección General de Coordinación de Unidades TIC y Subdirección General de Impulso de la Administración Digital y Servicio al Ciudadano. Ministerio de Política Territorial y Función Pública.
[60] Informe de valoración de las propuestas ciudadanas, Portal de Transparencia, 12 de mayo de 2017: http://transparencia.gob.es/transparencia/dam/jcr:f214685c-74e3-4bb8-bd1c-3a933ce31ac6/2017_Informe_Valoración_Propuestas_Abril.pdf
[61] Documentación descargable relativa al grupo de trabajo: documento, expediente y archivo de ARCHIVE: https://administracionelectronica.gob.es/ctt/archive/descargas#.XK87w9hR02w 

Commitments

  1. Reform laws related to transparency and access to information

    ES0044, 2020, Access to Information

  2. Establish transparency certification system for public and private institutions

    ES0045, 2020, E-Government

  3. Improve central government's transparency website

    ES0046, 2020, E-Government

  4. Incorporate EU direction on open public sector data

    ES0047, 2020, Access to Information

  5. Increase publication of budget and public contracting information

    ES0048, 2020, Anti-Corruption

  6. Open data related to training of civil servants

    ES0049, 2020, Access to Information

  7. Improve access to information in Business Registry

    ES0050, 2020, E-Government

  8. Promote citizen participation in public affairs

    ES0051, 2020, Capacity Building

  9. Improve traceability of regulatory draft and approval processes

    ES0052, 2020, Capacity Building

  10. Diagnose and strengthen public integrity systems

    ES0053, 2020, Anti-Corruption

  11. Establish law regarding lobbying transparency

    ES0054, 2020, Anti-Corruption

  12. Reform law regarding conflicts of interest

    ES0055, 2020, Anti-Corruption

  13. Identify and encourage ethical uses of artificial intelligence within public sector

    ES0056, 2020, Automated Decision-Making

  14. Establish legal whistleblower protections

    ES0057, 2020, Anti-Corruption

  15. Provide open government training to public

    ES0058, 2020, Capacity Building

  16. Prepare guide on open government

    ES0059, 2020, Sustainable Development Goals

  17. Provide professional training and materials for women in rural communities

    ES0060, 2020, Capacity Building

  18. Implement and evaluate open government training for civil servants

    ES0061, 2020, Capacity Building

  19. Disseminate information and raise awareness of open government principles

    ES0062, 2020, E-Government

  20. Promote research on open government principles

    ES0065, 2020, Capacity Building

  21. Disseminate research on open government principles

    ES0066, 2020, E-Government

  22. Observatory of Open Government

    ES0067, 2020, E-Government

  23. Create Observatory of best open government practices in Spain

    ES0068, 2020, E-Government

  24. Creation of a Committee of Patients and Users

    ES0069, 2020, Health

  25. Incorporate patient associations in developing Clinical Practise Guides

    ES0070, 2020, Health

  26. Incorporate patient associations in new working groups

    ES0071, 2020, Health

  27. Increase participation of Roma People in health policy

    ES0072, 2020, Health

  28. Prevent and manage health supply problems

    ES0073, 2020, Health

  29. Publish data regarding adverse reactions to medications

    ES0074, 2020, E-Government

  30. Publish open data for the Spanish Tourism Quality System

    ES0075, 2020, Access to Information

  31. Extend access to digital infrastructure

    ES0076, 2020, Infrastructure & Transport

  32. Promote integration of open geographic data

    ES0077, 2020, Access to Information

  33. Publish significant data regarding housing sector

    ES0078, 2020, E-Government

  34. Promote citizen participation in debating the Safe, Sustainable and Connected Mobility Strategy

    ES0079, 2020, E-Government

  35. Create website for open climate data

    ES0080, 2020, Access to Information

  36. Create Open Registry of Climate Information of Spain (RAICES)

    ES0081, 2020, Access to Information

  37. Regulate citizen collaboration on meterology

    ES0082, 2020, Environment and Climate

  38. Facilitate public participation in marine NATURA 2000 NETWORK

    ES0083, 2020, Environment and Climate

  39. Open participation process regarding MeteoAlerta plan

    ES0084, 2020, Environment and Climate

  40. Modify decree on State Council for the Natural Heritage and Biodiversity

    ES0085, 2020, Environment and Climate

  41. Establish mechanisms to reconsider coastal governance

    ES0086, 2020, Environment and Climate

  42. Increase public participation in coastal protection strategies

    ES0087, 2020, Environment and Climate

  43. Increase access to and comprehension of legal knowledge

    ES0088, 2020, E-Government

  44. Establish channels for citizens to propose research topics to Sociological Research Centre

    ES0089, 2020, Public Participation

  45. Publish information related to financing and performance of science and innovation

    ES0090, 2020, E-Government

  46. Publish information regarding Aneca accreditation process

    ES0091, 2020, Education

  47. Promote participation of university community in regulatory design processes

    ES0092, 2020, E-Government

  48. Publish mandate commitments to allow for social auditing

    ES0093, 2020, E-Government

  49. Encourage citizen participation through online platform

    ES0094, 2020, Capacity Building

  50. Create citizen Monitoring Space for anti-corruption strategy

    ES0095, 2020, Anti-Corruption

  51. Publish open data to promote gender equality policies

    ES0096, 2020, Access to Information

  52. Develop regulation for evaluating public service quality

    ES0097, 2020, Legislation & Regulation

  53. Draft Institutional Integrity Framework Programme

    ES0098, 2020, Anti-Corruption

  54. Develop and monitor ICSS platform for citizen feedback and information requests

    ES0099, 2020, Access to Information

  55. Offer electronic administrative services and channels for citizen participation

    ES0100, 2020, E-Government

  56. Improve transparency and accessiblity of open government website

    ES0101, 2020, E-Government

  57. Implement open government training plan for civil servants

    ES0102, 2020, Capacity Building

  58. Publish data on Open Data Website

    ES0103, 2020, Access to Information

  59. Draft Strategic Transparency Plan

    ES0104, 2020, Capacity Building

  60. Draft citizen participation law

    ES0105, 2020, Legislation & Regulation

  61. Draft code of ethics for administration

    ES0106, 2020, Anti-Corruption

  62. Improve public access to transparency and open data websites

    ES0107, 2020, Access to Information

  63. Create catalogue of public information for transparency and open data websites

    ES0108, 2020, Access to Information

  64. Strengthen institutional integrity of Murcia region

    ES0109, 2020, Anti-Corruption

  65. Promote youth participation in designing public policies

    ES0110, 2020, E-Government

  66. Preparation and implementation of a Valencian strategy of open data

    ES0111, 2020, Access to Information

  67. Promote citizen participation in developing budgets

    ES0112, 2020, E-Government

  68. Strengthen institutional integrity in Valencia

    ES0113, 2020, Anti-Corruption

  69. Increase citizen participation in designing public services

    ES0114, 2020, Local Commitments

  70. Ensure greater accessibility in participating in public decisions

    ES0115, 2020, E-Government

  71. Improve youth participation in Aragón

    ES0116, 2020, Capacity Building

  72. Increase democratic innovation and participation through LAAAB Space

    ES0117, 2020, E-Government

  73. Improve citizen participation in drafting public policies

    ES0118, 2020, E-Government

  74. Develop transparency training course for civil servants

    ES0119, 2020, Access to Information

  75. Centralize open data catalogues through website

    ES0120, 2020, Access to Information

  76. Create Canary Islands Network of Open Government

    ES0121, 2020, Local Commitments

  77. Publish and encourage use of open data

    ES0122, 2020, Access to Information

  78. Encourage participation of children and teens in Navarra

    ES0123, 2020, Capacity Building

  79. Streamline processing of right to information requests

    ES0124, 2020, Access to Information

  80. Create citizen laboratories for improving public services

    ES0125, 2020, E-Government

  81. Implement electronic processing of conflict of interest reporting

    ES0126, 2020, Anti-Corruption

  82. Open participation channels for citizen evaluation of public services

    ES0127, 2020, Capacity Building

  83. Analyze and simplify regulations on open government

    ES0128, 2020, Local Commitments

  84. Training for civil servants on open government principles

    ES0129, 2020, Capacity Building

  85. Draft and approve law on transparency

    ES0130, 2020, Access to Information

  86. Draft and approve regulations regarding transparency and right to information

    ES0131, 2020, Access to Information

  87. Design online platform for local citizen participation

    ES0132, 2020, E-Government

  88. Design and implement public hearings for matters of general interest

    ES0133, 2020, Local Commitments

  89. Implement indicators to evaluate public policy

    ES0134, 2020, E-Government

  90. Design tools to improve transparency website

    ES0135, 2020, Capacity Building

  91. Ensure clear and transparent communication to citizens

    ES0136, 2020, Capacity Building

  92. Create online catalogue of public information

    ES0137, 2020, E-Government

  93. Draft and approve law on transparency and right to information

    ES0138, 2020, Access to Information

  94. Publish all information related to drafting regulations

    ES0139, 2020, E-Government

  95. Update design of transparency website

    ES0140, 2020, E-Government

  96. Approve regulation related to transparency and open government

    ES0141, 2020, Legislation & Regulation

  97. Training for civil servants on open government principles

    ES0142, 2020, Capacity Building

  98. Raise awareness among civil society on participating in transparency efforts

    ES0143, 2020, Local Commitments

  99. Promote commitment of youth in citizen participation

    ES0144, 2020, Fiscal Openness

  100. Create plan to strengthen the Network of Local Entities in Transparency and Participation

    ES0145, 2020, Anti-Corruption

  101. Creation of an Open Government Forum

    ES0024, 2017, Public Participation

  102. Sectoral Commision on Open Government

    ES0025, 2017, Capacity Building

  103. Local Authorities for Transparency and Citizen Participation

    ES0026, 2017, Access to Information

  104. Open Government Initiatives Abroad

    ES0027, 2017, Anti-Corruption

  105. Participatory Web Space on Open Government

    ES0028, 2017, Capacity Building

  106. Observatory on Participation

    ES0029, 2017, Capacity Building

  107. Participatory Budgeting

    ES0030, 2017, E-Government

  108. Young People in Public Policies

    ES0031, 2017, Capacity Building

  109. Transparency Portal and the Right of Access

    ES0032, 2017, Access to Information

  110. Information Disclosure Program and Its Reuse

    ES0033, 2017, Access to Information

  111. Citizen’S Folder

    ES0034, 2017, E-Government

  112. ARCHIVE System

    ES0035, 2017, Access to Information

  113. Regulations for the Transparency Law

    ES0036, 2017, Access to Information

  114. Expand Economic-Financial Center

    ES0037, 2017, Access to Information

  115. Coordination of the Cadastre and the Land Registry

    ES0038, 2017, Capacity Building

  116. Information on Gender-Based Violence

    ES0039, 2017, Gender

  117. Training of Public Employees

    ES0040, 2017, Capacity Building

  118. Awareness-Raising and Training of Civil Society

    ES0041, 2017, Capacity Building

  119. Education in Open Government

    ES0042, 2017, Capacity Building

  120. Open Justice in Spain

    ES0043, 2017, Access to Information

  121. Transparency Portal

    ES0014, 2014, Access to Information

  122. Spanish Archives Portal, PARES

    ES0015, 2014, E-Government

  123. Open Education Resources

    ES0016, 2014, Education

  124. Accessibility of National Health System Microdata

    ES0017, 2014, Access to Information

  125. Access to and Re-Use of Geographic Information

    ES0018, 2014, Public Participation

  126. Programmes on Opening up Information and Its Re-Use in the Public Sector

    ES0019, 2014, Access to Information

  127. Portal of the Administration of Justice

    ES0020, 2014, Access to Information

  128. Starred commitment Greater Control and Transparency in Public Grants

    ES0021, 2014, Civic Space

  129. Creation of the Spanish Council on Drug Dependence

    ES0022, 2014, Health

  130. Increased Participation of Sector Stakeholders in Defining the Goals of the National Maritime Rescue Plans.

    ES0023, 2014, Environment and Climate

  131. Starred commitment Law on Transparency, Access to Public Information and Good Governance

    ES0001, 2012, Access to Information

  132. Starred commitment Transparency and Accountability in the Official Development Assistance

    ES0002, 2012, Aid

  133. Law of Budgetary Stability and Financial Sustainability

    ES0003, 2012, Fiscal Openness

  134. Law Reform Grants

    ES0004, 2012, Civic Space

  135. E-Justice

    ES0005, 2012, E-Government

  136. Promotion of Social Networks to Facilitate Citizen Participation

    ES0006, 2012, E-Government

  137. Publication of Statistical Data on Crime

    ES0007, 2012, E-Government

  138. Review and Regulatory Simplification

    ES0008, 2012, Legislation & Regulation

  139. Starred commitment E-Health

    ES0009, 2012, Health

  140. RED System

    ES0010, 2012, E-Government

  141. Streamlining Environmental Assessment Procedures

    ES0011, 2012, Anti-Corruption

  142. Streamlining Procedures for Business Creation

    ES0012, 2012, E-Government

  143. Reduction of Administrative Burdens for Farmers and Ranchers

    ES0013, 2012, Local Commitments

Open Government Partnership