interpares trust project report · 8/11/2016 · 3 11.08.2016 revision by the authors 4 12.08.2016...

InterPARESTrustProjectReport

Titleandcode: Policiesforrecordkeepinganddigitalpreservation.Recommendationsforanalysisandassessmentservices-EU04

Documenttype: Finalreport

Status: Final

Version: 3

Researchdomain: Policy

Datesubmitted: 11.08.2016

Lastreviewed: 11.08.2016

Author: InterPARESTrustProject

Writer(s): Stefano Allegrezza, Gabriele Bezzi, Maria Guercio, LetiziaLeo, Maria Mata Caravaca, Matteo Monte, Ilaria Pescini,BrizioTommasi

Researchteam: EuropeanTeam

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DocumentControlVersionhistoryVersion Date By Versionnotes1 24.07.2016 MariaGuercio 2 10.08.2016 Revisionbytheauthors3 11.08.2016 Revisionbytheauthors4 12.08.2016 CorinneRogers Formattingandminorcopyedits

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TableofContentsAbstract.......................................................................................................................................4Researchteam..........................................................................................................................5

Background................................................................................................................................5

Researchquestions.................................................................................................................6AimsandObjectives/Goals...................................................................................................7

Methodology..............................................................................................................................7

Findings.......................................................................................................................................7Conclusions.............................................................................................................................11

Products...................................................................................................................................12References...............................................................................................................................13

Appendix1.POLICIESFORRECORDSMANAGEMENTANDDIGITALPRESERVATIONATTHEEUROPEANUNION................................................................15Appendix2.THEITALIANCASE:LEGALFRAMEWORKANDGOODPRACTICESFORDIGITALPRESERVATION...........................................................................................28Appendix3.SPANISHLEGISLATIONONRECORDSMANAGEMENTANDDIGITALPRESERVATION.....................................................................................................................38

Appendix4.TERMSANDDEFINITIONS.........................................................................51Appendix5.SURVEYONRECORDKEEPINGANDDIGITALPRESERVATIONPOLICIES...................................................................................................................................59

Appendix6.QUESTIONNAIREREPLIES.........................................................................68Appendix7.MATURITYMODEL.......................................................................................75

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AbstractTheproposalhastheambitiousgoalofanalyzingandassessingtheroleandthequalityof policies dedicated to the recordkeeping and digital preservation in the new digitalenvironment characterized by a large use of networking systems in the webenvironment. The critical questions at the basis of the research were related to thecapacity of the policies of mitigating the risks of technological obsolescence andimproving the access to the digital records and systems interoperabilitywhen i-cloudsystemsareinvolved,thanktotheactivepresenceofrecordkeepersandcustodiansindefininganddefendinggoodandflexibleinternalpoliciesandspecificprocedures.The proposal has identified a specific set of terms of reference (digital preservationhandbook, interoperability, manual for record management procedures, policy andresponsibility). The project group has also defined a survey template for collectingexperiences inmany domains and analyzed the legislations and the practices in Italy,Spain and at the European Union. Some deliverables of European projects (Erpanet,Aparsen)havebeenconsidered.Thefinalresultstestifyadelayintakingintoaccounttheimpactofthewebdimension,but – at the same time – the presence of flexible tools (specifically in the Italianlegislation) seem able to provide a common basis for developing in the next futurerecommendationsintheareaasasortofgeneralbutflexibleguidelines.

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Policiesforrecordkeepinganddigitalpreservation.Recommendationsforanalysisandassessmentservices-EU04

ResearchteamLeadResearcher(s):MariaGuercio,UniversitàdiRoma“LaSapienza”,DigilabProjectResearchers:StefanoAllegrezza,UniversityofUdineGabrieleBezzi,RegioneEmiliaRomagnaMariaMataCaravaca,ICCROMIlariaPescini,RegioneToscanaBrizioTommasi,CommissioneNazionaleperleSocietàelaBorsa(CONSOB)GraduateResearchAssistants:LetiziaLeo(2013October-2015December)MatteoMonte(2013October-2015December)The project has been guided in the first phase by APARSEN and Digilab (whoseresearchersarealreadyinvolvedindefiningrecommendationsinthisfieldbothfortheirown archival repositories and for the development of a service to be implementedwithinthefutureAPARSENVirtualCenterOfExcellence(VCoE)(seeworkpackage35).Within the InterPARES team the institutions involved are: APARSEN, Digilab, RegioneToscanaandRegioneEmiliaRomagna,ICCROM,CONSOBandtheUniversityofUdine.Theuniversitiesorresearchconsortiuminvolvedintheproject(suchCINIforAPARSENandDigilab - Sapienza)haveprovidedstudentseffort (in the formof thesisorprojectwork)toinvestigatenationallegislations,practicalexamples,standardsandguidelines.

BackgroundWithintheInterPARESTrustasreferredtoanetworkedenvironmenttheroleofpoliciesisrecognized as a crucial issue (both in themain goal of the project and in the specificresearch areas), but the question ismore complex than expected. For this reason thepolicy has been identified as one of the research cross domains and has been at thecentreofmanyotherInterPARESTrustresearchprojects.Morespecifically,theissuehasbeenat the centreof anumberof internationalprojects (specificallyAPARSEN,2011-2014)andofthemajorityofstandardizationprocessesdedicatedtotherecordkeepingandtothedigitalrepositories(suchasISO16363oncertificationofdigitalrepositoriesand standards/recommendations for recordsmanagement such as ISO RM15489, ISO30300,ICA-Req).

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In many legislations and recommendations for the preservation of digital resources(records but also data and documents) policy tools are considered a key issue forsupporting digital heritage access and preservation in complex and conflictingenvironments. Very often these tools are not defined by domains, specifically whendigitallibrariesandinstitutionalrepositoriesareinvolved.Thepoliciesaremorespecificin caseofdigital records, especially for the creationandkeepingofdigital records. Inthis case, the legal requirements have implied more consistency and detailedrequirementsintermsofactionplansanddefinitionofresponsibilitiesandcontrols.The term (as the concepts andmethodsbehind it, even if their relevance is generallyrecognized) is ambiguously defined also because the approach to the digitalpreservationinmanyprojectsandinmanydomainsstilllacksofconsistency.Somegoodexamples are provided by some achievements at international level: for instance thecategoriesofpolicieslistedbytheInternationalFoundationofInformationTechnology–IF4IT (www.if4it.com/taxonomy.html) cannot be concretely implemented or at leastidentified if the taxonomies at their basis are not comparable thanks to a commonterminologyandifageneralconceptualframeworkisnotdiscussedandavailable.Therecordkeepingdomainhasdeveloped–morethanothersectors–welldefinedrobustprinciples and comprehensive frameworks both for the digital recordscreation/management and for their preservation, as InterPARES 2 outputs testifies.Policies–evenifnotalwaysclearlydefined–takeastableplaceinthenationallegislationandintheinternationalstandardsandrecommendationsandcouldprovide–ifbasedonastandardizedstructure–meaningfulandeffectiveexamplesforotherdomains.Bytheway, to develop such potentialities, themain ambiguities and open questionsmust berecognizedandsolvedandbestpracticesmustbeidentified,thelegislationsconsistency(at least at European level) must be analyzed with specific reference to the newdimensionsoftherecordkeepingsystems.

ResearchquestionsTheresearchquestionsatthebasisoftheproposalconcerntheroleandthequalityofpolicies for digital recordkeeping and preservation. These questions, already definedwhen the research started, have been partially redefined with reference to the webenvironment:

• Ingeneral,whichistheroleofqualifiedpoliciesforsupportingthetrustonthearchival custodians and records keepers in the web environment? Is this rolechanging and increasingly addressed to mitigate the risks of technologicalobsolescence and/or to improve the access to the digital records and systemsinteroperabilitywheni-cloudsystemsareinvolved?

• Which capacities/competencies and knowledge are required for buildingpolicies?Which levelof interdisciplinaryapproach is required?Are thepresent

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educational and training programs able to provide adequate skills andcapacities?

• Whichkind (if any)of self-auditing tools are required to verify the consistencyandadequacyofpoliciesforrecordkeepinganddigitalpreservation?Arepresentstandards and recommendations able to provide guide and support in thisdirection?

• Istherecordkeepingsectorabletoprovidesolutions(intermofframeworksandprinciples)forothersectorslikedatamanagementpoliciesforscience(APARSENproject)?

AimsandObjectives/GoalsTheaimsof theproposalwereveryambitious (as indicatedby theresearchquestionslisted above), but were also limited to the more traditional area of electronicrecordkeepingandpreservationenvironmentduetothedelayobservedinEuropeandmore specifically in Italy and in Spain where themost part of the analysis has beenconducted. The main goal was to identify (thanks to the analysis of legislativeframeworksinEU,SpainandItalyandtothecollectionofexperiencesinmanydomains)a common basis for developing recommendations in the area, as a sort of generalguidelines

MethodologyThe methodology has been based on two main tools: the state of art analysis withspecificattentiontothelegalframeworksinEU,ItalyandSpain(seeannex1-3)andthesurveyconductedon thebasisona similarAPARSENsurveyandon thequestionnairedevelopedbyInterPARES3.

Findings1. Firststep:stateofartandlegalframeworksinEurope

AccordingtotheframeworkapprovedbytheEuropeanteamtheprojectgrouphasconductedtheanalysisofthemainliteratureinthesectorandhasinvestigatedtheroleofthepoliciesfortherecordkeepinganddigitalpreservationsystemsinEuropewithspecificattentiontotherulesappliedtotheEuropeanUnioninstitutions(Appendix1),totheItalianlegislation(Appendix2)andtotheSpanishlegalframework(Appendix3).Annex1brieflyintroducestheEuropeanCloudComputingStrategyadoptedin2012.2.Secondstep:analysisoftheterminology

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Becauseoftheambiguityofthetermsusedinthedomainrelatedtopoliciesforpreservationandaccess(asrecognizedintheAPARSENdeliverablen.35publishedin2014)theprojectgrouphasplannedtoidentifyconceptsandtermswhichshouldrequiremoreattentionandbetterdefinitionsinthespecificdomain.Thetermsidentifiedforfurtherexamsarethosenotyetincludedinthei-Trustdictionary.Morespecifically,intheareaofpoliciesforrecordskeepingandpreservationtheprojectgroupdiscussedthefactthattheterminologicalambiguitiescouldhaveaseriousimpacton the whole record management and preservation functions, as the terminologyconsistencyoften reflects the reliability of the contents themselves. For this reason aspecific effort has been developed to identify the main concepts and analyze theirrelateddefinitions.As already stressed, the main reference of the work has been the InterPARESTerminology Database (http://arstweb.clayton.edu/interlex/index.php). Only in verylimitedcases,ithasbeennecessarytointernallydefineconceptsandtermsrelevantforthedomain,morespecificallyreferredtotheItaliantraditionsandrecentlegislationincreatingdigitalpreservationsystems.Indetails,thetermsandsyntagmsselectedforaspecificanalysisare:

• interoperability(presentintheInterParesGlossary,butfurtheranalyzedinthiscontext),

• manualforrecordsmanagement(inItalianManualedigestione:termidentifiedbytheItalianlegislationbutalsogenerallyreferredtotoolswhichidentifythemainrulesandproceduresfortherecordkeepingsystemsinmanycountries),

• manualfordigitalpreservation(inItalianManualediconservazione:termidentifiedbytheItalianlegislationreferredtotoolswhichidentifythemainrulesandproceduresforthedigitalpreservationsystemsinmanycountries),

• policy(notpresentintheInterPARESGlossary),• responsibility(notpresentintheInterPARESGlossary).

For each of these terms, the report includes not only the translation and the termdefinitionbutalsoabrief informationnotewheretomakeexplicitthedecisionstakenby the working group in selecting and defining the concept. In particular the noteincludes the reference to the legal environment, to the standards and other projectsusedforthefinaldefinitionhereproposed(Appendix4). 3.Thirdstep:thesurveyAsurveyhasbeenorganizedforcollectingcasesofpoliciesforpreservationindifferentdomains.ThesurveyisbasedonasimilarAPARSENsurveyandonthequestionnaire

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developedbyInterPARES3.Thefinalversionofthequestionnaire(Appendix5)includesspecificquestionsrelatedtothepoliciesinplacefori-cloudsservices.Thelimitsoftheresultsaremainlyrelatedtothelowlevelofanswerstheprojectgrouphasbeenabletocollect(Appendix6).

Thequestionnaireframeworkincludessixsections:• identification(5questions)• governance(3questions)• policy(7questions)• recordspreservation(7questions)• responsibilityandpolicyadherence(9questions)• otherinformation(2questions)

Theprojectgrouphascollectedaboutdozenanswersfromdifferentcountry,accordingtothefollowinggeographicaldistribution:

• Europe64%• America36%

Withdetails:

• Italy(37%)• Spain(27%)• NorthAmerica(27%)• SouthAmerica(9%)

Through a statistical inference processing (Appendix 7), the survey can represent astatistic sample of about 50-60 international organizations interested on digitalpreservationpolicies.ThisevaluationisbasedonPareto“80-20rule”.In order to define a comparative level of the application status of digital policiesbetween these organizations, the project group has elaborated a “maturity model”(Appendix6).Themodelisbasedonanumericevaluationof:

- singlequestions- questionnaireframework- receivedanswers

Thenumericevaluationsarebasedon“Saatysemanticscale”(Table1):

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Saaty semantic scale (Tab.1)

Scale Small description1 NEUTRAL

3 WEAK

5 ESSENTIAL

7 STRONG

9 FULL

2,4,6,8 Intermediate values Theseevaluationshavebeenlinearlycombinedeachotherto identifythescoreoftheorganizations.

Finally,inordertodefinethematuritylevelofdigitalpreservationpolicies,thescoreoforganizations is compared on Table 2. Thematurity level is specified on the previoustable.Digital Preservation Policies Maturity Model (Tab.2)

Level from to Small description1 0 1,8 INITIAL

2 1,81 3,6 SYSTEMATIC

3 3,61 5,4 STANDARDIZED

4 5,41 7,2 CONSOLIDATED

5 7,21 9 EXCELLENT

Note:Rangeinterval=scalenr./levelnr.=9/5=1,80

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ConclusionsTheprojectworkanditsfindingstestify(frommanypointsofview)theneedforamorepreciseanddetailedeffortinthedefinition(includingtheterminologicaldimension)oftoolsable toguideandnormalizedtherecordkeepinganddigitalpreservationwhenanetwork environment is involved. The survey has collected a limited number ofexperiences and has shown the delay in some countries, such Italy and Spain, inrecognizing themain risks in thenewenvironment for thedigital records.The roleofmanualsandproceduresare,ingeneral,consideredandhandled(whenidentifiedinthelegal frameworkand inthepractice)asacrucialdefenseandthebasis foraproactiveperspective,asintherecentpastsomeEuropeanprojects(Erpanet,Aparsen)havebeenalreadyabletorecognize.Ingeneral, thefinalresultstestifyadelay(intheareashereconsidered) intaking intoaccounttheimpactofthewebdimension,but–atthesametime–alargepresenceofflexible tools (specifically in Italy, thanks to a legislation dedicated to digitalpreservation)couldbeabletoprovideacommonbasisfordevelopinginthenextfuturerecommendationsintheareaasasortofgeneralbutflexibleguidelines.With reference to theEuropeanCommission, despite theefforts expendedby theEUand itsMember States to enhance cooperation and coordination on archival policiesand practices through different EU-funded projects and expert groups, the existingregulationsonrecordsmanagementanddigitalpreservationwithinEUMemberStatesand EU governing institutions are insufficient and fragmented. There has not been asystematicandstrategicapproachtoincreasecoordinationandcommonalityonarchivallegislation among European countries. Records and archives management are notamongthepriorityareasof theEU,or itsMemberStates.Asaconsequence,archivesaredealtasasubsidiarytopicwithinthemainEUstrategicdirectionsandactionplans.TheEUhasentrustedtheprogressonarchivalcoordinationtorecommendations(whicharediscretionary),andnottobindinginstruments.Therefore,commonarchivalrulesarenotavailableattheEU,orwhatisthesame,thereisnoUnionatarchivalpolicylevel.In Italy, the recent national juridical framework, even if not completely updatedwithreferencetothewebdimensionoftherecordkeepingsystemsandinspiteofthelonglistofopenquestions,hasproved itscapacitytoofferagoodandpracticalbasis foradigital ‘ecosystem’ able to support reliable and accurate digital recordsmanagementsystemsandprovidepreservationmodelsbasedoninternationalstandardsbutalsoonflexibleandsustainableprinciples.Alegislationabletoproviderulesforgoverningcloudsystems (at least for the public administration) is not yet in place, but the generalframework for electronic records keeping systems and digital preservation systems isconsistentenoughtosupportfuturerisksincloudenvironment.Finally,with reference to the Spain situation, even if the legislation in the sector hasbeenupdatedinthelastyears,theanalysisoftheliteratureandarecentstudyonthe

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state-of-art of the electronic administration reveal that the application of electronicmanagement systems in public administrations is being delayed (and presents stilldifficulties)becauseofseveralfactors,suchaslimitedhumanandeconomicresources,theneedofcreatinginterdisciplinarycooperationtomanagedigitalrecords,theneedofelaboratingandapprovingpoliciesthatestablishguidelinesandtechnicalinstructionstobefollowed,theselectionofmanagementtoolsandtheirintegrationwithexistingones,andtheneedofpersonneltraining.Coordinationandcooperationarealsonecessaryatall levels: among institutions, provinces, regions and State bodies in order to adoptsharedservicesandinfrastructuresthatimproverationalizationandefficiency.Becauseregulations on digital preservation are scarce and developed in a very succinct way,without specific and detailed provisions on preservation strategies, processes,model/standards, or instruments to guarantee long-term preservation, the new risksandpotentialitiesinvolvedinthecloudenvironmentarestilllackingofadequatecontrolandorsupport,asthelimitedresultsinoursurveyalsomakeclear.

ProductsThe main products have been created as reports dedicated to the state of art: seeAppendixesn.1,2and3ontheanalysisoflegalframeworksinEurope(n.1),inItaly(n.2)andinSpain(n.3).

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References

AparsenProject,D24.1-Reportonauthenticityandplanforinteroperableauthenticityevaluationsystem,2012,http://www.alliancepermanentaccess.org/index.php/about-aparsen/aparsen-deliverables/

AparsenD24.2-Implementationandtestingofanauthenticityprotocolonaspecificdomain,2012,http://www.alliancepermanentaccess.org/index.php/about-aparsen/aparsen-deliverables/

AparsenD35–Exemplargoodgovernancestructuresanddatapolicies,http://www.alliancepermanentaccess.org/index.php/about-aparsen/aparsen-deliverables/

N.Beagrie,N.Semple,P.Williams,R.Knight,Digitalpreservationpolicies.Study,October2008http://80gb.wordpress.com/2008/09/25/national-archives-of-australia-digital-archives/

CommunicationfromtheCommissiontotheEuropeanParliament,theCouncil,theEuropeanEconomicandSocialCommitteeandtheCommitteeoftheRegions,UnleashingthePotentialofCloudComputinginEurope,COM(2012)529.http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2012:0529:FIN:EN:PDF

DCC,Roadshows,ResearchDataManagementForumandInternationalDigitalCurationConference(Bristol,Bristol,5-7Dec2011),http://www.dcc.ac.uk/events

EuropeanCommission,“DocumentmanagementintheEuropeanCommission:CollectedDecisionsandImplementingrules”,2010.Availableat:http://ec.europa.eu/archival-policy/docs/edomec/recueil_dec_mda_en.pdf.

EuropeanCommission,NationalOpenAccessandPreservationPoliciesinEurope,2011

ERPANET,ERPAtool,Digitalpreservationpolicytool,2003,www.erpanet.org/guidance/docs/ERPANETPolicyTool.pdf

M.Factor,E.Henis,D.Naor,S.Rabinovici-Cohen,P.Reshef,S.Ronen,G.Michetti,M.Guercio,AuthenticityandProvenanceinLongTermDigitalPreservation:ModelingandImplementationinPreservationAwareStorage,TaPP’09.FirstWorkshopontheTtheoryandPracticeofProvenance.SanFrancisco,23February2009http://static.usenix.org/event/tapp09/tech/full_papers/factor/factor.pdf

F.Foscarini.NotesandCommunicationsInterPARES2andtheRecords-RelatedLegislationoftheEuropeanUnion,Archivaria63(Spring2007):121–136.Availableat:http://journals.sfu.ca/archivar/index.php/archivaria/article/viewFile/13131/14375

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M.Guercio,TheItaliancase:legalframeworkandgoodpracticesfordigitalpreservation,inCULTURALHERITAGEonline–“Trusteddigitalrepositories&trustedprofessionals.Firenze11-12December2013,Firenze,2013,http://www.rinascimento-digitale.it/conference2012/paper_ic_2012/guercio_paper.pdf

M.Guercio.Conservareildigitale,Bari,Laterza,2013,chapter4

InterPARES,StrategyTaskForceReport.http://www.interpares.org/book/interpares_book_g_part4.pdf:aimstoprovideaframeworkforthearticulationofpolicies;statesprinciplesandcriteria;includesausefulfootnotethatclarifiesdifferencebetweenpolicy,strategyPoliciestool:aproposalofOpenDoarproject:atoolintendedtogeneratepolicystatementsforlegalpurposes,http://www.opendoar.org/tools/en/policies.php

R.King,R.Schmidt,Ch.Becker,M.Guttenbrunner.ResearchonDigitalPreservationwithinprojectsco-fundedbytheEuropeanUnionintheICTprogramme,2011.Availableat:http://www.ifs.tuwien.ac.at/~strodl/paper/Report%20-%20Research%20on%20Digital%20Preservation.pdf

MinistryofScienceandTechnology,India,NationalDataSharingandAccessibilityPolicy(NDSAP),http://www.dst.gov.in/nsdi.html

SeguimientodelaadecuaciónalEsquemaNacionaldeInteroperabilidad(ENI):Estadodesituaciónafinalesde2014.Availableathttp://administracionelectronica.gob.es/pae_Home/pae_OBSAE/pae_NotasTecnicas.html

TNA(UKTheNationalArchives),Digitalpolicyguidance,http://www.nationalarchives.gov.uk/information-management/projects-and-work/guidance.htm

TRAC-TrustworthyRepositoriesAudit&Certification:Criteria&Checklist.Availableat:http://www.crl.edu/sites/default/files/d6/attachments/pages/trac_0.pdf

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Appendix1.POLICIESFORRECORDSMANAGEMENTANDDIGITALPRESERVATIONATTHEEUROPEANUNION

MariaMataCaravaca,ICCROM(May2015)

Records management and digital preservation policies at the European Union(hereinafter EU) can be analyzed under two main perspectives: the self-regulatingactivity carried out by EU governing institutions, and the instruments or regulations(eitherbindingornon-binding)madebytheEUinstitutionsforitsMemberStates.

Self-regulatingactivitiesundertakenbytheEUinstitutions

TheinstitutionalorganizationoftheEUiscomplexandunique,anddiffersradicallyfromthe governing structure of itsMember States. The EU is governed by 7 institutions:1European Council, Council of the European Union, European Commission, EuropeanParliament, Court of Justice of the EuropeanUnion, Court of Auditors, and EuropeanCentralBank.

TheEUinstitutionsareassistedbyover40agencies,whichcanbeexecutive(i.e.,EACEA-Education,AudiovisualandCultureExecutiveAgency;ERC-EuropeanResearchCouncilExecutiveAgency)ordecentralizedbodies(i.e.,ACER-AgencyfortheCooperationofEnergyRegulators;CFCA-CommunityFisheriesControlAgency,etc).TheexecutiveagenciesarecreatedbytheEuropeanCommissionforafixedperiod.Thedecentralizedagenciesaresetuptoaccomplishveryspecifictasks.The EU governing institutions are public bodies with autonomous operatingadministration.Still,theymayhavedevelopedcommonsystemsforspecificareas,asinhuman resources management matters. In this specific case, common standards,methodsandarrangementsareapplied to salaries, allowancesandbenefits, includingsocialsecurityandpension.Thisrespondstotheneedofavoidingdiscrepanciesintermsandconditionsofemployment,competitioninrecruitmentofpersonnel,etc.

1 Thethreepoliticalinstitutions,whichholdtheexecutiveandlegislativepoweroftheUnion,areas

follows: -TheCounciloftheEuropeanUnion(informallyknownastheCouncil)haslegislativeandbudgetaryauthorityaswellassomelimitedexecutivepowers.Itrepresentsgovernments.

-TheEuropeanParliament(EP)sharesthelegislativeandbudgetaryauthorityoftheUnionwiththeCouncil.Itrepresentscitizens.

-TheEuropeanCommission(EC)istheexecutivearmoftheUnion.Essentially,theCouncilortheParliamentplacesarequestforlegislationtotheCommission.TheCommissionthendraftsthisandpresentsittotheParliamentandCouncil,whereinmostcasesbothmustgivetheirassent.OnceadopteditbecomesEUlaw.TheCommission'sdutyistoensurecorrectimplementationofEUlawbyMemberStatesandtakingthemuptotheEuropeanCourtiftheyfailtocomply.

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In other areas, as it is the case for records and archives management, each EUinstitutionoperatesautonomously.ExceptfortheregulationconcerningtheopeningtothepublicoftheEUhistoricalarchives(Councilregulation(EC,Euratom)No.354/83),2acommon system or regulation on archivalmatters, such as recordsmanagement anddigital preservation, is not in place. Coordination among the EU governing bodies isstimulated through inter-institutional committees; nevertheless, they are high levelboardswithverylimitedinfluenceondailypractices.The1983regulationontheopeningoftheEUhistoricalarchivesestablishesthattheEUhistoricalarchivescanbeopenedtothepublicafter30years.InMarch2015theCounciloftheEuropeanUnionamendedthedecisionsof1983withtheCouncilRegulation(EU)2015/496.3 The amendment establishes that non-digital archives are deposited at theEUI (European University Institute) for permanent preservation. In the case of digitalarchives,theoriginatinginstitutionsremainresponsibleforthepermanentpreservationoftheirarchives.TheEUIshouldhavepermanentaccesstothesedigitaldocumentstofulfillitsobligationtomakethedigitalhistoricalarchivesaccessibletothepublicfromasinglelocation.Therefore,theEUImakesavailabletothepublictheEUhistoricalrecords(both non-digital and digital) but, in the case of digital records, the EUI does notcoordinate and it is not responsible for their preservation. This political decision hasbeenlargelycriticizedbyEUarchivists,whosetechnicalobjectionswerenotadequatelyconsidered.

TheexecutiveagenciesoftheEUfollowthesameadministrativerulesoftheEuropeanCommission, including the Commission policies for records management. On thecontrary, the decentralized agencies, which are also European public bodies, are notbound toany specific recordsmanagementpolicy, if not stated in their constitutionalacts.

This studywill address the caseof the EuropeanCommission, as it has been the first(and apparently the only) EU institution in developing a comprehensive and state-of-the-artregulationonrecordsmanagementandelectronicrecords.OtherEUinstitutionseither lackwritten policies on the topic or are in the process of developing them. Inmostcases,theprovisionsmadebytheCommissionaretakenasamodelbytheotherEUinstitutions.

2 Councilregulation(EC,Euratom)No.354/83,latelyamendedbyRegulation(EC,Euratom)No

1700/2003,concerningtheopeningtothepublicofthehistoricalarchivesoftheEuropeanUnionandtheEuropeanAtomicEnergyCommunity.Availableat:http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32003R1700&from=EN.(Accessed:July2016).

3 CouncilRegulation(EU)2015/496of17March2015amendingRegulation(EEC,Euratom)No354/83asregardsthedepositofthehistoricalarchivesoftheinstitutionsattheEuropeanUniversityInstituteinFlorence.Availableat:http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=OJ:L:2015:079:FULL&from=IT.(Accessed:July2016).

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EuropeanCommissionIn2000,theCommissionstartedaprocesstosimplifyworkingmethodsandproceduresinordertoimprovethequality,effectivenessandtransparencyofitswork.4Thisprocessintended to implement an efficient e-government, andwas known as e-Commission.5Thee-CommissionstrategyhastobeseeninthecontextoftheadministrativereformoftheEuropeanCommissionandthee-Europeinitiative,whichwaslaunchedbytheEUin1999toencouragee-governmentinitsMemberStates.6Oneoftheaspectsincludedinthee-Commissionworkplanwas the reviewof themanagementof theCommission’srecords.Inviewoftheproblemsarisingfromtheabsenceofauniformarchivingsystemthroughout all Directorates-General, the Commission decided to equip itself withstandardizedproceduresforregisteringandarchivingrecords.In 2002, the Commission started the e-Domec project ("Electronic archiving andDocument7managementpolicyoftheEuropeanCommission"),asetofrulesonrecordsmanagement and electronic records. The legal basis for e-Domec consists of thefollowingdecisions,rulesandtools:

• CommissionDecision2002/47/EC,ECSC,EURATOMondocumentmanagement.8• CommissionDecision2004/563/EC,EURATOMonelectronicanddigitized

documents.9• Implementing rulesondocumentmanagement andonelectronic anddigitized

documents,SEC(2009)1643.10

4 CommissionoftheEuropeanCommunities,Brussels,C(2002)99-1,CommunicationtotheCommission

onSimplificationandmodernizationofthemanagementoftheCommission’sdocuments(Action9oftheinterimactionplanonsimplification).Availableat:http://ec.europa.eu/transparency/regdoc/rep/3/2002/EN/3-2002-99-EN-1-1.Pdf.(Accessed:July2016).

5 CommissionoftheEuropeanCommunities,Brussels,8.06.2001,MemorandumtotheCommission,Towardsthee-Commission:ImplementationStrategy2001–2005(Actions7,8and9oftheReformWhitePaper).Availableat:http://ec.europa.eu/dgs/informatics/ecomm/doc/sec_2001_0924_en.pdf.(Accessed:July2016).

6 ElectronicGovernment:SecondInternationalConference,EGOV2003,Prague,CzechRepublic,September2003,Proceedings,Volume2,RolandTraunmüller(ed).AvailablethroughGooglebooks.

7 TheEuropeanCommissionusesthetermdocument,asasynonymforrecord,or“archivaldocument,”followingusageintheLatincountries.

8 CommissionDecision2002/47/EC,ECSC,Euratomof23January2002amendingitsRulesofProcedure,annexingtheprovisionsondocumentmanagement(OJL21,24.1.2002,p.23).[OJListheabbreviationofOfficialJournaloftheEuropeanCommunities(currently,OfficialJournaloftheEuropeanUnion),Series:Legislation.]

9 CommissionDecision2004/563/EC,Euratomof7July2004amendingitsRulesofProcedure,annexingtheCommission’sprovisionsonelectronicanddigitizeddocuments(OJL251,27.7.2004,p.9).

10 ImplementingrulesforDecision2002/47/EC,ECSC,EuratomondocumentmanagementandforDecision2004/563/EC,Euratomonelectronicanddigitizeddocuments(SEC(2009)1643,30.11.2009).

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• First revision of the Common Commission-level Retention List for EuropeanCommissionfiles,SEC(2012)713.11

Thetwodecisions,whichareannexedtotheCommissionRulesofProcedure,andtheirsubsequent implementingrulesaregatheredinthereport“Documentmanagementinthe European Commission: Collected Decisions and Implementing rules”, 2010.12 TheCommonCommission-level retention schedulewas subjected toupdates in2010, andwasnotincludedinthereport.ProvisionsondocumentmanagementThe provision on document management states that records shall undergo severalarchival operations, such as registration, filing, storage and transfer of files to theHistoricalArchives.TheoperationsapplyuniformlytoalltheCommission’sDirectorates-Generalandequivalentdepartments.TheSecretariat-General incoordinationwiththeDirectors-General and Heads of Department are responsible for ensuring compliancewiththeseprovisions.ProvisionsonelectronicanddigitizeddocumentsThe provisions on electronic and digitized documents determine the conditions ofvalidity of electronic and digitized documents. They are also intended to ensure theauthenticity, integrityand legibilityover timeof thesedocumentsandof the relevantmetadata. Furthermore, they state that signed original electronic documents shouldbearanadvancedelectronicsignature.Documentshavetobepreservedintheforminwhich theyweredrawnup, sentor received, andanelectronic file deposit system tocovertheentirelifecycleoftheelectronicanddigitizeddocumentsneedstobesetup.The technical conditions of the electronic file deposit system are laid down by theimplementing rules. Finally, the provisions also indicate responsibilities forimplementationandcompliance.Implementingrulesondocumentmanagement,andelectronicanddigitizeddocumentsThe five rules implementing the above two provisions cover thewhole life cycle of adocumentinwhatevermedium(electronicorpaper),andreferto:

11 FirstrevisionoftheCommonCommission-levelRetentionListforEuropeanCommissionfiles,adopted

on17.12.2012,SEC(2012)713,replacingthedocumentSEC(2007)970of04.07.2007.TheCRLretentionschedule(SEC(2012)713)isavailableat:http://ec.europa.eu/archival-policy/docs/edomec/2012_713_sec_en.pdf.(Accessed:July2016).

12 Thereportisavailableat:http://ec.europa.eu/archival-policy/docs/edomec/recueil_dec_mda_en.pdf.(Accessed:July2016).

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• Registration, which includes indications on the registration process (namely,adding and linkingmetadata to the documents), and provides information onthe documents to be registered and the documents not covered by theregistrationrequirement.13

• Filingthroughaninstitutionalfileplan,whichincludestheprinciplesofthefile

planandindicationsformanagingfiles.14• Preservation,whichis intendedasthephysicalprotectionofrecordstoensure

their integrity and legibility over time, whatever the medium. This involvesseveral procedures and operations, such as determining retention periods forfiles (through the common Commission-level retention list and specificDG/service-level retention list), identifying responsibilities, allowing theelimination of records, managing the areas and infrastructure for storage(includingclimateandsecurityconditions),incorporatingpreservationmetadata(to be added to the metadata for registration, file plan heading, filing andtransfer,listedinAnnex1),rehousing,andmigrationoperations.15

• Appraisal and transfer of files to the Commission’s historical archives, which

includes principles and rules for appraisal, sampling/selection, transfer andeliminationoffiles.Transferstothehistoricalarchivestakeplacenolaterthan15yearsafterthefilesareclosed.16

• Electronicanddigitizeddocuments,which includes rules for implementing the

validity of electronic records (through a simple or advanced electronicsignature), records preservation (including the conditions in which records,metadata and electronic signatures should be preserved throughout therequiredretentionperiod),andelectronicfilerepository(itsfunctionalitiesand

13 Registrationandkeepingregistersoftheinstitution’sdocuments.ImplementingrulesforArticle4of

theprovisionsondocumentmanagementannexedtotheCommission’sRulesofProcedureandtobeappliedintheCommission’sdirectorates-generalandequivalentdepartments(SEC(2003)349/1of8April2003).

14 Filingandthemanagementoftheinstitution’sfiles.ImplementingrulesforArticle5oftheprovisionsondocumentmanagementannexedtotheCommission’sRulesofProcedureandtobeappliedintheCommission’sdirectorates-generalandequivalentdepartments(SEC(2003)349/2of8April2003).

15 Preservationoftheinstitution’sfiles.ImplementingrulesforArticle6oftheprovisionsondocumentmanagementannexedtotheCommission’sRulesofProcedureandtobeappliedintheCommission’sdirectoratesgeneralandequivalentdepartments(SEC(2007)734of24May2007).

16 AppraisalandtransferoffilestotheCommission’shistoricalarchives.ImplementingrulesforArticle7oftheprovisionsondocumentmanagementannexedtotheCommission’sRulesofProcedureandtobeappliedintheCommission’sdirectorates-generalandequivalentdepartments(SEC(2008)2233of2July2008).

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architecture, which is made up of two separate modules: current andintermediaterecords,anddefinitiveorhistoricalarchives).17

Theserulesarecompliantwithrecords-relatedCommissionProvisions,suchasthoseonsecurity,securityofinformationsystems,protectionofpersonaldataandpublicaccesstoCommissiondocuments.Thereportisaccompaniedbysixannexes,whichareasfollows:listofmetadata,criteriato be fulfilled by all registration systems, definitions of key notions on registrationcriteria, structure of the Commission-level retention schedule, exceptional rules fortransferoffiles,andlistofelectronicproceduresthatmustbedeclaredcompliantwiththeimplementingrules.This recapreportcanbeconsidereda recordsmanagementmanual,whichguides theEuropean Commission on managing their records along their life cycle. Digitalpreservation is dealt in a succinct way and within the wider umbrella of recordspreservation,regardlessthemedium(analogueandelectronic).TheSecretariat-Generaland the Directorate-General for Informatics, together with the Historical ArchivesService, are currently undertaking efforts to develop specific actions, workflows andstrategies to guarantee future long-term preservation of records. These practicalexperiences will lead to the elaboration of specific written procedures for digitalpreservation.EUlegislationaddressedtoMemberStates18The EU has issued several recommendations on archival matters, which are non-compulsory instruments for Member States. It has also promoted and supportednumerousresearchprojectsandinitiativesforarchivalcoordinationinEurope.BindinginstrumentsforMemberStates,suchasdirectives,havebeenproduced inthefieldofInformationandCommunicationTechnologies(hereinafterICT)ande-Government,andin the Data Protection area too, which, either direct or indirectly, influence recordscreation,managementandpreservation.The EU legislation addressed to Member States is not directly applicable to the EUinstitutionsor agencies,whichhave todevelopadhocdecisionsor regulations for its

17 Electronicanddigitizeddocuments.Implementingrulesfortheprovisionsonelectronicanddigitized

documents,annexedtotheCommission’sRulesofProcedurebyCommissionDecision2004/563/EC,Euratom(SEC(2005)1578of29November2005).

18TheEUlegislationcomprisesprimarylegislation(treatiesandinternationalagreements)andsecondarylegislation(bindinglegalinstruments:regulations,directives,anddecisions;ornon-bindinginstruments:recommendations/resolutions).

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implementation;19 and vice versa. In the specific case of archives, the regulationsgoverningthearchivesoftheEuropeaninstitutionsarenotbindingforMemberStates.The legislation and activities/initiatives developed by the EU on records and archivesmanagementarepresentedbelow.ArchivalcoordinationinEuropeIn matter of records and archives management, each country belonging to the EUretains its own legislative and regulatory autonomy. However, actions have beenundertakenbytheEUtoenhancecooperationandcoordinationonarchivalpoliciesandpracticesinEurope.20Thiscoordinationwasinitiatedin1991,atthetimeinwhichTheNetherlands held the Presidency of the EU. A Council Resolution on arrangementsconcerningarchives21statedtheneedforadequatearchivespolicyandefficientarchivesmanagement to provide accessibility to records and contribute to democracy. A firstReportonArchivesintheEUwaspublishedbytheCommissionandfavorablyreceivedby the Council in 1994. The subsequent Council conclusions22 led to a number ofimportant results, in particular the organization of the DLM-Forums23 on electronicdocuments and archives, and the production of INSAR (Information Summary onArchives),aperiodicalnewsreviewofdevelopments inthefieldofarchives inEurope.Themost visible achievement of the DLM Forum is theMoReq specification (“ModelRequirementsfortheManagementofElectronicRecords”),firstlypublishedin2001.24 19 Forexample,theDirective95/46/ECoftheEuropeanParliamentandoftheCouncilof4October1995

ontheprotectionofindividualswithregardtotheprocessingofpersonaldataandonthefreemovementofsuchdata,wasadoptedintheEUinstitutionsthroughtheRegulation(EC)No.42/2001oftheEuropeanParliamentandoftheCouncilof18December2000ontheprotectionofindividualswithregardtotheprocessingofpersonaldatabytheCommunityinstitutionsandbodiesandonthefreemovementofsuchdata.

20 NotesandCommunicationsInterPARES2andtheRecords-RelatedLegislationoftheEuropeanUnion,FiorellaFoscarini,Archivaria63(Spring2007):121–136.Availableat:http://journals.sfu.ca/archivar/index.php/archivaria/article/viewFile/13131/14375.(Accessed:July2016).

21 ResolutionoftheCouncilandtheMinistersofCulturemeetingwiththeCouncilof14November1991onarrangementsconcerningarchives(91/C314/02).Availableat:http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:41991X1205%2801%29&from=EN.(Accessed:July2016).

22 TheCouncilConclusionsof17June17concerninggreaterco-operationinthefieldofarchives(94/C235/03)areavailableat:http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:31994Y0823%2803%29&from=EN.(Accessed:July2016).

23 TheCounciloftheEuropeanUnionaskedtheCommissiontoorganizeamultidisciplinaryforumtobeheldintheframeworkoftheCommunityontheproblemsofmanagement,storage,conservationandretrievalofmachine-readabledatawiththeparticipationofpublicadministrations,nationalarchivesservices,aswellasrepresentativesofindustryandofresearch.DLMstandsforDocumentLifeCyclemanagement.ThefirstforumwasheldinBrusselsin1996.

24 TheoriginalMoReqspecificationwasfirstconceivedinthelate1990s,followingthedevelopmentandpublicationofUSDoD5015.2bytheUnitedStatesDepartmentofDefense.MoReqwasintendedto

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In 2003, a new Council resolution on greater archival coordination in Europe wasbroughtforwardbytheNationalArchivistsoftheEUMemberStates.Thisresolutionledtotheelaborationofthe“ReportonarchivesintheenlargedEuropeanUnion.Increasedarchival cooperation in Europe: Action plan” (2005).25 The Council adopted then aRecommendation on priority actions to increase cooperation (2005/835/EC).26 ThisRecommendation called for the creation of an European Archives Group (EAG),27comprisingexpertsdesignatedbytheMemberStatesandtheEUinstitutions,tofollow-up on the priority measures,28 e.g. the priority n° 2: "Reinforcement of Europeaninterdisciplinary cooperation on electronic documents and archives”, meant to stressthe importance of implementing Europe-wide collaboration for establishingauthenticity, long-term preservation and availability of electronic documents andarchives. Practical results of this priority action were MoReq updating and thereinforcementoftheDLMnetworkandforum.Until now, the EAG has presented two Progress Report to the Council: 1) On theimplementation of the 2005 Council Recommendation (COM(2008)500),29 and 2) OnArchives in Europe: Facing the Challenges of the Digital Era (COM(2012)513).30Regrettably, the decisions and recommendations made by the group have not beenproperly followedupby theEAGmembers themselves. Furthermore, even if theEAGholdsthestatusofexpertgroupoftheEuropeanCommission,“theEAGhasnotformallybeen consulted by the European Commission, nor has it requested to be consultedproactively.”31

servethesamefunctionas5015.2,namelytodescribeagoodelectronicrecordsmanagementsystem.ThefirstversionofMoreqwaspublishedbytheDLMForumandtheEuropeanCommissionin2001.MoReq2waspublishedin2008andMoReq2010,in2011.MoreqhasbecomeadefactostandardthroughouttheEU.

25 Thereportisavailableat:http://ec.europa.eu/archival-policy/docs/arch/reportarchives_en.pdf.(Accessed:July2016).

26 TheRecommendationisavailableat:http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32005H0835&from=EN.(Accessed:July2016).

27 TheEuropeanArchivesGroupwascreatedasanexpertgroupoftheEuropeanCommissionin2006withtheCommission’sSecretariatGeneralasitsoverseeingbody.

28 Priorityactionsarefive:1.PreservationofandpreventionofdamagetoarchivesinEurope;2.ReinforcementofEuropeaninterdisciplinarycooperationonelectronicdocumentsandarchives;3.CreationandmaintenanceofaninternetportaltothearchivalheritageoftheUnion;4.PromotionofbestpracticewithregardtonationalandEuropeanlawwithregardtoarchives;5.Measurestopreventtheftandfacilitatetherecoveryofstolendocuments.

29Thereportisavailableat:http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2008:0500:FIN:EN:PDF.(Accessed:July2016).30Thereportisavailableat:http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52012DC0513&from=EN.(Accessed:July2016).31 TheEuropeanArchivesGroup:makingthemostofEuropeancollaboration.Discussionpaperforthe

EBNAmeetinginAthenson6June2014,byMichaelHollmann,JoseeKirps,KarelVelle,Martin

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DigitizationanddigitalpreservationofculturalmaterialIn relation to digitized resources and preservation of digital information (not strictlyrecords),anexpertgroupof theEuropeanCommissionwassetup in2007, theMSEG(MemberStatesExpertGrouponDigitisationandDigitalPreservation),whichreplacedan informal intergovernmental groupon digitization. The groupmonitors progress ontheimplementationoftheCommissionrecommendation2011/711/EU32ondigitizationanddigitalpreservation,i.e.theprogressofdigitizationplansofculturalcontent,cross-border collaboration and public-private partnerships for digitization, web visibilitythroughwideruseofopen formatsor socialmedia, increasing thenumberofobjectsavailable through Europeana, setting up digital repositories for the long-termpreservation of digitized materials, etc. The group is composed of representativescoming from the national ministries and/or national cultural institutions of all EUcountries(notspecificallyNationalArchives).Inrelationtodigitalpreservation,the2014reportelaboratedbyMSEGinvitesMemberStates “to strengthen long-term preservation strategies and implementation plans,exchangewitheachotheronboth,provideintheirlegislationformultiplecopyingandmigration of digital cultural material by public institutions for preservation purposes,make arrangements for the deposit of digital-born material to guarantee long-termpreservation and ensure their efficiency by (1) requiring deposit of protection-freematerialtoenableactsrequiredforpreservationpurposes,(2)makinglegalprovisiontoallow exchanges between legal deposit library, and (3) allowing preservation ofweb-content by mandated institutions through appropriate collecting techniques such asweb-harvesting.Whenestablishingorupdatingpoliciesandproceduresforthedepositof digital-born material, Member states are also invited to take into accountdevelopments inotherMemberstates, inordertopreventawidevariationofdepositarrangements.” 33 Each Member state has, therefore, autonomy to develop theirpreservationpolicies,strategiesandsystems.TheEUdoesnotsetupbindingnormsto

Berendse,p.7.Availableat:http://www.arhivelenationale.ro/images/custom/image/serban/2014/atena%20iunie%202014/Discussion%20paper%20session%20E%20The%20future%20of%20European%20cooperation%20within%20the%20archival%20sector%20%28Berendse,%20Velle,%20Kirps,%20Hollmann%29.pdf.(Accessed:July2016).

32 TheCommissionRecommendation2011/711/EUonthedigitizationandonlineaccessibilityofculturalmaterialanddigitalpreservation,adoptedon27October2011,ispartoftheDigitalAgendaforEurope,aEurope2020strategy.Itcallsforthewidestpossiblere-useofculturalmaterial,andthereinforcementofnationalstrategiesforthelong-termpreservationofdigitalmaterial.Availableat:http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2011:283:0039:0045:EN:PDF.(Accessed:July2016).

33 The2014MSEGreportisavailablefrom:https://ec.europa.eu/digital-agenda/en/news/european-commissions-report-digitisation-online-accessibility-and-digital-preservation-cultural.(Accessed:July2016).

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establishcommonrulesonthisfield;itonlyinvitestheEuropeancountriestoworkinamorecoordinatedmanner.EU-fundedprojectsondigitalpreservation34Within the frameworkofdedicatedEU-fundedprojectsorplatforms, several researchactivitieshavebeencarriedoutondigitalpreservationsince2001.ThefirstprojectwasERPANET (Electronic Resource Preservation andAccess, 2001-2005).35 Itwas followedDELOS (Developing a European e-Learning Observation System, 2004-2008) andDigitalPreservationEurope (DPE, 2006-2009). These projects aimed to raise awarenessand to create a scientific community addressing collaboratively this novel andinterdisciplinary topic. To consolidate the existing work in the area of digitalpreservation, national initiatives and different research projects on a European levelwereintegrated.OneresultwastheestablishmentoftheWePreserveinitiative.The work was influenced by the library and archive community, and focused on theestablishment of common terminology and concepts, metadata standards, systemconcepts, selectionandappraisalpolicies,and format identification.The researchwasprimarilyfocusedonofficedocumentsandimagesininstitutionalsettings.Inanextphase,aseriesofresearchprojectstargetedmoretechnicalaspectsandactualtoolandframeworkdevelopmentofdigitalpreservation,suchasPLANETS(Preservationand Long-term Access through Networked Services, 2006-2010),36 CASPAR (Cultural,ArtisticandScientificknowledge forPreservation,AccessandRetrieval, 2006-2010),37SHAMAN (Sustaining Heritage Access throughMultivalent Archiving, 2008-2011), andPROTAGE (PReservation Organizations using Tools in AGent Environments, 2008-2011).38 These projects have influenced international standardization initiatives withstrongEuropeanpresence(e.g.PREMIS,39OAIS,40TRAC41).

34 Thereporteddataonthissectioncomesfrom:ResearchonDigitalPreservationwithinprojectsco-

fundedbytheEuropeanUnionintheICTprogramme,byRossKing,RainerSchmidt,ChristophBecker,MarkGuttenbrunner,2011.Availableat:http://www.ifs.tuwien.ac.at/~strodl/paper/Report%20-%20Research%20on%20Digital%20Preservation.pdf.(Accessed:July2016).

35Webpageavailableat:http://www.erpanet.org/.(Accessed:July2016).36Webpageavailableat:http://www.planets-project.eu/.(Acessed:July2016).37Abouttheprojectandresults:http://cordis.europa.eu/project/rcn/92920_en.html.(Accessed:July2016).38Webpageavailableat:http://www.ra.ee/protage.(Accessed:July2016).39PREMISstandsfor‘PreservationMetadata:ImplementationStrategies.’Itisavailableat:

http://www.loc.gov/standards/premis.(Accessed:July2016).40OAIS-OpenArchivalInformationSystem.Availableat:

http://public.ccsds.org/publications/archive/650x0m2.pdf.(Accessed:July2016).41TRAC-TrustworthyRepositoriesAudit&Certification:Criteria&Checklist.Availableat:

http://www.crl.edu/sites/default/files/d6/attachments/pages/trac_0.pdf.(Accessed:July2016).

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In the last years, research activities have focused on the preservation of interactiveobjects, embeddedobjects, ephemeral data,methods for object validation, audit andcertification,anddevelopmentofscalablepreservationsystemsandprocesses.Severalprojects,startedin2011andconcludedin2014,dealtwiththesetopics,suchasSCAPE(Scalable Preservation Environments, 2011-2014), ENSURE (Enabling knowledgeSustainabilityUsabilityandRecoveryforEconomicvalue,2011-2014),APARSEN(AlliancePermanent Access to the Record of Science in Europe network, 2011-2014),42 andTIMBUS(TimelessBusinessProcessesandServices,2011-2014).43LegislationonICTande-GovernmentTheEUhas issueddirectivesonICTande-Governmentthatdeal,directlyor indirectly,with records-related issues. Member states are required to implement them byadopting new laws or amending existing ones. These directives have the purpose ofestablishing a legal framework to ensure the free movement of information societyservices between Member States. This removes fragmentation and enablesinteroperabilityboth internallyandat theEU level.Thedirectives, firstly issued in the1990s, refer to data protection, e-signatures, e-commerce, e-privacy, e-invoicing, etc.The recent regulation 910/2014 on “Electronic identification and trust services forelectronic transactions in the internal market” provides a sound legal framework forinteroperableelectronicsignatures,sealsandtimestamps,andelectronicdocuments.44The current programme ‘ICT and e-Government: European Action Plan 2011-2015’formspartofthe2020DigitalAgenda,whichinturnconstitutesoneofthesevenpillarsof the Europe 2020 Strategy for the economic growth and progress of the EuropeanUnion(EU).EuropeanCloudComputingStrategy45Cloudcomputingisoneofthemostimportantcurrenttrendsinthefieldofinformationand communications technology, and ICT management. Within the Europe 2020strategy,theCommissionpromotestheadoptionofcloudcomputinginallsectorsoftheeconomyinordertoencourageproductivity.Thishasleadin2012totheadoptionofa

42APARSENdeliverablesat:http://www.alliancepermanentaccess.org/index.php/aparsen/.(Accessed:July2016).43Webpageavailableat:http://timbusproject.net/.(Accessed:July2016).44Regulation(EU)No910/2014oftheEuropeanParliamentandoftheCouncilof23July2014on

electronicidentificationandtrustservicesforelectronictransactionsintheinternalmarketandrepealingDirective1999/93/EC.Availableat:http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.L_.2014.257.01.0073.01.ENG.(Accessed:July2016).

45 From:http://ec.europa.eu/digital-agenda/en/european-cloud-computing-strategy.(Accessed:July2016).

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strategyfor”UnleashingthePotentialofCloudComputinginEurope,”46whichconsistsofthreekeyactions:

• Todevelopmodelcontracttermstoregulateissues,suchasdatapreservationafterterminationofthecontract,datadisclosureandintegrity,datalocationandtransfer,ownershipofthedata,directandindirectliabilitychangeofservicebycloudprovidersandsubcontracting,codeofconductforcloudcomputingproviders.

• Toassistcloudstandardisationandconformitywithinteroperabilitystandards. • ToestablishaEuropeanCloudPartnership (ECP) tobring together industryand

thepublic sector to work on common procurement requirements for cloudcomputing. Partof theECP is theCloud-for-Europe (C4E)47 initiative, aimingathelpingEurope'spublicauthoritiesprocurecloudproductsandservices.

Thisstrategyisdesignedtospeedupandincreasetheuseofcloudcomputingacrossalleconomicsectorsby2020.TheEU'sapproachtocloudtechnologyanddataprivacy(sothattechnological innovationandgrowthcanstilloccuralongsidedataprotection)48 iscurrentlyonthetable.Thelocationofdatahostingisalsoanimportantcomponentofcloudcomputing,andtherehasevenbeentalkofaEuropeanCloudanda localizationprocess, in which EU Member States would host the cloud service within their owncountry,mitigatingsomeoftherisksthatcomewithforeignhoststorage.HowtheEUwillregulatecloudtechnologyisstillunderdiscussion.ConclusionsDespitetheeffortsexpendedbytheEUanditsMemberStatestoenhancecooperationandcoordinationonarchivalpoliciesandpracticesthroughdifferentEU-fundedprojectsand expert groups, the existing regulations on records management and digitalpreservationwithinEUMemberStatesandEUgoverninginstitutionsareinsufficientandfragmented.Therehasnotbeena systematic and strategic approach to increase coordinationandcommonality on archival legislation among European countries. Records and archives 46 CommunicationfromtheCommissiontotheEuropeanParliament,theCouncil,theEuropean

EconomicandSocialCommitteeandtheCommitteeoftheRegions,UnleashingthePotentialofCloudComputinginEurope,COM(2012)529.http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2012:0529:FIN:EN:PDF.(Accessed:July2016).

47Furtherinformationat:http://www.cloudforeurope.eu/.(Accessed:July2016).48TheEuropeanCommissionplanstounifydataprotectionwithintheEUwiththeGeneralDataProtectionRegulation(GDPR).ThecurrentEUDataProtectionDirective95/46/ECdoesnotsufficientlyconsiderimportantaspectslikeglobalizationandtechnologicaldevelopmentslikesocialnetworksandcloudcomputing.Thereforeaproposalforaregulationwasreleasedin2012,andafternumerousamendments,itsadoptionisforeseenby2015-2016.ThisEURegulationwillhaveimmediateeffectonallEUMemberStatesafterthetwo-yeartransitionperiodanddoesnotrequireanyenablinglegislationtobepassedbygovernments.

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management are not among the priority areas of the EU, or itsMember States. As aconsequence, archives are dealt as a subsidiary topic within the main EU strategicdirectionsandactionplans.TheEUhasentrustedtheprogressonarchivalcoordinationto recommendations (which are discretionary), and not to binding instruments.Therefore,commonarchivalrulesarenotavailableattheEU,orwhatisthesame,thereisnoUnionatarchivalpolicylevel.Author’snoteA special acknowledgment goes to the archivists of the European Commission andCouncil of the European Union, in particular to Andrea Damini for his valuable inputduringtheelaborationofthisarticle.

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Appendix2.THEITALIANCASE:LEGALFRAMEWORKANDGOODPRACTICESFORDIGITALPRESERVATIONMariellaGuercio,SapienzaUniversityofRome,Digilab(July2016)Introductoryremarks

Onthebasisofthelegislationapprovedin1900(regiodecreto35/1900)anddedicatedtotheregulationofrecordsandarchivesmanagementforpublicadministrations,theItalianlegalframeworkonrecordsmanagementandarchivalpreservationhasbeenalwaysbasedonageneralprinciple:thepublicarchivesareprotectedsincetheircreationtoensureboththequalityoftheirevidentialvalueandtheirpermanentpreservationasaccessibleandauthenticresources.Notonlythisprinciplehasnotbeenabandonedinthepastcentury,butithasbeenrenewedandreinforcedwhentheICTinnovationhastransformedthetechnologicalandorganizationalscenariosandrecognizedtheevidentialvalueofarchivalrecordsinthedigitalenvironment.Inthisnewenvironmentthecurrentrecordshavebeenconsideredbythelegislator,morethaninthepast,astrategictoolforthetransformationofpublicadministrationsandformakingthepublicsectormoreaccountableandefficient.

Inthelastdecadeof20thcenturyanewlegislation,whosefirststepwasbasedin

1990 on the first Italian Freedom of Information Act (Legge 241/199049), concerningelectronic records and ICT innovation was approved. This legislation, summarized in2000 (decree DPR 445/2000), listed the requirements for the records systems in thepublic sector and obliged all the government agencies to transform their traditionalrecord management systems into electronic recordkeeping systems. This regulation,updated and integrated in the last ten years, has defined the basic principles andmethodsforthee-governmentrecords:• the capture and acquisition of the records (both analogue and digital) with a

uniqueandpersistentidentifier,• theobligationof filingandaggregating therecordsat thecreationphaseonthe

basisofclassificationplansarticulatedonfunctionsandactivities,• theintegrationoftheclassificationplanandtheretentionscheduletosupportthe

analysisforappraisalanddisposition,• thedefinitionofwell-definedproceduresanddirectivesabletogovernthewhole

chainofcreationandpreservation.Attheconclusionofalongperiodofinnovationsandthankstoacontinuing(even

ifnotalwaysconsistent)effortfordefininganewregulationsystem,anupdatedsetof

49Anewact,calledItalianFOIA,basedonprincipleoftransparency,wasrecentlyapprovedandpublished(D.Lgs.97/2016:http://www.gazzettaufficiale.it/eli/id/2016/06/8/16G00108/sg)

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directivesanddetailedrulesareinplacefortheItalianpublicadministrationswiththeaimofenablingthe implementationof integratedelectronicrecordsmanagementandkeepingsystems.Somecontradictionshavecharacterizedtheregulationsinplacesince1994,specificallywithreferencetothe legislationforthedigitizationandpreservationprocesses, whose last decrees have been approved in 2013 (dpcm 3.12.2013 Regoletecniche per il sistema di conservazione dei documenti informatici) and 2014 (dpcm13.11.2014Regoletecnicheinmateriadiformazione…deidocumentiinformatici).

Themaincriticalaspectsof thisprocesshavebeenoverandoverdiscussedandhighlightedbythearchivalandrecordmanagerscommunity.Themainelementforthedelay in the definition of a satisfactory solution concerns the fact that the efforts forapproving these regulations have been developed by separate committees instead ofbeing the resultofa common, interdisciplinaryandcooperativework: theproceduresfor digitizing the analogue records were delivered by a working group based on ITcompetencies and did not include any archival competencies, while the rules for thedefinitionofERM(ElectronicRecordsManagement)requirementshavebeendevelopedwiththesupportofrepresentativesofthemaingovernmentagenciesandtherelevantinstitutional stakeholders, included the National Archives, theMinistry of Justice, theMinistry of Interiors and the experts from the research. The main and relevantconsequence of this duplication and lack of convergence has been the lack ofconsistencyforthewholelegislativeframework. Theeffort foravoidingduplicationand fragmentationandensuringcontinuity,even ifonly partially achieved, has been continuously played in the last decade by recordsmanagersandarchivists,whoseanalysishasbeenpersistentlydedicatedtoidentifyandimplement (sometimes on voluntary basis) the interrelations between the electronicrecordsmanagement international standards and national prescriptions and the rulesfor digitization and electronic archiving and to support their maintenance in theapplicationprofiles.Thiseffortwasfruitfulinthee-governmentsector,wherearchivistsandrecordmanagershavebeenactiveandtheirrolerecognized.

Withspecificreferencetothedigitalpreservationthisactionhasbeenweakand

moreuncertainbecause:• the concept of preservation was not defined by the legislator and the related

terminologywasambiguousandconfusing(i.e.digitalarchiving,digitalreproductionanddigitalpreservationhavebeenusedassynonymousintheregulationsapprovedin1998,2001and200450),

• thearchival conceptual frameworkand relateddefinitionsandmethodshavebeensubstantiallyignoredormisunderstood.

50SeeM.Guercio,Conservareildigitale,Bari,Laterza,2013,chapter4.

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TheItalianlegislationonelectronicrecordsmanagementanddigitalpreservation:arecentevolution

More specifically, three parallel and not convergent streams have characterized

theItalianlegislationprocessesinthefieldofelectronicrecordsmanagementanddigitalpreservation:• the electronic records management (ERMS), whose requirements have been

cooperatively defined by IT specialists, archivists/records managers and legalsystems experts: decree of the President of Republic n. 445/2000, part 4“Electronic Records Management System” (still active and successful), and therelated applied regulation approved by a decree of 31 October 2000, recentlysubstitutedbyanewdecreeof3December2013,withoutrelevantvariations.

• thecreationandlegalvalidationofborndigitalrecords,whoserequirementshavebeen mainly determined by IT specialists and jurists: from the decree of thePresident of Republic approved in 1997 n. 513/1997 to the Code for digitaladministrationapproved in2005andupdated in2006,2008and2010 (unstablelegal framework, continuously updated, unbalanced and nowunder revision forcompliancewithEUdirectives),

• thedefinitionofruleson“legaldigitalarchivingandpreservation”anddigitizationofanaloguerecords,definedby ITspecialists:manyrulessince1993to2004butmorespecificallytheruleapprovedbyCnipan.11/2004.Theserules,despitetheirdefinition,weremorerelatedtolegalvalidationthanlongtermpreservationandrepresented highly unstable framework, very complicated in their first versions,onlyrecentlyrevisedforanewmoreconsistentregulationdevelopedin2011withamultidisciplinary approach and finally approved and published in 2013 (dpcm3.12.2013 Regole tecniche per il sistema di conservazione dei documentiinformatici)and2014(dpcm13.11.2014Regoletecnicheinmateriadiformazione…deidocumentiinformatici).

These new rules on digitization and digital preservation propose now

standardizedbutalsoflexibleandsustainablesolutionsbothforlegalvalidationandforlong-termdigitalpreservation,intheformofanintegrationofthejuridicalframeworkinforce.Thenewrules -developedwith thesupportofarchivistsandrecordsmanagersappointed as representatives of many central and regional administrations, of theNationalArchivesandtheItalianISOCommitteeforarchivesandrecordmanagement-arebasedontheprinciplethatthecreation,themanagementandthepreservationofelectronic records require a systematic approach and imply the development of apreservationsystemintegratedassoonaspossiblewiththeERMS.These interrelations and integrations are carefully detailed in the regulation,

specificallywithreferenceto:• the obligation ofpersistent identification of the records (recognized under the

categoryofreferenceaccordingtotheOAISPreservationDescriptiveInformation

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– PDI) and their contextual interrelations (recognized under the category ofcontextaccordingtotheOAISPreservationDescriptiveInformation–PDI)whichincludetheclassificationplanandtheaggregationcriteria for filingtherecordsand/orcreatingarchivalseries;thisobligationconcernsthepublicsectorwhoseelectronic records have to be persistently identified in the registry system,classifiedandaggregated intobusiness filesor records series; theclassificationplan guides the filing plan and defines the aggregations criteria with theconsequencesthateachelectronicrecordisalwaysinterrelatedtotheothersinthebusinessprocessenvironmentandthatthesereferencecodesmakeexplicitthe documentary context; all these contextual information are part of the PDIand have to be included in the Submission Information Package when therecordsareacquiredbytherepositoryfordigitalpreservation51;

• the obligation of defining and maintaining the information related to theprovenance (both as recognition of the physical person responsible for therecordcreationandasidentificationoftheproducerintermoftheorganizationresponsibleforitandexpressedunderthecategoryofprovenanceaccordingtotheOAISPreservationDescriptiveInformation–PDI):theseinformationhavetobe maintained not only in the profile of the records to be submitted forpreservation but also with reference to the capacity of verifying the recordsauthenticity(identity,integrity,security);thevalidationoftherecordimpliesthedocumentationofitsintegrity(recognizedunderthecategoryoffixityaccordingtotheOAISPreservationDescriptiveInformation–PDI).

Thepositiveconsequencesofadetailedregulationonthearchivalfunctionsandthelastmilefordigitalpreservation

Theapprovalofrulesandstandardsaspartofformallegislationhasimpliedmany

consequencesontheItalianrecordsmanagementfunction.FirstofalltheobligationofformaldefinitionofproceduresforRMineachpublicagencyhasincreasedthequalityofERMStoolsinplaceandofrelatedsoftwareprocurement.Thestandardizationofthedocumentationrelevantforrecordscreationandforpreservationprocesses(manualofpreservation, submission reporting, formaldelegationof responsibilities)hasprovidedthe simultaneous qualification of controls, of professionals and of training andeducational profiles and abetter definition anddistinctionof responsibilities for eachphaseofdigitalrecordslifecycle.

Thenewregulationrecognizesthecrucialroleofthedocumentationbothfortheelectronicrecordsmanagementandthedigitalpreservationprocesses.The 51 See the annex 5 of regulation published in 2013, related to the metadata for preservation,http://www.agid.gov.it/sites/default/files/leggi_decreti_direttive/metadati_allegato_5_dpcm_3-12-2013.pdf and the annex 4 related to the definition of the Archival Information Packagehttp://www.agid.gov.it/sites/default/files/leggi_decreti_direttive/specifiche_tecniche_del_pacchetto_di_archiviazione_allegato_4_dpcm_3-12-2013.pdf, basedon the Italian StandardUNI11386:2010 (SINCRO)“SupportingInteroperabilityinPreservationandRetrievalofdigitalObjects”.

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documentationmustbequalifiedandnormalized.Forthisreasontheregulations(in2000fortheRMandin2011/2013fordigitalpreservation)definestandardizedformsandprovideguidelinesabletoensurecompletenessandaccuracy.Morespecifically• the manual for records management procedures (manuale di gestione) is an

obligatoryrequirementforallthepublicadministrations(dpcm30October2000,now dpcm 3 December 2013 Regole tecniche per il protocollo informatico(Technicalrulesonelectronicprotocolregister) art.5,)andincludesrulesontherecords creation, capture, classification, filing, appraisal, preservation (both inpaperandindigitalform),

• themanualfordigitalpreservation(manualediconservazione)isanewobligationfor the digital repository responsible for preservation of public and/or privaterecords (dpcm 3 December 2013 Regole tecniche in materia di Sistema diconservazione (Technical rules on digital preservation system ) art. 8) andillustrates indetails, theorganizationalobligations, theoverall architecture, theinfrastructure, the processes, the security measures and all the informationrequired for the long-term digital preservation system management and itsauditing(whenappropriateorrequired,

• submission reports (rapporti di versamento) and standard models for ArchivalInformationPackagesarerequiredfortransferringdigitalrecordstotherepositoryresponsible forpreservation(dpcm3December2013Regoletecniche inmateriadiSistemadiconservazione(Technicalrulesondigitalpreservationsystem)art.9).

Thedocumentation(specificallythereportsandthemanualfordigital

preservation)hastobecompliantwiththeinternationalstandards(likeISO15489onRecordManagement,ISO14721-OAIS,ISO16363ontheauditingforrepositorycertification)evenifthiscomplianceisnotpartoftheregulationbutonlysuggestedintheannexn.3.52

Specific requirements are in place for the manuals for records managementprocedures:• directives,guidelinesandpolicyfortherecordscreation/acquisitioninthecurrent

phase, like themanuals for recordsmanagement,have tobe formallyapprovedandpreservedwiththerecords,

• themanuals have to describe in detail how the records are captured, classifiedand filed and have to identify the relevantmetadata for any type of electronicrecordscreatedinthepublicsector(e-mailsincluded),

• the formats used for the record creation have to be declared and must becompliant to the prescriptions defined in 2011 and published in 2013 which

52http://www.agid.gov.it/sites/default/files/leggi_decreti_direttive/standard_e_specifiche_tecniche_allegato_3_dpcm_3-12-2013.pdf

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requireopennessandcompletedocumentation.53

According the new rules the manual for digital preservation (manuale diconservazione)hastoprovide:

o the informationabout theorganizationresponsible for thepreservationfunction, including the mandate, the functions, the responsibilities and thespecificobligationsforalltheplayers;o thedescriptionofthetypesofpreservedobjects, includingtheformats

accepted and managed, the metadata to associate to the objects/recordsprofiles;o the description of the preservation process, with specific reference to

the transfer and the acquisition of submission information packages and themanagementofthearchivalinformationpackages;o thedefinitionoftheaccessandexportprocessesandthecreationofthe

distributioninformationpackages;o thedescriptionofthepreservationsystem,includingthedocumentation

related to the technological, physical and logical components and theproceduresfortheirmanagementandtheirupdating.

In consideration of the differentiation of the responsibilities involved in the

preservation processes (records managers, professionals responsible for digitalpreservation, professional responsible for privacy and data security and IT systemsdirectors)theregulation impliesthattheseresponsibilitieshavetobecoordinatedbutthecoordinationhastobesustainableandcarefullyimplemented,notonlylisted.Atthemomentthreemainprofileshavebeenidentifiedbythenationallegislator:• theproducer(nottobeconfusedwiththeauthorortherecordmakerorcreator)is

responsible for the submission of the records and related PDI to the preservationsystem;forpublicadministrationthisprofileistherecordmanager(“responsiblefortherecordsmanagementservice”);

• theuserwhointendstoaccessthepreservedrecords;• the preserver who defines and carries out all the policies and directives of the

preservation system and manages it consistently with the organizational modeladoptedbytherepository,withspecificreferenceto:

o the verification and acquisition of the transfer/submission informationpackage,

o the preparation and management of the archival information packageaccording to generally defined procedures (well defined data structurewhosefixityisguaranteedbyadvancedelectronicsignatures);

o thepreparationforaccessofdistributioninformationpackages;

53 See the annex 2 related to the formats for preservation,http://www.agid.gov.it/sites/default/files/leggi_decreti_direttive/formati_allegato_2_dpcm_3-12-2013.pdf.

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o the creation of authentic digital copies of digital records or their digitalcomponentsandrelatedevidence forauthenticity to facethetechnologicalobsolescence;

o the appraisal and related disposition according to the agreed retentionscheduleforthedigitalrecordspreservedintherepository.

Thepreserver isalsochargedofotherorganizationalresponsibilities:heupdatesthe preservation system consistently with the juridical, procedural and technologicaltransformations and takes care of the securitymeasures both from the physical andfromthelogicalpointsofview.

The recognition that the authenticity problems cannot be delegated only to

technological solutions, likedigital signaturesandseals,has increased the institutions’awarenessfortherisksconnectedtothelong-termprotectionofdigitalresourcesandfor the need of adequate investments in this area both from the conceptual andorganizationalpointsofview:• a new scenario was established based on a coordinated set of instructions and

ruleswhichhavebeendesignedthankstothecooperationamongworkinggroupsofexperts,institutionsandmarketsuppliers;

• ithasbeenacceptedthattherecordstobepreservedhavetobemanagedintheformof information packages (submission, archival and distribution informationpackagesaccordingtothemodeldescribedbytheISOstandard14721OAIS);

• the suppliersof private services fordigital preservationhave tobe certified andthe quality of related processes has to be ensured and verified when they areresponsibleforpreservingpublicrecords;

• an accreditation process and a certification service are under development(according to the guidelines for auditing digital repositories identified by ISOstandard 16363) and will be applied both to the private sector and to publicinstitutions which intend to play as trusted third parties for long-term digitalpreservation;

• to ensure the interoperability among different preservation systems, as alreadymentioned,averygeneralandflexibleschemaforAIPhasbeendefined;

• to ensure the accessibility, the preservation system has to be updated inconnectionwiththeevolutionofthetechnologicalcontext. Thisnewawarenessoftheinstitutionsabouttherisksconnectedtothelong-term

protection of digital resources and the need of adequate investments in this area isreflected in local initiatives andnewRegional legislation. In particularRegioneEmilia-

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Romagna,witha lawapproved in2008andreinforced in2013 54 instituteda regionalrepository,imitatedbyRegioneToscanaandRegioneMarche.55AlsoProvinciaAutonomadiTrentodefinedbylawtheinstitutionofalocalrepository.56

Openchallenges:whenandhowtomanageresponsibilitiesforpreservation

Evenifclearlyanddetailedillustrated,themodelforpreservationapprovedbythe

Italiangovernmentleavesmanyquestionsstillopenandmanychallengesunsolved,likethoseheresimplylisted:• how to handle the risks of contradictory or non-integrated analyses and

implementationsincaseofoutsourcing?• howtodefineprioritiesspecificallywhenthefinancialresourcesarelimitedandthe

strategiesarenotsufficientlydetailed?• in case of more institutional officers involved in the sector (ICT profiles, record

managers) how to handle the coordination of responsibilities for digitalpreservation, specifically when the choices imply a costs/benefits analysis andstrategicplans toevaluate theneed foraccreditationandauditingofpreservationservices?

• when andhow the digitization is required andhas a juridical value (not only as asurrogatefororiginals)iftheresourcesareanalogue?attherecordscreation?whenthe case file is closed and/or the archival aggregations are at least defined on alogicalorchronologicalbasis(i.e.theannualseriesoftheinvoices)?

• howearlythesubmissionhastobeimplemented?• is the distinction of the traditional phases (active/semi-active/inactive) in the

recordsmanagement, keeping and preservation still useful and sustainable in thedigital environment according to this new scenario? how to support it in theapplicationenvironment?

• howtoensuretheneutralityofthepreservationinthefuture?• whichlevelofgranularityhastobeappliedinthepreservationprocesses(aspartof

PDI)andinthedescriptionanddissemination(InfoDescriptionandDIS)?• which criteria have to be followed for packaging the sets of records and related

metadatainthearchivalpackages(AIP/AIC)?

54L.R.17/2008andL.R.17/2013,thatmodifiesL.R.11/2004andL.R.29/1995:http://demetra.regione.emilia-romagna.it/al/monitor.php?vi=nor&pg=Title_leggi.htm&pg_dir=p&pg_t=html&pg_a=y&cp=1d70dc40-0a41-df93-95c2-4d4055e36b75&cp_st=0&cp_cn=1#1d70dc40-0a41-df93-95c2-4d4055e36b7555L.R.Toscanan.54/2009(http://www.regione.toscana.it/documents/10180/339418/Legge+Regionale+54-2009.pdf/3ae9611d-9694-4d9b-83ad-651da946e723)andL.RMarche3/2015(http://www.federalismi.it/ApplOpenFilePDF.cfm?artid=29372&dpath=document&dfile=11052015175847.pdf&content=MARCHE,+L.R.+n.+3/2015,Legge+di+innovazione+e+semplificazione+amministrativa+-+regioni+-+documentazione+-+)56L.P.16/2012(http://www.consiglio.provincia.tn.it/leggi-e-archivi/codice-provinciale/archivio/Pages/Legge%20provinciale%2027%20luglio%202012,%20n.%2016_23650.aspx)

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• whichcriteriaandhowmanyscenarioscan/havetobeidentifiedforaccessibility?• how to cope with the hybrid environment (in which countries the analogues

originalsaredestroyedafterthedigitizationprocess?whohastheauthoritytofacethelegalissuesbydestroyingtheoriginalsifpaperbased?)

• howandwhat toappraiseandselect indigitalenvironment (specifically incaseofchronological accumulation of records at the registration phase when theaggregationsarenotavailableandmanaged)?

• howmanytimestheappraisalwilltakeplace?• aretheprofessionalsandtheavailableapplicationsabletodocumentallthesesteps

and actions according to a standardized approach and ensure interoperableevidenceforauthenticityassessment?57

Strategiesandsustainablemodelsidentifiedonthebasisofconcreteexperiencesarerequiredtoanswertothesecrucialquestions.Becauseoftheircomplexity,itisalsonecessarytodefineanddevelopabottomupcooperation:• among researchers and educators at any level (universities, academic and no-

academicenvironments),• among the various degrees of national responsibilities for preservation (i.e.

NationalArchives,Regions,archivalprogramswithineachadministration),• among the stakeholders and professionals already active and available both at

publicandprivatesector.Thefirststep,astestifiedbyothersuccessfulexperienceslikethenetworkNestorinGermanyortheDigitalPreservationCoalitioninUK,isthecreationofanationalcommunityofpracticesfordigitalpreservation:asustainableandpersistentcooperationcan/hastobedevelopedintheformofaninformalorganization,madebythevoluntaryaccumulationofmaterials,initiatives,eventsthateachproducer/preserver/educatorhasalreadycreatedandimplementedaspartofitsownmandateandmission.Itcaninclude:• amonitoringtool/servicetomakeavailableandassessablegoodpracticesandan

updated framework of legal requirements (for example in the form of annualreports),

• openexchangesofopinions (aspartofa facilitatedenvironmentfor facetofacemeetings,webconfrontationandinteractiveforum),

• ‘preservation’anddisseminationofknow-howintheformoftechnicalorscientificdocumentationabletocollectivelyrepresentthestateofartofoursectorsalsoinconnectionwiththemaininternationalandEuropeanprojects(liketheAPARSENVirtualCenterofExcellenceatEuropeanlevelorthealreadymentionedNestorinGermanspeakingcountries),

• a coordinated network of links of main initiatives available for high education,traininganddissemination.

57SeetheproposalofAPARSENon“AuthenticityManagementinLongTermDigitalPreservation”,http://aparsen.digitalpreservation.eu/pub/Main/ApanDeliverables/APARSEN-DEL-D24_1-01-2_3.pdf.

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Thanks to the definition of an integrated set of rules and of a promising

experience developed by regional repositories on digital preservation in Florence, inBolognaandnowalsoinAnconaandinTrento,itispossibleanditistimefortheItaliancommunityofprofessionals,institutionsandstakeholdersalreadyfacing(onaqualifiedbasis) with the digital preservation challenges to share their capacity, to show theirtraditional creativityandgenerosityand to cooperate forabetterdigitalmemory, forincreasing the awareness in this sector and for supporting young professionals toachieve the required high level capacities the digital future implies. The initial andencouragingformcouldhavethenatureofanetworkofpracticessupportedbyagroupofinstitutionsliketheUniversityofRomeSapienza,theregionalrepositoriesofFlorence(DAXproject)andBologna(Pa-RER)58,theNationalArchivesbutalsobymunicipalities,small agencies, the Association of Italian Archivists – ANAI, companies and researchcentresinvolvedinthisspecificdomain.In Italy, the recent national juridical framework, even if not completely updatedwithreferencetothewebdimensionoftherecordkeepingsystemsandinspiteofthelonglistofopenquestions,hasproved itscapacitytoofferagoodandpracticalbasis foradigital ‘ecosystem’ able to support reliable and accurate digital recordsmanagementsystemsandprovidepreservationmodelsbasedoninternationalstandardsbutalsoonflexibleandsustainableprinciples.Alegislationabletoproviderulesforgoverningcloudsystems (at least for the public administration) is not yet in place, but the generalframework for electronic records keeping systems and digital preservation systems isconsistentenoughtosupportfuturerisksincloudenvironment.

58http://parer.ibc.regione.emilia-romagna.it/english/english

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Appendix3.SPANISHLEGISLATIONONRECORDSMANAGEMENTANDDIGITALPRESERVATIONMariaMataCaravaca,ICCROM(May2015,rev.July2016)InforcelegislationSpainhasaStatelawonhistoricheritage(Ley16/1985),59whichregulatesitsprotection,conservationandaccess.Thedocumentaryheritage,aswellasmuseums, librariesandarchivesinstitutionsarerecognizedaspartofthishistoricheritage.Thesubsequentandrelated decree of 2011 (RealDecreto 1708/2011)60 rules the SpanishArchives systemanditsaccess.Thedecreedescribesthefunctionsthatofficesmanagingcurrentrecordsneed to accomplish, and presents a series of measures to guarantee digital recordsretrievalandpreservation.TheSpanishArchivessystemcomprisesarchivesoftheStateAdministration, autonomous regions, provinces, municipalities, universities, and anyotherpublicorprivateentity incorporatedtothesystemthroughrelatedagreements.Even so, theprovisionsmadeby thisdecreeare specifically addressed to theGeneralState Administration bodies (Ministries and National Institutes or Agencies), as thecompetencefortheprotectionofhistoricheritageisdecentralizedandassumedbytheautonomousregions.The Spanish autonomous regions have developed their own legislation on historicheritage, and have also emitted specific laws or decrees on records and archivemanagement.61 Andalucía was the first region to develop a specific law for itsdocumentary heritage and Archives System (Ley 3/1984), which came out one yearbefore theState lawonhistoricheritage.Themodificationmade in2011 to the1984Andalucía lawaddedachapteron recordsmanagementand thecustodyofelectronicrecords (Ley 7/2011).62 The regionof Cataluñadeveloped its 2nd lawondocumentaryheritage and Archives System in 2001, introducing for the first time in the Spanishlegislation reference to records management. This law requires that each public

59 Ley 16/1985, de 5 de junio, del Patrimonio Histórico Español, Last update: 2015.

https://www.boe.es/buscar/act.php?id=BOE-A-1985-12534&tn=1&vd=&p=20151030&acc=Elegir.(Accessed:July2016).

60 Real Decreto 1708/2011, de 18 de noviembre, por el que se establece el Sistema Español deArchivos y se regula el sistema de Archivos de la Administración General del Estado y de susOrganismos Públicos y su régimen de acceso,http://www.boe.es/boe/dias/2011/11/25/pdfs/BOE-A-2011-18541.pdf.(Accessed:July2016).

61 Regional legislation on archival matters is available at:http://www.madrid.org/archivos/index.php/area-profesional/legislacion-archivistica/legislacion-archivistica-autonomica.(Accessed:July2016).

62 Ley7/2011,de3denoviembre,deDocumentos,ArchivosyPatrimonioDocumentaldeAndalucía,http://www.boe.es/buscar/pdf/2011/BOE-A-2011-18654-consolidado.pdf. (Accessed: July2016).

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administration and entity have a (unique) records management system for theproduction, processing, control, evaluation, conservation and access of their records(Ley 10/2001).63 Progressively, other regions have developed more advancedlegislations on records and archives management (including electronic recordsmanagement),suchasEuskadi,whichitsDecree21/201264onElectronicAdministrationpursues to regulate digital records; to create a unique digital repository for thepreservationoftherecordsofEuskadi’spublicadministration;andtoapproveapolicyfordigital recordsmanagement,whichembraces theentire records lifecycle, from itscreation to itsdisposalor long-termpreservation;andalso theCanarias region,whichissued in 2014 a decree that establishes an operational framework for the recordsmanagementofthePresidencyoftheCanariasGovernment(Decreto42/2014).65It iswith the progressive introduction of the electronic administration66 in the publicsector thatdigital recordsmanagement is incorporated to theSpanish legislation.TheStatelawof1992(Ley30/1992)67movestowardsthee-government,promotingtheuseof electronicmeans for the internal activities of the public administration and for itsrelationswithcitizens.Thelawof2007(Ley11/2007)68onelectronicaccessofcitizensto public services develops further the e-government in Spain. It responded to theEuropeanUnioninitiativese-Europeandi2010,69whichaimedtoactivatetheeconomy,andtoimprovetheStatesgovernmentandtheaccessibilityofservicesforallEuropeancitizens. The 2007 law consolidates the right of citizens to communicate with public

63 Ley 10/2001, de 13 de julio, de Archivos y Documentos, Comunidad Autónoma de Cataluña

(última modificación: 2014), http://www.boe.es/buscar/pdf/2001/BOE-A-2001-16691-consolidado.pdf.(Accessed:July2016).

64 Decreto21/2012,de21defebrero,deAdministraciónElectrónica,BoletínOficialdelPaísVasco,http://www.lehendakaritza.ejgv.euskadi.eus/r48-bopv2/es/bopv2/datos/2012/03/1201134a.pdf.(Accessed:July2016).

65 Decreto42/2014,de19demayo,delPresidente,porelqueseregulalagestióndocumentalylaorganizaciónyelfuncionamientodelosarchivosenlaPresidenciadelGobiernodeCanarias(BOC101, de 27.5.2014; c.e. BOC 115, de 17.6.2014),http://www.gobiernodecanarias.org/libroazul/pdf/70812.pdf.(Accessed:July2016).

66 ToknowtheSpanishlegislationonelectronicadministrationattheStatelevel,seethefollowingcompedium: Código de Administración Electrónica, Ministerio de Hacienda y AdministracionesPúblicas, Agencia Estatal Boletín Oficial del Estado, 2015. Available at:https://www.boe.es/legislacion/codigos/codigo.php?id=029_Codigo_de_Administracion_Electronica&modo=1.(Accessed:July2016).

67 Ley 30/1992 de Régimen Jurídico de las Administraciones Públicas y del ProcedimientoAdministrativoComún(últimamodificación:2014),https://www.boe.es/buscar/pdf/1992/BOE-A-1992-26318-consolidado.pdf.(Accessed:July2016).

68 Ley 11/2007, de 22 de junio, de acceso electrónico de los ciudadanos a los Servicios Públicos,http://www.boe.es/boe/dias/2007/06/23/pdfs/A27150-27166.pdf.(Accessed:July2016).

69 TheeEuropeinitiativewaslaunchedin2000bytheEuropeanCommissiontoaccelerateEurope’stransitiontowardsaknowledge-basedeconomy.InordertofulfilltheeEuropecommitments,twoeEurope conferences were held: eEurope 2002 and eEurope 2005. The i2010 initiative waslaunchedin2005andwastheEUstrategythatbroughttogetherthevariousinitiativesinEuropeheading the benefits of Information and Communication Technologies (ICT) for social andeconomiclife.ThecurrentDigitalAgendaforEuropeformsoneofthesevenpillarsoftheEurope2020Strategy,andfollowsthei2010,eEurope2005,eEurope2002andeEuropeinitiatives.

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administrations by electronic means, and incorporates principles related to recordsmanagement,preservationofdigital recordsandtherightofaccessto information. Inthis framework, the related decree of 2010 (Real Decreto 4/2010)70 regulates theinteroperabilityof theelectronicadministration,71andestablishes thedevelopmentoftechnical rules, which face more practical and operational aspects to ensure theimplementation of interoperability among the public administrations and with thecitizens.Withthisdecree,andforthefirsttime,themanagementofrecordsisexplicitlymentioned in a State regulationaddressed to the Spanishpublic administrations. Thisdecree requires a series of measures to guarantee the interoperability in relation torecords retrieval and preservation, including the definition of a recordsmanagementpolicy for records and files processing. The technical rules that were subsequentlyelaboratedarerelatedto:Digital record;Digitization;Digital file;Authenticcopiesandconversion;Digitalsignaturepolicy;Standards;Datamodels,Policyforthemanagementofdigitalrecords(Resolution28June2012,whichwillbelateranalyzed),72etc.BriefanalysisoflegislationLey16/1985–HistoricHeritageThislaw,issuedbytheSpanishParliament,aimstoprotecttheSpanishhistoricheritage,includingthedocumentaryheritageandarchives.TitleVII,ChapterIdefinestheconceptof record, establishes the creation of a census of this heritage and regulates itsprotection,conservationandaccess.TitleVII,ChapterIIdefinestheconceptofarchivesas anensembleof recordsandas a cultural institution, andassigns competencesandresponsibilitiesforitsmanagement.

70 Real Decreto 4/2010, de 8 de enero, por el que se regula el Esquema Nacional de

Interoperabilidad (ENI) en el ámbito de la Administración Electrónica,http://www.boe.es/boe/dias/2010/01/29/pdfs/BOE-A-2010-1331.pdf.(Accessed:July2016).

71 TheSpanishlegislationoninteroperabilityembracestheEuropeanInteroperabilityFrameworkofthe IDABC programme (Interoperable Delivery of European eGovernment Services to publicAdministrations, Business and Citizens), and the Decision 922/2009/EC of the EuropeanParliamentandoftheCouncilof16September2009onInteroperabilitySolutionsforEuropeanPublicAdministrations(ISA).

72 Resolución28de juniode2012,de laSecretaríadeEstadodeAdministracionesPúblicas,por laque se aprueba la Norma Técnica de Interoperabilidad de Política de gestión de documentoselectrónicos, http://www.boe.es/boe/dias/2012/07/26/pdfs/BOE-A-2012-10048.pdf.(Accessed:July2016).

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Ley16/1985,de5dejunio,delPatrimonioHistóricoEspañol(últimaactualizaciónpublicada:2015).

Título VII: Del PatrimonioDocumental y Bibliográfico y de los Archivos, Bibliotecas yMuseos.

Cap.I:DelPatrimonioDocumentalyBibliográfico(art.48-58).Cap.II:DelosArchivos,BibliotecasyMuseo(art.59-66).

RealDecreto1708/2011–ArchivesSystemThe Royal Decree 1708/2011 is subsidiary to Law 16/1985. It establishes the SpanishArchivesSystemandregulatestheArchivesSystemoftheGeneralStateAdministrationbodiesandtheiraccessrules.Section1defines the typesofarchivesbasedon therecords lifecycle,describes theirfunctions and assigns responsibilities. The archives are divided in four types: currentrecords,centralarchiverepository,recordscentreandhistoricalarchive.Thefunctionsofthesearchivesspansfromorganization,transfer,appraisal,retention,disposition,todescription, conservation, reproduction, access and dissemination. To carry out thesefunctions, several archival tools are mentioned: records retention schedule, recordsclassification scheme and transfer report. The records classification scheme iselaboratedatthecentralarchiverepository,oncetheserieshavebeentransferredandidentified. Nomention ismade to the use of the classification scheme for classifyingcurrentrecordsinoffices.Digitalrecordsandelectronicmanagementsystemsaretakenintoconsiderationwhendescribingthefunctionsofthecentralarchiverepository,recordscentreandhistoricalarchive.Nomentionismadetothemanagementofcurrentrecords,whichisanarchivalphasedescribedwith lessdetail. Thedecreestates that thecentralarchive repositoryshould participate in multidisciplinary teams for the design and implementation ofelectronic management systems for administrative procedures. Besides, the recordscentre and historical archive will establish strategies for records preservation in themedium and long term (respectively), such as procedures for format emulation,migrationandconversion.Section2describesthefunctionstobecarriedoutbythearchives inallphasesoftherecordslifecycle,asforexample,guaranteeingrecordsintegrity,authenticity,reliability,availability, confidentiality and preservation, as established by Law 11/2007 onelectronicaccessofcitizenstopublicservices.

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Section3refers tohistoricalarchivesmadeontraditionalmedia.Section4 focusesonthe retrievalandpreservationofdigital records through their lifecycle.Themeasuresthatshouldbeadoptedare,amongothers:theuseofaunivocalcodeforeachrecord;aminimumsetofobligatorymetadata;anelectronicindexforfiles,signedbytheactingentitytoguaranteetheirintegrityandretrieval;transferoffilestohistoricalarchivesforlong-term preservation; strategies for medium and long term preservation, such asformatemulation,migrationandconversion.Inaddition,theapplicationofinformationand communication technologies for records management and access of citizens topublicservicesisencouraged.

RealDecreto1708/2011,de18denoviembre,porelqueseestableceelSistemaEspañoldeArchivosyseregulaelsistemadeArchivosdelaAdministraciónGeneraldel

EstadoydesusOrganismosPúblicosysurégimendeaccesoCapítuloIII:SistemadeArchivosdelaAdministraciónGeneraldelEstadoydesusorganismospúblicos

Sección1:Disposicionesgenerales. Art.6.Definición. Art.7.Composición. Art.8.ClasesdeArchivos. Art.9.Archivosdeoficinaodegestión.

Art.10.ArchivosgeneralesocentralesdelosMinisteriosydelosorganismospúblicosdependientesdelosmismos.

Art.11.Archivointermedio. Art.12.Archivoshistóricos. Art.13.Coordinaciónarchivística.Sección2:Tratamientoarchivístico.

Art.14:Ciclovitaldelosdocumentos. Art.15:Identificación,valoraciónyeliminación.

Sección3:Disposicionesespecíficassobrearchivoshistóricosypatrimoniodocumental.

Art.16.Conservacióndelpatrimoniodocumental. Art.17.Enriquecimientodelpatrimoniodocumental. Art.18.Medidasdefomentodelpatrimoniodocumental.

Art.19.DifusióndelosdocumentosdearchivoydeotrosrecursosculturalesoinformativosdelSistemaespañoldearchivos.

Sección4.Documentoselectrónicosypreservacióndigital.Art.20:Condicionesparalarecuperaciónyconservacióndeldocumento

electrónico.Art.21:Aplicacióndelastecnologíasdelainformaciónycomunicaciones

enlagestiónytratamientodelosdocumentos.

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Ley7/2011deAndalucía–Records,ArchivesandDocumentaryHeritageAndalucíawas the firstSpanish region todevelopa lawondocumentaryheritageandArchives System (Ley3/1984). The lawof 1984wasmodified in 2011 (Ley 7/2011) tomeettheneedsatthattime.Title III is dedicated to recordsmanagement, its concept, functions andapplication inthe Andalucía Archival System and in the Public Administration of the AndalucíaRegionalGovernment.Thelawestablishestwotoolsformanagingthedigitalrecordsofthe Andalucía Administration: a General Register of Information Systems, and ahomogeneousInformationSystemoftheArchivesoftheAndalucíaGovernment.Ley7/2011,de3denoviembre,deDocumentos,ArchivosyPatrimonioDocumentalde

AndalucíaTítuloIII:Lagestióndocumental. Cap.I:Conceptoyfuncionesdelagestióndocumental.Art.53:Conceptodegestióndocumental.Art.54:Funcionesdelagestióndocumental.Art.55:Aplicacióndelagestióndocumentalenlosarchivosdelsistema

ArchivísticodeAndalucía. Cap.II:LagestióndocumentalenlaJuntadeAndalucía. Art.56:LagestióndocumentalenlaJuntadeAndalucía.Art.57:AplicacióndelagestióndocumentalenlaJuntadeAndalucía. Art.58:ArchivoycustodiadedocumentoselectrónicosdelaJuntadeAndalucía.Art.59:RegistroGeneraldelosSistemasdeInformacióndelaJuntadeAndalucía.Art.60:ElSistemadeInformacióndeArchivosdelaJuntadeAndalucía.Ley10/2001deCataluña–RecordsandArchivesThisistheonlySpanishregionallawthatrequireseachpublicadministrationandentitytohavearecordsmanagementsystem,whichguaranteestheauthenticityandintegrityof recordscontent.The lawalsomentionsthearchivalphases:active,semi-activeandinactive, and the transfer of records from offices to records centres and historicalarchives. It also indicates responsibilities for the organization, appraisal, preservationandaccessofrecords.

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Ley10/2001,de13dejulio,deArchivosyDocumentos(ComunidadAutónomade

Cataluña)TítuloII:Losdocumentos.Cap.I:Losdocumentopúblicos.Art.7:Responsabilidadesdelostitularesdedocumentopúblicos.Art.8:Gestióndelosdocumentospúblicos.Art.9:Evaluacióndelosdocumentospúblicos.

Decreto21/2012deEuskadi–ElectronicAdministrationThis decree dedicates a Title to the electronic register, where all digital recordsaddressed to the Public Administration bodies of Euskadi are admitted. Electronicrecords, electronicadministrative records, and their components (includingmetadata)aredescribed,aswellaselectronicfilesandcomponents,suchasmetadata,electronicindexandelectronic index signature.A commondigital storage for theEuskadi PublicAdministration will be created, and a policy for digital records management whichinvolves the entire records life cycle, from creation to destruction or permanentpreservation will be approved and published. The policy will include guidelines forassigning responsibilities and will define the programmes, processes and control forrecordsmanagementandadministrationofthedigitalrepositories.

Decreto21/2012,de21defebrero,deAdministraciónElectrónica(Administración

PúblicadelaComunidadAutónomadeEuskadi)TítuloIV:RegistroelectrónicoArt.21:Registroelectrónico.Art.22:Documentosadmisibles.Art.23:Resguardoacreditativodelapresentación.Art.24:Cómputodeplazos.Art.25:Conveniosdeinterconexiónderegistroselectrónicos.Art.26:Anotacionesdeotrascomunicacioneselectrónicas.TítuloIV:LascomunicacionesylasnotificacioneselectrónicasTítuloVI:EldocumentoelectrónicoysuscopiasCap.I:Documentoelectrónico.Art.33:Documentoelectrónico.Art.34:Referenciatemporaldeldocumentoelectrónicoadministrativo.Art.35:MetadatosdeldocumentoelectrónicoArt.36:Reproduccióndeldocumentoelectrónico.

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Cap.II:Expendienteelectrónico.Art.37:Expedienteelectrónico.Art.38:Componentesdelexpedienteelectrónico.Art.39:Intercambiodeexpedienteselectrónicos.Cap.III:Conservaciónyarchivodedocumentoselectrónicos.Art.40:Archivoelectrónico.Art.41:Conservacióndedocumentosyexpedienteselectrónicos.Art.42:Políticasdegestióndedocumentoselectrónicos.Decreto42/2014deCanarias–RecordsandArchivesManagementThisdecreeregulatesthemanagementoftherecordslifecycleofthePresidencyoftheCanariasGovernment. Itgives indicationson theclassificationandorderingof currentrecords, and the management of files and records produced by administrativeprocedureandworkflows.Itdescribesthefunctionsoftherecordscentre,thetransferprocedure, and the selection and disposal activities. Guidelines about access andconsultationofrecordsaregiven,aswellastechnicalspecificationsforstorageareas.Inits final provisions, the decree establishes that a plan for digitization and electronicrecordsmanagementwillbeelaboratedandapproved.

Decreto42/2014,de19demayo,delPresidente,porelqueseregulalagestióndocumentalylaorganizaciónyelfuncionamientodelosarchivosenlaPresidenciadel

GobiernodeCanarias(BOC101,de27.5.2014;c.e.BOC115,de17.6.2014).

Art.1.Objeto.Art.2.Ámbitodeaplicación.Art.3.Serviciosdegestióndocumental.Art.4.Identificaciónyvaloracióndocumental.Art.5.ArchivosdeoficinaArt.6.Normasdegestiónparalaordenaciónyracionalizacióndelflujo

documental.Art.7.ArchivoCentral.Art.8.Transferenciadedocumentosdearchivo.

Art.9:Procedimientodetransferenciadedocumentosdearchivo. Art.10:Selecciónyexpurgodelosdocumentosdearchivo. Art.11.Accesoyconsultadelosdocumentosdearchivo. Art.12.Losdepósitosdearchivo. Disposiciónadicionalprimera.PlandeDigitalizaciónyGestióndeDocumentosElectrónicos.Disposiciónadicionalsegunda.Plandemodernizaciónygestióndocumental.

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Ley11/2007-ElectronicAccessofCitizenstoPublicServicesThe law 11/2007 on electronic access of citizens to public services regulates theregisters, communications and electronic notifications of the citizens with the publicadministration,andamongtheadministrationsthemselves.Itestablishestheconditionstorecognizethevalidityofanelectronicrecord:thepublicadministrationmayproducevalid records by electronic means if signed electronically. Digital records must bepreserved in digital form, guaranteeing their integrity, authenticity, confidentiality,quality, protectionandpreservation.Digital files shouldbe foliatedwithanelectronicindextoguaranteetheirintegrityandretrieval.Thelawalsogivesprovisionsandcriteriafortheelectronicmanagementofadministrativeprocedures,processesandservices.

Ley11/2007,de22dejunio,deaccesoelectrónicodelosciudadanosalosServicios

Públicos.TítuloII:Régimenjurídicodelaadministraciónelectrónica.Cap.III:Delosregistros,lascomunicacionesylasnotificacioneselectrónicasArt.24:Registroselectrónicos.Art.25:Creaciónyfuncionamiento.Art.26:Cómputodeplazos.Art.27:Comunicacioneselectrónicas.Art.28:Prácticadelanotificaciónpormedioselectrónicos. Cap.IV:Documentosyarchivoselectrónicos. Art.29:Documentoadministrativoelectrónico. Art.30:Copiaselectrónicas.

Art.31:Archivoelectrónicodedocumentos.Art.32:Expedienteelectrónico.

TítuloIII:Delagestiónelectrónicadelosprocedimientos.Cap.I:Disposicionescomunes.Art.33:Utilizacióndemedioselectrónicos.Art.34:Criteriosparalagestiónelectrónica.Cap.II:Utilizacióndemedioselectrónicosenlatramitacióndelprocedimiento.Art.35:Iniciacióndelprocedimientopormedioselectrónicos..Art.36:Instruccióndelprocedimientoutilizandomedioselectrónicos.Art.37:Accesodelosinteresadosalainformaciónsobreelestadodetramitación.Art.38:Terminacióndelosprocedimientospormedioselectrónicos.Art.39:Actuaciónadministrativaautomatizada.

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RealDecreto4/2010-NationalInteroperabilityFramework

The Royal Decree 4/2010 develops provisions of Law 11/2007 to facilitate theirapplication. The decree regulates the National Interoperability Framework for theSpanish e-Government services; in other words, the use of electronic means for theaccessofcitizenstopublicservices,includingdataanddigitalrecords.ChapterIXdefinesobligationsfortheelectronicsignaturecertificateproviders.ChapterX states that the public administration must adopt measures to guarantee theinteroperabilityinrelationtotheretrievalandpreservationofdigitalrecordsalongtheirlifecycle.Thesemeasuresinclude:definitionofarecordsmanagementpolicy;inclusionofafileelectronicindex;uniqueidentificationofrecords;asetofminimumobligatorymetadata; classification; retention period; records access; long-term preservation;horizontalcoordinationbetweentherecordsmanagerandtheotherservices involvedwitharchives;stafftraining;etc.Security measures and the use of open standard formats for preservation are alsoindicated. In relation to the digitization of paper records, the following aspects areconsidered: use of standardized formats, resolution, integrity of the image andmetadata.

RealDecreto4/2010,de8deenero,porelqueseregulaelEsquemaNacionaldeInteroperabilidadenelámbitodelaAdministraciónElectrónica

CapítuloIX:Firmaelectrónicaycertificados.CapítuloX:Recuperaciónyconservacióndeldocumentoelectrónico. Art.21:Condicionesparalarecuperaciónyconservacióndedocumentos. Art.22:Seguridad.

Art.23:Formatosdelosdocumentos.Art.24:Digitalizacióndedocumentosensoportepapel.

InteroperabilitytechnicalrulesThe Royal Decree 4/2010, which regulates the Spanish National InteroperabilityFramework, establishes that a series of technical rules will be developed to addressspecificinteroperabilityaspects.Thetechnicalrulescurrentlyavailableareabout:digitalrecord;digitalfile;digitizationofrecords;digitalsignaturepolicy,astandardscatalogue,datamodels,policyfordigitalrecordsmanagement,etc.

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Resolution28June2012-PolicyforDigitalRecordsManagementBy this resolution, the Secretary for State of Public Administrations approves theInteroperabilityTechnicalRuleonPolicyforthemanagementofdigitalrecords.Thisruleprovidesguidelinestodefinepolicies for recordsmanagement inhybridenvironmentsalong the entire records life cycle. It gives indications of the policy content, actorsinvolved,andprocesses.Recordsmanagementprocessesshould,atleast,include:

1. Records capture and assignation ofminimum obligatorymetadata. It is cross-referredtotheInteroperabilityTechnicalRuleonDigitalRecords.

2. Registration, which may foresee the digitization of incoming paper mail. It iscross-referredtotheInteroperabilityTechnicalRuleonDigitizationofRecords.

3. Classification,which includes criteria for creating files and aggregating recordsfollowingtheInteroperabilityTechnicalRuleonDigitalFiles.Classificationshouldbebasedonthefunctionalrecordsclassificationschemeoftheorganization.

4. Description,includingtheelaborationofaninstitutionalschemeofmetadata.5. Access, includingan institutionalpolicyonaccessandthetraceabilityofaccess

operations.6. Appraisal,whichwill includeevaluationand identificationof retentionperiods,

andfinaldecisionsofdisposalauthorities.7. Retention,basedontherecordsretentionschedule.8. Transfer,whichwillincluderesponsibilitiesforrecordscustody.9. Disposal, which cross-refers to the Royal Decree 3/2010 on the Security

Frameworkfore-Government.In addition, the organization must elaborate and document the managementprocedures; train staff; make periodical audits of the adequacy of the recordsmanagementpolicyanditsapplication;andupdatethepolicy.10048:Resolución28dejuniode2012,delaSecretaríadeEstadodeAdministracionesPúblicas,porlaqueseapruebalaNormaTécnicadeInteroperabilidaddePolíticade

gestióndedocumentoselectrónicos

I.ObjetoII.Ámbitodeaplicación.III.Contenidoycontexto.IV.Actoresinvolucrados.V.Programadetratamientodedocumentoselectrónicos.VI.Procesosdegestióndedocumentoselectrónicos.VII.Asignacióndemetadatos.VIII.Documentación.IX.Formación.

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X.Supervisiónyauditoría.XI.Actualización.

ConclusionsRecordsmanagementhasbeenincorporatedintheSpanishlegislationforthelast10-15years. This presence and recognition goes hand in hand of the introduction ofinformationandcommunicationtechnologies(ICT)inthePublicAdministrationinternalactivitiesandinitscommunicationswithcitizens.Ingeneral,theSpanishlegislationonrecords management provides very generic provisions. Nevertheless, more focusedruleshavebeenelaborated in recentyearsatState level (Resolution28 June2012onPolicyforthemanagementofdigitalrecords),aswellasregionallevel(Decree42/2014on records management and organization of the Archives in the Presidency of theCanariasGovernment)andprovincial level(GlobalmodelforrecordsmanagementanddigitalfileattheAdministraciónForaldeGuipúzcoa).73Itshouldalsobementionedthat,in the framework of the Resolution 28 June 2012, a model for elaborating a digitalrecords management policy was prepared by the Ministry of Finance and PublicAdministration in 2013. A second andmore complete version has been published in2016: “Política de gestión de documentos electrónicos – MINHAP.” The policy wasawardedaprizeattheVIIArchivesCongressoftheSpanishRegionofCastillayLeón(25-27May2016).Itwasconsideredthebestarchivalproject,andwasappreciatedbybeingthefirstpolicyonelectronicrecordsmanagementoftheGeneralStateAdministration.AlthoughapplicabletotheMINHAP(MinisteriodeHaciendayAdministraciónPública–MinistryofFinanceandPublicAdministration),thepolicyisviewedasavalidreferenceforanypublicentity.74Even if legislation on records management and electronic administration is in theprocessoffurtherdevelopment,theimplementationofelectronicrecordsmanagementatthePublicAdministrationlevelisbeingdelayed,asa2015studybytheE-GovernmentObservatory enunciates.75 This delay is due to several factors, such as limited human

73 Decreto Foral 17/2011, de 14 de junio, por el que se regula el Modelo Global de Gestión

Documental y Expediente Electrónico en el ámbito de la Administración Foral de Guipúzcoa.Available at:http://www.boletinesoficiales.com/documentacion/legislacion/documento/DECRETO-FORAL-17-2011-14-junio-regula-Modelo-Global-Gestion-Documental-Expediente-Electronico-ambito-Administracion,53,20110620,1/.(Accessed:July2016).

74 Available at:http://www.minhap.gob.es/Documentacion/Publico/SGT/POLITICA%20DE%20GESTION%20DE%20DOCUMENTOS%20MINHAP/politica%20de%20gestion%20de%20documentos%20electronicos%20MINHAP.pdf.(Accessed:July2016).

75 SeguimientodelaadecuaciónalEsquemaNacionaldeInteroperabilidad(ENI):Estadodesituacióna finales de 2014 (25 de febrero de 2015). An English versión is also available from:

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andeconomicresources, theneedofcreating interdisciplinarycooperationtomanagedigitalrecords,theneedofelaboratingandapprovingpoliciesthatestablishguidelinesandtechnicalinstructionstobefollowed,theselectionofmanagementtoolsandtheirintegration with existing ones, and the need of personnel training. Coordination andcooperationarealsonecessaryatall levels:among institutions,provinces,regionsandState bodies in order to adopt shared services and infrastructures that improverationalizationandefficiency.In relation to digital preservation, regulations are scarce and developed in a verysuccinct way, without specific and detailed provisions on preservation strategies,processes,model/standards,orinstrumentstoguaranteelong-termpreservation.Author’snoteA special acknowledgment goes to Lluís-Esteve Casellas i Serra (Gestió Documental iArxiu,AjuntamentdeGirona)forhisvaluableinputduringtheelaborationofthisarticle.

http://administracionelectronica.gob.es/pae_Home/pae_OBSAE/pae_NotasTecnicas.html.(Accessed:July2016).

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Appendix4.TERMSANDDEFINITIONSInteroperabilityItalianterm:InteroperabilitàInteroperabilityistheabilityoforganizationsorsystemstointeractbetweenthemwiththeaimofsharingdata,informationandrecords.Interoperabilityoccursbothatorganizationallevel,forsharingtoolsandpolicies,andattechnological level,forthedevelopmentofanITsystemthatallowsexchanging information through the adoptionof adata exchange format anda sharedcommunicationprotocol.Theinteroperabilitybetweentwopreservationsystemsistheabilitytoexchangemetadata and records, andaimsat transferring the archives custody. Theexchangemustguaranteethepreservationoftheauthenticityofrecordsinrelationtotheirorganizationalandarchivalcontext.L'interoperabilitàè la capacitàdiunaorganizzazionedi interagireconaltreorganizzazionialloscopo di condividere dati, informazioni e documenti. L’interoperabilità avviene a livello siaorganizzativo, per la condivisione di strumenti e policy, sia a livello tecnologico per larealizzazione di un sistema informatico che consenta lo scambio di informazioni attraversol'adozionediunmedesimoformatodiinterscambiodeidatiediunprotocollodicomunicazionecondiviso.L’interoperabilitàtraduesistemidiconservazioneèlacapacitàdiscambiodimetadatiedocumenti, finalizzatoal trasferimentodellacustodiadegliarchivi.Loscambiodeveavveniregarantendo la preservazione della autenticità dei documenti in relazione al loro contestoorganizzativoearchivistico.ReferenceReference Definition

ISO/IEC2382-01,InformationTechnologyVocabulary,FundamentalTerms

Thecapabilitytocommunicate,executeprograms,ortransferdataamongvariousfunctionalunitsinamannerthatrequirestheusertohavelittleornoknowledgeoftheuniquecharacteristicsofthoseunits(http://jtc1sc36.org/doc/36N0646.pdf)

UN/CEFACTBRS:2008–Recordexchangestandard(APARSEN)

Atransferasawholeisthebusinessactivityinvolvedintransferringcustodyfromonesystemtoanother.Thismayinvolvethetransferofphysicalcustodyorlegalcustody.Transferincludestasksrangingfromtheextremelyhighlevel(e.g.agreementattheministeriallevelastoaccessprovisions),totheextremelylowlevel(e.g.physicalrelocationoftherecords).Thisspecificationonlycoverssomeofthetasksinvolvedincarryingoutatransferofdigitalrecords.(UN/CEFACTBRS:2008–Recordexchangestandard)

EU–EuropeanCommissionDirectorate–GeneralforInformatics

Interoperabilityistheabilityofdisparateanddiverseorganisationstointeracttowardsmutuallybeneficialandagreedcommongoals,involvingthesharingofinformationandknowledgebetweentheorganisations,throughthebusinessprocessestheysupport,bymeansoftheexchangeofdatabetweentheirrespectiveICTsystems(http://ec.europa.eu/isa)

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DL.org-Consortium-DigitalLibraryInteroperability,BestPracticesandModellingFoundations

Interoperabilityisacomplex,multi-layeredandcontext-specificconcept,encompassingdifferentlevelsalongamulti-dimensionalspectrumrangingfromorganisationaltotechnologicalaspects(http://www.dlorg.eu/index.php/outcomes/interoperability-2)

INTERPARES(IP2)-Glossary

Theabilityofoneapplication/systemtocommunicateorworkwithanother.[GeneralDictionaries](http://www.interpares.org/ip2/display_file.cfm?doc=ip2_dictionary.pdf&CFID=4691685&CFTOKEN=25915577)

ICAR(InteroperabilitàeCooperazioneApplicativafraleRegioni)–CISIS(CentroInterregionaleperiSistemiinformatici,geograficiestatistici)

Capacitàdiunaapplicazionedisfruttarelefunzionidiun’altraapplicazione;sidicecheAeBinteroperanoseAèingradodiutilizzarelefunzionidiBeviceversa(http://www.progettoicar.it/ViewCategory.aspx?catid=b0537e201d634177ab7a6d300b3fa10e)

DPCM31dicembre2013-Regoletecnicheperilprotocolloinformatico–Glossario/Definizioni

Capacitàdiunsistemainformaticodiinteragireconaltrisistemiinformaticianaloghisullabasedirequisitiminimicondivisi

ManualforDigitalPreservationItalianterm:ManualediconservazioneThe Manual for Digital Preservation (or Digital Preservation Handbook) provides a range ofpractical toolsandorganizationalandtechnological rules,aswellaspoliciesandstrategies fordigital preservation. It details the organization, the people involved, and their roles andresponsibilities. The manual explains the operating model, the preservation process, thetechnologicalarchitectureandinfrastructure,thesecuritymeasuresandanyotherinformationusedformanagementandvalidationofthepreservationsystemovertime.Il Manuale di Conservazione fornisce le regole organizzative e tecnologiche del processo diconservazione digitale, esplicitando le policy e le strategie perseguite. Esso illustradettagliatamente l'organizzazione, i soggetti coinvolti e i ruoli svolti dagli stessi, il modello difunzionamento,ladescrizionedelprocesso,ladescrizionedellearchitettureedelleinfrastruttureutilizzate, le misure di sicurezza adottate e ogni altra informazione utile alla gestione e allaverificadelfunzionamento,neltempo,delsistemadiconservazione.ReferenceReference Definition

DPCM3dicembre2013-Regoletecnicheinmateriadisistemadiconservazione–Glossario/Definizioni

ManualediconservazioneStrumentochedescriveilsistemadiconservazionedeidocumentiinformaticiaisensidell’articolo9delleregoletecnichedelsistemadiconservazione

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(http://www.agid.gov.it/sites/default/files/leggi_decreti_direttive/dpcm_3-12-2013_protocollo.pdf)

DPCM3dicembre2013-Regoletecnicheinmateriadisistemadiconservazione

Art.81.Ilmanualediconservazioneillustradettagliatamentel'organizzazione,isoggetticoinvoltieiruolisvoltidaglistessi,ilmodellodifunzionamento,ladescrizionedelprocesso,ladescrizionedellearchitettureedelleinfrastruttureutilizzate,lemisuredisicurezzaadottateeognialtrainformazioneutileallagestioneeallaverificadelfunzionamento,neltempo,delsistemadiconservazione.2.Ilmanualediconservazioneèundocumentoinformaticocheriporta,almeno:a)idatideisoggetticheneltempohannoassuntolaresponsabilitàdelsistemadiconservazione,descrivendoinmodopuntuale,incasodidelega,isoggetti,lefunzioniegliambitioggettodelladelegastessa;b)lastrutturaorganizzativacomprensivadellefunzioni,delleresponsabilitàedegliobblighideidiversisoggetticheintervengononelprocessodiconservazione;c)ladescrizionedelletipologiedeglioggettisottopostiaconservazione,comprensivadell'indicazionedeiformatigestiti,deimetadatidaassociareallediversetipologiedidocumentiedelleeventualieccezioni;d)ladescrizionedellemodalitàdipresaincaricodiunoopiùpacchettidiversamento,comprensivadellapredisposizionedelrapportodiversamento;e)ladescrizionedelprocessodiconservazioneedeltrattamentodeipacchettidiarchiviazione;f)lamodalitàdisvolgimentodelprocessodiesibizioneediesportazionedalsistemadiconservazioneconlaproduzionedelpacchettodidistribuzione;g)ladescrizionedelsistemadiconservazione,comprensivodituttelecomponentitecnologiche,fisicheelogiche,opportunamentedocumentateedelleproceduredigestioneedievoluzionedellemedesime;h)ladescrizionedelleproceduredimonitoraggiodellafunzionalitàdelsistemadiconservazioneedelleverifichesull'integritàdegliarchiviconl'evidenzadellesoluzioniadottateincasodianomalie;i)ladescrizionedelleprocedureperlaproduzionediduplicatiocopie;j)itempientroiqualilediversetipologiedidocumentidevonoesserescartateovverotrasferiteinconservazione,ove,nelcasodellepubblicheamministrazioni,nongiàpresentinelmanualedigestione;k)lemodalitàconcuivienerichiestalapresenzadiunpubblicoufficiale,indicandoanchequalisonoicasiperiqualièprevistoilsuointervento;l)lenormativeinvigoreneiluoghidovesonoconservatiidocumenti(http://www.agid.gov.it/sites/default/files/leggi_decreti_direttive/dpcm_3-12-2013_protocollo.pdf)

ISO16363-Spacedataandinformationtransfersystem-Auditandcertificationof

(https://www.iso.org/obp/ui/#iso:std:iso:16363:ed-1:v1:en)

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trustworthydigitalrepositories

DPC(DigitalPreservationCoalition)–DigitalPreservationHandbook

TheHandbookprovidesaninternationallyauthoritativeandpracticalguidetothesubjectofmanagingdigitalresourcesovertimeandtheissuesinsustainingaccesstothem.Itwillbeofinteresttoallthoseinvolvedinthecreationandmanagementofdigitalmaterials.…ThisHandbookaimstoidentifygoodpracticeincreating,managingandpreservingdigitalmaterialsandalsotoprovidearangeofpracticaltoolstohelpwiththatprocess.….Byprovidingastrategicoverviewofthekeyissues,discussionandguidanceonstrategiesandactivities,andpointerstokeyprojectsandreports,theHandbookaimstoprovideguidanceforinstitutionsandindividualsandarangeoftoolstohelpthemidentifyandtakeappropriateactions.(http://handbook.dpconline.org/)

PREMIS-DataDictionaryforPreservationMetadata

BusinessrulesTheworkinggroupmadenoattempttodescribethebusinessrulesofarepository,althoughcertainlythismetadataisessentialforpreservationwithintherepository.Businessrulescodifytheapplicationofpreservationstrategiesanddocumentrepositorypolicies,services,charges,androles.Retentionperiods,disposition,riskassessment,permanenceratings,schedulesformediarefreshment,andsoonarepertinenttoobjectsbutarenotactualpropertiesofObjects.Asingleexceptionwasmadeforthelevelofpreservationtreatmenttobeaccordedanobject(preservationLevel)becausethiswasfelttobecriticalinformationforanypreservationrepository.AmorethoroughtreatmentofbusinessrulescouldbeaddedtothedatamodelbydefiningaRulesentitysimilartoRights,althoughthisisnotincludedinthecurrentrevision.(http://www.loc.gov/standards/premis/v3/index.html)

ManualforRecordsManagementProceduresItalianterm:ManualedigestioneTheManualforRecordsManagementProceduresisanorganizationalhandbookthatdescribesthe rules, tools and actions for a proper records management. It guides the staff of anorganization in their daily operations, as it includes rules on records creation, capture,classification,filing,appraisalandpreservation(bothinpaperandindigitalform).IlManuale di Gestione è lo strumento organizzativo che descrive le regole, gli strumenti e leazioniperunacorrettagestionedocumentale.Essodettaleregoleorganizzativeearchivisticheper la gestione del protocollo informatico, dei flussi documentali e degli archivi; individua perogniazioneoprocessoirispettivilivellidiresponsabilità,esecuzioneecontrollo.

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ReferenceReference DefinitionDPCM31ottobre2000-Regoletecnicheperilprotocolloinformatico

Art.51.Ilmanualedigestionedescriveilsistemadigestioneediconservazionedeidocumentiefornisceleistruzioniperilcorrettofunzionamentodelservizio.2.Nelmanualedigestionesonoriportati,inparticolare:a)lapianificazione,lemodalitàelemisuredicuiall'art.3,comma1,letterad),delpresentedecreto;b)ilpianodisicurezzadeidocumentiinformaticidicuiall'art.4,comma4,delpresentedecreto;c)lemodalitàdiutilizzodistrumentiinformaticiperloscambiodidocumentiall'internoedall'esternodell'areaorganizzativaomogenea;d)ladescrizionedelflussodilavorazionedeidocumentiricevuti,speditiointerni,incluseleregolediregistrazioneperidocumentipervenutisecondoparticolarimodalitàditrasmissione,traiquali,inparticolare,documentiinformaticidifattopervenutipercanalidiversidaquelliprevistidall'art.15delpresentedecreto,nonchéfax,raccomandata,assicurata;e)l'indicazionedelleregoledismistamentoedassegnazionedeidocumentiricevuticonlaspecificadeicriteriperl'ulterioreeventualeinoltrodeidocumentiversoareeorganizzativeomogeneedellastessaamministrazionee/oversoaltreamministrazioni;f)l'indicazionedelleunitàorganizzativeresponsabilidelleattivitàdiregistrazionediprotocollo,diorganizzazioneetenutadeidocumentiall'internodell'areaorganizzativaomogenea;g)l'elencodeidocumentiesclusidallaregistrazionediprotocollo,aisensidell'art.4,comma5,deldecretodelPresidentedellaRepubblican.428/1998;h)l'elencodeidocumentisoggettiaregistrazioneparticolareelerelativemodalitàditrattamento;i)ilsistemadiclassificazione,conl'indicazionedellemodalitàdiaggiornamento,integratoconleinformazionirelativeaitempi,aicriteriealleregolediselezioneeconservazione,ancheconriferimentoall'usodisupportisostitutivi;l)lemodalitàdiproduzioneediconservazionedelleregistrazionidiprotocolloinformaticoedinparticolarel'indicazionedellesoluzionitecnologicheedorganizzativeadottatepergarantirelanonmodificabilitàdellaregistrazionediprotocollo,lacontemporaneitàdellastessaconl'operazionedisegnaturaaisensidell'art.6deldecretodelPresidentedellaRepubblican.428/1998,nonchélemodalitàdiregistrazionedelleinformazioniannullateomodificatenell'ambitodiognisessionediattivitàdiregistrazione;m)ladescrizionefunzionaleedoperativadelsistemadiprotocolloinformaticoconparticolareriferimentoallemodalitàdiutilizzo;n)icriterielemodalitàperilrilasciodelleabilitazionidiaccessointernoedesternoalleinformazionidocumentali;o)lemodalitàdiutilizzodelregistrodiemergenzaaisensidell'art.14del

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decretodelPresidentedellaRepubblican.428/1998,inclusalafunzionedirecuperodeidatiprotocollatimanualmente.3.Ilmanualedigestioneèresopubblicodallepubblicheamministrazionidicuialdecreton.29/1993secondolemodalitàprevistedaisingoliordinamenti.Essopuòaltresìessereresoaccessibilealpubblicoperviatelematicaovverosusupportoinformaticoocartaceo.(http://www.gazzettaufficiale.it/eli/id/2014/03/12/14A02099/sg)

DPCM31dicembre2013-Regoletecnicheperilprotocolloinformatico–Glossario/Definizioni

Strumentochedescriveilsistemadigestioneinformaticadeidocumentidicuiall’articolo5delleregoletecnichedelprotocolloinformaticoaisensidelleregoletecnicheperilprotocolloinformaticoD.P.C.M.31ottobre2000esuccessivemodificazionieintegrazioni

PolicyItalianterm:Policy(Politiche/Orientamento/Strategie,Principi)A statement of principles and strategic decisions concerning the directions by whichlong-term policy goals are pursued; they affect the setting of records systems andarchives,andtheirmanagement,bothorganizationalandtechnical.Principi e decisioni strategiche che riguardano linee politiche tramite le quali siperseguonoobiettivipoliticidilungoperiodo;essiriguardanol’impostazionedeisistemidigestionedocumentaleedegliarchiviesullorogoverno,siaorganizzativochetecnico.ReferenceReference Definition

INTERPARES(IP2)–Glossary/Dictionary

Aformalstatementofdirectionorguidanceastohowanorganizationwillcarryoutitsmandate,functionsoractivities,motivatedbydeterminedinterestsorprograms[Archives]

ResponsibilityItalianterm:ResponsabilitàResponsibilityreferstotheauthoritytomakedecisionsaccordingtotheroleofresponsibleofthe records management system assigned within an organization. It is closely linked toprofessional reliability and capacity to exercise control over the entire system on which thepersonresponsiblecanevaluateandprescriberules.ConiltermineResponsabilitàsiintendelacapacitàdiassumersidelledecisionisecondoilruolodiresponsabiledelsistemadigestionedocumentaleassegnatoall’internodiunaorganizzazione.LaResponsabilità è strettamente connessa all’affidabilità professionale e alla possibilità di

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esercitareun controllo sull’intero sistema sul quale il responsabilepuòesprimere valutazioni eimporreregole.ReferenceReference DefinitionINTERPARES(IP2)-Glossary

CompetenceAsphereoffunctionalresponsibilityentrustedtoaphysicalorjuridicalperson[GeneralDictionaries]AccountabilityTheobligationtoanswerforactionsforwhichoneisresponsible[GeneralDictionaries](http://www.interpares.org/ip2/display_file.cfm?doc=ip2_dictionary.pdf&CFID=4691685&CFTOKEN=25915577)

DPR445/2000–Testounicodelledisposizionilegislativeeregolamentariinmateriadidocumentazioneamministrativa

Articolo61(R)Servizioperlagestioneinformaticadeidocumentideiflussidocumentaliedegliarchivi1.Ciascunaamministrazioneistituisceunservizioperlatenutadelprotocolloinformatico,dellagestionedeiflussidocumentaliedegliarchiviinciascunadellegrandiareeorganizzativeomogeneeindividuateaisensidell'articolo50.Ilservizioe'postoalledirettedipendenzedellastessaareaorganizzativaomogenea.2.Alservizioe'prepostoundirigenteovverounfunzionario,comunqueinpossessodiidoneirequisitiprofessionaliodiprofessionalita'tecnicoarchivisticaacquisitaaseguitodiprocessidiformazionedefinitisecondoleprocedureprescrittedalladisciplinavigente.3.Ilserviziosvolgeiseguenticompiti:a)attribuisceillivellodiautorizzazioneperl'accessoallefunzionidellaprocedura,distinguendotraabilitazioniallaconsultazioneeabilitazioniall'inserimentoeallamodificadelleinformazioni;b)garantiscecheleoperazionidiregistrazioneedisegnaturadiprotocollosisvolganonelrispettodelledisposizionidelpresentetestounico;c)garantiscelacorrettaproduzioneelaconservazionedelregistrogiornalierodiprotocollodicuiall'articolo53;d)curachelefunzionalita'delsistemaincasodiguastioanomaliesianoripristinateentroventiquattrooredalbloccodelleattivita'e,comunque,nelpiu'brevetempopossibile;e)conservalecopiedicuiagliarticoli62e63,inluoghisicuridifferenti;f)garantisceilbuonfunzionamentodeglistrumentiedell'organizzazionedelleattivita'diregistrazionediprotocollo,digestionedeidocumentiedeiflussidocumentali,incluselefunzionalita'diaccessodicuiagliarticoli59e60eleattivita'digestionedegliarchividicuiagliarticoli67,68e69;g)autorizzaleoperazionidiannullamentodicuiall'articolo54;h)vigilasull'osservanzadelledisposizionidelpresentetestounicodapartedelpersonaleautorizzatoedegliincaricati.(http://www.parlamento.it/parlam/leggi/deleghe/00443dla.htm)

DPCM31dicembre2013-Regoletecniche

Responsabiledellagestionedocumentaleoresponsabiledelservizioperlatenutadelprotocolloinformatico,dellagestionedeiflussi

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perilprotocolloinformatico–Glossario/Definizioni

documentaliedegliarchiviDirigenteofunzionario,comunqueinpossessodiidoneirequisitiprofessionaliodiprofessionalitàtecnicoarchivistica,prepostoalservizioperlatenutadelprotocolloinformatico,dellagestionedeiflussidocumentaliedegliarchivi,aisensidell’articolo61delD.P.R.28dicembre2000,n.445,cheproduceilpacchettodiversamentoedeffettuailtrasferimentodelsuocontenutonelsistemadiconservazione.(http://www.gazzettaufficiale.it/eli/id/2014/03/12/14A02099/sg)CoordinatoredellaGestioneDocumentaleResponsabiledelladefinizionedicriteriuniformidiclassificazioneedarchiviazionenonchédicomunicazioneinternatraleAOOaisensidiquantodispostodall’articolo50comma4delDPR445/2000neicasidiamministrazionicheabbianoistituitopiùAreeOrganizzativeOmogenee(http://www.gazzettaufficiale.it/eli/id/2014/03/12/14A02099/sg)ResponsabiledellaconservazioneSoggettoresponsabiledell’insiemedelleattivitàelencatenell’articolo8,comma1delleregoletecnichedelsistemadiconservazione

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Appendix5.SURVEYONRECORDKEEPINGANDDIGITALPRESERVATIONPOLICIES

Thissurvey(developedforInterPARESTrust)exploresthepresenceandtheroleofpoliciesforrecordkeepinganddigitalpreservationintheorganizationsaspartofamoregeneralanalysisofthelegislationandthestandardsinthesector.Theweb-basedsurveyissenttotheInterPARESresearchersandtoagroupofprivateandpublicorganizationsinEuropewiththeaimofcollectinginformationabletosupportastudydedicatedtoassesspoliciesforrecordkeepinganddigitalpreservationandtheirmutualrelations.Thesurveyshouldtakeabout10-15minutesofyourtime.Yourresponseswillbekeptconfidential.Theinformationyouprovidewillbeusedonlyforstatisticalpurposessupportingtheobjectiveofthisresearchproject.*Required

1.IDENTIFICATION

1.1Pleasespecifythenameofyourorganization*1.2Whereisyourorganizationbased(pleasespecifythecountry)?*1.3Selecttheprofilethatbestmatchesyourarchivalrole:*□ Recordkeeper□ Digitalpreserver1.4Howmanystaffmembersdoesthearchiveshave?Whataretheirpositionsandresponsibilities?*

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1.5Whoaretheprimaryorexclusiveusersofthearchives?*□ in-housestaff□ recordscreator□ externalcollaborators□ students/scholars□ generalpublic1.6Whatisthesizeofthedigitalarchive?*□ <500GB□ 500GB-1TB□ 1TB-10TB□ 10TB-100TB□ 100TB-1EB□ >1EB1.7Howmanydigitalrecordsdoesthearchivesmanageeachyear?*□ <100.000□ 100.000-1.000.000□ 1.000.000-10.000.000□ >10.000.000

2.GOVERNANCE

2.1Arethereformalrulesfordefining,estabilishingandapprovingtherecordpolicies?*□ Yes□ No2.1.1Iftheanswertoquestion2.1was"YES",whichgovernancestructuresareinplaceallowingfortherecordspolicieswithinorganizationstobeimplemented?(i.e.generalmanager,technicalcommittee,archivalservice,...)

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2.1.2Iftheanswertoquestion2.1was"NOT",pleasespecifyhowrecord/archivespoliciesaredefined

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3.POLICY

3.1Whatisthepurposeofthepolicy?*□ recordscreation□ recordskeeping□ preservation□ documentaryworkflows□ access□ other 3.2Areyourpolicyavailableontheweb?Pleaseprovidethelink* 3.3Whichtypeoforganization/group/peopledoesthepolicyapplyto?*(i.e.researchinstitutelevel,national/internationallevel,specificcommunity,...)3.4Whatcollaborativeefforts(eitherinternal,amongunitsoftheorganization,orexternal,incollaborationwithotherorganizationsorteamsofexperts)aremadetodesignandestablishapolicy*3.5Isthepolicyinteroperablei.e.transferable/applicabletootherorganizationsinanyway?□ Yes□ No

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3.6Whichstandardshavebeenusedfortheproductionofthepolicy?*□ ISO14721(OAISmodel)□ ISO15386(DublinCore)□ ISO15489(Recordsmanagement)□ ISO16363(Auditandcertificationoftrustworthydigitalrepositories)□ ISO23081(Metadataforrecordsmanagement)□ ISO27001(Security)□ ISO30300(Managementsystemsforrecords)□ UNI11386(SInCRO-Italianstandardforinteroperabilityandpreservation)□ Other3.6.1Incaseyouanswered"other"onquestion3.5pleasespecify:3.7Whenwasthepolicyapproved?Bywhom?*3.8Aretherespecificpoliciesforrecordspublishedonthewebsiteorsocialnetworks(facebook,twitter,linkedin,etc.)?*□ Yes□ No3.8.1.Incaseyouanswered"YES"onquestion3.8dotheyinclude:□ dedicatedresponsibility□ registrationsystem□ specificworkflow□ persistentidentifiers□ other

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3.8.2.Pleasefeelfreetoprovidemoredetails

4.RECORDSPRESERVATION

4.1Whatkindofrecordsispreserved?*□ textual□ images□ audio□ video□ datasets□ dynamicdatabases□ linkeddata□ emailmessages□ application/program□ metadata□ websites□ socialmedia□ other4.1.1.Incaseyouanswered"other"onquestion4.1,pleasespecify4.2Aretherecordspreservedaccordingtoaretentionplan?*□ Yes□ No4.2.1Pleasespecifytheprevalentretentionperiodoftherecordspreservedintherepository*□ shortterm(upto10years)□ mediumterm(10-20years)

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□ longterm(morethan20years)4.3Aretherespecificrequirementsand/orrestrictionsgiveninregardstothepreservationactivities?*□ electronicformats□ persistentidentifiers□ metadata□ access□ other□ none4.3.1Iftherearespecificrequirementsand/orrestrictions,pleaseprovidemoreinformation4.4Whatistherelationshipbetweenthearchivesandtherecordscreator(s)?*(i.e.aretheycollaboratingindefiningtherequirementsforthepreservation,inincreasingthedocumentationatthesubmissionphase?)

5.RESPONSIBILITYANDPOLICYADHERENCE

5.1Whoisresponsibleforimplementingarecords/archivespolicyaccordingtotheirspecificnature?*(recordscreation,keepingorpreservation)

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5.2Arethereresponsibilitiesassignedinthepolicy?Ifyes,whichkindofprofessionalprofilesareinplace?*5.3Arethereanypolicyupdatingmechanismsinplace?*5.4Whataretheproceduresforensuringthatalltheconcernedpartiesareawareof,comprehendandapplytherecords/archivespolicy?Whochecksifinvolvedpartiesfollowtheguidelines/policy?Whathappensiftheydon’tfollowthepolicy?*5.5Whoisresponsibleforrecordsmanagementandpreservation?*5.6Arethereanyexistinglegalrequirementsforthepolicy,e.g.onanationallayer?*□ legislationontherecordscreation□ legislationontherecordspreservation□ legislationonprivacy/access□ none

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5.7Isthepolicyconnectedandintegratedwithariskassessmentdocument?*□ Yes□ No5.8Towhatextentdoexistingpolicies,procedures,andstandardscurrentlycontrolorinfluencerecordscreation,maintenance,preservationoruse?5.9Whoisresponsibleforauditingtheimplementationoftherecords/archivespolicy?*

6.OTHERINFORMATION

6.1Please,feelfreetogiveanyotherinformationwhichmaybeofrelevance6.2Canyoupleaseprovidemoreinformationonyourpolicies?(i.e.ifavailable,thewebsitewheretheyarepublished)

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Appendix6.QUESTIONNAIREREPLIES

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Appendix7.MATURITYMODEL

DATA

SurveyonRecordkeepingandDigitalPreservationPolicies-Responses2015

# Organization Country Score Maturitylevel

1 SapienzaUniversityofRome Italy 5,7 4

2 AyuntamientodeCartagena Spain 6,0 4

3 CityofToronto Canada 5,5 4

4 CityCouncilofGirona Spain 5,2 3

5 NATIONALARCHIVESOFCOLOMBIA(ARCHOVOGENERALDELANACION)

Colombia 6,9 4

6 ICCROM Italy 4,8 3

7 FCA US 5,4 3

8CONSOBCommissioneNazionaleperleSocietàelaBorsa Italy 6,5 4

9 RegioneEmilia-Romagna;IBCParER-PoloArchivisticoRegioneEmiliaRomagna

Italy 6,3 4

10ServiceofRecordsManagement,ArchivesandPublications(SGDAP)oftheCityCouncilofGirona

Spain 6,3 4

11 UniversityofWisconsin-Whitewater USA 5,0 3

STATISTICDATA64%=>Highmaturitylevel(level4and5):ExcellentandConsolidatedorganization.36%=>Goodmaturitylevel(level3):Standardizedorganization.Thesurveycanrepresentastatisticsample(80-20rule)foragroupof50-60internationalorganizations,withageographicaldistributionbetweenUE(64%)andAmerica(36%).Inparticular:Italy(37%),Spain(27%),NorthAmerica(27%),SouthAmerica(9%).READINGDATATheseorganizationscanbeconsideredstakeholdersforthissurveyonrecordkeepinganddigitalpreservationpolicies.Thisisduetothefactthatorganizationswithoutwrittenpoliciesonthesetopicstendnottorespondtothesurveyquestions.

METODOLOGY

RecordkeepingandDigitalPreservationPoliciesMaturityModel(Tab.1) Saatysematicscale(Tab.2)

Level from to Smalldescription Scale Smalldescription

1 0 1,8 INITIAL 1 NEUTRAL

2 1,81 3,6 SYSTEMATIC 3 WEAK

3 3,61 5,4 STANDARDIZED 5 ESSENTIAL

4 5,41 7,2 CONSOLIDATED 7 STRONG

5 7,21 9 EXCELLENT 9 FULL

2,4,6,8 IntermediatevaluesTheSaatysemanticscale(Tab.2)isusedfordefiningtheevaluationofresponsesandsurveyquestions.Forsimplifyingtheintermediatevaluesofscaleareunused.ThesevaluesarecombinedwitheachothertoidentifytheScoreofOrganization.ThescoreiscomparedwiththerangeofMaturitymodel(Tab.1)todefinethematuritylevelofOrganization.Rangeinterval=scalenr./levelnr.=9/5=1,80.