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PSIR & OGD impacts on Records Management System development Madrid, 15 -16 de febrero PSIR & OGD impacts on Records Management System development Madrid, 15 -16 de febrero de 2012 “Plus ça change, plus c’est la même chose”. . ? (Les Guêpes, 1849. J. B. A. Karr)

toc • • • company context from e. GRIMS to OGD: • • principle: toc • • • company context from e. GRIMS to OGD: • • principle: e. GRIMS should take into account all aspects of PSIR & OGD problem: absence of a Reference Model • • • step 1: analysis of PSIR + OGD at records life-cycle design & management time step 2: conceptual map and ontology elaboration step 3: ontology-driven generation of the information model & the interoperability artefacts step 4: Linked Data formatting while modelling transfer & ingestion step 5: de-identification step 6: e. GRIMS information and artefacts publication step 7: GEA interoperability approach for the e. GRIMS Step 8: e. GRIMS + OGD architecture proposal Step 9: public-private cooperation on e. GRIMS-based OGD Platforms 2

company everis (http: //www. everis. com) Consulting, IT & Outsourcing Professional Services Brussels Avenue company everis (http: //www. everis. com) Consulting, IT & Outsourcing Professional Services Brussels Avenue d'Auderghem, 22 -28 B 1040 Brussels Telephone number: Fax: +34 91 749 00 01 e-mail: spain. [email protected] com 3

context Subject: • How PSIR + OGD are related to Records Management and Interoperability? context Subject: • How PSIR + OGD are related to Records Management and Interoperability? Related project experience: • Interoperability: • EU Agencies consultancy & solutions • Large Interoperability Platforms development and maintenance (Catalonia, Chile, Colombia, Peru) • Business XML Vocabulary definition & standardization (Spain & EU) • Document & Records Management: • EU Agencies • Central State Agencies • Regional Governments • Spanish Universities • Public Sector Information Re-using and Open Government Data: • Spanish Central State PSIR projects (Aporta projects) • Local Entities OGD Guides & Portals • South America OGD Directives and Reference Model (Colombia-CINTEL) • EU Commission project modules 4

context I will use a specific project to illustrate our research: SIGe. DA stands context I will use a specific project to illustrate our research: SIGe. DA stands for … In plain English … SISTEMA de Gestió electrònica de la Documentació de l’ Administració de la Generalitat de Catalunya electronic Government’s Administration Records Management SYSTEM (e. GRMS) SIGe. DA’s as. PSIRation is however to serve as an … electronic Government Records AND Information Management SYSTEM (e. GRIMS) We sometimes also call it a “GRe. MLINS” (Records Management electronically Managed by a Legally Interoperable and Normalized System ) 5

context Catalonia >7, 000 inhabitants Many competences have been devolved to Catalonia üHealth, üEducation, context Catalonia >7, 000 inhabitants Many competences have been devolved to Catalonia üHealth, üEducation, üAgriculture, Livestock and Fishing, üWelfare, Society and Family, üScience and Technology, üCommerce and Industry, üEconomy and Finance, üLanguage (Catalan is an official language), üTransport, üLabour, taxes, üCulture and Communications, üothers… 6

context 7 context 7

context a Government Records Managament System development The Catalonian Government is developing a centralized context a Government Records Managament System development The Catalonian Government is developing a centralized set of horizontal measures and electronic means providing official policies and solutions to grant proper management of the Government’s records lifecycle. It aims at deploying an overall System allowing to preserve, control and use, by electronic means, the records originally held on physical and electronic media. legal, political, organizational, conceptual and functional tools Its mission is provinding all the legal, political, organizational, conceptual and functional tools for allowing the preservation, security, and rightful access to the documents and its information while granting the authenticity, reliability, integrity and availabilty during the lifecycle of the records. Thi project, called SIGe. DA, started by Dec. 2008, after a Government agreement issued on July 2008. The project was firstly organised around 8 initiatives (Current Initiative is number 2, “being implemented”): 1) Normalization and Standardization 2) System Implementation 3) Creation of a PTO (Project Technical Office) 4) Deployment in pilot Departments 5) Migration of old information into the new information system 6) Deployment and testing digital capturing model 7) Integrating and testing electronic signature It sounds like the ISA European Interoperability Strategy and the 5 IDABC EIF Interoperability dimensions, doesn’t it? 8) Deployment in the rest of the Government’s departments and institutions (The Spanish State, but also some Spanish regional governments, have been paying a special attention to EIF-2). 8

context the three pillars of the system P O L I C Y SYSTEM context the three pillars of the system P O L I C Y SYSTEM S EF T AC D AN S, SE RO S CE D MO E P L, T AR TE CH NO LO GI CA L P LA TF OR M 9

from e. GRIMS to Open Government Data principle: e. GRIMS should take into account from e. GRIMS to Open Government Data principle: e. GRIMS should take into account all aspects of RISP & OGD MOPSI Management Office of the Public Sector Information PSIR When surveying the Universe of an e. GRIMS like the SIGe. DA one, agents and actors from many different Knowledge and Business Domains were identified. Now, a new Business Domain and a new agent must be added to this picture: Public Sector Information Re-using. The organizational Interoperability Dimension has been approached by SIGe. DA’s Policy, but it also envisions and explains the relevant way PSIR has to play from the next years on. On its own way, everis has extended this vision while analysing the technical means to make e. GRIMS the foundation means for opening Government data. 10

from e. GRIMS to Open Government Data problem: absence of a Reference Model There’s from e. GRIMS to Open Government Data problem: absence of a Reference Model There’s no a Reference Model available covering ERMS + Open Government Data. So, we started elaborating our own “Reference Model”. Reference Model Dimensions Functional Model Principles Interoperability Model Technical Model Dimension & Principle configuration and measurement criteria 11

from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD at records life-cycle design & management time Transfer Disposal No Secondary value? ? Case Open t 0 Case Closed t 1 Administrative processing Elimination Yes Digital Curation t t 2 Semi-active Records Keeping Permanent Conservation 12

from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD at records life-cycle design & management time Transfer Disposal No Secondary value? ? Appraisal Tables Series t-3 t-2 Administrative Document Process design Appraisal Policy enforcement artefacts t-1 Case Open t 0 Case Closed t 1 Elimination Yes Digital Curation t t 2 ERMS-Configuration Administrative Semi-active artefact implementation processes Records Management Permanent Conservation 13

from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD at records life-cycle design & management time Essential Policy: facilitate early case closing the most, due to Legal requirements Organisational & workflow orchestration easing Records curation strategy Open Data principle: the fresher the data is the most re-purposing probability exists PSIR Impact PSIR Impact Transfer Disposal Secondary value? ? Assessment Tables Series t-3 t-2 Administrative Document Process design Assessment Policy enforcement artefacts t-1 Case Open t 0 Case Closed t 1 PSIR Impact No • • Elimination Yes Digital Curation t t 2 ERMS-Configuration Administrative Semi-active artefact implementation processes Records Management Permanent Conservation 14

from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD at records life-cycle design & management time t-3 t-2 Administrative Document Process design Appraisal t-1 t 0 t 1 t t 2 ERMS-Configuration Administrative Semi-active artefact implementation processes Records Management Permanent Conservation 15

from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD from e. GRIMS to Open Government Data step 1: we analysed PSIR + OGD at records life-cycle design & management time Mo. Req 2 process areas-based PSIR Disposition se rv Document Type Scheme Maintenance Vital records relativity: May re-purposing convert non-vital records into vital? Classification Scheme Maintenance Official Appraisal Tables elaboration PSIR Transfer ge Legal References specification PSIR ma Preservation criteria specification Retention and disposal specifications Us e& PSIR na Vital documents identification PSIR Administrative acts identification Processes & workflows identification Administrative Process design ptu re Evidence scoping and classification Document Assessment Reformatting to … what? Authenticity of new Data Sets Other Ca te/ • • • ea Document design Preservation Issues: Cr Document typification Storing + custody chain maintenance operations Transfer formal registering Ingestion operations Case Closing Document submission official registering true and complete copy generation PSIR Business & RM metadata capture Specific typifications Access & Security levels definition Series Implementation PSIR Electronic evidence generation St Official Assessment Tables approval PSIR Digital continuity maintenance & • pr e The re-purposing value for retention decisions. PSIR Authenticity & Integrity maintenance or e • Ingestion operations Official submission registering True and complete copy generation e New appraisal criteria: Transfer formal registering Secure deletion ERM Metadata Maintenance PSIR Store + custody Deletion registering Policy Importing/Setting Up Records Curation Submission Reg. True copy St pr ore es & er ve ISO + Best Practices-based Document classification Electronic evidence generation Document registering & storing Official entry registration e-attestation Document creation/capture Management Issues: • How to keep metadata & data relationship once opened? Case creation ERMS-Configuration Administrative Semi-active artefact implementation processes Records Management t Permanent Conservation 16

from e. GRIMS to Open Government Data step 2: then, we elaborated a conceptual from e. GRIMS to Open Government Data step 2: then, we elaborated a conceptual map and an ontology Ontology Spectrum (Source: Poler-Sinderen-Sanchis) Metadata model basis (ISO 23081) SIGe. DA-X Conceptual Map OWL-DL expression 17

from e. GRIMS to Open Government Data step 3: next, we let the ontology from e. GRIMS to Open Government Data step 3: next, we let the ontology drive our information model & artefacts generation 18

from e. GRIMS to Open Government Data step 3: next, we let the ontology from e. GRIMS to Open Government Data step 3: next, we let the ontology drive our information model & artefacts generation 19

from e. GRIMS to Open Government Data step 3: next, we let the ontology from e. GRIMS to Open Government Data step 3: next, we let the ontology drive our information model & artefacts generation Records Management foundations: • Mo. Req 2 Information Model • ISO 15489: 2006 (Parts 1 & 2), covering most relevant aspects of records management; • ISO 23081, for Metadata • ISO 2700 series for security • OASIS UBL-2. 1, for describing business entities Automated Linked (|| Open) Government Data: • • Transformation of XML Business Data into RDF Business Data Sets: • Classification Scheme as SKOS • Document Types as SKOS, other… New SKOS or, alternatively, ontologies approach: taxonomies & controlled vocabularies for principal artefacts (Classification Scheme, Document Type Scheme, Retention & Disposition Calendars) SIGEDA-X, the Information Model 20

from e. GRIMS to Open Government Data step 3: next, we let the ontology from e. GRIMS to Open Government Data step 3: next, we let the ontology drive our information model & artefacts generation Linkable Business Data Linkable Management & Preservation Data tad A ati uto on ma & tic Re So fer ur en ce ce me ific Ide nt ry, ata ve co tad dis me on ity ati bil rm aila nfo d av c. I ati n an tom tio Au ifica ss cla 21

from e. GRIMS to Open Government Data step 4: we approached Linked Data formatting from e. GRIMS to Open Government Data step 4: we approached Linked Data formatting while modelling transfer & ingestion OAIS and Semantic Interoperability: • METS, for packaging transfer contents • PREMIS, for describing preservation • OASIS UBL-2. 1, for describing business entities: • ISO 15000: 5 (eb. CCTS) • ISO 11179: 5 (NDRs) • ISO-Schematron & SVVUG for semantic and business rule validation. Automated Linked Government (& Open) Data: • • • Generation of RDF Graphs (triples) while ingesting Keeping Data Sets distributed and IRI linked Notifying Data Set Updates Transfer Standards and Operations 22

from e. GRIMS to Open Government Data step 5: at ingestion time, attention has from e. GRIMS to Open Government Data step 5: at ingestion time, attention has to be paid to de-identification ra n tio nt t ca ifi r Tr fe ns a e -id de e op The transformation process, at ingestion time, for publishing Linked Open Data should cover an “anonymisation” subprocess aiming at eliminating personal private data or other confidential data. This de-identification sub-process is based on three critical principles (kind of Assimov’s 3 rules): 1) Avoid direct law infringement: be absolutely certain of not exposing “lawprotected data”; 2) Avoid indirect law infringement: ensure not exposing raw data that could lead to “law-protected data”; and 3) Avoid facilitating others infringing the law: ensure that linking to external datasets could not lead to infer how to obtain “law-protected data”, both own or third parties data. Beware “law-protected data” here could refer to metadata and/or to business data. 23

from e. GRIMS to Open Government Data step 6: e. GRIMS information and artefacts from e. GRIMS to Open Government Data step 6: e. GRIMS information and artefacts publication to the Web of Data shall follow The good (theoretical) news are that: 1. Some capital e. GRIMS artefacts can be blended into one “singular” Linked Data Set (The Catalogue) PSIR metadata* • Can be expressed as one SKOS Taxonomy, but… • Could/Should be extended or customized… shouldn’t this become a DLM-Forum promoted task? LINKED DATA CATALOGUE 2. Both, the Business data & The Management & Preservation data, based on standard business languages, can be easily (automatically) transformed and exposed as Linked Data Sets (*) As licensing conditions & application reference, for example Business Ontology-based || harmonized RDF output Management & Preservation Standards RDF transformation output • • OASIS UBL NDR-based namespace; OASIS SET Harmonization Ontology; Other on-going developments. METS, PREMIS, EAD, EAC and other namespaces and vocabularies may be used to transform submission information packages into RDF management & preservation Data Set instances. 24

from e. GRIMS to Open Government Data step 7: a GEA interoperability approach for from e. GRIMS to Open Government Data step 7: a GEA interoperability approach for the e. GRIMS is about to be implemented e. GRIMS Policy Citizens Third Administration Interoperability Nodes Administrative processes and services front-ends Government Interoperability Platform Administrative Processes Clerks Agency Digitalisation Module Department DM Services Document Management Module Access Applications Administrators & Business Governors e. GRIMS scope color code Horizontal Communication Services Artefact Admin. + Rules Managmnt. e. GRIMS integration services Digital Repository Records Management Module Historical Archive 25

from e. GRIMS to Open Government Data step 8: An e. GRIMS + OGD from e. GRIMS to Open Government Data step 8: An e. GRIMS + OGD architecture is being proposed to several governments Government Interoperability Platform Reporting Service Aggregation Service RDF Bus (HTTP + JSON + OWL + RDF + SPARQL) Reporting IT-Gov ETL Infomed SPARQL End Point XSL-T Linked (Opened) Records Metadata Governance JTeveris CTAM (Content Transformation & Aggregation Mechanisms) Linked (Opened) Records Information Governance Retention & Disposition policy relating Linked (Open) Data Linked (Open) references to internal e. GRIMS locations HTTP Server Query Service Web App. Container CMS (Content Manangement System) Operational RDBMS RDF Quad Store Internal raw data importers & connectors Beware: • • • Publication evidence “Right to be forgotten” management e. GRIMS Information referencing is utopic So, data reformatting & replication is a must But, e. GRIMS governance mechanisms have to be implemented to manage the lifecycle of both: • Published metadata • Published business information • Strict de-identification and dereferencing (of metadata and business information) 26

from e. GRIMS to Open Government Data step 9: we’re fostering public-private cooperation on from e. GRIMS to Open Government Data step 9: we’re fostering public-private cooperation on e. GRIMS-based OGD Platforms INFOMEDIARY INDUSTRY Information SUPPLIERS Information TRANSFORMERS & MANUFACTURERS Information pre-processors Gov. Control OGD Services Layer OGD Platform Open Government Data Platform Government Interoperability Platform e. GRIMS Historical Archives 27

from e. GRIMS to Open Government Data step 9: we’re fostering public-private cooperation on from e. GRIMS to Open Government Data step 9: we’re fostering public-private cooperation on e. GRIMS-based OGD Platforms 28

some conclusions 1. Mo. Req Information Model and Process Specification seem to us good some conclusions 1. Mo. Req Information Model and Process Specification seem to us good candidates to lead towards Records Management Ontology elaboration. 2. It would be great if standard Linked Data-based Vocabularies, Taxonomies, Thesaurus, and other ontological artefacts were modelled and released by Mo. Req the very next years (remember this Open Data Principle: the first newcomer, the first to pull it off!). 3. A new generation of Mo. Req-based Linked Data tools and solutions are already being envisioned and developed to: • Represent and express specific Records Management System information • Configure ERMS and e. GRIMS • Substitute or extend interoperability means for exchanging business data and RM metadata. So … Mo. Req should rather be interested in specifying new standards ways of making ERMS “linked” and “open”. 29

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