HECTOR research project

4-year project 2014 2018 3 expert fields 4 partners

Law Information and Communication Sciences Archival sciences

Université de Namur – CRIDS Université Libre de Bruxelles State Archives Université de Montréal - EBSI

Sébastien SOYEZ Promotor State Archives (DIGI-P@T)

Laurence MAROYE Ph.D. student Université Libre de Bruxelles (MaSTIC)

Cécile de TERWANGNE Promotor Université de Namur (CRIDS)

Seth VAN HOOLAND Promotor Université Libre de Bruxelles (MaSTIC)

Marie DEMOULIN Promotor Université de Montréal (EBSI)

Fiona ARANGUREN CELORRIO Researcher State Archives (DIGI-P@T)

Picture Fiona

Odile VANRECK Researcher Université de Namur (CRIDS)

Picture Odile

Antoine DELFORGE Researcher Université de Namur (CRIDS)

Bénédicte LOSDYCK Former researcher Université de Namur (CRIDS)

Mathias COECKELBERGS Ph.D. student Université Libre de Bruxelles (MaSTIC)

Ettore RIZZA Researcher Université Libre de Bruxelles (MaSTIC)

Cécile GAIFFE Former researcher Université de Montréal (EBSI)

8 Main Case Studies Interviews in person and by phone +/- 29 Supervision committee gathering once per year +/- 50 members

Federal and local Police FPS Employment FASFC FANC FPS Justice and Public Order FPS Fedict (PersoPoint) Municipal Court of the City of Québec National Library and Archives of Québec (BANQ)

HECTOR research project

HECTOR research project - deliverables

Website

Principle “Practical support for public sector professionals (Belgium) directly or

indirectly involved in day-to-day document management” URL https://hectorproject.wixsite.com/manuel-handboek

Monograph Title Gestion et conservation de l’information au regard de la transition

numérique. Cadre légal, normes et pratiques archivistiques. Editor Larcier Date of publication 2018

1 choice of study subject inspection proceedings

Written document in which a qualified public officer relates facts whose veracity he or she has verified and

research about which is among his or her competences

Case studies = analysis of “AS-IS” situation

Definition source: Droit de la procédure pénale (2005)

“Currently, our systems are compliant if the proceedings are printed, signed and sent as paper documents.

Things get more complicated when these documents must be sent electronically, that is to say as a digital document”

“There is no archiving strategy yet with regard to electronic processes because it does not cause any problem.”

”It is an outdated system but indispensable for carrying out research, for administrative (…) and statistical purposes”

Hybrid model for managing a workflow

1. Trigger

2. Opening

3. Exploration

4. Analysis

5. Decision-making

6. Validation

7. Communication

8. Objection

9. Revision

10. Execution

11. Results

12. Closure

T0

Tasks and processing sequence of a file

1. Trigger

2. Opening

3. Exploration

4. Analysis

5. Decision-making

6. Validation

7. Communication

8. Objection

9. Revision

10. Execution

11. Results

12. Closure

T0

Tasks and processing sequence of a dossier

To be scheduled beforehand

Management systems for records

• Interdisciplinary project management

T0

ISO 30301:2011 Information and documentation Management systems for records Requirements

T0

Management system for records

• Multi-disciplinary project management • Tool development

– Record schedule

– Filing plan

– Metadata scheme

⇒ Management of these tools by taking time into account!

T0

Management system for records • Multi-disciplinary project management • Tool development

– Record schedule

– Filing plan

– Metadata scheme

⇒ Management of these tools by taking time into account!

• Change management

T0

Management system for records • Multi-disciplinary project management • Tool development

– Record schedule

– Filing plan

– Metadata scheme

⇒ Management of these tools by taking time into account!

• Change management

• Internally or externally?

T0

T0

Thoughts on life cycle of documents (creation, management, conservation,...) Many legal texts (at European and national level)

What about legal aspects? T0

eIDAS and Digital Act

e-IDAS Regulation (no. 910/2014)

• Electronic identification • Trust Services

Belgian law “Digital Act” (21 July 2016)

• Digital archiving service • Digital copies

T0

GDPR (public sector)

• Personal data? • Abiding by the GDPR: data collection and destruction Main principles

Lawfulness (legal obligation …)

Data minimisation principle

Security principle

Privacy by design

Data reliability

T0

“Organisational” obligations of GDPR

Data Protection Officer (DPO)

Records of processing activities (filing plan, records schedule?)

Outsourcing

Hosting of data in Europe?

1

2

3

4

T0

Other legal texts

• Directive PSI II (Law of 4 May 2016) – Open data format (if possible)

• Law on archives (24 June 1955 May 2009)

– Forbidden to destroy administrative documents (records schedule)

T0

1. Trigger Motivation of a request

by a service, a complaint…

Tasks and processing sequence of a file: step 1

Accessibility of the administration Electronic identification Electronic Identity Card (e-ID) eGov: what about the recording and archiving of transactions?

T0 2

2. Opening The file, activity or

workflow is officially initiated

Tasks and processing sequence of a file: step 2

1 3

If hybrid format/media? Opening a file in the system: saving metadata (23081, Dublin Core, internal scheme) (automatic saving?) GDPR: Data collection (minimisation)

2. Opening The file, activity or

workflow is officially initiated

Tasks and processing sequence of a file: step 2

1 3

If hybrid format/media? Opening a file in the system: saving metadata (23081, Dublin Core, internal scheme) (automatic saving?) GDPR: Data collection (minimisation)

METADATA

Definition of metadata fields (title, description, format) Norms Standards

> Adaptation

2. Opening The file, activity or

workflow is officially initiated

Tasks and processing sequence of a file: step 2

1 3

If hybrid format/media? Opening a dossier within the system: saving metadata (23081, Dublin Core, internal scheme) (automatic saving?) GDPR: Data collection (minimisation)

METADATA

Definition of metadata fields (title, description, format) Norms Standards

> Adaptation

• Characteristics: Data feeding method

Mandatory or not

2. Opening The file, activity or

workflow is officially initiated

Tasks and processing sequence of a file: step 2

1 3

If hybrid format/media? Opening a dossier within the system: saving metadata (23081, Dublin Core, internal scheme) (automatic saving?) GDPR: Data collection (minimisation)

METADATA

Definition of metadata fields (title, description, format) Norms Standards

> Adaptation

• Characteristics: Data feeding method

Mandatory or not

• Data format

2. Opening The file, activity or

workflow is officially initiated

Tasks and processing sequence of a file: step 2

1 3

If hybrid format/media? Opening a file in the system: saving metadata (23081, Dublin Core, internal scheme) (automatic saving?) GDPR : Data collection (minimisation)

3. Exploration Collecting data and preparing a file for

processing the itinial request

Tasks and processing sequence of a file: step 3

2 4

Sharing information: authentic sources Reliablitity of collected data: metadata about the source and context must be collected “Symbiosis” between the different systems: interoperability (internally between the different tools, but also externally)

4. Analysis Collected data is

analysed in order to justify the decision about

the initial request: accepted or refused

Tasks and processing sequence of a file: step 4

3 5

Use of analysis tools? If automated data analysis: need for indexation? Linked data? OCR? Value / Probative force eIDAS : Non-discrimination principle

5. Decision-making Analysis provides conclusions and

objective evidence for taking a positive or negative decision

Tasks and processing sequence of a file: step 5

4 6

Good management and conservation of metadata in order to guarantee reliability of the systems and of the information collected GDPR: Right not to be subject to automated decision-making (legal exceptions possible)

6. Validation A higher-ranking supervisor must

sometimes validate a decision taken by an

expert

Tasks and processing sequence of a file: step 6

5 7

Automated workflow in the system: need to develop a mapping of processes + to pin down repsonsibilities Impossible to modify the document (access management) Digital signature / digital stamp Preservation of digital signature/ stamp?

7. Communication The initial requester

must be informed about the decision. The

decision must often be communicated to a

different service.

Tasks and processing sequence of a file: step 7

6 8

Metadata + filing plan allowing to know where personal information is located, thereby avoiding publication of such data. Filing plan: good practices, storing (xls ? xml ? Management of file history) No digital gap / Accessibility of the administration Which pieces of communication should be conserved?

8. Objection Right to objection against

decision if applicable

Tasks and processing sequence of a file: step 8

7 9

Legal time limits to be observed (retention schedule) Could such time limits extend beyond closure? Access to and search for information are important

9. Revision Opportunity to rectify or

confirm the decision

Tasks and processing sequence of a file: step 9

8 10

10. Execution The decision requires the

execution of a concrete action

Tasks and processing sequence of a file: steps 10 and 11

9

New complementary documentation must be added to the file, including the corresponding metadata.

11. Results As a result of the action

the file must be complemented

Traces must be kept in the system even if other systems are used (for budget for example)

12. Closure (and follow-up)

The activity or service is done and finished

Tasks and processing sequence of a file: step 12

11

Closure? Which criteria? End of operational activities? Or archiving? Or end of objection time limit? Or prescription? File no longer modified?

Legal aspects? Diversity of texts

Digital Act: Conservation and digitization Qualified or non-qualified Internally or externally

Publicity of the administration Re-use of public sector information Law on archives GDPR :

Minimisation: Anonymisation? Processing for archival purposes in the public interest

Transfer to State Archives or destruction: OAIS / PAIMAS standards Does operational closure entail a digitization process? Digitization for qualified digital archiving purposes? For substitution of the paper files?

Conclusion – hybrid management and information governance

Information = Strategic resource Context Stakes Information governance = global approach

Abuses Evolution

Protection Valorisation

Information overview

On paper or digital

Databases

e-mails

Intranet – Cloud

Social media

1. Trigger

2. Opening

3. Exploration

4. Analysis

5. Decision-making

6. Validation

7. Communication

8. Objection

9. Revision

10. Execution

11. Results

12. Closure

T0

Life cycle

Stakeholder overview

Interdisciplinarity Hierarchical support Information governance instance (Chief Information Officer) Users

CIO

Rules overview

Judicial norms Technical norms Reference frameworks – policies – guidelines

Thank you for your attention