The National Interoperability Scheme is set out in Article 42 (1) of Law 11/2007, of 22 June, on the electronic access of citizens to Public Services. Its purpose is to create the necessary conditions to ensure the appropriate level of technical, semantic and organisational interoperability of systems and applications used by public administrations, which allow for the exercise of rights and the enforcement of duties through electronic access to public services, while being in the interests of efficiency and effectiveness.

Royal Decree 4/2010 of 8 January, which regulates the National Interoperability Scheme in the field of the Electronic Administration, establishes, in its first provision, the development of the series of rules Interoperability techniques that are mandatory for public administrations to comply with.

The Technical Standards for Interoperability develop specific aspects of various issues, such as: electronic document, digitalization, electronic file, authentic copying and conversion, signature policy, standards, data intermediation, data models, electronic document management, connection to the Spanish public administrations communications network, data model for the exchange of register seats and declaration of conformity; all necessary to ensure the most practical and operational aspects of the interoperability between public administrations and the citizen. These Technical Standards for Interoperability will be developed and refined over time, in parallel with the progress of the Electronic Administration services, the infrastructure that supports them and technological evolution, to give compliance with the mandate of Article 42.3 of Law 11/2007 of 22 June.

Within this set of Technical Standards for Interoperability, the rules on electronic document, electronic file, the digitisation of paper-based documents, the procedures for authentic copying and conversion and the policy of management of electronic documents respond to the provisions of the aforementioned Royal Decree 4/2010, of 8 January, on interoperability, recovery and conservation of the electronic document, in the light of the need to ensure all these aspects for the electronic document over time.

In particular, the Electronic Document Management Policy Interoperability Technical Standard establishes concepts related to the development of electronic document management policies, identifies processes the management of documents in the framework of electronic administration and lays down the principles necessary for the development and implementation of electronic document management policies by all the bodies of the Administration and Entities governed by public law linked to or dependent on it.

This technical standard has been developed with the participation of all the public administrations to which it applies, has been informed favourably by the Permanent Commission of the Board of Governors of the Electronic and proposed by the Sectoral Committee of Electronic Management.

In application of the provisions of paragraph 2 of the first provision of Royal Decree 4/2010 of 8 January 2010,

This Secretary of State resolves:

First.

The Electronic Document Management Policy Interoperability Technical Standard is approved whose text is included below.

Second.

The Technical Standard for Interoperability of Electronic Document Management Policy that is approved by this Resolution shall apply from the day following that of its publication in the "Official State Gazette", without prejudice to the provisions of the First Transitional Provision of Royal Decree 4/2010 of 8 January establishing the National Interoperability Scheme in the field of electronic administration.

Madrid, June 28, 2012.-The Secretary of State for Public Administrations, Antonio German Beteta Barreda.

Electronic Document Management Policy Interoperability Technical Standard

Index.

I. Object.

II. Scope of application.

III. Content and context.

IV. Actors involved.

V. Electronic document processing program.

VI. Electronic document management processes.

VII. Assigning metadata.

VIII. Documentation.

IX. Training.

X. Monitoring and auditing.

XI. Update.

I. Object

The Electronic Document Management Policy Interoperability Technical Standard aims to set guidelines for the definition of electronic document management policies.

II. Scope

II.1 The content of this standard will be applicable to the development of policies for the management of electronic documents in the field established in Article 3 of Royal Decree 4/2010, of 8 January, which regulates the National Interoperability Scheme in the field of Electronic Administration.

II.2 The guidelines set out in this standard may be applied in the development of document management policies in hybrid environments where paper and electronic documents coexist.

III. Content and context

III.1 Electronic document management policy will be a document that will include:

1. Definition of scope and scope of application.

2. Roles of the actors involved.

3. Guidelines for the structuring and development of documentary management procedures.

4. Related training actions envisaged.

5. Monitoring and auditing actions for document management processes.

6. Process of reviewing the content of the policy in order to ensure its adequacy to the evolving needs of document management.

III.2 Electronic document management policy:

1. It will be integrated into the overall document management framework and in the context of each organization along with the other policies implemented for the performance of their activities.

2. It shall apply generally recognised criteria, working methods and conduct, as well as applicable national and international standards and good practices for documentary management in accordance with the technical standards of Standards Catalog Interoperability.

IV. Actors involved

The actors involved in the definition, approval, and implementation of the electronic document management policy in an organization will be at least the following:

1. The senior management that will approve and push the policy forward.

2. The management process managers who will implement the policy in the framework of the management processes in their capacity.

3. The staff responsible for planning, implementing and administering the document processing program and its operations, qualified, dedicated and instructed in documentary management and conservation and who will participate in the design, implementation and update of the documentary management and conservation systems.

4. Personnel involved in electronic document management tasks will apply the policy established through the implemented treatment program.

V. Electronic document treatment program

V. 1 The design, development and implementation of electronic document management processes, techniques and operations will be implemented in a specific treatment program for document and case management. electronic.

V. 2 This treatment program shall be applied continuously on all stages or periods of the life cycle of electronic documents and files for which it will ensure its authenticity, integrity, confidentiality, availability and traceability; enabling the protection, recovery and physical and logical preservation of documents and their context.

VI. Electronic document management processes

An organization's electronic document management processes will include at least the following:

1. Document capture, which will include the treatment of the mandatory minimum metadata defined in the Electronic Document Interoperability Technical Standard.

2. Legal registration of documents, as defined in Law 30/1992, of 26 November, of Legal Regime of Public Administrations and of the Common Administrative Procedure which, in addition to the processing of electronic documents received, will address the Possibility of digitizing paper-based documents as set out in the Technical Standard of Document Scanning Interoperability.

3. Classification of documents, which shall include the criteria for the training of electronic document files and groupings in accordance with the Electronic File Interoperability Technical Standard, as well as the functional classification according to the organization's classification table.

4. Description of documents, which shall comply with the provisions of paragraph VII of this standard as well as the possible drafting of an institutional metadata scheme.

5. Access to documents, which will provide for the possible institutional regulation of this practice as well as the traceability of the actions carried out on each of them.

6. Qualification of documents, including:

i. Identification of essential documents.

ii. Assessment of documents and determination of retention periods.

iii. Opinion of the qualifying authority.

7. Preservation of documents according to their value and type of opinion of the qualifying authority, through the definition of conservation calendars.

8. Transfer of documents, which will include considerations for transfer between repositories as well as responsibilities for their custody.

9. Destruction or removal of documents, which will comply with the applicable law on the disposal of Documentary Heritage and will provide for the implementation of the related security measures defined in Royal Decree 3/2010, of 8 January, regulating the National Security Scheme in the field of electronic administration: Drafted and destroying the chapter on "Protection of information media [mp.si]" and the cleaning of documents in the chapter on " Protection of the information [mp.info] ".

VII. Assigning metadata

VII.1 Organizations will ensure the availability and integrity of the metadata of their electronic documents, permanently maintaining the relationships between each document and its metadata.

VII.2 The implementation of the electronic document management metadata for your internal management and management will be designed by each organization based on your specific needs, criteria and regulations.

VII.3 Electronic document management metadata will be articulated in metadata schemas that will respond to the specific features and needs of management of each organization.

VII.4 The Metadata Scheme for Electronic Document Management (e-EMGDE), available in the Semantic Interoperability Center, which includes the mandatory minimum metadata, defined in the Technical Standards of Interoperability of electronic document and electronic file, as well as other relevant complementary metadata in an electronic document management and conservation policy, may be used as a reference for the adequacy of electronic documents. requirements for interoperability in the field of documentary management.

VIII. Documentation

Each organization will develop and maintain updated and documented document management procedures to be followed in the various documentary management processes.

IX. Training

IX.1 The personnel of the organizations will receive the specific and appropriate training to their necessary role for the management and conservation of documents and electronic files.

IX.2 The organizations will demand, in an objective and non-discriminatory way, that those who provide them with services related to the management and documentary conservation have adequate levels of management and maturity in the services provided.

X. Monitoring and auditing

X.1 The procedures and actions followed in the various documentary management processes will generate records with the evidence of the correct application of these procedures according to the needs of each document and organization.

X.2 Organizations shall carry out periodic evaluations or audits, appropriately documented, that ensure the adequacy of the documentary management policy and that the electronic document management processes are perform as set in the policy.

X.3 The results of these evaluations will be considered for the updating of the policy, treatment program and electronic document management processes.

XI. Upgrading

The electronic document management policy, the treatment programme and the documentary management processes will be suitably updated in order to ensure their permanent adequacy to the real needs of the Electronic document management and applicable regulations.