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Семинар «Информационные системы в строительстве» г. Москва, 31.07 - 02.08.2009 Legal, Organizational and Technological Assurance of e-Workflow’s Relevance.

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Presentation on theme: "Семинар «Информационные системы в строительстве» г. Москва, 31.07 - 02.08.2009 Legal, Organizational and Technological Assurance of e-Workflow’s Relevance."— Presentation transcript:

1 Семинар «Информационные системы в строительстве» г. Москва, Legal, Organizational and Technological Assurance of e-Workflow’s Relevance in Law Alexander Zagoruyko Deputy General Director for Research, “IRM Research/Technology Center” Tel.: +7 (495) Research/Practice Conference: “Government Employee’s Office Package: e-Workflow and Intranet Portal Astana, “NIT“ JSC, 3 Dec. 2009

2 2 “Documentation Managers Guild” RОО Localization of European specification MoReq2 “Infodocum” Conferences Corporate standard of Корпоративный стандарт взаимодействия СЭД Voluntary certification СЭД «ДОУ Сертификат» Training, workshops

3 3 About “IRM RTC” Company Executive agencies and city organizations in Moscow Administrations of municipal entities Administrations of constituent entities of Russian Federation commercial organizations and enterprises

4 4 Tendencies ICT accessibility and mass nature Globalization of digital interoperability Administrative reform Information Society Innovation-based economy Migration from information/reference systems to legally valid information systems

5 5 Development of RF’s and Moscow’s e-Workflow Systems’ Legal Framework

6 6 General Principles of e-Workflow Basic (target) principles: –Equity of e-document and paper document –Equity of handwritten signature and digital signature Necessity to ensure (as to e-documents): –authorship –integrity –safety –authenticity (compliance with rules, confirmation of data and time) –credibility (reflection of real facts) –suitability (capability of localization, finding, reproduction and interpretation) –interoperability (compatibility of formats, functions, and classifiers) Context: –in local (inside an organization) information interoperation –in government-wide (inter-organizational) information interoperation –in trans-border information interoperation –at short-term storage –at operative storage –at perpetual storage –at interoperation with government authorities ( …2G ) –at interoperation with businesses ( …2B ) –at interoperation with citizens ( …2C )

7 7 Principles for Building up Single Infrastructure Local e-workflow systems are an integral part of infrastructure Distributed repository (a network of authorized operative storages of e-documents) Capability of storing the e-document “body” separately from e-document’s metainformation (to transfer an e-document, it is enough to transfer document’s metaindormation, digital signature and link to the e-document’s “body”) Simultaneous three-party registration (keeping protocol) of meaningful events (at the originator side, at the recipient side, at trusted third party side) Use of single high-structured resources Guarantee of permanence of address of the e-document published in repository Document registration must be related to publication of document in repository Capability of using single registration number of an e-document within the single infrastructure of e-workflow Guaranteed delivery of e-documents СSystem of government e-archives Standardization and certification of e-workflow systems, storages of documents, e-documents and other information systems

8 8 Infrastructure Components Single normative space Single semantic/linguistic space Single reliability space for signature keys Distributed repository (a network of authorized storages) Network of government e-archives Package of interoperating compatible systems of e-workflow and other IS Single telecommunications environment

9 9 General Information Resources of Infrastructure Single register of recipients Single register of e-documents Single register of authorized persons Single register of digital signature key certificates Single register of access rights Single register of meaningful events The above registers can be stored: - centrally (at federal node) - distributed (at regional nodes) - locally (in local e-workflow systems)

10 10 Principles that require legislative recognition Safety of official document (safety of mandatory copy of official e-document since the moment of registering and issuing it) Uniqueness of version of official document (forbidden alterations in the signed, registered and issued official document) Guarantee for access rights to e-document on the part of recipients and those persons to whom the document’s legal force applies Formalization of terms of reference of authorized persons – signers of e-documents Legal regulation of use of other digital analogues of signature (including “trust in system” principle)

11 11 Infrastructures under Development Pan-Russian Public Information Center –Resolution by Government of RF № 931 of “On Some Measures to Ensure Digital Interoperation between Government Agencies and Local Governments When Rendering Public Services to Citizens and Businesses” –Order by Ministry of Information & Communication № 32 of “On Approval of Regulation on Pan-Russian Public Information Center” (registered in Ministry of Justice on March 21, 2008, registration № 11394) E-Moscow Metasystem’s digital interoperation environment –Regulation on e-Moscow Metasystem’s digital interoperation environment approved by Informatization Administration of Moscow –Resolution by Moscow Government “On e-Moscow Metasystem”

12 12 Пример использования инфраструктуры СЭВ МЭМ для целей реализации режима «одного окна»  РПМ от № 1050-РП «Концепция информатизации работы ОИВ в режиме «одного окна»  РПМ от № 333-РП «Об утверждении положений об экспериментальных ЦОНах»  ППМ от № 730-ПП «Концепция ГЦП по созданию ЦОНов в гг. »  ППМ от № 554-ПП «О ГЦП по созданию ЦОНов на территории г.Москвы на годы»

13 13 Уровни структурирования информации в документах Unstructured e-message (electronic raster image of paper document) Weakly structured e-message (plain text in ANSI or Unicode coding) Moderately structured e-message (text names of fields and text values) Highly structured e-message (encoded names of fields and values of data fields) ID_doc_class: ; ID_document: ; ID_customer:CVBA-DFGD-AWDF-AWRG-...; ID_executor:YJXE-6WD8-KRDV-CHGX-...; DATA_accept: ; HL_doc_folder:https://oh123.mos.ru/...; {SDFG-TF65-...}:XPTM-PRHS-ERGA-KS7V-...; {3WEF-GCPS-...}: ; Document type:application for obtaining end document...; Applicant:P. Petrov; ID:passport; Series:1234; Number:567890; Issued: ; Executor:I. Ivanov; Date of acceptance: ; Chief of “Single Window” Service I. Ivanov Application Please prepare the end document... Attached please find the required initial documents... P. Petrov. 12 March 2007 Efficiency of computer interpretation Convenience for human perception

14 14 Information Classification and Encoding

15 15 Regulation Information’s Lifecycle. Roles of authors (signers) of interim documents «measured», «fixed», «I report», «I witness» «verified», «registered», «accounted» «developed», «drew up» «reconciled», «I do not object» «I hereby approve», «I hereby order», «I hereby resolve», «I hereby entrust» «I accept obligations», «I accept for execution», «I have read and understood», «executed» Proposal: formalize the permitted legal actions over the documents through developing and adopting the respective classifier Proposal: formalize persons’ official powers through implementing the system of electronic job regulations. Proposal: formalize the interrelation between the permitted legal actions over documents and electronic job regulations.

16 16 Proposal: Digital Signature Scope of Application Proposal: formally present the signature key scope of application as an aggregate of three classes: class of documents permitted to sign, class of subject area, and class of permitted legal actions.

17 17 About single register of e-documents, and transfer of e-documents Proposal: to transfer an e-document, it is enough to advise the recipient the metainformation on document, hyperlink to the e-document file posted in the official information resource accessible for recipient, as well as digital signature to the document. Proposal: within the common e-workflow systems, organize the common register of e- documents where metainformation on documents should be stored.

18 18 terminology has been clarified (terminology harmonized according to other international standards) modularity (extraction of basic and expanded requirements, possibility of certification of system by modules) meta-model (set of mandatory classes, tables and fields) XML-scheme (mechanism for ensuring the compatibility of systems) “zero chapter” (each country may add national requirements) methodology for testing and certification (formalized tests for execution of functional requirements) MoReq2 – Model Requirements to Management of Official e-Documents Major novelties in MoReq2

19 19 supporting modern methods for document classification and identification (sections 3, 7); ensuring information security (sections 4, 10.13); regulating and supporting document lifecycle (section 5) ; registration (capture, declaring) of records (section 6); well-developed features for search, retrieval and representation (section 8); well-developed features for system administration (section 9); OPTIONAL REQUIREMENTS (section 10) –management of physical and electronic records (sections 10.1, 10.2); –ensuring shared work over documents (section 10.3); –supporting formalized business processes (sections 10.4); –working with structured data (sections 10.5, 10.6); –digital signature, enciphering (sections 10.7, 10.8); –distributed systems, autonomous and remote working (sections 10.10, 10.11); –integration with facsimile communication (section 10.12); NON-FUNCTIONAL REQUIREMENTS (section 11): easiness of use (11.1), performance and scalability (11.2), system accessibility (11.3), supporting technical standards (11.4), legislative and normative requirements (11.5), outsourcing and third party management of data (11.6), long-term storage and technologies’ ageing (11.7), business processes (11.8). General requirements to systems for management of official e-documents (according to MoReq2)

20 20 MoReq2 relation to other guidelines

21 21 1.роль администратора / administrative role 2.администратор / administrator 3.агрегация / aggregation 4.протокол аудита / audit trail 5.аутентичность / authenticity 6.уполномоченный пользователь / authorised user 7.массовый импорт / bulk importing 8.захват / capture 9.досье (структурированное дело) / case file 10.исполнитель / case worker 11.класс / class 12.классификация / classification 13.код классификации / classification code 14.схема классификации / classification scheme 15.допуск / clearance 16.закрытие / close 17.закрытый / closed 18.система управления содержимым (СУС) / CMS 19.компонент / component 20.этап конфигурации / configuration time 21.ответственный за хранение / custodian 22.уничтожение / destruction 23.цифровой / digital 24.предотвращение перемещения или уничтожения / disposal hold 25.отбор и передача / disposition 26.документ / document 27.тип документа / document type 28.электронное хранилище документов, ЭХД / EDMS 29.электронный / electronic 30.электронный документ / electronic document 31.электронный официальный документ / electronic record 32.СУЭОД / erms 33.экспорт / export 34.дело / file 35.формат файла / file format 36.формат / format 37.группа / group 38.импорт / import 39.ключевое слово / keyword 40.метаданные / metadata 41.остаточные метаданные / metadata stub 42.неструктурированное дело / non-case file 43.открыть, открытый / open 44.владелец / owner 45.бумажное дело / paper file 46.PDF 47.PDF/A 48.материальное дело / physical file 49.материальный официальный документ / physical record 50.представление / presentation 51.профиль / profile 52.официальный документ / record 53.тип официального документа / record type 54.цензурировать / redact 55.выписка из официального документа / redaction 56.регистрация / registration 57.преобразовывать / render 58.рандеву / rendezvous 59.образ / rendition 60.опись / repertory 61.порядок хранения, отбора и передачи / retention and disposition schedule 62.роль / role 63.гриф ограничения доступа / security category 64.уровень допуска / security clearance 65.остаточный / stub 66.раздел / sub-file 67.передача / transfer 68.пользователь / user 69.группа пользователей / user group 70.профиль пользователя / user profile 71.роль пользователя / user role 72.версия / version 73.особо важный официальный документ / vital record 74.том / volume MoReq2 Glossary

22 22 MoReq2 Meta-Model 158 elements defined describing: - classification schemes; - classes, folders, sections, volumes; - records, extracts; - metadata; - document types; - components; - procedures, rules - agents (users, groups and roles)

23 23 XML-scheme of MoReq2 MoReq2-Class.xsdClass description MoReq2-Component.xsdDescription of “component" (i.e. e-file) MoReq2-Entity_Agent.xsdDescription of relations between agents MoReq2-File.xsdFolder description MoReq2-Group.xsdGroup description MoReq2-Record.xsdRecord description MoReq2- Record_Redaction.xsd Description of redaction from record MoReq2-Record_Type.xsdDescription of record type MoReq2- Retention_And_Disposition.xsd Description of ret6ention and disposition schedule MoReq2-Role.xsdRole description MoReq2-Sub-File.xsdSection description MoReq2-User.xsdUser description MoReq2-Volume.xsdVolume description MoReq2-Record.xsd

24 24 Test Cases Test Data Repository Set of tests

25 25 Requirements to “zero chapter” are covered in sections: “Individual specifics of member states” (1.8 ), “Capture process” (6.1) “Altering, deleting and redacting the records” (9.3) “Digital Signature” (10.7) “Security categories” (10.13) “Legislative and normative requirements” (11.5 ) Proposed “functional” sections: Preparation of regular statistical, analytical, and official reports Reconciling a document electronically Control over execution of orders and prescriptions set forth in records Development of MoReq2 Zero Chapter

26 26 XML-scheme of MoReq2 MoReq2-Class.xsdClass description MoReq2-Component.xsdDescription of “component" (i.e. e-file) MoReq2-Entity_Agent.xsdDescription of relations between agents MoReq2-File.xsdFolder description MoReq2-Group.xsdGroup description MoReq2-Record.xsdRecord description MoReq2- Record_Redaction.xsd Description of redaction from record MoReq2-Record_Type.xsdDescription of record type MoReq2- Retention_And_Disposition.xsd Description of ret6ention and disposition schedule MoReq2-Role.xsdRole description MoReq2-Sub-File.xsdSection description MoReq2-User.xsdUser description MoReq2-Volume.xsdVolume description MoReq2-Record.xsd

27 27 Maturity of management processes ( under CMM/CMMi scale ) initialrepeatablestandardized measurable improvable $ t ? ?  L Y > >  L X   -L X  > > 0 $ t  L Y   L X   -L X   0 РП $ t Predictable: - timelines. Predictable: - timelines; - quality. Predictable: - timelines; - quality; - costs. $ t $ t   -L X   0   -L Y   0 Methodology: - PMBOK (as To time management) Methodology: - ISO 9000 Methodology: - BSC / KPI Methodology: - “Control over execution of assignments”. Methodology: -Knowledge management (Attachment А to ГОСТ Р 52294) Same regulation metrics knowledge

28 Семинар «Информационные системы в строительстве» г. Москва, Thank you! Alexander Zagoruyko Deputy General Director for Research, “Research/technology Center IRM” Tel.: (495) Research/Practice Conference: “Government Employee’s Office Package: e-Workflow and Intranet Portal Astana, “NIT“ JSC, 3 Dec. 2009


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