Directive on the processing and management of records (files and

Transcription

1 Federal Government Modern State Modern Administration Subject: Directive on the processing and management of records in Federal Ministries Directive on the processing and management of records (files and documents) in Federal Ministries Introduction Information and communications technology has become increasingly important in the modernisation of the administrative procedures within the Federal Ministries. The Joint Rules of Procedure of the Federal Ministries (Gemeinsame Geschäftsordnung der Bundesministerien GGO) have been revised to take this development into account. The GGO expressly provides for electronic procedures in the work of the Federal Ministries (Section 12, paragraph 1 of the GGO), establishes rules for the handling of electronic documents (Section 13 of the GGO), and encourages IT-based co-operation between the Federal Ministries (Section 5 of the GGO). Since the activities of the Federal Ministries are increasingly carried out electronically, existing procedures for processing sub-files and managing documents and files need to be brought into line. The aim of the new Registry Directive is therefore to establish rules, based on the methods applied thus far to paper-based processing, registration and file management, which allow for the use of electronic documents (in line with current technology) while keeping open the options for further developments in ITbased sub-file processing. The Registry Directive is a framework directive and as such applies to all Federal Ministries and is to be used as a guideline by subordinate authorities. Any provisions that deviate from this Directive (e.g. classified instructions, personnel files) shall not be affected.

2 Contents INTRODUCTION...1 CONTENTS...2 I GENERAL PROVISIONS...3 SECTION 1INTENTION AND SCOPE...3 SECTION 2TRANSPARENCY OF THE ADMINISTRATIVE ACTION...3 SECTION 3DEFINITIONS...3 SECTION 4PRINCIPLE OF COMPLETENESS AND UNIFORMITY...4 SECTION 5ARCHIVE UNIT, CO-OPERATION...5 II PROCESSING OF TRANSACTIONS...5 SECTION 6PROCESSING REQUIREMENTS...5 SECTION 7INCOMING COMMUNICATIONS...6 SECTION 8WORKFLOW NOTE...6 SECTION 9INSTRUCTIONS...6 III RECORDS MANAGEMENT...6 SECTION 10 ORGANISING RECORDS AND REGISTRATION...6 SECTION 11 REFERENCE AND FILE CODES...7 SECTION 12 FILING PLAN (ELECTRONIC FILING PLAN)...7 SECTION 13 CASE FILES...7 SECTION 14 DOCKET BOOKS (DOCKET FILE)...7 SECTION 15 ACCESSIBILITY, RE-SUBMISSIONS...7 SECTION 16 FILING...8 SECTION 17 MARKING OF THE RECORDS CONTAINER...8 SECTION 18 RETENTION...8 SECTION 19 RETENTION PERIOD...8 SECTION 20 DISPOSAL OF PAPER RECORDS...9 SECTION 21 SEPARATING OUT OLD ELECTRONIC RECORDS...9 SECTION 22 DESTRUCTION OF RECORDS...9 SECTION 23 TRANSFER OF RECORDS DUE TO TASK RELOCATION...9 SECTION 24 FINAL PROVISION...10 ANNEX 1: FINAL INSTRUCTIONS (SECTION 9), EPHEMERA (SECTION 10)...11 ANNEX 2: FILING PLAN (ELECTRONIC FILING PLAN)...12 ANNEX 3: CREATING AND CODING CASE FILES...14 ANNEX 4: DOCKET BOOKS (DOCKET FILE) (SECTION 14)...16 ANNEX 5: RETENTION PERIODS...17 ANNEX 6: DISPOSAL CATALOGUE...19 ANNEX 7: TRANSFERRING RECORDS IN PAPER FORM TO THE FEDERAL RECORDS OFFICE S INTERIM RECORDS MANAGEMENT UNIT...20 ANNEX 7A: COVER PAGE FOR THE DIRECTORY FOR TRANSFERRING RECORDS IN PAPER FORM TO THE INTERIM RECORDS MANAGEMENT OFFICE...22 ANNEX 7B: DIRECTORY FOR TRANSFERRING RECORDS IN PAPER FORM TO THE INTERIM RECORDS MANAGEMENT OFFICE (TRANSFER DIRECTORY)...24 ANNEX 8: TRANSFERRING ELECTRONIC RECORDS TO THE FEDERAL RECORDS OFFICE...25

3 I General provisions Section 1 Intention and scope (1) The Registry Directive (Registraturrichtlinie RegR) shall supplement the Joint Rules of Procedure of the Federal Ministries (Gemeinsame Geschäftsordnung der Bundesministerien GGO) and shall regulate the processing of transactions and management of records in the Federal Ministries. (2) The intention of this Directive is to ensure the proper and economical processing and management of records. In addition to conventional, paper-based processing, this Directive shall, at the same time, take account of computerised sub-file processing methods and the management of electronic documents and files. (3) Insofar as not provided otherwise, these provisions shall therefore also apply to the electronic processing and management of records. Section 2 Transparency of the administrative action Administrative activities shall follow the principle of the written word. They shall comprise the creation, transmission, receipt and registration of documents (file creation) and shall be supported by file management. File management shall ensure a comprehensible and transparent management procedure and shall be a condition for proper archiving. Section 3 Definitions For the purposes of this Directive: Records shall mean all documents created or received in the performance of activities of the Federation, regardless of the medium used and the form of the records. Document shall mean individual paper-based records, or records created and managed electronically, a fax, an , a database and other files, including any supplementary information (e.g. metadata) necessary to understand the data. Sub-file shall mean the smallest collection of related documents resulting from the processing of a transaction; sub-group of a file. File shall mean an ordered compilation of documents with an individual reference number and description of contents. Transaction shall mean the smallest processing unit within the exercising of functions. The processing of an transaction shall give rise to a sub-file.

4 Records management shall mean the classification, registration, the making available, the retention and the disposal of records. To register shall mean to record detailed information (metadata) of documents, sub-files and files. Metadata shall mean content information and (formal) classification details of documents, sub-files and files. Filing plan shall mean a systematic classification framework, oriented towards the authority s functions, for the compilation and referencing of files. Electronic filing plan shall mean a computerised filing plan. Docket books shall mean the schedule of compiled files in accordance with file classification. Docket file shall mean the computerised docket books of an archive unit with all the detailed file information necessary for records management. Computerised sub-file processing shall mean document and file management in a computerised workflow. Section 4 Principle of completeness and uniformity (1) The processing and management of records must ensure that: the context of content and processing is complete and comprehensible, the matter is dealt with without delay, and the retention of documents corresponds to their processing value. (2) The uniformity of the processing of transactions and the management of records shall be ensured with appropriate organisational measures. (3) Documents must not be removed or, in the case of computerised processing, deleted from a file. Data which is stored electronically may only be deleted or changed with the author s consent. (4) Members of the top-level management of the highest Federal authorities may retain, alongside public records, the following in personal files: copies of sub-files from outside which were directed to the authority or to them in their capacity as holder of a government function, or created on their behalf; copies of sub-files which were directed from outside of the authority personally to senior political leaders and which deal with both authority or Federal government affairs and matters to do with their own party or parliamentary group or the co-ordination within the coalition. Sub-files which deal exclusively with party or parliamentary group matters, or with the coordination within a coalition, shall not form part of the authority s archives.

5 Explanatory note: Registry staff should in general manage records. Where necessary, some tasks of records management can be entrusted to specific organisational units or particular members of staff. Personal compilations of documents and personal electronic files must not contain records. Copies which make it possible to trace the decision-making process, because of additional comments or marginal notes, are, in principle, to be added to the records. Section 5 Archive unit, co-operation (1) The organisational unit whose activity gives rise to the record, and the section of records management unit allocated to it, shall form the unit keeping the file. (2) Staff in the relevant unit keeping the file shall co-operate in the management of records. II Processing of transactions Section 6 Processing requirements (1) The principles of Section 12 of the GGO shall apply for processing. (2) The record resulting from the processing must be integral, authentic and transparent. A reference shall be sufficient for large documents stored elsewhere. (3) Where processing is paper-based, documents which are relevant for a file but which have been received, drafted or sent electronically shall be printed out for processing on hard copy. The printouts, together with the workflow note, the processing note and the proof that the document was sent ( header), shall be marked as originals and added to the files. (4) When processing sub-files electronically, it shall be ensured that the documents, their route and the processing records (e.g. workflow notes, instructions, record notes, signatory, cosignatory and notices) are evidenced in the protocol and processing information and that they are assigned to the electronic file. Explanatory note: If electronically stored records only are managed, incoming communications in hard copy which do not need to be sent back to the sender, and outgoing communications which are signed off in hard copy, can be destroyed after being converted into electronic documents, insofar as there are no other provisions requiring these to be kept in hard copy.

6 Section 7 Incoming communications (1) Incoming communications shall be dealt with in accordance with Annex 1 to Section 13 (2) of the GGO and shall, in principle, be registered before being processed. (2) The registration of documents in hard copy shall be limited to what is necessary; electronic processing shall require the additional metadata. Section 8 Workflow note (1) Workflow notes may be used to control the administrative procedure. (2) Annex 2 to Section 13 (2) of the GGO shall apply for notes on administrative procedures. (3) If no colour code is used for dealing with documents electronically, it shall be ensured that the name or initials and the date are included on the workflow note. Section 9 Instructions (1) An administrative procedure shall be started, continued and concluded in accordance with formal and approved instructions: on written documents (instructions on the incoming communication, drafting instructions); on the involvement of other staff or other organisational units (notification, opinion, cosignature, instructions in line with the rules of procedure); on instructions to the records management (instructions on classifying records, in particular final instructions, see Annex 1). (2) Author identity must be made clear from the file. III Records management Section 10 Organising records and registration (1) Each document which is relevant to the file shall be given ageneral reference code (Section 11) which shall be an appropriate classification and easy to process, and which shall enable the document to be accessed at any time. Documents with no informative value shall be destroyed and documents with limited informative value shall be dealt with as ephemera (see Annex 1). (2) Records shall be combined according to the filing plan (Section 12) into case files (Section 13).

7 Section 11 Reference and file codes (1) The general reference code shall comprise the short code representing the organisational unit, the file code and, where appropriate, a sub-file and document reference. (2) The file code shall be composed of the file plan reference code, which may be extended with a derivative code, the classification number of the individual case file and, where appropriate, the reference code of the special case file. Explanatory note to paragraph 1: The reference code should be indicated as clearly as possible on the document and should follow a standard format. The short code representing the organisational unit should be separated from the file code by a dash. For example: OI / /4 Section 12 Filing plan (electronic filing plan) (1) A filing plan based on tasks shall be used as a standard framework for organising records. (2) The filing plan should have a clear, decimal system of reference codes. (3) The filing plan shall be established, updated and applied in accordance with the provisions of Annex 2. Section 13 Case files (1) Case files shall be kept as collective files, individual files or special files. Case files shall be established and referenced in accordance with the provisions of Annex 3. (2) Case files may be on hard copy or in electronic form. Important links (e.g. through references) shall be ensured in an appropriate manner. Section 14 Docket books (docket file) Case files shall be registered in a docket book in accordance with Annex 4. Section 15 Accessibility, re-submissions (1) All records necessary for processing shall be made available. (2) Records shall be re-submitted in an appropriate manner.

8 Section 16 Filing (1) Documents shall be filed in the records currently needed. In the absence of a final instruction, this shall be first obtained from the relevant staff member. (2) Before filing, the arrangement and content referencing of the record shall be checked. (3) Documents with attachments shall, in principle, be filed within each case file according to the issue date (authority records); incoming communications shall, in principle, be filed according to the date of receipt. Any deviations shall be clearly indicated in an appropriate manner. (4) Documents and attachments which, because of their content, belong to several case files, shall be arranged according to their main subject; the relevant staff member shall ensure that the remaining files are complete. Section 17 Marking of the records container (1) Each records container shall be adequately marked in accordance with the docket books. (2) The reference code and the list of contents shall be updated in line with changes to the unit keeping the record and content-related developments. (3) With electronic files, clear referencing shall be ensured through file-related information in the docket file. Section 18 Retention (1) Finally processed records shall be retained in their entirety in the file collection until disposal (Sections 20 to 22), access to them by unauthorised parties shall be prevented, and they shall be protected from damage and decay. Appropriate measures shall be taken with electronic records to ensure their completeness, integrity, authenticity and readability. (2) The reproduction of filed records on another medium shall be carried out in accordance with uniform Federal guidelines. 1 The original material shall be made available to the Federal Records Office in accordance with Section 2 of the Federal Archiving Law. (3) Electronic records shall be reviewed continually and must be converted in due time to the latest technical standards in terms of format and medium, without any change to content. Section 19 Retention period (1) When the processing has been concluded, a retention period shall be defined for the record and established in a disposal catalogue or the electronic filing plan. Retention periods shall exceed 30 years only in exceptional cases. 1 The Richtlinien für die Mikroverfilmung von Schriftgut in der Bundesverwaltung (Guidelines for the microfilming of records in the Federal administration) shall apply for microfilming.

9 (2) Details relating to the retention period shall be regulated in accordance with the provisions of Annexes 5 and 6. Section 20 Disposal of paper records (1) Paper records which are no longer required on a regular basis should be set aside and managed in a (centralised) non-current records management unit until they are transferred to the interim records management office or given immediately to the interim records management office of the Federal Records Office. Records shall be handed over to the interim records management office as soon as possible and, at the latest, 30 years after the processing has been concluded. (2) The above transfer process shall be governed by the provisions of Annexes 7, 7a and 7b. Section 21 Separating out old electronic records (1) When the retention period has expired, electronic records shall be offered and handed over in their entirety to the Federal Records Office in accordance with Annex 8. The Federal Records Office shall decide on the form of the transfer in consultation with the transferring institution. (2) The transferring institution shall confirm when handing over electronically signed documents that these were not subsequently changed and that the electronic signatures were valid at the time of handing over. (3) To ensure that disposal is carried out in compliance with the rules, an interface shall be provided for when setting up systems for electronic records management and sub-file processing, in agreement with the Federal Records Office. Section 22 Destruction of records (1) Records whose retention period has expired can, with written consent from the Federal Records Office, be destroyed directly by the authority. (2) It shall be ensured that information contained in records is not made available to unauthorised parties or misused. Section 23 Transfer of records due to task relocation (1) The authority which is no longer responsible for the task shall hand over to the authority taking over the responsibility the required records and a copy of the register of all the old files in the agency interim records management office which are necessary for performing the new tasks. The remaining records shall be given to the agency interim records management office of the Federal Records Office.

10 (2) The Federal Records Office or the interim records management office shall be notified in writing of any transfer of jurisdiction and records. (3) When a task is transferred to a subordinate authority or a private institution, paragraph 1 shall apply. When the task is not transferred to a higher authority, additionally the archival jurisdiction shall be regulated in consultation with the Federal Records Office for the records handed over and for records which will be created in future at the new institution. Section 24 Final provision The Registry Directive shall enter into force on 11 July 2001.

11 Annex 1: Final instructions (Section 9), ephemera (Section 10) Final instructions (1) Final instructions determine how the transaction is to be treated after it has been processed. The final instruction may be given in conjunction with references to the proper arrangement and management of the documents. (2) Records which are not immediately needed should be sent to the records management unit with a final instruction. For electronically processed sub-files, the records are filed in an electronic file when processing is complete. (3) It is recommended that the following final instructions be used: For re-submission The records management unit should return the documents at the time specified to the relevant staff member for further processing. For electronically processed sub-files, the documents are returned automatically. Add to collection To be used on answers to circulars. To be passed to the person dealing with the matter once the collection is complete, at the latest by the deadline already set for return. Store To be used for documents which are to be kept for a short period but not filed. Ephemera should only be kept until the end of the calendar year in which no further processing has occurred. Add to sub-file The documents are to be transferred to the relevant file or relevant sub-file in the file. The final instructions assigned to other sub-files (return, to collection) continue to stand. Add to files The documents are to be transferred to the relevant file or relevant sub-file in the file. The instruction add to files closes the sub-file. All previous instructions (re-submission, add to collection) are cancelled. If the file is to be closed, a further explicit instruction is needed.

12 Annex 2: Filing plan (electronic filing plan) 1. The filing plan in principle covers all the functions of the authority (general filing plan) and, insofar as it is suitable, can also be used at the subordinate level (unit filing plan). In exceptional cases, certain tasks particularly fixed-term tasks can be covered outside the filing plan. 2. The filing plan structures the body of tasks as far as possible independently of how the authority is organised, and with sufficient breadth and depth to accommodate the volume of records arising. Each unit of the filing plan consists of a code and description of contents. The space for the code must be large enough for it to be extended. 3. The hierarchical levels of the filing plan are generally: main groups (highest level), primary subjects, secondary subjects, tertiary subjects and file codes (lowest level). 1 More than five levels and varying numbers of levels should be avoided. 4. A decimal system is the established method of organising records. If the number of autonomous functional areas is large, easily recognisable letter codes can be used for the main groups. 5. The units must be organised within each hierarchical level, preserving the functional context, in a logical order beginning with the end digit 0 for general. The end digit 9 if it is needed usually stands for other. 6. The filing plan should be extended 2 if the functions of the authority change or if a better overview of the case files is needed. Changes to the filing plan should be traceable at any time. Deleted filing plan units should not be reused for some time. 7. The filing plan should be standardised. If possible, the electronic filing plan should contain links to the docket file (Annex 4). Each unit of the filing plan should be given its full code, a content description and any remarks/references. It is also useful to give an overview of the units above the file code level and, if applicable, a list of the fixed derivative codes (see point 10). The authority should issue its own directive explaining how the filing plan should be used. 1 Example: FILING PLAN UNIT Organising level Code Content description (organising unit) Main group 1 Administrative matters Primary subject 12 Organisation, internal services Secondary subject 123 Internal services Tertiary subject 1234 Records management File code Records management in general For a flatter organising system, the middle levels can be eliminated. 2 A new filing plan should be developed on the basis of the functions of the authority and using the existing file material. It is recommended that a project group be set up, comprising experienced members of all divisions as well as the head of the registry. If necessary, the records management rules should be reviewed and reworked at the same time.

13 8. In general, files can be created and maintained at the lowest hierarchical level only. All generating units can in principle use all file codes. Records should be allocated to files exclusively on the basis of their functional aspect. 9. The General file code (end digit 0 ) is for records whose content refers to the tertiary subject in general, or for which no specific file code has yet been set up. 10. To preserve a clear overview of the filing plan and files, it is possible at the file code level to create derivative codes. Fixed derivative codes are devised, in a standardised format, for standardform organising areas (e.g. federal states, foreign countries) using easily recognisable letter codes (e.g. BY for Bayern, i.e. Bavaria) listed in an annex to the filing plan. Free derivative codes use numbers to distinguish their file content from that of the basic file code. An alternative to the use of free derivative codes is to extend the filing plan.

14 Annex 3: Creating and coding case files 1. Case files should be created only when documents actually arise, and should generally be kept to the file code or derivative code level. 2. Case files should be created and coded in such a way that they can be retrieved at any time. In the interests of good order, it is particularly important to ensure files are delimited in line with processing needs, and that clarity is preserved. 3. Case files can be created as individual case files, special case files or collective case files; FAL- LAKTEN are a type of individual case file. The individual case file is the most important and common type of case file. Every file has its own code Documents relating to a specific measure or issue should be collected into an individual case file, in line with processing needs. Each individual case file is given a serial classification number; the sequence continues as the files arise. 2 The description of contents should be precise and should be adjusted if changes to the content occur in the course of processing. References to files with related content can be given in the docket books (Annex 4). 5. Special case files are attached to an individual case file. They are created in order to hive off a large volume of records, making it easier to process the individual file. To distinguish a special case file from the individual case file, a Roman numeral is usually added to the file code. 3 1 Construction of file codes, examples: 7654/8 individual case file /0 free derivative, collective case file (end digit 0) V 2200-BY/14 III free derivative, special case file Filing plan code Dividing sign File code 7653 / / 0 V200 - BY / 14 III filing plan dividing derivative Classification space special case file code sign code No. of individual code case file To avoid ambiguity, the construction of file codes should be standardised. This applies particularly to the dividing signs between the individual components. The dividing sign between the filing plan code and the file code should be an oblique. 2 Example: Records management 12345/1 General 12345/2 Registry Directive 12345/3 Records Directive The use of technical classifiers (e.g. paragraphs of a law) should be avoided. 3 It is recommended that the following types ( classified special case files ) be coded: I Documents of temporary significance (insofar as not covered under II-VII) II Petitions, enquiries, isolated cases III Reports, opinions IV Publications, press statements V Expert opinions, decisions VI Collections of material on a subject VII Statistics

15 6. A collective case file should be created (at the file code level) if documents cannot be assigned to any existing individual case file, or if the creation of a new individual file cannot or cannot yet be justified. Only one collective file should be created per file code. It is recommended that it be given the index number 0 and the content description collective file. 7. FALLAKTEN are individual case files which arise in large numbers, and which can be distinguished only by a technical classifier (e.g. name, project number). The technical classifier or a numerical count (if necessary, by year) can be used as a code to identify a FALLAKTE in a series of FALLAKTEN. The technical classifier generally also suffices as a description of contents. 8. For electronic files, the individual units for processing (transactions) can be kept as small units (sub-files). As a rule, every sub-file should have its own sub-file code and a brief content description. If necessary, the reference code of special case files can be broken down even further, e.g. III-1 Opinions of Federal Ministries, III-3 Opinions of Federal state governments

16 Annex 4: Docket books (docket file) (Section 14) 1. The docket books contains all data required for the management of the files and, if applicable, sub-files. The docket file should as a rule be linked to the filing plan file and the disposal catalogue. 2. The purpose of the docket books is to evidence the stock of files and their location, and to make it quick and easy to retrieve information and documents. It should be kept in a standardised and precise manner. 3. The docket books should contain at least the following information: 1. Code of the organisational unit (generating unit) 2. Filing plan code and content description for the (derivative) file code 3. File code (classification number) 4. Description of file contents 5. If there is more than one volume, volume number (for electronic files: sub-file number) 6. Beginning and, if relevant, end of period covered by the files, if possible the period covered by each volume 7. References (e.g. related files, any previous file code) 8. Loan and re-submission (name of recipient, date of loan/re-submission) 9. Disposal details (e.g. retention period, year in which retention period ends: see Annex 5) 10. Final location (e.g. new file code, any new business area maintaining the file, non-current records authority, interim records management office, destroyed, Federal Records Office, with archive signature if applicable). 4. Staff should have access to all information in the docket books other than areas for which restricted access is necessary. 5. Disposal and transfer directories should be based on the docket books.

17 Annex 5: Retention periods I. Definition, application, beginning and end, maximum period 1. The retention period is the time (in years) for which records must be kept available for further processing. When the period expires, the Federal Records Office, in conjunction with the transferring party, takes a decision on further retention. 2. If the records are in paper form, the retention period is set for a container of records (= retention unit). For electronic records, it is set for a file; if sub-files have also been created, the same retention period should be applied to them at disposal. 3. The retention period begins with the end of the calendar year in which processing is completed, and finishes at the end of a calendar year. 4. The retention period should be no longer than 30 years. If longer periods are set, reasons must be given in writing (see Annex 7a, field 10). II. Determinants of the retention period 1. The retention period is determined exclusively by processing value and cost-effectiveness. The two factors must be weighed against one another. Historical value is irrelevant for the retention period. 2. Processing value Important legal considerations and aspects of administrative practicality are: a) Degree of responsibility Is the ministry in charge of the matter or merely a participant? Is the generating unit within the Ministry in charge or just a participant? If the unit is only participating, and can use the files of the unit in charge, a retention period of ten years at most is sufficient. b) Preparation of provisions or application of an administrative regulation For the preparation or extension of a legal provision, 20 years is usually sufficient. For administrative regulations, the period can be shortened even further. For the application of an administrative regulation, ten years is often enough. c) Securing rights and obligations Do rights and obligations need to be evidenced for the authority or another party? d) Significance for the future work of the authority Could the matter being processed serve as a precedent for the processing of other cases? Could it even be of fundamental importance? e) Type of records For collective case files and many special case files unlike individual case files relatively short periods suffice. Ephemera: one year.

18 3. Cost-effectiveness In view of the costs involved, retention periods should be kept as short as appropriate to the files in question. The workload can be reduced by setting a standard retention period for a given type of records. III. Procedure for setting retention periods 1. Retention periods already set by law or by an administrative regulation can be applied by the records management department without consulting the person who processed the file. 2. If no retention period has been set, it should be determined by the organisational unit in conjunction with the records management unit. The files for disposal should be given to the person who processed the file, who should then set the retention period in writing. 3. The retention periods set should be recorded in a disposal catalogue (Annex 6) or directly in the docket books (Annex 4).

19 Annex 6: Disposal catalogue I. Purpose The disposal catalogue serves to provide evidence of the retention periods and to ensure that the periods are calculated appropriately and cost-effectively (catalogue of retention periods) to make it easier to separate out old records by providing evidence of the subsequent procedure (destruction or transfer to the interim records management office; electronic records are to be offered to the Federal Records Office). II. Organisation 1. In accordance with the authority s guidelines for records management, the catalogue can be managed centrally for the entire authority or decentrally for each generating organisational unit. 2. The catalogue is managed by the central non-current records authority or, in the case of decentralised records management, by the head of a registry group. 3. As a rule, the catalogue must be organised by filing plan units (such as file codes). When retention periods are calculated for files, the catalogue should be included in the docket file (Annex 4). III. Structure As a minimum, the catalogue should contain the following specifications: 1. Code for the filing plan unit or file code 2. Description of the contents of the filing plan unit or file 3. Generating organisational unit (organisational code) 4. Retention period (in years) 5. Comments on the retention period, e.g. reason for the period (always required for a period of more than 30 years), deviations from the starting date (Annex 5, No. I 3), name of the person who set the period and date on which this was done 6. Whether the record is to be destroyed by the authority when the period has expired (yes/no) 7. Proof of authorisation to destroy after period end, e.g. reference number and date of written authorisation from Federal Records Office in accordance with Section 22, paragraph 1; these documents must also be collected. Where necessary, changes made over the course of time should be recorded (e.g. in the case of No. 3). IV. Electronic records The specification as to whether a record is to be destroyed or offered to the Federal Records Office when the period expires (see Annex 8, No. 3) must be available as metadata for all electronic files in order that final disposal can be largely automatic.

20 Annex 7: Transferring records in paper form to the Federal Records Office s interim records management unit 1 1. A transfer date is to be arranged with the interim records management office in good time. 2. In accordance with Annex 5, a retention period must be defined for every retention unit to be transferred (a records container, such as a standing file). 3. The retention units should be organised, as far as possible, first by generating unit and then by file code (in ascending numerical order) and clearly labelled with a serial number. If the disposal process is implemented decentrally, it is important to ensure that the numbers are unique (the numbering can start from 1 in each case, but different colours should be used). If the disposal process is implemented centrally, the archive number of the Federal Records Office may be used, providing written permission to do so has been obtained from the Federal Records Office. 4. The paper records to be transferred must be entered in a transfer directory (Annex 7b) and a cover page (Annex 7a). The Federal Records Office provides the appropriate application program for entering this data electronically. The transfer directory must be completed with due care and have a clear structure. It should contain complete details for every file (i.e. the serial number should always be specified rather than using ditto marks, even if the retention unit contains several files). When filling out the cover page, it should be noted that the signature of the organisational unit (line 3) denotes approval of the retention period calculation and the transfer. Careful completion of the cover page will make it easier to find files in future. 5. The transfer directory and the accompanying cover page must be sent, together with the records, to the interim records management office in both paper and electronic form. The format of the electronic version should be compatible with the above-mentioned application program of the Federal Records Office. 6. Immediately before transfer, a final check of the files is to be carried out to ensure that the records entered in the transfer directory are transferred in their entirety. 7. After performing an entry check, the interim records management office enters the archive numbers in the transfer directory and returns it, together with the cover page, to the authority in the agreed form and quantity. 8. Retention units borrowed from the interim records management office should not be returned to the current record holdings if this can be avoided. This applies in particular to older files which may already be fully archived. Changes to these retention units (removal or addition of records) should therefore be avoided. The interim records management office only permits third parties to use the records if they have the written permission of the authorising party. The Federal Rec- 1 The interim records management offices are located in Dahlwitz-Hoppegarten (for the Berlin area) and St.-

21 ords Office/interim records management office can carry out the archival processing of the records before the retention period has expired, that is, appraise, describe and, if necessary, take conservation measures. 9. Further details on the practical procedure (setting of retention periods, preparing the transfer, filling out the transfer directory and cover page, using the IT program, loans) are contained in a leaflet issued by the Federal Records Office to the transferring institution. Augustin-Hangelar (for the Bonn area).

22 Annex 7a: Cover page for the directory for transferring records in paper form to the interim records management office Notes: Details should be as comprehensive as possible. Use reverse side if necessary (specifying field number). See notes below and the written instructions from the Federal Records Office. 1. To be completed by the interim records management office Archive signature Transferring authority (code) 2. Number of retention units BMX Authorising organisational unit Date Extension Signature (Annex 7, No. 4) Signed by Schmidt 123 Transfer from (old) reg. 4. Transferred on: Extension Name Central old reg Müller Key words to indicate contents based on organisational/functional chart, preferably for final year of period covered by files 5. Staff representation law, Official relations under public law, Rules and special regulations under civil service framework law 6. Period covered by files (date of oldest and most recent pieces) Names of parts of filing plan with code and description of contents Filing plan group 211 = Special regulations under public service law 8. Last generating organisational unit(s): Other generating organisational units (including changes of authority) a) II A 2 (from ) b) D I 2 (from ) c) D II 5 (from ) d) 121 (from ) e) 128 (from ) 10. Comments (e.g. explanation for retention periods of over 30 years in accordance with Annex 5 I 4)

23 Notes (taken from the Federal Records Office s leaflet mentioned in Annex 7 No. 9): Sorting by organisational unit (standard situation) Fill out a cover page for every organisational unit Field 9: Where possible, all important generating organisational units (with code) for the period specified in field 6 are to be listed. These details are to be taken from the registry s internal record of the development of tasks and organisational codes of the generating organisational units. If the precise date cannot be determined, a year during the period of responsibility should be specified, e.g. a) IV A 2 (1983). Sorting by file code only (exception) If records have been managed by filing plan alone, and not by organisational unit, no entries are made in fields 5, 8 and 9. If a combination of several organisational units is involved, entries in fields 5 and 7 should only be made in summarised form (e.g. department, filing plan main group). When the organisational units are entered in the transfer directory, field 8 should be completed in accordance with comment 8 of Annex 7b.

24 Annex 7b: Directory for transferring records in paper form to the interim records management office (transfer directory) Serial Archive 3 File code Contents Volume Period Retention No. 1 No. 2 No. 4 From To No. of years End of period /2 Emergency police service /4 Easter Sunday /8 Reducing peak-load traffic / EU Council decision on harmonisation /3 Draft bill initiated by SPD party to change Article 72 of the Federal Act on Federal Public Officials ( BBG ) /3 Draft bill initiated by SPD party to change Article 72 of the Federal Act on Federal Public Officials ( BBG ) /6 Working hours of the German Administration of Posts and Telecommunication /9 Working hours of the German Federal Railway / 12 Four-day week for the highest Federal authorities / 12 Press statements IV / 37 Shift work, duty premia / 37 II Petitions, resolutions / 37 II Petitions, resolutions /1 Local government resolutions /8 Law on educational leave /8 Law on educational leave /8 V Statistics Each retention unit (file or binder, depending on the filing system) is assigned a serial number; each number is to be listed separately. These numbers should not be used if the archive number can already be entered. 2 This field is filled out by the interim records management office. With the written consent of the Federal Records Office, the archive number can be entered before the transfer takes place. 3 If the transfer contains the records of several organisational units listed only in accordance with the filing plan order, the code of the respective organisational unit must be entered in a special column, labelled Organisational unit (between the columns for archive number and file code), and, together with a reference year, specified in the cover page (field 8). 4 This field should contain the number of the relevant volume, not the total number of volumes. If a retention unit contains several volumes for one file, the entry should only specify the range of volumes (see entry for serial no. 4).

25 Annex 8: Transferring electronic records to the Federal Records Office 1. The Federal Records Office should only be offered electronic records for which the retention period has expired and which the Federal Records Office has not already declined in writing. Electronic records to be destroyed by the authority must be recorded in the disposal catalogue (Annex 6). 2. The electronic files to be offered to the Federal Records Office (disposal portion) should be grouped by periods (in years), predefined where possible. The disposal portion includes all electronic files and parts of files (or sub-files, where applicable) for which processing is complete. The files and, where applicable, sub-files are to be entered in a proposal directory and sent to the Federal Records Office together with a cover page (like the one in Annex 7a) in electronic form. The details on the filing plan file (including the derivative codes) that refer to the disposal portion must also be transmitted in a format that is compatible with the Federal Records Office. 3. The Federal Records Office makes an entry for each file in the proposal directory, stating whether the electronic file in question is to be destroyed or transferred to the archive and, where applicable, assigning the file an archive number. For appraisal purposes, the Federal Records Office must be permitted to examine the records for disposal. 4. The authority destroys the electronic files marked by the Federal Records Office for destruction (entry K). The order and technical format of the electronic files to be transferred are specified by the Federal Records Office. The electronic records are then to be transferred to the Federal Records Office together with a transfer directory and, where applicable, an updated cover page. If electronically signed or encrypted documents are transferred, the author and date must be specified in uncoded, clearly legible text. 5. The authority must contact the Federal Records Office before the disposal is effected. Due attention should be paid to the Federal Records Office s written notes and recommendations for disposal. Proposal and transfer directory for electronic records: Below is a list of the minimum specifications a data record must contain for records to be offered to the Federal Records Office. A precise data structure is contained in the written notes of the Federal Records Office. The decision resulting from the appraisal (A = transfer, K = kassieren/destroy) and the archive signature, where applicable, are entered by the Federal Records Office. Each specification refers to one specific file. If additional sub-files are created and registered for a file, a separate data record must be created for each sub-file.

26 Official code of transferring authority Code of the generating organisational unit Date on which directory was created Type of data record (docket file record = A, sub-docket file record = V) Serial number of file within the disposal portion (the same number also applies to all sub-files in the file) File code (the same code also applies to all sub-files in the file) Description of contents (description of the contents of the file in the case of a docket file record, sub-file reference in the case of a sub-docket file record) Sub-file numbers (first and last sub-file number of disposal portion of the file in the case of a docket file record, sub-file number in the case of a sub-docket file record) Beginning and end of period covered by files (the creation date of the record is important. Recommended format: yyyy - yyyy or mm.yyyy - mm.yyyy)