Andreas Kellerhals August 15, 2009

1 Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009© Andreas Kellerhals, CH-3003 Bern

Eidgenössisches Departement des Innern EDISchweizerisches Bundesarchiv BAR


Records Lifecycle Management‘s Contributionto Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability

Andreas KellerhalsAugust 15, 2009



Content

1. Intro

2. The SFA in its institutional context

3. From Projects to a Program: The Federal Government’s RLM-Policy

4. From decision making to implementation

5. Concluding summary



Art. 1 Purpose and scope

• the Federal Assembly;

• the Federal Council, the Federal Administration […] and the units of the armed forces; […]

• the Federal Criminal Court and the Federal Administrative Court […];

• the autonomous institutions of the Confederation;

• the Swiss National Bank; […]

• other public or private law bodies that fulfil executive tasks delegated to them by the Confederation, […]

JurisdictionFederal Act on Archiving, 1998



Records ManagementFederal Act on Archiving, 1998

Art. 5 Information and records management1The Federal Archives shall advise the offices required to offer their records for safekeeping on the organisation, ma-nagement, preservation and delivery of their documents. It may also offer such services to other bodies.2It has the power to consult registries or information mana-gement centres of the offices […] and to consult the condi-tion of the documents held there.3It shall issue directives to the offices […] the management, preservation and delivery of documents; […].



From Projects to a Program:The Federal Government’s RLM-Policy



Lessons learned

• Senior management commitment, top down approach

• Profit for the administration • Systemic and business driven approach • E-RMS introduction is not an IT-project



Launch of the Program

32%

46%

22% no RM

simple RM

RM

15

22

63

Standard ERMS (33)

other ERMS (50)

no ERMS (143)



From Decision Making to Implementation



E-RLM-Program: Timetable 2007 2008 2009 2010 2011Report &

Actionplan

Report &Actionplan

SPO for official documents (FoI)Preparatory Study

Preparatory StudyConception

Conception

E-RLM in the administrative bodiesE-RLM in the administrative bodies

Programm ManagementProgramm Management

(ongoing E-RM projects)

ManagementGuideline

ManagementGuideline

E-Archiving: System developmentOperating E-Archiving

Operating E-Archiving

RequirementsManagement

RequirementsManagement

Parlamentary AffairsParlamentary Affairs

Governement DecisionsGovernement Decisions

……

Interministerial processes

CooperationConsultancyEducationSupervision



Concluding Summary

• Benefit for the institutions and the staff• Business Orientation / Process Orientation

(business driven but technology inspired)• Seamless and Streamlined Information / Records

Flow• Collaborative approach• Modernisation of the Administration (E-Admi

nistration)• Learning institution



Democracy

Freedom of InformationKnowledge and understanding are difficult to assure, therefore, free access to information in decision making is a crucial criterion for democracy.



Archives and DemocracyFederal Act on Archiving, 1998

Section 3: Access to Archive Records

Art. 9 Principle of freedom of access and period of retention1The archive records of the Confederation become available for consultation by the general public free of charge after the expiry of a retention period of 30 years, subject to the terms of Articles 11 and 12.2Documents that were accessible to the public before their delivery to the Federal Archives remain accessible to the public. [e.g. according the FoI Act]



Rule of Law

• Control as state function sui generis• Complementarity of control and accountability • Criteria for filing and appraisal• Legacy of the past



End

www.bar.admin.ch



Information And Records Lifecycle

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Record Keeping in the Archive

ER

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New Customer Management

Parliament

FSUIT

FO 1

FO 2

FO x

FOCOM

FO y

FO n

SFA

FO p

Federal Chancellery

Parlamentary Services

Federal Council

FDF FDHA DETEC



SFA‘s Copernicanion Revolution

ARCHIVEProfit by archivesProfit by archiving

NON-ARCHIVE PRE-ARCHIVE Users Administration



Self Assessment



Self Assessment: Roadmap