Eidgenssisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 1

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability Andreas Kellerhals August 15, 2009

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR 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 Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 3

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Jurisdiction Federal Act on Archiving, 1998 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, […] Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 4

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Records Management Federal Act on Archiving, 1998 Art. 5 Information and records management 1 The Federal Archives shall advise the offices required to offer their records for safekeeping on the organisation, management, preservation and delivery of their documents. It may also offer such services to other bodies. 2 It has the power to consult registries or information management centres of the offices […] and to consult the condition of the documents held there. 3 It shall issue directives to the offices […] the management, preservation and delivery of documents; […]. Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 6

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR From Projects to a Program: The Federal Government’s RLM-Policy Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 7

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR 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 Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 8

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Launch of the Program Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 9

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR From Decision Making to Implementation Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 10

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR E-RLM-Program: Timetable 2007 2008 2009 Report & Actionplan 2010 2011 Programm Management Parlamentary Affairs Governement Decisions … Interministerial processes E-RLM in the administrative bodies (ongoing E-RM projects) Management Guideline E-Archiving: System development Requirements Management Cooperation Consultancy Education Preparatory Study Conception Supervision SPO for official documents (Fo. I) Operating E-Archiving Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 11

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR 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 Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 12

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Democracy Freedom of Information Knowledge and understanding are difficult to assure, therefore, free access to information in decision making is a crucial criterion for democracy. Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 13

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Archives and Democracy Federal Act on Archiving, 1998 Section 3: Access to Archive Records Art. 9 Principle of freedom of access and period of retention 1 The 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. 2 Documents that were accessible to the public before their delivery to the Federal Archives remain accessible to the public. [e. g. according the Fo. I Act] Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 14

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Rule of Law • • Control as state function sui generis Complementarity of control and accountability Criteria for filing and appraisal Legacy of the past Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 15

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR End www. bar. admin. ch Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 16

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Transfer to the Archive Record Keeping in the Agency Business Activities Records Management ERMS-Implementation Information And Records Lifecycle Record Keeping in the Archive Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 17

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR New Customer Management Parliament Federal Council Federal Chancellery FDF Parlamentary Services FDHA DETEC FSUIT FO n FO x FO 1 SFA FOCOM FO 2 FO p FO y Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 18

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR SFA‘s Copernicanion Revolution Profit by archives Profit by archiving PRE-ARCHIVE Administration ARCHIVE NON-ARCHIVE Users Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 19

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Self Assessment Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 20

Eidgenössisches Departement des Innern EDI Schweizerisches Bundesarchiv BAR Self Assessment: Roadmap Records Lifecycle Management‘s Contribution to Democracy and the Rule of Law: Effectiveness, Efficiency and Accountability, August 13, 2009 © Andreas Kellerhals, CH-3003 Bern 21