Directive on the processing and management of records (files and

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Federal Government

Modern State – Modern Administration

Subject: Directive on the processing and management of records in Federal Ministries

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 proce-dures 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 docu-ments (in line with currenttechnology) while keeping open the options for further developments in IT-based 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 de-viate from this Directive (e.g. classified instructions, personnel files) shall not be affected.

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(1) The Registry Directive (Registraturrichtlinie – RegR) shall supplement the Joint Rules of Pro-cedure of the Federal Ministries (Gemeinsame Geschäftsordnung der Bundesministerien – GGO) and shall regulate the processing of transactions and management of records in the Fed-eral Ministries.

(2) The intention of this Directive is to ensure the proper and economical processing and man-agement 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 manage-ment of electronic documanage-ments 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

Federa-tion, 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 e-mail, 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 de-scription of contents.

Transaction shall mean the smallest processing unit within the exercising of functions. The

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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

func-tions, 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 in-formation 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 en-sured 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 con-sent.

(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 co-ordination within a coalition, shall not form part of the authority’s archives.

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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 man-agement 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 refer-ence 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 docu-ment was sent (e-mail 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, co-signatory 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.

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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 instruc-tions);

– on the involvement of other staff or other organisational units (notification, opinion, co-signature, instructions in line with the rules of procedure);

– on instructions to the records management (instructions on classifying records, in particu-lar 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 (Sec-tion 11) which shall be an appropriate classifica(Sec-tion and easy to process, and which shall en-able 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

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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: OI2 – 123156/12 304 – 1154–2/4

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.

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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 re-cords 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 Rec-ords 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 lat-est 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.

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The Richtlinien für die Mikroverfilmung von Schriftgut in der Bundesverwaltung (Guidelines for the micro-filming of records in the Federal administration) shall apply for micromicro-filming.

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(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 pro-vided 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 Rec-ords 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 tak-ing 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.

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(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 jurisdic-tion shall be regulated in consultajurisdic-tion 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

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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 elec-tronic 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 col-lection 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 in-structions 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 can-celled. If the file is to be closed, a further explicit instruction is needed.

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Annex 2: Filing plan (electronic filing plan)

1. The filing plan in principle covers all the functions of the authority (general filing plan) and, inso-far 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 sub-jects, secondary subsub-jects, 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 extended2 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 fil-ing 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.

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Example:

F I LI N G P L A N U N I T

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 12340 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.

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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 ba-sis 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 cre-ate derivative codes. Fixed derivative codes are devised, in a standardised format, for standard-form 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.

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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 proc-essing 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.1

4. 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 re-lated 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

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Construction of file codes, examples:

7654/8 individual case file

12345-1/0 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 / 8

2345 - 1 / 0

V200 - BY / 14 III filing plan dividing derivative

code sign code

Classification space special case file No. of individual code

case file

To avoid ambiguity, the construction of file codes should be standardised. This applies particularly to the divid-ing signs between the individual components. The dividdivid-ing sign between the fildivid-ing plan code and the file code should be an oblique. 2 Example: 12345 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

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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 distin-guished 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 descrip-tion.

If necessary, the reference code of special case files can be broken down even further, e.g. III-1 Opinions of Fed-eral Ministries, III-3 Opinions of FedFed-eral state governments

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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 pre-cise 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

rec-ords authority, interim recrec-ords management office, destroyed, Federal Recrec-ords Office, with archive signature if applicable).

4. Staff should have access to all information in the docket books other than areas for which re-stricted access is necessary.

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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 transfer-ring 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 reten-tion 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 ad-ministrative 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.

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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 rec-ords 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 conjunc-tion 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).

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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 appropri-ately 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 of-fered to the Federal Records Office).

II. Organisation

1. In accordance with the authority’s guidelines for records management, the catalogue can be man-aged 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

decentral-ised 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.

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Annex 7: Transferring records in paper form to the Federal

Rec-ords Office’s interim recRec-ords management unit

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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 dis-posal 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 dis-posal 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 Of-fice.

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 pro-gram 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 con-tains 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 rec-ords 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

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St.-ords Office/interim recSt.-ords management office can carry out the archival processing of the rec-ords 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).

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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

2. Transferring authority (code) BMX

Number of retention units 178

3. Authorising organisational unit (Annex 7, No. 4) 123 Date 11.2.1999 Extension 1234 Signature Signed by Schmidt

4. Transfer from (old) reg. Central old reg.

Transferred on: 5.10.1999 Extension 4387 Name Müller

5.

Key words to indicate contents based on organisational/functional chart, preferably for final year of period covered by files 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) 1961-1985 7. 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): 128

9. Other generating organisational units (including changes of authority) a) II A 2 (from 1.2.1961)

b) D I 2 (from 15.9.1967) c) D II 5 (from 1.8.1976) d) 121 (from 20.8.1981) e) 128 (from 1.1.1984)

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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.

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Annex 7b: Directory for transferring records in paper form to the

interim records management office (transfer

direc-tory)

Period Retention Serial No.1 Archive No.2

File code3 Contents Volume

No.4 From To No. of

years

End of period

1 211230/2 Emergency police service 2 1980 1989 10 1999

2 211230/4 Easter Sunday 17.4.1985 1 1985 1985 5 1990

3 211230/8 Reducing peak-load traffic 1 1986 1994 5 1999

3 211230/

14

EU Council decision on harmonisation

1 1987 1990 10 2000

4 211321/3 Draft bill initiated by SPD

party to change Article 72 of the Federal Act on Fed-eral Public Officials (“BBG”)

1-2 1983 1985 20 2005

5 211321/3 Draft bill initiated by SPD

party to change Article 72 of the Federal Act on Fed-eral Public Officials (“BBG”)

3-4 1985 1986 20 2006

6 211321/6 Working hours of the

German Administration of Posts and Telecommuni-cation

1-2 1986 1991 10 2001

6 211321/9 Working hours of the

German Federal Railway

1 1986 1990 10 2000

6 211321/ 12 Four-day week for the

highest Federal authorities

1 1987 1989 20 2009

6 211321/ 12

IV

Press statements 1 1987 1990 15 2005

7 211321/ 37 Shift work, duty premia 1-3 1989 1990 20 2010

8 211321/ 37 II Petitions, resolutions 1-2 1989 1989 0 1989

9 211321/ 37 II Petitions, resolutions 3-5 1990 1990 0 1990

10 211413-7/1 Local government

resolu-tions

1 1988 1989 10 1999

11 211413-7/8 Law on educational leave 1 1979 1984 30 2014

12 211413-7/8 Law on educational leave 2-3 1984 1987 30 2017

12 211413-7/8 V Statistics 1 1983 1989 15 2004

1_{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}

Rec-ords 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 “Organisa-tional unit” (between the columns for archive number and file code), and, together with a reference year, speci-fied 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).

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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 elec-tronic 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 Fed-eral 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 Rec-ords 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 speci-fied in uncoded, clearly legible text.

5. The authority must contact the Federal Records Office before the disposal is effected. Due atten-tion should be paid to the Federal Records Office’s written notes and recommendaatten-tions for dis-posal.

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 Fed-eral 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.

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§ 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. Rec-ommended format: yyyy - yyyy or mm.yyyy - mm.yyyy)

Directive on the processing and management of records (files and

Federal Government

Contents

Section 1 Intention and scope

Section 3 Definitions

Section 4 Principle of completeness and uniformity

Section 5 Archive unit, co-operation

II Processing of transactions

Section 6 Processing requirements

Section 7 Incoming communications

Section 9 Instructions

III Records management

Section 10 Organising records and registration

Section 12 Filing plan (electronic filing plan)

Section 14 Docket books (docket file)

Section 17 Marking of the records container

Section 19 Retention period

Section 20 Disposal of paper records

Section 22 Destruction of records

Section 24 Final provision

Annex 1: Final instructions (Section 9), ephemera (Section 10)

Final instructions

For re-submission

Add to sub-file

Annex 2: Filing plan (electronic filing plan)

Annex 3: Creating and coding case files

Construction of file codes, examples:

Annex 4: Docket books (docket file) (Section 14)

Annex 5: Retention periods

I. Definition, application, beginning and end, maximum period

II. Determinants of the retention period

III. Procedure for setting retention periods

Annex 6: Disposal catalogue

I. Purpose

III. Structure

IV. Electronic records

Annex 7: Transferring records in paper form to the Federal

Annex 7a: Cover page for the directory for transferring records in

Annex 7b: Directory for transferring records in paper form to the

Annex 8: Transferring electronic records to the Federal Records