Ordinance on Record Keeping - Subject Matter

1. Record-keeping encompasses the comprehensive, proper, and systematic documentation of business transactions.

2. It extends to paper-based, electronic, and other records.

1. The regulation applies to record-keeping in business management systems, specialized applications, and databases, as well as to corresponding paper-based systems.

2. The regulation applies to the offices of the cantonal administration as well as to persons and bodies within the meaning of § 3 paragraphs 2 and 3 of the Archives Act; it does not apply to the courts, the public prosecutor's office, and the police investigative proceedings.

1. Record Keeping supports business processing, ensures traceability, and guarantees the transparency of governmental actions.

2. It

a) provides an overview of ongoing business matters;

b) serves the coordination with other business matters;

c) shows the status of a single business matter;

d) allows for accountability reporting to superior authorities regarding business matters;

e) supports information and access for affected individuals and authorized third parties;

f) serves as the basis for long-term archiving.

1. Record-keeping must meet the requirements of authenticity, reliability, integrity, and usability regarding procedures, systems, and processes.

2. The documents generated in record-keeping must

a) authentically prove authorship and the time of creation (Authenticity);

b) represent the content credibly, completely, and accurately (Reliability);

c) remain intact long-term and be protected against unauthorized modifications (Integrity);

d) be retrievable, displayable, and understandable in context (Usability).

1. Transactions are conducted in writing and recorded with the designated means.

2. The management of records follows the principles outlined in § 2 paragraph 1 of the Financial Budget Act and takes into account the principle of business relevance.

3. Documents must be maintained and preserved in their business context throughout the entire lifecycle of the business.

4. Records must be kept either electronically or physically.

1. The functions of the offices, individuals, and bodies within the meaning of Section 3, Paragraphs 2 and 3 of the Archives Act are represented in a classification system.

2. The State Archives offers its support in the creation and maintenance of the classification systems.

1. Relevant documents related to document-based transactions shall be filed in temporally delineated physical or digital dossiers.

2. All dossiers must be uniquely associated with the filing system.

3. The dossiers shall bear a unique title, the dates of opening and closing, as well as the designation of the person responsible for the dossier.

4. Persons responsible for the organization of record keeping as stipulated in § 8 paragraph 1 may determine additional descriptive elements (metadata).

5. Larger or longer-term transactions may be divided into sub-dossiers; smaller transactions may be consolidated into a single dossier.

1. Secretaries-General, Heads of Offices, and Officials of bodies within the meaning of § 3 paragraphs 2 and 3 of the Archives Act regulate the jurisdiction, structure, and procedure of record management. They are responsible for ensuring that staff handle documents in a legally compliant manner.

2. They

a) establish processing and access rights for all documents;

b) issue additional organizational regulations where necessary.

3. All persons entrusted with the fulfillment of public duties of the Canton are obliged to maintain proper record management.

1. The state archive is the competence center for the cantonal administration concerning records management.

2. It

a) creates guidelines for records management;

b) advises those responsible for records management;

c) offers training in records management.

1. The record-keeping personnel shall store the documents using common file formats and recording media.

2. For the paper-based storage of documents, archivally stable, acid-free paper must be used.

3. The technical means must

a) meet the security requirements, particularly in the areas of IT security and data protection;

b) ensure the integration of documents from phased-out systems; and

c) guarantee the transfer into a long-term archiving system.

4. Electronic data must not be encrypted when being transferred to the state archive.

1. The State Archive establishes the archive-suitable standards for the permanent archiving of electronic records and converts common file formats into archive-suitable formats.

1. Upon the expiration of the retention periods, documentation worthy of archiving is to be delivered in physical (paper form) or electronic form.

2. Descriptive elements (metadata), which are available in electronic or physical form, are to be offered to the archive simultaneously.

1. The introduction of business management systems at directorates and offices shall be carried out in consultation with the State Archive.

2. If additions are necessary in existing databases and specialized applications for the implementation of the regulation, they shall be planned and implemented.

3. The State Archive shall issue directives for the delivery of data in electronic form.

1. The Regulations of the Government Council on the Registration and Archiving of Administrative Records of March 19, 1951, along with the associated Archive Plan, shall be repealed as of May 31, 2012.

1. The regulation shall enter into force on June 1, 2012.