Decision of the Governing Council on the Retention and Archiving of Data (StKB AAD) - Purpose (STKBAAD)

1. This resolution governs the retention and archiving of data, as well as the responsibilities related thereto.

2. The purpose of this regulation is to ensure the traceability of governmental actions, facilitate continuous administrative management, and sustainably secure the transmission of the historical and cultural heritage in the canton.

**1. This Decision applies to the canton, the districts, the municipalities, public-law corporations, public-law institutions of cantonal bodies, and other entities insofar as they perform public functions. It does not apply to the Appenzeller Cantonal Bank.**

**2. Deviating provisions regarding retention and archiving according to superior law and other enactments remain reserved.**

**3. For the courts and conciliation authorities, this Decision applies accordingly, unless the court presidencies establish differing regulations.**

1. Data is defined as analog and digital units of information that exist in various formats as numbers, texts, images, video, or audio files.

2. Business-relevant data contains information necessary for understanding, executing, and tracing a business transaction.

3. Centrally incoming dispatches are dispatches received via the orderly and support services.

4. Retention refers to the filing and maintenance of data by the responsible entity for the business process.

5. Archiving refers to the permanent, indefinite-term retention and proper preservation and accessibility of legally or historically significant data by archives.

6. Archival records are defined as data preserved for the purpose of permanent archiving in the state archives or an archive approved by the state archives. Data returned or discarded by the state archives or an archive approved by the state archives is not considered archival records.

1. The entities responsible for the storage of data are those to which the respective transactions are assigned.

2. If multiple entities are involved with the same transaction, the entity with primary responsibility for the subject matter is accountable for data storage. In case of doubt, they must agree on the responsibility for the storage. To the extent that other entities also store data, the provisions regarding secure storage also apply to them.

1. Business-relevant data must be retained.

2. The retention must be systematically organized, typically in electronic files or paper files, appropriately and securely.

3. Furthermore, the retention must be carried out in such a manner that the confidentiality, availability, integrity, and traceability of the data are ensured.

4. The State Archive may issue directives for retention to ensure a structured and complete archiving at a later date.

1. The retention period is 10 years, unless there are different instructions or statutory periods.

2. The retention period generally begins with the conclusion of the transaction.

3. The responsible entities report deviations in retention periods and start dates to the Council Chancellery. The Council Chancellery maintains a list of these deviations.

1. For storage, either the digital primacy or the paper primacy applies.

1. The digital primacy applies to the cantonal administration.

2. The Cantonal Council can establish paper primacy for positions within the cantonal administration, especially if

a) superior regulations prescribe retention in paper form;

b) specialized applications for the secure retention of electronic data are lacking;

c) circumstances or conditions exist that complicate or prevent electronic data retention.

3. For public-law institutions as well as other corporate bodies and legal entities under cantonal law, paper primacy applies. They can independently switch to digital primacy if the necessary prerequisites are met.

4. If cantonal tasks are performed by third parties, particularly other cantons, the primacy for retention is governed by the applicable law for the third party.

1. In the case of paper primacy, data is generally retained in paper form.

2. Electronically generated or received data must be filed in paper form, provided that it is possible with reasonable effort. If this is not done in justified cases, the storage location of the electronic data must be noted in the paper dossier using a placeholder.

1. Under the digital primacy, data is generally stored electronically.

2. Data in paper form must generally be converted into electronic format and stored electronically. If deviations occur in justified cases, a placeholder must indicate the paper data in the electronic dossier.

1. The usual form of transferring data from paper to electronic format is scanning. In special cases, other procedures may be used.

2. If the paper document is destroyed after being transferred to electronic format, this is referred to as substitutive scanning.

3. When transferring data from paper to electronic format, it must be ensured that the electronic document matches the paper document. Additionally, it must be ensured according to the state of the art that changes to the electronic document are detectable and traceable.

4. The technical and organizational requirements for the transfer to electronic format and the electronic storage are determined by the Professional Commission in a directive.

1. Incoming mail received centrally is opened, scanned, and electronically assigned by the Messenger and Support Service.

2. Excluded from scanning by the Messenger and Support Service are deliveries to the following entities

a) Courts;

b) Land Registry and Inheritance Office;

c) Commercial Registry Office;

d) Cantonal Police;

e) Cantonal Insurance Fund of Appenzell Innerrhoden;

f) Public Prosecutor's Office;

g) Tax Administration in the area of tax declarations;

h) Road Traffic Office.

3. Centrally incoming mail for entities that are exempted from scanning by the Messenger and Support Service will be delivered physically unopened to the appropriate entities. These entities are responsible for the opening, scanning, and electronic assignment.

4. Mail received directly by the entities may be submitted to the Messenger and Support Service for scanning and electronic assignment. This does not apply to mail addressed to entities that are exempt from scanning by the Messenger and Support Service.

1. The following types of mail, particularly those received centrally and directly by the offices, shall be delivered physically without being opened

a) Mail that, based on its address or external appearance, is considered personal or confidential;

b) Election and voting envelopes;

c) Bids within the framework of public procurement procedures.

2. If it becomes apparent only after opening that the mail falls under paragraph 1, the mail will be resealed and delivered physically.

1. Central and directly received correspondence at the locations, which cannot be assigned due to the addressing and the external appearance, may be opened by the persons responsible for scanning to clarify. Correspondence according to Art. 12 para. 2 will be resealed and physically delivered.

1. Objects and documents exempted from the obligation to digitize are those which, due to their properties, are unsuitable for digitization. These include, in particular

a) Newspapers and magazines;

b) Printed materials in special formats;

c) Oversized documents (larger than A3);

d) Bound documents;

e) Voluminous shipments.

2. These objects and documents are delivered physically to the competent authority.

3. If a shipment contains both documents and objects suitable for digitization and those that are unsuitable, the entire shipment is forwarded physically.

1. The paper documents must be physically stored in a secure location for at least 60 days after scanning. Upon expiration of this period, the entity responsible for scanning must ensure the confidential destruction of the paper documents.

2. The 60-day period does not apply to documents scanned by the departments responsible for the business. If the documents do not need to be retained in paper form, the confidential destruction of the paper documents can be initiated immediately.

3. Upon receipt of the scanned documents, the department responsible for the business shall assess whether the documents need to be retained in their original paper form and, if so, will promptly arrange for the physical forwarding of the paper originals by the scanning entity.

4. Documents must particularly be retained in paper form if

a) retention in paper form is prescribed;

b) they are needed to prove a legally significant matter, especially due to handwritten signatures;

c) their further use in proceedings is necessary;

d) they are to be returned to the sender or handed over to a third party, particularly enclosures submitted in the original;

e) the Grand Council requires a handwritten signature for them (Art. 11a para. 1 EG CC).

5. The Cantonal Commission shall establish detailed instructions regarding the temporary storage and destruction of the paper documents that have been scanned and electronically assigned.

1. The right of access to non-archived data is governed by the Data Protection, Information and Archives Act.

2. Requests for access to non-archived data are decided by the head of the holding entity.

3. For data that includes particularly sensitive personal data, the decision is the responsibility of the highest executive authority responsible for the entity, or, in cantonal institutions, the organization’s management.

1. Public law entities, corporations, institutions, and bodies responsible for public tasks are obligated to offer data to the State Archive when the retention period has expired, or the data is rarely needed in practical use.

2. The State Archive decides on the archival value of the data.

1. All data that is important for the long-term assessment of a public task must be offered. This is particularly assumed when the data

a) relate to the foundations of administrative work and political decision-making (e.g., protocols, resolutions, project descriptions);

b) document cantonal decrees (e.g., regulations including drafts and reports);

c) reflect the structure of the organization (e.g., staffing plan, job descriptions);

d) concisely represent the entity's own activities (e.g., annual reports);

e) document special occurrences;

f) have social or scientific significance.

2. As a rule, the following should not be offered to the State Archive in particular

a) Collections of official federal publications;

b) Collections of circulars from federal offices;

c) Duplicates of documents;

d) Non-binding offers, delivery notes, informational and promotional letters;

e) Invitations to conferences organized by others;

f) Accounting records.

3. The State Archive may determine or agree with the responsible bodies which data groups or data types are not to be offered to the State Archive.

1. The delivery of data must be registered.

2. Registration is done using an offer list. It can be carried out electronically.

3. The State Archive reviews the list, amends it, and returns it to the offering agencies.

4. The delivery is carried out according to this list.

1. The preparation of the delivery is the responsibility of the transferring offices and includes, in particular, the separation of documents not to be delivered and the correct labeling of physical containers and electronic files. Staples and file covers do not need to be removed from paper dossiers. Electronic data must not be encrypted when delivered to the State Archive.

2. The State Archive shall establish the necessary requirements for the preparation and delivery of data in a directive.

1. Data that does not need to be delivered to the State Archives will be disposed of or deleted, unless it must be retained for a certain period due to other legal requirements or administrative instructions.

2. The storage of data until delivery or of non-archivable data is not conducted at the State Archives. The State Archives may grant exceptions.

1. Responsibility for archiving lies with the State Archives.

2. It is under the direction of the State Archivist.

1. The State Archive ensures the permanent preservation of archival material for public access. It is responsible for the professional storage and accessibility of the archival material.

2. As part of its mandate, it particularly undertakes the following tasks

a) Advising the responsible entities on data handling and assisting with delivery;

b) Evaluation of data;

c) Decision on acquisition, disposal, or archiving;

d) Ensuring the accessibility of the archival material;

e) Promoting knowledge about the archival material;

f) Supporting and occasionally participating in the evaluation of archival material;

g) Collaboration with other archives and professional organizations;

h) Issuing user regulations for the State Archive.

3. For data without direct reference to a public task, typically only a classification at the inventory level is conducted; otherwise, the regulations for other archival material apply to these data as well.

1. The State Archive primarily serves the purpose of archiving data that has been created or received in the fulfillment of public duties.

2. It may also take over data for archiving that has been created or received without any connection to a public duty.

3. The acquisition of private archival materials is generally governed by contract.

4. The State Archive assumes the data according to the existing primacy and generally archives it under the same primacy.

1. The State Archive is open to the public within the framework of available reading spaces. Archival materials are available in paper form or electronic form. There is no entitlement to view the archival materials in a particular form. Use of the archives may be subject to conditions and restrictions for legal, technical, or conservation reasons.

2. Anyone who repeatedly violates the usage regulations or instructions of the State Archive may be excluded from further use of the archive.

3. Use of the archives is generally free of charge. Special services may be charged based on the effort involved.

1. Archival records no longer subject to a protection period are public.

2. The entity that delivered the archival records may inspect them at any time. However, the archival records may not be altered.

3. Decisions on requests for access to protected archival records by third parties are made by the State Archivist, or in the case of particularly sensitive personal data, by the State Commission.

1. If archival material is used for a publication, a complimentary copy must be submitted to the State Archive without being requested, and for non-printed works, an electronic copy must be provided.

1. Archival materials cannot be loaned out or released.

2. The State Archive decides on justified exceptions, for example for conservation or scientific purposes or for exhibitions.

1. If an individual disputes the accuracy of personal data in a specific archival record, they can request the addition of a note of dispute. The archival record must not be altered.

1. The State Archive may grant corporations, institutions, establishments, and other public task carriers the authority to independently archive. The obligations and rights derived from this decision are to be documented in a performance agreement.

2. The State Archive may issue directives for such archives and particularly determine what measures are to be taken to process and preserve existing or future data.

3. A protection period of 30 years applies to these archival materials, and for particularly sensitive personal data, a period of 90 years. The highest executive body of this corporation decides on third-party access requests.

4. If the archive is a state archive, the archiving, usage, inspection, and access rules applicable there shall apply.

1. The highest execution authorities determine when their offices will transition from the primacy of paper to the primacy of digital. From the point of transition, the primacy of digital applies to newly initiated transactions.

2. Transactions that are ongoing at the time of transition may continue in paper form or electronically. The heads of offices determine which form is authoritative for these transactions. If the primacy of digital is declared authoritative, data already collected on paper must be converted into electronic form by the conclusion of the transaction, but no later than one year after the transition. The office responsible for the transaction is accountable for this conversion. The provisions of this decision apply mutatis mutandis to the conversion. The Professional Commission will establish further details in a directive.

3. For transactions that are already concluded at the time of the transition, the primacy of paper remains in force. This also applies to data from concluded proceedings before lower instances, unless federal law dictates otherwise.