Towards a new working method: from central filing to information governance
- 1. ｜0｜ Gustavo Castaner Towards a new working method From central filing to information governance SIO Meeting, Frankfurt, 11 June 2015 Council of the European Union General Secretariat Directorate-General F, Communication and Document Management Directorate 2, Document Management Unit 2 B, Records Management and Central Archives 22 May 2015
- 2. ｜1｜ Structure • Presentation of the Council as institution • From DFM to KIG • Archives digitisation & Research
- 3. ｜2｜ • The General Secretariat of the Council (GSC) is the body of staff responsible for assisting 2 EU institutions: – the European Council – the Council of the EU, including its presidencies, the Permanent Representatives Committee (Coreper) and the other Council committees and working parties The GSC, a Secretariat serving two institutions
- 4. ｜3｜ • Institutional role – Adopts legislative acts (Regulations, Directives, etc.), in many cases in "co-decision" with the European Parliament; – Helps coordinate Member States' policies ; – It develops the common foreign and security policy, on the basis of strategic guidelines set by the European Council; – Concludes international agreements on behalf of the Union; – Adopts the Union's budget, together with the European Parliament. The Council of the European Union (I)
- 5. ｜4｜ • “Hybrid” Structure. Member States Government Representatives + General Secretariat of the Council (GSC) • Administration: – 1 Secretary General: Uwe Corsepius (since December 2009). Jeppe Tranholm- Mikkelsen (since July 2015) – 7 Directorates-General + Legal Service – 3.200 staff, nearly half of them translators and interpreters The Council of the European Union (II)
- 6. ｜5｜ • The European Council defines the general political direction and priorities of the European Union. With the entry into force of the Treaty of Lisbon on 1 December 2009, it became an institution. Its President is Donald Tusk. • The European Council consists of the Heads of State or Government of the Member States, together with its President and the President of the Commission. The High Representative of the Union for Foreign Affairs and Security Policy takes part in its work. • The European Council meets twice every six months, convened by its President. When the situation so requires, the President will convene a special meeting of the European Council. The European Council
- 7. ｜6｜ • The Council has been traditionally the most conservative of the three main EU institutions • Since the 50s the archives of the institution were managed through a central filing method, revamped in 1997 A very conservative environment
- 8. ｜7｜ • Modern recordkeeping requirements and peer pressure (the Commission has developed a complete records management program since 2002) has forced the GSC to acknowledge the need to change the working method Need to align with international standards and best practices
- 9. ｜8｜ • All the debate on the need for a records management policy at the Council has been tinged by the so perceived unique nature of the Council’s documents: the so called decisionmaking documents (ST,PE,CM) that have been traditionally considered as the “true” documents of the Council in its legislative role in the framework of the Codecision Procedure Our specificity: Council Decisionmaking documents
- 10. ｜9｜ • In the GSC the modernization effort has been led by the Policy DGs (5 out of the total 8 that deal with the core business of the house, Council Decision Making). Together with IT and official document production and distribution they have developed since 2010 CODEMAP, an ambitious portfolio of projects aimed at improving document management. A modernization effort led by the Policy DGs
- 11. ｜10｜ • Since 2013 a renewed debate has taken place about the scope and limitations of the CODEMAP approach. • The result of this debate was the denomination change to DFM (Document and File Management) with an enlarged perimeter covering all files and documents managed by the GSC, not just those handled by the Policy DGs From CODEMAP to DFM Document and File Management Approach Council Decision Making Process Approach POLICY ADMINISTRATION
- 12. ｜11｜ • The first result of the DFM initiative, after a lengthy discussion, has been the drafting of a Policy on Document and File Management for the whole GSC. It is the equivalent of the Commission Decision 2002/47, that launched the whole e-Domec project The DFM Policy
- 13. ｜12｜ • Since May 2015 several units of 3 Policy DGs will conduct a pilot test of a new document management IT tool called Agora, focused on production and distribution of CDM files • Agora functionalities are still fairly limited and will have to be developed to cover the document lifecycle Agora Pilot
- 14. ｜13｜ 1. SUPPORT DECISION MAKING 2. PROVIDE LEGAL, POLICY & PROCEDURAL ADVICE 3. GOVERNANCE, COORDINATION AND MANAGEMENT 4. RELATIONS WITH THE HOST-STATES, OTHER INSTITUTIONS AND BODIES ; LITIGATION 5. ORGANISE MEETINGS AND EVENTS 6. LINGUISTIC SUPPORT 7. COMMUNICATION 8. FINANCIAL RESOURCES MANAGEMENT 9. HUMAN RESOURCES MANAGEMENT 10. KNOWLEDGE AND INFORMATION MANAGEMENT 11. FACILITY MANAGEMENT AND OPERATIONAL SERVICES • During 2014 a Filing Plan Task Force produced a first draft of the three first levels of a corporate functional filing plan. • As part of its reflection, the Task Force urged for the central coordination of the parallel strands that had been typical of the CODEMAP project Filing Plan Filing Plan main Headings
- 15. ｜14｜ • As part of the debate on the DFM Policy, responsibility for lead and implementation of the DFM initiative switched from high-level Steering Committee to DG F • DG F has created a Knowledge and Information Team (KIT) to provide the necessary vision and coordination for all DFM efforts with conceptual work on process architecture, records management, training, communication and research Governance change and central coordination
- 16. ｜15｜ • Current approach very much focused on documents – Still appropriate? • New information consumption and creation behavior – Consequences for our administration? • Increasing mobility – What about the amassed knowledge? • Digital information – How to preserve our institutional memory? We need new concepts/ideas/approaches to meet our objectives and fulfil our legal obligations From DFM to KIG
- 17. ｜16｜ • From the Archives we propose the filing plan as a tool for interoperability and filing consistently across specific business systems: AGORA for Policy DGs, SYSPER for HR, SAP for Finance, SharePoint… Our IT Vision IT Tool (Filing Plan + Retention) POLICY ADMINISTRATION
- 18. ｜17｜ • We aim at January 2016 to stop creating central files and move to a proper records management system • The main responsibility of the RMCA unit will be supporting this transition. Further development of the filing plan and drafting retention schedules will be two main elements of this process From central filing to records management
- 19. ｜18｜ Archives’ digitisation & Research Status & Perspectives • Digitisation from microfiches o Feasibility study o Logistics / budgeting o Framework Contract UCA 004/08 & UCA 065/10 (2009-2013) o Digitisation at contractor premises o Historical collections: 1952-1974 • Digitisation from paper originals o Application development start 2012 o Digitisation at Council premises o Historical collections: from 1975 on, enlargements, …
- 20. ｜19｜ Archives’ digitisation & Research Status & Perspectives • Equipment • Interoperability • Security & safety management • Storage management • Use of international standards • Quality management • Human Resources • Costs
- 21. ｜20｜ Archives’ digitisation & Research Status & Perspectives • Cooperation with IT/technical services • Legal obstacles • Digital preservation & planning • Online access
- 22. ｜21｜ Archives’ digitisation & Research Status & Perspectives • Inventories • Search engine • Historical notices • Technology expectations • Intuitive & easy tools • Online access generation ?
- 23. ｜22｜ • As you have seen by this presentation, the RMCA unit has many fronts opened, but looks optimistically to an increasing engagement and importance of records management and archives in the GSC. • Best practices in peer organizations are good guidance to achieve optimal results with the resources available A landscape in transformation
- 24. ｜23｜ • Gustavo Castaner gustavo.castaner@consilium.europa.eu Thanks for your attention!
Editor's Notes
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