1. IWG - Rundbrief Wissenswertes rund um das Informationsweiterverwendungsgesetz Eine Veröffentlichung der Online Consultants International GmbH zur Umsetzung des Informationsweiterverwendungsgesetz in Deutschlland Sonderausgabe Juli 2007 Inhalt/Contents: Part 1: PSI in Germany – Legislation, Markets and Problems Part 2: Locating PSI in Germany – Current Situation Part 3: Records Management and E-Government in Germany Part 4: Unlocking PSI Potential in Germany – A Road Map? Impressum/Imprint An Overview of PSI Developments in Germany Presented by Michael Fanning, Online Consultants International GmbH, Karlsruhe at the ePSIplus Thematic Meeting on Information Management and Data Standards held in London on 5th July 2007.

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3. ePSIplus Thematic Meeting 5th July 2007 London, UK An Overview of PSI Developments in Germany Information Management and Data Standards Michael Fanning Online Consultants International GmbH Unterreut 6 D-76135 Karlsruhe Tel. +49-721-9212-909 Fax +49-721-9212-913 [email_address] http ://www.oci-gmbh.com

4. Contents Part 1: PSI in Germany – Legislation, Markets and Problems Part 2: Locating PSI in Germany - Current Situation Part 3: Records Management and E-Government in Germany Part 4: Unlocking PSI Potential in Germany – A Road Map?

7. The Informationsweiterverwendungsgesetz (IWG) in Context Note: The situation regarding both specialist and general rights of access to official information has improved dramatically over the last 5 years. However, the IWG (circled in red ) does not itself provide a right of access to official information. Rather it assumes that a right of access to official information has been provided for by FOI legislation already in place. Only eight of the sixteen Federal States have so far enacted FOI-legislation.

8. PSI Markets: Legal and Regulatory Information – An Overview Sources Intermediaries End-users Federal Government Federal State Government Federal Courts Local Public Administration Federal State Administration Federal Administration Lawyers & Legal Departments Federal State Courts Legal Publishers („Black letter law“) Other Federal Institutions Companies & Lawyers Legal Publishers („Regulatory“) Local Public Administration Academia

13. Contents Part 1: PSI in Germany – Legislation, Markets and Problems Part 2: Locating PSI in Germany - Current Situation Part 3: Records Management and E-Government in Germany Part 4: Unlocking PSI Potential in Germany – A Road Map?

16. Publication requirements under § 11 IFG (Federal FOIA) http://www.gesetze-im-internet.de/ifg/index.html § 11 IFG – Veröffentlichungspflichten (1) Die Behörden sollen Verzeichnisse führen, aus denen sich die vorhandenen Informationssammlungen und -zwecke erkennen lassen. (2) Organisations- und Aktenpläne ohne Angabe personenbezogener Daten sind nach Maßgabe dieses Gesetzes allgemein zugänglich zu machen. (3) Die Behörden sollen die in den Absätzen 1 und 2 genannten Pläne und Verzeichnisse sowie weitere geeignete Informationen in elektronischer Form allgemein zugänglich machen. § 11 IFG - Publication duties (1) Public authorities shall maintain directories out which the currently existing corpus of information and its purpose may be identified. (2) Organisational and filing plans that do not contain personal data are to be made generally available according to the terms of this Act. (3) Public authorities should make the plans and directories mentioned in (1) and (2) along with other appropriate information generally available in electronic form. Practical arrangements closely bound to the IWG (2)

19. Practical arrangements loosely bound to the IWG (1) PSI Internet Portals in Germany (1) Under the auspices of the Federal Ministry for Economics and Technology ( Bundesministerium für Wirtschaft und Technologie – BMWi) the following Internet Portal has been compiled and is now regularly available from the Portal bund.de maintained by the Bundesverwaltungsamt (BVA). Übersicht über Internetportale für Informationen öffentlicher Stellen (Overview of the Internet Portals for Information from Public Sector Authorities) Einführung I. Themenübergreifende Informationsportale II. Geografische Informationen III. Umweltinformationen (inkl. meteorologische Informationen) IV. Wirtschaftsinformationen V. Informationen zu Technik, Materialforschung, Gefahrstoffen, etc. VI. Informationen zu Medizin und Lebensmittelsicherheit VII. Transport- und Verkehrsinformationen VIII. Informationen zu Tourismus und Freizeit IX. Landwirtschaftliche-, Forst- und Fischereiinformationen X. Informationen zum Rechtssystem XI. Informationen zu Steuern und Verwaltung Link: http://www.bund.de/nn_411460/DE/BuB/A-Z/I-wie-Internet/Informationsweiterverwendung/Internetportale-seite.html

20. Practical arrangements loosely bound to the IWG (1) PSI Internet Portals in Germany (2) 1. Note the disclaimer in the introduction to the Internet Portal….. „ Einführung Auf dieser Seite geben wir Ihnen einen Überblick über wichtige Internetportale, die für die Weiterverwendung von Informationen öffentlicher Stellen zur Verfügung stehen. Weiterverwendung bedeutet in diesem Fall jede Nutzung von Informationen, die über die Erfüllung einer öffentlichen Aufgabe hinausgeht und in der Regel auf die Erzielung von Entgelt gerichtet ist. Die Entscheidung, ob und welche Informationen tatsächlich im Sinne des IWG weiterverwendet werden dürfen, trifft die öffentliche Stelle, die die Information zur Verfügung stellt. Die Aufstellung in dieser Liste bedeutet nicht, dass alle in den jeweiligen Portalen aufgeführten Informationen auch weiterverwendet werden dürfen. Sofern sich dies nicht schon aus dem Internetportal ergibt, ist dies bei der jeweils herausgebenden Stelle zu klären.“ (Emphasis added) 2. Note the variance of the Portals in terms of their scope and objectives….. Compare, Legal information Portal – http://www.justiz.de with the Geoinformation Portal – http://www.geodatenzentrum.de

21. Practical arrangements – Internet Portal: Legal information http://www.justiz.de Comment: The Justizportal gathers references to the JustizPortale of the Federation (Bund) and Federal States into one (electronic) location. The Justizporta l does not give a complete indication of the legal material held by the public authorities. The Justizportal does not offer a means with which information can be ordered online. Note: For the “Gesetze-im-internet” primary legal information offering, produced in co-operation with juris GmbH the following qualification applies „Gesetze im Internet“ ist als Datenbank im Sinne der §§ 87a ff. UrhG geschützt“. This has the effect that private and academic use is OK but commercial re-use is not allowed. This is implied but not said. Practical arrangements loosely bound to the IWG (1)

22. Practical arrangements – Internet Portal: Geoinformation http://www.geodatenzentrum.de Practical arrangements loosely bound to the IWG (2) Comment: Produced by the Federal Office for Cartography and Geodesy (Bundesamt für Kartographie und Geodäsie - BKG) The GeoDatenZentrum portal is a cooperative venture between the Federation and the 16 Federal States. (See BT-Drs. 15/5834) The Federal Office for Cartography and Geodesy has also instituted a meta-data information system with a view to easing the search for geo data. Information can be sought and ordered online.

23. Contents Part 1: PSI in Germany – Legislation, Markets and Problems Part 2: Locating PSI in Germany - Current Situation Part 3: Records Management and E-Government in Germany Part 4: Unlocking PSI Potential in Germany – A Road Map?

25. 17th - 19th Century Over this period records management evolves as an organised and self-contained activity. The records manager in a public authority was typified by the Registrator who maintained the log book of daily business (Geschäftstagesbuch). 1920’s Office administration reforms led to a simplification of administrative processes. The position of the Registrator was phased out and not replaced. Instead public officials themselves were tasked with processing records. Local processing of records i.e. directly at the workplace was facilitated by reference to an Aktenplan (a classification of matter by subject) and the Aktenverzeichnis (a directory indicating where the files i.e. Akten were located). The file referencing system at this time also included the directory of departments or Geschäftsverzeichnis which effectively linked files to a department or Geschäftsstelle within the public authority. 1964 Reforms which started in 1964 began a movement towards the consequent and differentiated creation of subject related filing ( Sachakte ), the registration of files in the file register and the removal of the log book of daily business (Geschäftstagesbuch). The effect of these reforms had become general practice by mid to end 1980s. Records Management in Germany: Key Historical Developments (1)

26. 1995 The reforms of 1964 were formerly entrenched and recorded in the Joint Rules of Internal Procedure of the Federal Ministries ( Gemeinsame Geschäftsordnung der Bundesministerien - GGO I ) which was first issued in 1995. Appendix 1 of the GGO 1 is the Registraturrichtlinie – RegR which details the rules and regulations concerning records management. 2000 The Joint Rules of Internal Procedure of the Federal Ministries ( Gemeinsame Geschäftsordnung der Bundesministerien - GGO II ) was re-issued in 2000 and the Registraturrichtlinie – RegR was republished in 2001. Comment Seen historically there is a noticeable pendulum swing – in a single organisation – between the central and/or locally placed responsibility for records management. That the pendulum is still swinging is shown by the following……. Bundesarchiv Behördenberatung – Elektronische Akten (BBeA) At a recent workshop in Coblenz (9th May 2007) Burkhart Reiß of the Bundesarchiv emphasised the need for specialist knowledge in public administration in the era of “Google”. He also described the “Aktenplan” as a fundamental instrument of modern knowledge management . GENIOS GENIOS advertises with “Lieber für GENIOS zahlen, als umsonst googeln”. Records Management in Germany: Key Historical Developments (2)

27. Records Management in Germany: Rules and Regulations…(1) 1995 GGO I Joint Rules of Internal Procedure of the Federal Ministries (Gemeinsame Geschäftsordnung der Bundesministerien) RegR Registraturrichtlinie (Appendix 1 in the GGO I) 2000 GGO II Joint Rules of Internal Procedure of the Federal Ministries (Gemeinsame Geschäftsordnung der Bundesministerien) RegR Registraturrichtlinie was extended to the „Richtlinie für das Bearbeiten und Verwalten von Schriftgut (Akten und Dokumenten) in Bundesministerien (Registraturrichtlinie)“. This new 2001 version of the Registraturrichlinie was not just for the Federal Ministries but acted also as an indicator i.e. Leitlinie for their Federal sub-departments of the Federal Ministries. It laid down the rules and regulations for digital processing of the processes in the Federal Administration. (Note that not just the general movement towards egovernment but also the specific German problem of the division of administrative competences between Bonn and Berlin played an important role here.)

28. Records Management in Germany: Rules and Regulations…(2) 2001 DIN ISO 15489 Schriftgutverwaltung Shortly after the revised Registraturrichtlinie was newly published the internationale Norm ISO 154892 Records Management was published and was taken over in its entirety to become the German Norm DIN ISO 15489 „Schriftgutverwaltung“ (records management) that appeared in December 2002. Although general in character, the Norm emphasises the requirement for records management as well as for initial and further education. 2005 DOMEA® Organisational Concept 2.0 Conceived originally in 1999 as a concept for the paperless office, the DOMEA® Concept has evolved over the intervening years to become a quasi-standard for electronic records management in public administration at the Federal, Federal State and local authorities’ level. Developed in close cooperation with the Competence Centre: Workflow Management, Processes and Organisation (CC VBPO) of the Federal Office of Administration (Bundesverwaltungsamt) the DOMEA® Concept has incorporated the new rules and regulations of the revised version of the Joint Rules of Internal Procedure of the Federal Ministries (GGO II) as well as the egovernment initiatives BundOnline2005 and Deutschland Online .

29. 2006 XDOMEA 1.0 http://www.xdomea.de http://www.koopa.de/produkte/XDOMEA/index.html Developed by Cooperative Committee on the Automation of Data Processing (Kooperationsausschuss Automatisierte Datenverarbeitung - KoopA ADV) and first published in 2005, XDOMEA is an XML Schema that enables the interchange of records between different public authorities using different process management systems (Vorgangsbearbeitungssysteme - VBS). The first trial of the XDOMEA XML schema was successfully concluded between differing public authorities from the Federal State of Brandenburg in 2006. In this first version XDOMEA only facilitates the exchange of records, their position in the process (Vorgänge), documents involved in the process and their metadata. XDOMEA 1.0 however, does not support processing independently of the public authority or the process management systems used by the public authority. This will be addressed in XDOMEA 2.0 which is due for release in 2007. Other XML schema currently being developed and tested include,  xMeld (i.e. Meldung – covering official registrations)  xJustiz (i.e. Justiz – covering the exchange of legal documents)  ebXML (i.e. electronic business XML – covering business processes)  OASIS (i.e. structured information standards) Records Management in Germany: …Schemas and Standards(1)

30. DOMEA® Organisational Concept – Meta-data Catalogue Records Management in Germany: …Schemas and Standards(2) Link: http://www.kbst.bund.de/cln_046/nn_838518/SharedDocs/Anlagen-kbst/Domea/erweiterungsmodul__aussonderung__und__archivierund__elektronischer__akten__pdf,templateId=raw,property=publicationFile.pdf/erweiterungsmodul_aussonderung_und_archivierund_elektronischer_akten_pdf.pdf Comment: In 2004, the DOMEA® Organisational Concept issued a meta-data system for use in the processing of electronic files i.e. “Vorgangsbearbeitungssystem” (VBS). The meta-data catalogue issued as a recommendation has met with mixed responses from public authorities that have tried to implement it. Reference: Erweiterungsmodul Nr. 4 zum DOMEA-Organisationskonzept "Aussonderung und Archivierung elektronischer Akten„. (See „Link“ below).

31. BundOnline 2005 http://www.bundonline2005.de On 18th September 2000, Federal Chancellor Gerhard Schröder launched the eGovernment initiative BundOnline 2005, with which the German Federal Government undertook to render online all Internet-compatible services of the Federal Administration by the year 2005. A Final Report following the conclusion of the initiative BundOnline 2005 was published on 24th February 2006 and is available along with other background material from the website given above. DeutschlandOnline http://www.deutschland-online.de In June 2003, the then Federal Government and the Minister Presidents of the Federal States agreed a joint eGovernment strategy for Germany. The goal was to employ information technology to simplify and automate administrative processes with a view to creating a more efficient administration. An administration that would operate across the Federation, the Federal States and local authorities. The task involved establishing inter-operability between heterogenous IT systems distributed across the Federal Authorities, 16 different Federal States, 300 counties and 13,000 local authorities (Kommunen). Such inter-operability could only occur where the prescription of software was avoided and instead transparency encouraged as well as the adherence to process models. Following the change of government in late 2005,the Federal Chancellor Dr. Angela Merkel together with the Minister Presidents of the Federal States reconfirmed their commitment to the initiative DeutschlandOnline and on 22nd Juni 2006 agreed an "Aktionsplan DeutschlandOnline„. The main focus of the Aktionsplan was to establish a secure communications network for the entire public administration in Germany. eGovernment Developments: Overview (1)

32. E-Government 2.0 http://www.egov2.de http://www.verwaltung-innovativ.de/ Drawing upon the Action Plan E-Government of the European Initiative i2010 and upon experience gained through the BundOnline 2005 and DeutschlandOnline programmes, the German Federal Government agreed the Programm E-Government 2.0. on 13th September 2006. The E-Government 2.0. programme will concentrate of that part of the government‘s strategy aimed at developing a future orientated public administration through innovation. The implementation of the programme will be carried out by all the Federal institutions with the Federal Ministry of the Interior in the leading role. On 28th February 2007, the Federal Cabinet agreed the Implementation Plan 2007. This Plan gives effect to the E-Government 2.0 programme for which 25 model projects have been announced. These projects will form the basis of the government‘s service orientated approach. At the same time the Implementation Plan 2007 was announced, the Federal Cabinet also tasked the Federal Ministries to implement the resolution of the First National IT-Summit and to do so, so that all administrative dealings with commerce will be conducted electronically by 2012. eGovernment Developments: Overview (2)

33. Bundesministerium des Innern KBSt Koordinierungs- und Beratungsstelle der Bundesregierung für Informationstechnik in der Bundesverwaltung http://www.kbst.bund.de/cln_046/Content/Home/homepage.html__nnn=true The Federal Government Co-ordination and Advisory Agency for IT in the Federal Administration (KBSt) was founded in 1968. Located within the Federal Ministry of the Interior, the KBSt is an inter-ministerial agency of the Federal Government intended to ensure that the federal administration optimizes its use of information technology for specific fields and in organisational, economic and technical terms. The KBSt's current work rests on the "Guidelines for IT Use in the Federal Administration" adopted by the Cabinet in 1988. Kooperationsausschuss Automatisierte Datenverarbeitung (KoopA ADV) Bund / Länder / Kommunaler Bereich http://www.koopa.de Active since 1970, the Cooperative Committee ADV (Der Kooperationsausschuss ADV - KoopA ADV) which is made up of Federal bodies, representatives of the Federal States as well as Local Authority Associations is the only forum of its kind for discussing ICT issues in the public sector and for laying down basic principles. A particular strength of the KoopA ADV is the opportunity it offers representatives of the Federal States and Local Authority Associations to contribute on matters concerning IT in the public sector as a whole as well as on the intentions in this respect of the EU. eGovernment Developments: Institutions and Organisations (1)

34. Bundesverwaltungsamt Bundesstelle für Informationstechnik (BIT) CC VBPO http://www.bva.bund.de/cln_046/nn_681666/SubSites/BIT/DE/Beratung/CC__VBPO/node.html__nnn=true The Competence Centre: Workflow Management, Processes and Organisation (CC VBPO - (Kompetenzzentrum Vorgangsbearbeitung, Prozesse und Organisation) was created to support the BundOnline 2005 egovernment initiative. It is part of the consultancy services provided by the Federal Office of Administration (Bundesverwaltungsamt) and provides support in process analysis and optimisation as well as in introducing workflow and document management systems. eGovernment Developments: Institutions and Organisations (2)

35. Bundesarchiv Bundesarchiv Behördenberatung – Elektronische Akten (BBeA) http://www.bundesarchiv.de/service/behoerdenberatung The BBeA was set up on 7th March 2006. Its mission is to advise the Federal Authorities on all aspects relating to the introduction of electronic filing and to provide practical assistance in the migration of an essentially paper based records and process management to a digital records and process (Vorgang) management. Practical help is available in the form of Workshops the most recent being „Der Aktenplan – Rückgrat der elektronischen Vorgangsbearbeitung“ and tools such as checklists. Relevant to the presentation is a survey the BBeA conducted in the middle of 2006 on the use of electronic means in the records management systems of the Senior Federal Authorities. In all,78 Authorities replied, 14 (of 19) Senior Federal Authorities; 39 (of approx. 80) sub-departments of the Federal Ministries and 23 (of ???) various Federal Authorities. While there is a noticeable trend towards electronic support the systems used are diverse, and include MS-Access databases, DOMEA® WinDesk (the software not the concept), Fabasoft and DORiS. The survey indicated that usually a basic version of the IT-system is acquired and then adapted to the needs of the Federal Authority. The survey also revealed a mixture of contacts in the authorities. Not all of them were connected with records management (Schriftgutverwaltung). Many were from IT or from departments whose task it is to look after the internal organisation. eGovernment Developments: Institutions and Organisations (3)

36. Contents Part 1: PSI in Germany – Legislation, Markets and Problems Part 2: Locating PSI in Germany - Current Situation Part 3: Records Management and E-Government in Germany Part 4: Unlocking PSI Potential in Germany – A Road Map?

37. Unlocking PSI Potential in Germany – A Road Map? Requirement 1: Get on the Autobahn and avoid the motorway! Germany needs to develop its own IFG/FOI and IWG/PSI path. The experience of other Member States provides useful indicators but their experience is not necessarily transferable to Germany. 2000 2009 2008 2006 2004 2003 2002 2001 2005 2007 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 Federal IFG enters into force IWG enacted and enters into force Federal IFG enacted FOIA enacted FOIA Enters into force Publication schemes due by June 2003 FOIA 2000 Preparation phase PSI Regulations enacted and entered into force „ Die Autobahn“ „ The motorway“ ?

38. Unlocking PSI Potential in Germany – A Road Map? Requirement 2: Get a map or better still make one! There are a lot of actual or potential PSI stakeholders in Germany. They need to be identified, their concerns, requirements and wishes articulated and given a common forum for further development.

39. Unlocking PSI Potential in Germany – A Road Map? Requirement 3: Get a direction, preferably a strategic direction! The PSI journey in Germany needs direction. The direction will become clear when the objectives are known. PSI stakeholders need to define goals and to be able to articulate their collective benefits but equally be clear about the consequences of failing to reach them. Rather than this ….. … .. go for this !

41. IWG-Rundbrief Wissenswertes rund um das Informationsweiterverwendungsgesetz Herausgeber: Online Consultants International GmbH oci Wissensdienste Unterreut 6 76135 Karlsruhe Tel: 0721-92 12- 909 Fax: 0721-92 12- 913 E-Mail: [email_address] Internet: www.oci-gmbh.com Redaktion: Michael Fanning (verantwortlich). Die mit dem Namen des Verfassers oder seinen Initialen gekennzeichneten Beiträge stellen die Meinung des Verfassers dar, aber nicht unbedingt die Ansicht der Online Consultants International GmbH. Abonnementverwaltung Elisabeth Reuter ( [email_address] ) . Erscheinungsweise: Der IWG-Rundbrief wird 6mal pro Jahr kostenlos als PDF-Datei herausgegeben und steht allen registrierten Organisationen oder Personen zur Verfügung. Wenn Sie den IWG-Rundbrief regelmäßig erhalten wollen, senden Sie bitte eine E-Mail an [email_address] . Sonderausgaben zu bestimmten Themen erscheinen zusätzlich zu den regelmäßigen Ausgaben. Wenn Sie den IWG-Rundbrief in Zukunft nicht mehr erhalten möchten, senden Sie einfach eine E-Mail an [email_address] . Für Fragen und Kommentare zögern Sie bitte nicht, uns direkt per E-Mail unter [email_address] oder per Telefon unter 0721-92 12-909 zu kontaktieren. Urheber- und Verlagsrechte: Der IWG-Rundbrief und alle in ihm enthaltenen Beiträge und Abbildungen sind urheberrechtlich geschützt. Mit Ausnahme der gesetzlich zugelassenen Fälle ist eine Verwertung ohne Einwilligung der Online Consultants International GmbH unzulässig. ISSN 1864-4996 Impressum