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Archival rules Sheet 1 /11

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Issued by: Type of act: Type of text: Entry into force of this version: This version valid until: Publication reference:

Archives rules

Adopted on 22 December 2011, No 181 RT I, 29.12.2011, 229

entry into force 1 January 2012

Amended by the following acts Adoption Publication Entry into

force 8.1.2015 RT I, 13.1.2015, 16 16.1.2015

25.5.2017 RT I, 31.5.2017, 7 3.6.2017

11.6.2020 RT I, 19.6.2020, 4 22.6.2020

7.7.2023 RT I, 14.7.2023, 3 17.7.2023

This Regulation is enacted on the basis of Section 13 of the Archives Act. [RT I, 14.7.2023, 3– entry into force 17/07/2023]

Chapter 1

General provisions § 1 The scope of the Regulation

(1) The Archives Code (hereinafter referred to as the Regulation) regulates and specifies the assessment of documents and the preservation of archives by bodies or persons performing public functions pending their transfer to the public archive, the procedure for the transfer of archives to the public archives, their preservation and protection in the public archives, and the organisation of access to them, including the issue of archives notices by the public archives.

(2) This rule applies to: 1) The National Archives; 2) municipal archives; 3) a body and a person performing a public task with regard to documents created or received in the exercise of a public task (hereinafter referred to as “the body”).

(3) A public museum or library of a legal or state or local government, an educational, research and development institution and a foundation holding a collection of documents or information of cultural and historical interest shall be governed by the rules to the extent laid down in the Archives Act, in accordance with the provisions of the law or the statutes or statutes of the institution. [RT I, 14.7.2023, 3– entry into force 17/07/2023]

§ 2 Glossary

(1) For the purposes of this Decision, the following definitions shall apply: 1) an archive is a complete set of documents of an institution or person; 2) the public archive is an archives institution within the meaning of the National archives and the archives of local authorities; 3) archives are created by an institution whose activities may give rise to archives.

(2) For the purposes of this Regulation, documents shall be understood to include archives, unless otherwise stated.

Chapter 2 Establishment of archives

§ 3 Principles of archives

(1) When establishing the archives, the authority shall proceed on the basis of: 1) the principle of origin, according to which the documents of one authority are the same; [RT I, 19.6.2020, 4– entry into force 22-06-2020] 2) the principle of respect for the original arrangements whereby the arrangements made by the

Full text of the Regulation of the Government of the Republic of 17 July 2023 Current RT I, 14.7.2023, 5

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archives in the course of the activities of the institution are maintained.

(2) When a function is transferred to another institution, the documents are attached to the archives of the other institution. The original origin of the documents and the time of merging must be traceable. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(3) An institution shall treat all its documents, including information contained in databases, irrespective of the medium in which they are stored, as forming part of a whole, that is to say, an archive.

(3 1) Information in databases proving facts or activities shall be treated as documents and archived parts of them shall be treated as archives. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(4) It shall keep and use the documents in a way that does not compromise their status or compromise their authenticity, reliability, integrity and usability. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(5) The holder of an archive shall ensure that the archive is used in such a way that it does not adversely affect the status of the archive or jeopardise its future preservation.

§ 4 Preservation of archives

(1) The documents shall be kept until the expiry of the retention period or until delivery to the public archive of the series resulting from the classification scheme. During the retention period or until the transfer to the public archives, the documents must be findable and accessible.

(2) The institution must have an overview of the composition of the archives. An overview of the composition of the archives shall include at least: 1) the title of the function; 2) the current and previous indication of the series, the name and the retention period; 3) a reference to the evaluation decision of the public archive, once the documents have been evaluated; 4) the quantity, titles, boundaries and locations of the files or other units composing the series; 5) a reference to the destruction certificate if the documents have been destroyed.

§ 5 Archive stability requirements

(1) When establishing, organising and maintaining archives, the institution shall use materials, formats and technologies that ensure that archives can be maintained and used for as long as possible. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(2) With the exception of archival datasets, the institution shall create archives in archive format. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(3) Information on permanent archive materials and technologies is provided by the National Archives. The archive formats are set out in Annex 1 to the Regulation. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

Chapter 3 Filing

§ 6 Filing plan

(1) An institution shall develop a classification scheme based on an analysis of its functions, structure and business processes and related operations in order to classify its documents.

(2) The classification scheme is a structured list of the functions and series of an institution and a framework for the inclusion and management of its documents and the creation of its archives. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(3) The classification scheme shall include at least: 1) the name of the function and its designation; 2) series names and their symbols;

3) a reference to the evaluation decision of the public archive at series or functional level; 4) a description of the key function (activities or business processes performed to perform the key function); 5) a mandate to perform the main function, i.e. a reference to the legal instrument(s); 6) the names and symbols of the main function series in the previous classification scheme, if different. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(4) [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

(5) A common classification scheme may be developed for institutions with similar functions.

§ 7 Classification scheme levels

(1) Classification chemistry levels are:

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1) function level; 2) series level.

(2) Sub-levels may be created at each level of the classification scheme.

(3) The name of the organisational unit of the institution may be provided at the function level of the classification scheme.

(4) SARI links documents with one or more identifiers. SARs shall be composed of the following characteristics: I) a set of data that can be identified and managed together; [RT I, 19.6.2020, 4– entry into force 22-06-2020] II) the type of document; [RT I, 19.6.2020, 4– entry into force 22-06-2020] 2) content or subject matter; 3) the function or work process(es) by which the documents are generated; 4) location in the information system; [RT I, 19.6.2020, 4– entry into force 22-06-2020] 5) storage and retention period; 6) access condition.

§ 8 Coordination of the classification scheme

(1) The archive maker shall submit the draft classification scheme or the draft amendment to the classification scheme to the public archive for approval before it is established. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(2) A draft classification scheme shall be submitted for approval where: 1) a new classification scheme shall be established; 2) additional series in the classification scheme resulting from a change in the archives’ functions or structure; 3) a series or sub-series containing an archivist is included in a series that does not contain an archivist; 4) a series of archives is divided into two or more series.

(3) In the course of coordination, the public archives shall: 1) verify that the classification scheme covers all functions and the documentation of functions of the archival producer; 2) where appropriate, make proposals to optimise the classification scheme; [RT I, 19.6.2020, 4– entry into force 22-06-2020] 3) check the references and validity of the evaluation decisions in the public archives. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(4) In the event of non-alignment of the classification scheme, the public archive shall provide a reasoned justification.

(5) The public archive may initiate an evaluation to identify the archives during the coordination of the classification scheme. The public archives shall inform the archives producer of the assessment initiated during the coordination of the draft classification scheme or the draft amendment thereto.

Chapter 4 Assessment of documentation

§ 9 Objectives of the evaluation

(1) Evaluation is a public archive activity aimed at discovering the archival value of documents.

(2) The evaluation will decide which documents form part of the national cultural heritage and are therefore permanently preserved as archives.

§ 10 Award criteria

(1) When assessing documents, the public archives shall: 1) the importance and position of the institution or individual in society and in the hierarchy of public administration; 2) the functions of the body or person and any other document context; 3) the research potential of documents; 4) the uniqueness and authenticity of the information contained in the documents; 5) the importance of documents in the exercise of official authority and the need to prove the rights or transactions of persons; 6) usability and relationship to other documents; 7) the time frame of the documents from which they originate or to which they relate; 8) the collection tradition; 9) the materials and formats used to create the documents; 10) the conditions of access; 11) the assessment of the value of the document by the institution or individual or social interest groups; 12) the resources necessary for the preservation of documents or the budgetary resources available to

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the public archives.

(2) [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

(3) The public archive may select samples by evaluation.

§ 11 Assessment roll-out

(1) The evaluation shall be carried out: 1) the identification of archives agents; 2) identification of archives; 3) depriving the archives of their archival value.

(11) The public archives manage and channel information on which institutions are the archival producers as a result of the evaluation. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(2) [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

(3) When documents are released for destruction or transfer to a public archive, an assessment shall be carried out unless the archive value of the documents or its absence has previously been established.

(4) At the request of the public archive, the authority shall submit for evaluation: 1) a classification scheme; 2) an overview of the composition of the archives; 3) the relationship between classification schemes that existed at different times; 4) the technical documentation of the hardware and software used to manage the documents under assessment, the record-keeping procedures and the users; 5) models for the structure of datasets and files of digital documents; 6) the statutes or instruments of incorporation of the institution; 7) a draft archive inventory or destruction certificate; 8) other data necessary to carry out the evaluation.

(5) The public archives may carry out the evaluation by consulting the documents directly.

§ 12 Evaluation decision

(1) The public archive shall translate the results of the evaluation of documents into an evaluation decision and inform the authorities or persons concerned thereof.

(2) The public archive shall document the results of the evaluation in the evaluation decision in such a way that the archives are easily identifiable.

(3) The assessment decision shall include at least: 1) the results of the evaluation; 2) the name of the public archive that carried out the evaluation; 3) the number and date of the evaluation decision; 4) the names and job titles of the assessors.

(4) The evaluation decision shall be accompanied by the context of the documents to be evaluated and by the documents justifying the evaluation decision.

(5) The assessment decision and its annexes shall be kept permanently in a public archive.

Chapter 5 Destroying documents

§ 13 Separation of documents, including information in databases, for destruction [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(1) The authority may separate its records, including information contained in databases, for destruction after the retention period has expired. Destruction must be carried out in an irreversible, safe and environmentally sound manner. Archives shall not be destroyed. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(2) The archives maker shall request permission from the public archives to have his or her documents destroyed, unless the archive value or lack thereof has previously been established.

(3) The authority may destroy the medium of the document if the information contained in the document has been transferred to another medium. The transfer procedure, operator, time, hardware and software used shall be documented and verifiable and the authenticity, reliability, integrity and usability of the information shall be ensured. In the case of archives, the destruction of the medium shall be coordinated with the public archive. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

§ 14 Documentation of destruction

(1) The authority shall document the destruction of its documents by means of a destruction certificate.

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(2) The destruction certificate shall contain at least the following information on the documents to be allocated for destruction: 1) a reference to the decision on the evaluation of the public archives; 2) an indication of the classification scheme or other document listing the composition of the archives; 3) the name of the series or the title of the dossier; 4) contours; 5) the number of files or other units; 6) the retention period of the documents; 7) a reference to the legislation governing the storage or destruction of the document, if any; 8) an indication of the manner, time, place and operator of the destruction.

Chapter 6 Deposit of archives in a public archive

§ 15 Obligation and time limit for the transfer of archives

(1) Archives are transferred to the public archive, which is responsible for receiving archives.

(2) The transferor of the database to the public archive and the details of the transfer shall be agreed in cooperation with the data controller of the public archive and the database.

(3) Archives must be transferred to the public archive when they are no longer needed for the performance of their duties, but no later than 10 years after the archive is created or obtained. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(4) In order to extend the time limit for the transfer of archives to the National Archives, the archival producer shall submit an application to the National Archives Archives stating: 1) the composition of those archives; 2) a justification for extending the time limit for delivery; 3) a new transfer deadline of no more than 10 years is proposed.

§ 16 Activities and general requirements for the transfer of archives

(1) [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

(2) For the transfer of archives, the transferor shall organise and describe them in accordance with the requirements of these Regulations, taking into account the instructions of the public archives.

(3) The preparation and transfer of the archives shall be carried out at the expense of the transferor.

(4) In order to prepare for the transfer of archives, software coordinated with the public archives will be used to create an archival map and inventory for both paper and digital archives. Digital archives are transferred to the National Archives using this software.

(5) Together with the archives, the transferor shall provide the public archives with the archive descriptions compiled in the archives inventory (hereinafter the inventory) and the available digital copies of the archives if they meet the requirements. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(6) In the course of the admission of archives, the public archives shall verify: 1) the existence of specifications and their compliance with the requirements; 2) the clean-up of archives; 3) the entity of archives; 4) the physical and/or technical condition of the archives.

(7) The results of the inspection of the animals shall be recorded in an official report giving at least the following information: 1) the name of the archival producer; 2) the total number of preservations included in the lists and separately by list(s); 3) the number of stores actually available; 4) missing saver numbers; 5) the physical or technical condition of the archives.

(8) The transferor of the archives shall remedy, at his own expense, the deficiencies discovered during the inspection of the entity.

(9) [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

§ 17 Transfer of private archives to a public archive

(1) Private archives may be transferred to: 1) as a gift under a gift contract with transfer of ownership; 2) inheritance; 3) for safekeeping (without transfer of ownership) on the basis of a contract; 4) on the basis of a sales and purchase agreement.

(2) In the case of transfer of private archives, the owner may impose restrictions on their access.

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Restrictions on access shall be laid down in the agreement and shall not exceed 50 years in time from the date of delivery of the document.

§ 18 Documentation of the transfer

(1) In the event of a transfer of archives, the public archives shall draw up an act of transfer and receipt, which shall be signed by the transferor and the transferee.

(2) The transfer/receipt document shall contain at least the following information: 1) the name of the transferor; 2) the name of the receiving public archive; 3) a reference to the circumstances of the transfer; 4) the name of the archival producer; 5) contours of archives; 6) the total number of stores, separately for paper and digital archives (number of racks, shelving meters, bytes, etc.); 7) transfer of ownership of archives; 8) access conditions for archives; 9) physical or technical condition of archives.

(3) Additional additional information or documents may be added to the act of transfer and receipt. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(4) For special types of archives, the technical documentation on the content, form and execution of the archives and the context (authors, etc.) necessary to ensure their preservation, access and use (assembly sheet, annotation, technical passport, etc.) shall be included in accordance with the requirements of the public archive.

(5) Hostile archives are adopted on the basis of a unilateral act of acceptance.

Chapter 7 Archives (Archives)

§ 19. Principles of archival management

(1) Archives shall be arranged in such a way as to: 1) deposit of archives in a public archive; 2) preservation of archives in the public archives; 3) use of archives in public archives.

(2) The archives of one archival producer are organised into one archive, regardless of the type of document, type of document or medium.

§ 20 Levels of organisation

(1) Archives are organised using a hierarchical structure whose main levels of organisation are: 1) archive level; 2) series level; 3) storage level.

(2) Sub-levels may be established at archive and series level.

(3) The use of organisational levels and their sub-levels must be optimised and help maintain the links between archives, the context in which they were created and facilitate their use.

(4) As an archival consolidation unit, the archival constituency is a comprehensive collection of archives. Archives generally consist of the archives of a single archival maker.

(5) Archives shall be organised taking into account: 1) the legal independence or organisational separation of the archives producer; 2) the independent management of the archives and the existence of functions; 3) the person and his or her relationship with other persons.

(6) As part of archives management, archives may be divided into sub-archives in accordance with the archives scheme. The creation of sub-archives is based on the time structure of the archives’ activities, the organisational structure and the division of functions and the corresponding administrative arrangements.

(7) When archive agents are merged or functions are transferred, the archives of several (discontinued) archive agents may be grouped together in one archive, defining each archive as a sub- archive.

(8) A collection is a sorting unit at archive level, formed by species, type, theme, author or multiple characteristics.

(9) If the composer of the collection coincides with the archives, the collection shall be organised as part of the archives of the archives composer.

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(10) SARI is a refurbishment unit that combines archival records by functional, type, content or other characteristics. The series may be subdivided into sub-series for dressing purposes.

(11) There is a clean-up unit for the management of archives. Preservation may be constituted by: 1) archives grouped together in a series; [RT I, 19.6.2020, 4– entry into force 22-06-2020] 2) a single archival. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

§ 21. Archival diagram and compilation [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(1) The archival map shall be drawn up in cooperation between the public archives and the archival producer before the archives or part of them are arranged for transfer. The archival scheme specifies: [RT I, 19.6.2020, 4– entry into force 22-06-2020] (1) restoration units – archive and series with sub-levels; (2) the hierarchical order, names and designation of the restoration units.

(3) The selection of organisational units and the identification of links between them in the archives scheme shall be based on: 1) a classification scheme; 2) functions; 3) the structure and any changes thereto; 4) the size and composition of the archive.

(4) The archival scheme may provide for a different order of organisation of the archives than the initial arrangements, provided that: 1) the initial procedure is not ascertainable; 2) the original arrangements do not allow for a consistent classification of archives.

(5) The archival schema shall be designed as optimally as possible so that it can be used for a longer period of time. It shall allow for a consistent transfer of the archives.

(6) [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

§ 22 Preparation for permanent preservation of archives

(1) When organising paper archives for transfer to the public archive: 1) the archival records are removed from the unsuitable enclosure for storage; 2) removing metal fasteners in non-archiving materials and in contact with paper; 3) archives are ordered chronologically, alphabetically or by other identifier; 4) the leaves are numbered with soft lead; 5) the leaves and wrappings are dry-cleaned; 6) a sheet of archive-stable document paper shall be inserted in front of the first page of the preservation record sheet and at the end of the preservation record sheet; 7) the sheets are placed loose in an archive sleeve or attached with strings in an archive file or lids. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(2) Depositaries made up of paper archives shall be placed in a horizontally deposited archival box, and the depository and archival boxes shall be marked in accordance with the requirements of public archives.

(3) In the case of damaged paper archives, the public archive shall be consulted on the way forward.

(4) Digital archives are provided in a manner consistent with the public archives of the National Archives. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(5) The package for the transfer of digital archives and their descriptions shall be established on the basis of structural requirements drawn up by the National Archives. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(6) [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

(7) [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

(8) Conversion operations and transfer formats for digital archives in non-archive formats, including archival value information in datasets, are described by the National Archives as instructions. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

Chapter 8 Archive characterisation

§ 23 Purpose and basis of archive recording

(1) The archive description creates an accurate representation of the archives of the archival producer and gives an overview of:

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the creation of archives. The description of archives shall allow: 1) understand the context in which the archives of the architect were created; 2) access to archives.

(2) The description of archives shall be based on the general international characterisation standards approved by the International Archives Council: 1) ISAD(G): General International Standard Archival Description; 2) ISAAR(CPF): International Standard Archival Authority Record for Corporate Bodies, Persons and Families.

(3) The archival description of audiovisual archives is based on internationally accepted description standards for public archives. Information on these standards is provided by the National Archives. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

§ 24 Method of recording archives and levels of description

(1) Archives are described using a multi-layered characterisation technique according to which: 1) each archive, series, deposit or archive can be described in detail; 2) higher-level descriptions are more comprehensive and extensive; 3) at lower levels, only more specific information is added where necessary, which cannot be provided at higher levels.

(2) The archive description consists of a description of the archival producer and a description of the archives.

(3) The archives are described at the following levels: 1) archive level, with the collection described at the same level; 2) series level; 3) storage level; 4) archive level.

§ 25 Characterisation elements

(1) The list of description elements shall be drawn up by the National Archives.

(2) The archive designer and archive shall be described using at least the mandatory description elements set out in the list of description elements.

§ 26 Inventory

(1) The inventory is a set of archival descriptions. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(2) The description of archives shall, as a general rule, be provided in a single inventory. A complex and voluminous archive can be made up of several directories. The introduction of several inventories is based on fundamental changes in the tasks, organisation and composition of the archives’ constituency.

(3) [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

Chapter 9 Preservation and protection of archives in public archives

§ 27 Grounds for the preservation of archives

(1) In order to preserve archives, the following activities aimed at extending the lifetime of archives shall be organised and carried out: 1) restoration and preservation shall be carried out using archive-stable materials, formats and technologies; [RT I, 19.6.2020, 4– entry into force 22-06-2020] 2) ensuring proper conditions (fittings and environmental conditions) for the storage of archives in the archive repository; 3) ensuring that archives are protected against mechanical, chemical, physical, biological and anthropogenic damage (including vandalism, theft); 4) use and preservation copies are created and, if necessary, the archives are preserved. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(2) The selection and implementation of optimal preservation solutions shall be based on the type, format, compositional materials, formatting and, where appropriate, other characteristics of the archives.

(3) The public archive and the archival producer referred to in Section 1(3) shall store the archives in a repository of archives constructed or adapted for their permanent preservation (hereinafter referred to as ‘the repository’).

§ 28 Storage requirements

(1) The environmental conditions of the storage facility shall be suitable for the permanent preservation

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of archives and shall take into account the storage characteristics resulting from the type of archives. Information on internationally accepted standards describing the storage conditions for archive material is provided by the National Archives. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(2) The environmental conditions of the facility must be regularly checked by means of properly calibrated equipment.

(3) Storage facilities shall be constructed without windows. Where windows are present, they shall be adapted in such a way as to avoid direct daylight.

(4) The load-bearing capacity of the storage floor shall be appropriate to the weight and location of the contents and archives in the storage facility.

(5) The storage facility must comply with fire safety requirements ensuring the preservation of archives.

(6) Air heating is generally used in the storage facility. Air heating as well as ventilation system air shall be filtered.

(7) Electricity, gas and water supply systems shall not be located in or near a storage facility unless they are required for purposes directly related to the preservation or exploitation of archives.

(8) The repository must be secured against theft, burglary, vandalism and terrorism.

(9) The exits of the storage depot shall be marked in the dark.

(10) The storage facility must be arranged in such a way as to ensure that the most efficient air is ventilated and to prevent the formation of areas of high humidity.

(11) Lighting shall only be used in the storage facility for the duration of the activities foreseen therein.

(12) The storage facility shall not contain any furniture or equipment other than that necessary for the preservation and handling of the archives and shall not damage them in contact with the archives.

(13) The storage facility, its air exchange systems, furnishings and storages must be cleaned regularly. Cleaning agents must not damage the archives.

(14) The preservation of digital archives is guided by the requirements established on the basis of Section 7(5) of the Cybersecurity Act, international information security management standards and best practices. [RT I, 14.7.2023, 3– entry into force 17/07/2023]

§ 29 Requirements for the use of archives

(1) The use of the repository and the archives and the security of the archives shall be laid down in a legal act governing the internal operation of the public archives.

(2) A particularly valuable archival work, often used or in poor physical condition, is used to produce preservation copies and exploitation copies. The preservation copy shall be made in such a way as to ensure its long-term preservation. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(3) Copies must be made in such a way as to take account of the special features of archives as a result of their format, weight, constituent parts, method of structuring or other characteristics.

(4) When archives are transported, they shall be packed according to format, condition and type of medium and shall be protected against damage and theft.

§ 30 Hazard planning

(1) The public archives and the archives producer referred to in Section 1(3) shall carry out a risk plan to prevent the damage or destruction of the archives in their possession.

(2) A plan of action for the protection, rescue and recovery of archives in foreseeable danger situations shall be drawn up on the basis of the safety plan.

(3) The action plan shall be established as a threat plan or as part of another statutory act on safety and rescue.

§ 31 Preservation of archives

(1) In the event of damage to an archive, the holder shall decide on the need to conserve the archive on the basis of the obligation to conserve and the need to use it.

(2) Only a suitably qualified person may conserve an archive.

(3) The preservation of the archives shall be documented. The conservation documentation shall include at least the name of the operator, the time, a description of the condition of the archive before and after the treatment, and a description of the treatment.

(4) Conservation records shall be kept by the holder of the archive.

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Chapter 10 Arranging access to archives

§ 32 Access management policy

(1) Public archives provide access to archives: 1) a public archive or its online environment; 2) relaying information in response to a request from a person or authority.

(2) Information on the existence and conditions of use of restricted archives shall be publicly available.

§ 33 Ensuring the use of archives

(1) In order to use archives, a public archive must have a research room or a suitably furnished place of work.

(2) In order to use the archives and their replicas, the user must be registered. A public archive has the right to request an identity document.

(3) Where a copy is available, the public archives shall provide a copy. It is up to the public archive to decide whether to issue an original archive, if a copy is available.

§ 34 Provision of information in response to a request

(1) The public archive provides information on the existence and content of archives.

(2) In response to a written request, the public archives transmit the information contained in the archives: 1) evidence of rights or transactions in the form of an archives note; 2) for other purposes as a paid service.

(3) The public archive will not resolve a request if the source data provided is insufficient or requires extensive research. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

§ 35 Archives note

(1) A request for archive notification shall be made in a form that can be reproduced in writing.

(2) The mandatory elements of the archives notice are: 1) a summary reproduction of the request; 2) a brief description of the archives used, indicating the name of the archives and the type and date of the document; 3) archive-based information or confirmation that copies have been issued; 4) discovery data for archives.

(3) The archives notice and the copies of the archives annexed thereto shall be drawn up in accordance with the legislation governing the operation of the public archives.

(4) The archive notification shall be issued within one month of receipt of the request. If it is not possible to issue the notification within that time limit, the requester shall be informed of the extension of the time limit.

(5) For the issue of an archives notice, the enquirer shall pay the state fee at the rate laid down in the State Fees Act. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

§ 36 Use of archives outside the public archives

(1) For the performance of a public task laid down by or on the basis of a law or in the public interest, archives may be granted for use for a limited period outside the public archives.

(2) In order to use the archives outside the public archives, the applicant shall submit an application to the public archives indicating at least the following: 1) the name and, in the case of an official, the title of the applicant; 2) archival resource data, titles and datums; 3) [repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020] 4) purpose of use of archival documents; 5) final date for use in archives.

(3) Archives shall be issued for use on the basis of a decision by the public archives stating, in addition to the information referred to in paragraph 2, the requirements for the use and preservation of archives and the restrictions on their use. [RT I, 19.6.2020, 4– entry into force 22-06-2020]

(4) A user of archives outside the public archives: 1) ensure that the archives are used for their intended purpose, as indicated in the application; 2) ensure the preservation, upkeep and future usability of the archives; 3) prevents archives from coming into the possession of third parties.

Archival rules Sheet 11 /11

Unofficial translation by eTranslation tool

Chapter 11 Administrative provisions

§ 37 Implementation of Section 8 of this Regulation

The classification scheme shall be deemed to have been approved in accordance with Section 8 of this Regulation if the public archive gives an opinion on the list of documents before the entry into force of this Regulation.

§ 38 Implementation of Section 15 of this Regulation

For paper archives created before the entry into force of this Regulation, the transfer time limit shall be 20 years from the date of their creation or shall be transferred together with any archives created subsequently by agreement with the public archives.

§ 39 Implementation of Chapter 10 of this Regulation

Public archives shall apply the requirements of Sections 32-36 of this Regulation to ensure access to all documents transferred to the public archive, except for the organisation of access to electronic documents transferred from public authorities for the preservation of the National archive with a retention period of more than 10 years, which do not have an archival value. [RT I, 31.5.2017, 7-entry into force 03/06/2017]

§ 40 Entry into force of this Regulation

This Regulation shall enter into force on 1 January 2012.

Annex 1 Archive formats [RT I, 19.6.2020, 4– entry into force 22-06-2020]

Annex 2 Requirements for the environmental conditions of the repository [Repealed –RT I, 19.6.2020, 4– entry into force 22-06-2020]

Suur-Ameerika 1/ 10122 Tallinn / ESTONIA/ +372 620 8100 / [email protected] / www.justdigi.ee Reg.no 70000898

Directorate General of Human Rights and Rule of Law - DGI [email protected] Answers to AIG questionnaire (Thematic monitoring on document management and preservation) Dear group members, Thank you for the opportunity to answer the working group's questionnaire. We hope you find our explanations useful. Please find our answers as follows.

1. How is management, preservation and archiving of documents by public authorities

regulated? Please provide an official translation of the relevant regulations in one of the Council of Europe languages (English or French).

The management, preservation, and archiving of documents by public authorities are regulated by the Public Information Act (PIA)1 and the Archives Act (AA)2. PIA regulates access to public information, including obligations to preserve information and ensure accessibility. Relevant provisions include, inter alia: § 3 (definition of public information), § 12 (access to information) and § 43 (preservation of public information). AA regulates the organisation of records management, appraisal of archival value, transfer of records to archives and destruction of records. Relevant provisions include, inter alia: § 6 (organisation of records management), § 7 (appraisal of archival value), § 13 (transfer of records to archives), § 14 (destruction of records). Based on subsection 3 of § 27 of the Government of the Republic Act (GRA)3, subsection 2 of § 6 of the AA, and subsection 12 of § 43⁴ of the PIA the regulation of 25 May 2017 on the principles governing the organisation of services and information management (Regulation)4 has been issued. Regulation establishes detailed requirements for the creation, registration, classification, storage, preservation and destruction of records, including electronic records. According to the subsection 3 of § 17 of the Regulation, organisation of an authority’s information management shall be laid down in the authority’s internal rules of procedure and guidelines. The authority shall keep these rules and guidelines up to date and shall support compliance with the established requirements by means of information technology solutions. According to the subsection 1 of § 4 of the Regulation, an authority shall designate the official or job positions whose holders ensure, within the authority the organisation and quality of direct public services, of processes, of information management and of each sub-activity of information management.

1 Public Information Act in English: https://www.riigiteataja.ee/en/eli/511092025008/consolide 2 Archives Act in English: https://www.riigiteataja.ee/en/eli/521032019019/consolide 3 Government of the Republic Act in English: https://www.riigiteataja.ee/en/eli/504092025010/consolide 4 No official translation available. Unofficial translation in Annex. Regulation in Estonian:

https://www.riigiteataja.ee/akt/129122024019

Your Ref: 10.11.2025

Our Ref: 02.02.2026

No 7-2/9004

According to the subsection 1 of § 4 of the Archival Regulations5, established pursuant to § 13 of the AA, documents are preserved until the end of their retention period or until their transfer to a public archive, arranged in series derived from the classification scheme6. Every public authority arranges document management in accordance with the legislation mentioned above, including the AA, the PIA, and the Regulation and follow internal document management procedures that are approved by the authority and aligned with the requirements of the National Archives of Estonia (for example Archival Regulations). When the retention period expires, records of permanent value are transferred to the National Archives and remaining records are destroyed in accordance with established procedures. 2. Are all documents held by a public authority registered? If so, what information about the

documents is put on the register? Who is responsible for the registration? At which point does registration take place?

Documents are mainly managed in electronic document management systems (document register) and in different databases. In accordance with § 12 of the PIA, all incoming and outgoing documents of the public authority are registered in the electronic document management system no later than the next working day following their receipt or dispatch. Registration is generally performed at the moment, when the document is received or sent. According to the subsection 3 of § 12 of the PIA at least the following information concerning received and released documents shall be entered in a document register: 1) from whom the documents are received or to whom they are released; 2) the date of receipt or release; 3) the manner in which the documents are received or released (by electronic mail, post, fax, courier or delivered in person); 4) requisite information on the documents; 5) the type of documents (petitions, memoranda, decisions, requests for information, letters, etc.); 6) restrictions on access to the documents. According to the subsection 4 of § 12 of the PIA the term arising from law for processing or responding, the name of the structural unit responsible for the preparation of a response or the organisation of processing and the name of the official or employee who prepares the response shall also be entered in a document register concerning received documents and documents which need to be processed or responded to. Official or employee, designated in accordance with the subsection 1 of § 4 of the Regulation, is responsible for the registration. For official documents received directly at an employee’s work email address, the respective employee is responsible for registering the document, either by entering it into the electronic document management system themselves or by forwarding it to the authority’s general email address for registration. The aforementioned rule is governed by each authority’s document management procedures (Procedures), issued on the bases of the subsection 3 of § 17 of the Regulation.

5 No official translation available. Unofficial translation in Annex. Archival Regulations in Estonian:

https://www.riigiteataja.ee/akt/129122011229?leiaKehtiv 6 Unofficial translation of § 6 of the Archival Regulations: § 6. Classification Scheme (1) An authority shall develop a classification scheme for classifying its documents, based on an analysis of its functions,

structure and work processes, and the activities related thereto. (2) A classification scheme is a structured list of an authority’s functions and series, and a framework for the coverage and

management of its documents and for the formation of archives. (3) A classification scheme must include at least the following: 1) the name and code of the function; 2) the names and codes of the series; 3) a reference to the public archive’s appraisal decision at the level of the series or function; 4) a description of the main function (the activities or work processes carried out to perform the main function); 5) the authorisation to perform the main function, i.e. a reference to the relevant legal act(s); 6) the names and codes of the series of the main function in the previous classification scheme, if they differ. (4) Repealed (5) A unified classification scheme may be developed for authorities with similar functions.

3. Are there any exceptions applied to the requirements for registration of documents based on their content?

According to the subsection 1 of § 2 of the PIA this Act does not apply to information which is classified as a state secret or as classified foreign information, until expiry of classification of such information. Although according to the subsection 2 of § 12 of the PIA accounting documents need not be entered in a document register, they are registered in other databases of the state information system. According to the subsection 21 of § 12 of the PIA documents related to a person, which have been entered in another database and to which access of the person is ensured, are not required to be entered in the document register. In accordance with subsection 3 of § 16 of the PIA a request for information need not be registered if it is anonymous or it is made orally or electronically and is promptly complied with. In accordance with point 3 of subsection 2 of § 35 of the PIA in justified cases, the head of a state or local government agency or a legal person in public law may classify documents addressed to persons within the agency which are not registered in the document register (opinions, notices, memoranda, certificates, advice, etc.) as information intended for internal use. Therefore, information intended for internal use might not be registered either. As in accordance with § 3 (1) of the PIA public information (hereinafter information) is information which is recorded and documented in any manner and on any medium and which is obtained or created upon performance of public duties provided by law or legislation issued on the basis thereof, then only documents obtained or created upon performance of public duties are registered7. According to the Procedures of each authority, it means that invitations to events that are not directly related to the ministry’s work (e.g. invitations to presentations, training sessions, seminars, conferences, etc.), greeting cards received, advertising materials, periodicals, letters marked “PERSONAL”, except in the case they need to be registered (see answer to the question 4), anonymous letters (where the sender cannot be identified and no contact details are available), letters displaying characteristics of spam, obscene communications that do not relate to the ministry’s areas of activity and clearly do not require a response, correspondence relating to the activities of a political party, internal correspondence between the ministry’s officials and departments, requests for information if they are submitted orally or electronically and fulfilled on the day of receipt, media inquiries and documents published in the State Gazette (Riigi Teataja) are not registered. 4. Are there some instructions or policies in place as regards registration of correspondence

sent directly to/from a public official? On the webpage of Data Protection Inspectorate General Guidelines on the Public Information Act8 is published. In accordance with each authority’s Procedures documents of evidential and archival value are managed in the document management system and other information systems in accordance with the authority's document classification system. When official documents are received directly at an employee’s work email address, the respective employee is responsible for registering the document, either by entering it into the electronic document management system themselves or by forwarding it to the authority’s general email address for registration.

5. Are the registers of official documents public? In Estonia, all public information is deemed public unless access restrictions have been established or special conditions of access are provided for by law. According to the subsection 1 of § 11 of the PIA one of the purposes of the document register is to ensure access to documents received and prepared by/in the agency. Point 30 of subsection 1 of § 28 of the PIA states that a holder of information is required to disclose existing information relating to the duties, including data contained in databases, access to which is not restricted. The subsection 1 of § 438 of the PIA states that the data processed by a database shall be accessible to the public unless access thereto is restricted by or on the basis of law.

7 According to the subsection 1 of § 3 of the PIA and General Guidelines on the Public Information Act published by the Data

Protection Inspectorate. 8 General Guidelines on the Public Information Act is available in Estonian: https://www.aki.ee/sites/default/files/documents/2026-01/Avaliku%20teabe%20seaduse%20%C3%BCldjuhend..pdf

6. Are electronic messages (emails, SMS messages, etc) treated in the same way as physical

documents? In Estonia, most of the public information received or sent by public authorities are submitted electronically. The Response to Memoranda and Requests for Explanations and Submission of Collective Proposals Act9, the AA and the PIA do not provide for distinctions between physical and electronic documents, they also recognize oral submissions. Therefore, an email, SMS messages etc are considered formal submissions. Although, it is not common that public authorities receive or send submissions in the form of SMS messages.

7. Do public authorities use a common system for registering documents, or does each

public authority use its own system for registration? The law does not provide for a common system for registering documents. However, in practice, a standard solution is used, and in certain cases a customized solution is applied. Each public authority uses its own document registration system and has several databases which are connected to the data exchange layer of the information system and registered in the administration system of the state information system (§ 432 of the PIA).

8. What criteria do public authorities apply for storing official documents? For example, in

what format and where documents are stored? Official documents are stored in both electronic and paper formats. Electronic documents are maintained in secure electronic document management systems that comply with technical and security requirements, while paper documents are kept in archive rooms that comply with safety, environmental, and access control requirements as set out in legislation and by the National Archives of Estonia. All documents are organised according to each authority’s classification scheme (approved by National Archives of Estonia) and retention schedule, ensuring systematic arrangement, traceability, and accessibility. According to subsections 1 and 2 of § 6 of the Archival Regulation each authority shall develop a classification scheme for the classification of its documents on the basis of an analysis of its functions, organisational structure and work processes, and the activities related thereto. A classification scheme is a structured list of the authority’s functions and series and constitutes a framework for the inclusion and management of its documents and for the formation of archives. 9. What criteria do public authorities apply for the retention of documents and what retention

periods are applied?

Retention periods are established based on legal obligations arising from legislation, the administrative, operational, and financial needs of the public authorities, the cultural, historical, and research value of the documents, and their archival value as defined pursuant to the AA. These periods are specified in approved records retention schedules, and depending on their value and legal requirements, documents may be preserved permanently if they have archival value or retained for fixed periods. 10. What criteria do public authorities apply for transferring documents to archives?

Documents are transferred to archives when they have been appraised as having permanent archival value in accordance with § 7 of the Archives Act, when their active use by the public authority has ended and they are no longer required for day-to-day operations, or when the retention period defined in the approved records retention schedule requires transfer. The transfer process is carried out in accordance with the procedural and technical requirements established by the National Archives, ensuring the authenticity, integrity, and accessibility of the documents.

11. What criteria do public authorities apply for eliminating/destroying documents?

9 Available in English: Response to Memoranda and Requests for Explanations and Submission of Collective Proposals Act– Riigi Teataja

Documents may be destroyed only when the following criteria are fulfilled: the retention period specified in the approved records retention schedule has expired, the documents have no permanent archival value as defined in § 7 of the Archives Act, and destruction is approved in accordance with internal procedures and, where required, by the National Archives. The destruction of documents is conducted in a controlled and documented manner, ensuring the transparency, controllability, and traceability of destruction procedures. Documents are destroyed either by physically destroying the document, using the services of a company specialized in providing such services, or by deleting digital information from its medium in such a way that the information contained therein cannot be recovered. 12. Please describe case-law and/or practice which exist as regards document management

and preservation (from courts, ombudsmen, information commissioners, etc). a. Chancellor of Justice has drawn the attention of public authorities to the importance of complying

with the requirement to register documents. The requirement to register documents helps ensure that every submission leaves a trace and that each submission is duly addressed (see, for example, Chancellor of Justice’s Annual Report 2022/202310). Chancellor of Justice found that documents (including memoranda and requests for clarification, as well as responses to them) must be registered in the document register no later than the working day following the day of receipt. This requirement is set out in point 1 of subsection 1 of the PIA. The registration requirement also applies to documents sent to an official’s email address11.

b. Chancellor of Justice has explained that pursuant subsection 1 of § 11 of the PIA, an authority’s document register is a digitally maintained database that a state or local government authority or a legal person in public law must keep for the registration of documents received by the authority and documents created by the authority, and for ensuring access to them. Already on 1 January 2009, an amendment to the PIA entered into force, pursuant to which documents must be made electronically accessible in such a way that they are, so to speak, “one click away” for an interested person. Specifically, subsection 4¹ of § 12 of the PIA provides that access to electronic documents registered in the document register and contained in the authority’s document management system, to which no access restrictions have been applied, must be ensured via the document register, except for documents that are published in the State Gazette (Riigi Teataja).12

c. Data Protection Inspectorate has stated in its decision on an administrative challenge and precept

in 2021 that subsection 1 of § 12 PIA requires that documents received by an authority and documents sent out by an authority be registered in the document register no later than the working day following the day of receipt or dispatch. Pursuant to subsection 1 of § 2 of the AA, a document is any information recorded on any data medium that has been created or received in the course of the activities of an authority or a person, and the content, form, and structure of which are sufficient to serve as evidence of facts or activities. Thus, an email sent from one authority to another is to be regarded as a document. We further clarify that nowadays most correspondence takes place by email, which must likewise be treated as documents.

Data Protection Inspectorate also clarified that employees of an authority indeed do not have to register their private correspondence in the document register, for example emails between two employees discussing lunch plans, birthday greetings, informal requests for advice between authorities, etc. If employees of two authorities exchange information created in the performance of clearly public duties, presumably so that the Environmental Agency could use the calculation results received in order to fulfil its statutory obligation to coordinate RMK’s application, then it is unclear how the Environmental Agency could otherwise verify, prior to granting coordination, that

10 Available in Estonian: Õiguskantsleri aastaülevaade 2022/2023 Relevant excerpt from the Chancellor of Justice’s yearbook: Good administration People are often dissatisfied with how public authorities handle their applications. The problem begins already when an authority fails to register a submission. The Public Information Act (§ 12 (1) (1)) provides that applications and other documents must be entered in the authority’s document register no later than the working day following their receipt. The requirement to register documents helps ensure that every submission leaves a trace and that every submission is dealt with. The Chancellor of Justice found that, for example, Kambja Rural Municipality Government and Tartu Rural Municipality Government had failed to properly register submissions. 11 Opinion of Chancellor of Justice in Estonian: Avalduste registreerimine ja tõlgendamine ning neile vastamine.pdf 12 Opinion of Chancellor of Justice in Estonian:

6iguskantsleri_soovitus_isikute_poordumiste_menetlemine_torma_vallvalitsuses.pdf

the submitted data were correct and that the calculation results complied with the guidelines. Therefore, it appears that such correspondence should also have been registered in the authorities’ document registers13.

d. In 2025 Data Protection Inspectorate stated that documents transmitted to an authority or its employee within a single email must be registered in their entirety, not selectively14.

e. In 2024 Data Protection Inspectorate stated that pursuant to point 1 of subsection 1 of § 12 of the PIA, documents received by an authority and documents sent out by an authority must be registered in the document register. In this regard, however, the Data Protection Inspectorate has considered it necessary to note that at the time the above-mentioned Act entered into force, all correspondence was on paper and therefore all documents received by and sent from an authority had to be registered in the authority’s document register.

Since nowadays colleagues are often asked for opinions by email, which may not constitute the official position of the authority, or an email may be a continuation of a telephone conversation and, without knowledge of the prior discussion, may convey misleading information, officials who receive such emails have a duty to assess their significance and the need for registration. However, an official’s email inbox must not serve as a place for storing correspondence between authorities. Inter-institutional correspondence must likewise be registered in the authority’s document register.15

f. Data Protection Inspectorate has also clarified that, although subsection 2 of § 12 of the PIA provides that accounting documents do not need to be registered in the document register, this does not mean that they are not public information. It simply means that the obligation to enter them in the document register does not apply. Accounting documents are, in fact, also public information.16

g. Data Protection Inspectorate also stated that the obligation to register documents is not absolute. For example, accounting documents may be left unregistered (§ 12 (2) of the PIA), as may a request for information if it is anonymous or if it is submitted orally or electronically and is fulfilled immediately (§ 16 (3) of the PIA). Likewise, invitations, congratulatory messages, and similar correspondence that do not require a response generally do not need to be registered. The position of the Haljala Municipal Government, that all individuals have the right to contact the

local government in a manner that prevents third parties from being aware of all submissions and

their content, does not mean that citizens’ submissions do not need to be registered in the

document register.17

Yours sincerely, /digitally signed/ Heddi Lutterus Deputy Secretary General Annexes: Unofficial translation of GRA Unofficial translation of AA Helen Uustalu +372 53345676, [email protected]

13 Administrative challenge and precept available in Estonian: vaideotsus_ja_ettekirjutus-

hoiatus_avaliku_teabe_asjas_nr_2.1.-3_21_3074.pdf 14 Administrative challenge available in Estonian: https://www.aki.ee/sites/default/files/documents/2025-

04/Eraisik_Vaideotsus_Tallinna%20Kiirabi_12022024_9-20.pdf 15 Administrative challenge available in Estonian: Ohtuleht_Vaideotsus_HTM_20112024_1030_2523.pdf 16 Administrative challenge available in Estonian: vaideotsus_eraisik_kehtna_vallavalitsus.pdf 17 Administrative challenge and precept available in Estonian: vaideotsus_ja_ettekirjutus-

hoiatus_avaliku_teabe_asjas_haljala_vallavalitsus.pdf

Basics of service organisation and information management Page 1 /8

Issued by: Type of act: Type of text: Entry into force of this version: This version valid until: Publication reference:

Basics of service organisation and information management

Adopted 25 May 2017, No 88 RT I, 31.5.2017, 7

entry into force 03 June 2017

Amended by the following acts Adoption Publication Entry into

force 18.3.2021 RT I, 25.3.2021, 2 28.3.2021

13.5.2022 RT I, 19.5.2022, 7 22.5.2022

19.12.2024 RT I, 29.12.2024, 1 1.1.2025

This Regulation is enacted on the basis of Section 27(3) of the Government of the Republic Act,

Section 6(2) of the Archives Act and Section 434 (1) of the Public Information Act.

[RT I, 19.5.2022, 7-entry into force 22/05/2022]

Chapter 1 Common provisions

§ 1 Scope and application

(1) The Regulation establishes requirements as the basis for the organisation of services and information management: 1) the organisation and development of services; 2) the organisation of information management.

(2) The Regulation applies in its entirety to government agencies (hereinafter referred to as “the Authority”).

(3) The provisions of Chapter 4 of the Regulation apply, in so far as they relate to the performance of public tasks, to all persons performing public tasks. Annex: Estimated investments [RT I, 19.5.2022, 7- entry into force 22/05/2022]

(4) It directs the authorities it manages to comply with the Regulation as a whole.

(5) The Regulation does not apply to exchanges of documents with foreign countries.

§ 2 Services

(1) A service within the meaning of the Regulation is a direct public service and a support service.

(2) A direct public service is a service provided by a body to a natural person or a legal person governed by private law (hereinafter referred to as a “person”) of its own volition, including the presumed will, through a service contact in any communication channel (hereinafter referred to as a “channel”) that enables a person to fulfil a legal obligation or exercise a legal right.

(3) A pro-active service is a direct public service provided by an institution on its own initiative, at the presumed will of individuals and on the basis of data from databases in the national information system. The proactive service is provided automatically or with the individual’s consent.

(4) An event service is a direct public service provided jointly by several bodies in order to enable a person to fulfil all the obligations and exercise all the rights that he or she derives from a single event or situation. An event service combines several services related to the same event (hereinafter a sub- service) into a single service for the user.

Government of the

Republic Regulation

of 1 January 2025

Currently valid

RT I, 29.12.2024, 19

Page 2 /8 Basics of service organisation and information management

Unofficial translation by eTranslation tool

(5) The support service shall be provided by the Agency to officials or staff of the Agency or of another Agency. The Service Desk shall support the performance of the Agency’s tasks.

(6) A process is defined in the Regulation as an organised set of activities aimed at fulfilling the essential function or service of an institution.

§ 3 Information management

(1) Information management is an activity that supports the achievement of corporate and public sector objectives by managing, sharing and exchanging information across all information systems and repositories. Sub-activities of information management include data management, document management, content management on internal and external websites, and organisation of access to and protection of information.

(2) The information referred to in Section 3(1) of the Public Information Act and the information referred to in Section 2(1) and (2) of the Archives Act, recorded by any means and on any medium, shall be regarded as information in the Regulation.

(3) Document management is defined in the Regulation as traditional document management which takes part in the organisation of information and which organises the management, processing, exchange and access to the information referred to in Section 2(1) and (2) of the Archives Act, if that information is recorded on paper, in a file or in an email. [RT I, 19.5.2022, 7-entry into force 22/05/2022]

Chapter 2 Responsibility for the organisation and development of services

§ 4 Responsibility for the organisation and quality of the institution’s services

(1) The institution shall designate the posts or posts occupied by persons providing the institution with: 1) the organisation and quality of direct public services; 2) the organisation and quality of the processes; 3) the organisation and quality of information management; 4) the organisation and quality of each sub-activity of information management.

(2) Persons working in the occupations or jobs referred to in paragraph 1 shall cooperate to ensure the consistent quality of the services provided by the establishment.

(3) For each service and each channel of direct public service provision, the authority shall designate a structural unit or office or place of employment responsible for its development, management and quality.

§ 5 Cross-agency service development coordination

(1) The authorities coordinating the development of cross-agency services (hereinafter referred to as ‘ coordinators’) are: 1) the Ministry of Justice and Digital Affairs for the organisation of direct public services, including the identification, sharing and exchange of information necessary for their provision; [RT I, 29.12.2024, 1– entry into force 1 JANUARY 2025] 2) in organising access to and protection of information, the Data Protection Inspectorate; 3) in implementing the requirements of the State Information System Architecture and the central components of the State Information System, the State Information System Authority.

(2) The Coordinator shall carry out the following functions: 1) outlines development directions and activities in support of development; 2) issue guidance and recommendations; 3) monitor the implementation of planned activities and instructions; 4) organises information activities; 5) cooperate with other coordinators; 6) involve other Parties as appropriate.

(3) The comprehensive development of services in the area of government of a ministry shall be organised by the Secretary-General of the ministry or his or her delegate, on the basis of the functions of the area of government and the objectives set out in the relevant strategic development documents.

(4) In order to support the tasks set out in points 1, 2 and 3 of paragraph 2, the coordinator shall be represented by a board composed of representatives appointed by ministries and the Government Office and, where appropriate, other persons appointed by the coordinator. The composition and rules of procedure of the supervisory board shall be confirmed by an order of the coordinator. Material from meetings of the Board shall be published on the Coordinator’s website and, where appropriate, by other means.

(5) A member of the supervisory board shall inform and involve the relevant officials and staff of the body which he or she represents and of the bodies within his or her area of government in the formulation of his or her positions and proposals.

(6) The authority shall take into account the coordinator’s instructions and recommendations and shall

Basics of service organisation and information management Page 3 /8

direct the authorities it manages to comply with them.

Chapter 3

Arranging of services

§ 6 General requirements

The organisation of the agency’s services shall ensure: 1) the creation of measurable or perceived value for each target group and interest group of the service; 2) the discontinuation or reorganisation of non-value-creating services; 3) service user satisfaction and optimal administrative burden for individuals; 4) the optimal extent to which the tasks of the body and the provision of services are documented; 5) cooperation with other authorities and other actors contributing to the efficiency of the public sector as a whole and to the consideration of the needs of individuals in the development of direct public services; 6) the termination of the service or employment relationship of an official or staff member of the continuity of service and cooperation, a change in the organisation of the institution, and the suspension of the official’s right to exercise public authority or the temporary absence of the staff member.

§ 7 Organisation and development of services

(1) The body shall have an overview of the services provided in the course or as a result of the performance of its main tasks. The overview shall be designed in such a way that it can be easily updated.

(2) Where the overview referred to in paragraph 1 is not available or has expired for one or more key functions, the authority shall determine: 1) services provided in the course or as a result of the principal task; 2) the importance of each service in terms of the value it generates; 3) the target audience and interest groups for each essential service and the value it brings to them; 4) legislation regulating essential services and processes for their provision; 5) processes for the provision of essential services; 6) information generated during essential service processes in the manner laid down in Section 12(3) and (4); 7) direct public service channels.

(3) Where appropriate, it shall apply the provisions of subparagraphs 2(3) to (6) to other services.

(4) The institution shall assess the quality of essential services and processes for their provision at least annually.

(5) In the course of the evaluation, the authority shall identify organisational, legal and technological obstacles to the development of the services. The authority shall determine the change and development needs, their priorities and the value to be derived from their implementation.

(6) The Agency shall design and implement activities in line with the priorities, minimising the impact of obstacles to development.

(7) In order to improve the quality of the service, the authorities may organise and provide the service jointly. The authorities shall agree on the service to be provided jointly: 1) a body responsible for development, management and quality; 2) the delivery process; 3) the time limit for delivery; 4) where necessary, amendments to the legislation governing the provision of services; 5) the technical solution and its use; 6) the resources needed for the provision in the responsible authorities and in other authorities; 7) other details of the development or development of the service and the provision of the service.

8) ) Where the information necessary to provide a direct public service is available in the databases of the national information system, the authority shall, where possible, develop a proactive service in cooperation with the authorities managing the databases.

9) ) The design or development of the event service may be initiated by the coordinator or by at least one body providing a direct public service related to the event. In addition to the provisions of paragraph 7, the authorities shall agree on time limits for the provision of sub-services.

10) ) Where an authority manages an information system in which a service is provided or used by another authority, it shall be responsible for the technical solution and its operation and development. The following shall be agreed between the Information System Manager and the authorities using the Information System: 1) the capabilities of the information system, its use and modification; 2) allocation of responsibilities for process and quality of service.

(11) The administrator of an information system referred to in paragraph 10 shall provide the authority using the information system with analysis and reporting capabilities to support the authority in assessing

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the quality of the service it provides and in taking other management decisions.

§ 8 List of services

(1) The institution has an up-to-date list of its direct public services and support services to other institutions, including at least essential services.

(2) The authority shall use the guidelines developed by the coordinator, the CS form and the machine- readable description language to establish the list of services or to adapt the existing one.

(3) It shall publish the list of services in the central directory of governmental services maintained by the coordinator and, if possible, on its website.

(4) The list of services includes quality indicators for essential direct public services, calculated taking into account the guidelines developed by the coordinator. It shall provide quality indicators for each calendar year.

§ 9 Direct public service remit

(1) The authority shall ensure that the information necessary for the use of the direct public service is easily retrievable. The information shall be provided in a manner and at a scale appropriate to the target audience of the service. When publishing information in the Estonian information gateway ‘Eestii.ee’ (hereinafter ‘the Estonian information gateway’), the authority shall take into account the requirements for the disclosure of information in the Estonian information gateway laid down in the Public Information Act and the legal act enacted on the basis thereof.

(2) An institution shall not re-require from a person data that are necessary for the provision of a direct public service but already exist in the institution’s repository or as basic data in another repository in the national information system. The person must be able to inform the data source of any change to the data previously submitted.

(3) The authority shall not impose any obligation on a person to verify and confirm the accuracy of data generated or processed by the authorities, but the person shall have the possibility to inform the source of the data about inaccurate or misleading data and request its correction.

(4) Users of the direct public service may have different rights to act in the online environment, depending on the way the person is authenticated.

(5) The authority shall provide the user of the direct public service with information on the period for which the service is to be provided and information on the progress of the service. The authority shall ensure that the service is provided within the time limit.

(6) The authority shall ensure that the user of the direct public service is able to receive advice and assistance, provide feedback on the service and make suggestions in the course of the use of the service.

(7) The requirements set out in paragraphs 2 to 4 shall apply at least to the provision of essential direct public services.

§ 10 Additional requirements for the organisation and delivery of direct public services

(1) The coordinator or another competent authority may provide guidance to specify the requirements set out in this Chapter. Coordinators and competent authorities may issue common instructions.

(2) If it is necessary to agree on a uniform course of action with regard to an individual question relating to the implementation of legislation or guidelines, a decision shall be taken by the Council acting under Paragraph 5(4) on a proposal from the coordinator.

(3) The detailed organisation of the direct provision of public services by the Authority shall be laid down in the acts and guidelines governing the internal organisation of the Authority. It shall keep the acts and instructions up to date and shall support compliance with the requirements set out by means of information technology.

Chapter 4 Organisation of information management

§ 11 General requirements

The organisation of the information management of the institution shall ensure: 1) the quality and availability of information; 2) mitigating risks and reducing costs associated with the storage, exchange and use of information; 3) the termination of the service or employment of an information management continuity official or staff member, a change in the organisation of work of the institution, and the suspension of the official’s right to exercise public authority or the temporary absence of the staff member.

§ 12 Organisation of information

(1) The institution shall have an overview of the information it generates in the performance of its main

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tasks, of its sources and of its storage facilities. The inventory shall be compiled as part of the process analysis and in a manner that makes it easy to update.

(2) Where the overview referred to in paragraph 1 for one or more key functions is not available or has expired, the authority shall prepare the overview in the manner set out in paragraphs 3 and 4.

(3) In order to obtain an overview of the information arising from the principal task, the authority shall determine: 1) what information is necessary for the provision of the services in relation to the principal task, in accordance with the conditions laid down by law; 2) what additional information is created or obtained in the execution of the main task and in the provision of the services; 3) the sources of information; 4) the formats and storage facilities in which the information is held; 5) the retention periods and access conditions for the information; 6) who are the users of the information.

(4) The authority analyses the use and necessity of the information, identifies the duplication of the same information in different formats and storage locations, sets the missing retention periods and access conditions, defines the information referred to in Section 2(1) of the Archives Act and categorises it in the classification scheme laid down in the Regulation established on the basis of Section 13 of the Archives Act (hereinafter the Archives Code).

(5) It shall stop collecting unnecessary information and reduce duplication of necessary information. In reducing duplication of information, the authority shall give preference to information held as data over information held on paper, files or email messages. The resubmission of information held as data during the retention period shall be ensured by computerised means.

(6) In addition to other information, it shall organise the recording, sharing and use of knowledge and experience acquired by officials and staff in the course of their work. The authority shall define rules for documenting and sharing essential knowledge, working meetings and information acquired during information events, training and missions abroad.

§ 13 Information management and organisation of access to information

(1) It shall ensure that the information is preserved, usable and protected until it is transferred to a public archive or destroyed. When storing and transmitting the information referred to in Section 2(1) and (2) of the Archives Act and destroying the information referred to in Section 2(1) of the Archives Act, the Authority shall act in accordance with the Archives Rules and shall take into account the instructions of the National Archives.

(2) The authority shall ensure that the State Information System Management System (hereinafter referred to as “Riha”) has up-to-date and truthful information about which information systems it manages or uses as data controller and that the description complies with the established requirements.

(3) Information may be entered, used or otherwise processed in the information system by a person who has the relevant rights and whose identity has been established. The processing of information shall be described and auditable and shall ensure the quality of the information.

(4) Where an authority manages an information system in which information is processed by other authorities, the administrator shall be responsible for the preservation, usability and protection of the information, the transfer or destruction of the information to the public archive, and the provision of access to the information.

(5) When granting access to information and organising the protection of personal data and other information, the authority shall comply with the Public Information Act and data protection legislation and take into account the coordinator’s instructions.

(6) The administrator of an information system referred to in paragraph 4 shall provide the authority using the information system with analysis and reporting capabilities to support the authority in using the information it generates and in taking management decisions.

(7) Where a body accommodates information with a private party or entrusts the performance of an administrative task to a private party, the contract shall lay down the terms and conditions for public information generated in the course of the accomodation or administrative task: (1) preservation, usability, protection and organisation of access to it; (2) ordering the transfer to the agency at the end of the contract or when the private party ceases to exist.

(8) When developing a new information system, the authority shall set retention periods for information system data and other information managed in the information system.

(9) Before transferring information from the existing information system to the new information system, the authority shall review the retention periods for the information. Information for which the retention period has expired and information which is not needed by the authorities using the new information system shall not be transferred. The information to be transferred shall be subject to retention periods.

(10) During the development of an information system or the development of a new information

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system, technological and organisational conditions shall be established which make it possible to provide an individual with an overview of what data relating to him or her are processed in the information system, to whom and when his or her personal data have been transferred from the information system and, where possible, by whom and when his or her personal data have been used.

(11) The Authority shall publish user-friendly information on its website: 1) the processing of personal data by the authority; 2) on access to information provided by the institution for its re-use and on the charges levied for its re-use.

(12) The authority shall disclose information describing its field of activity and direct public services in the Estonian.ee information gateway in accordance with the requirements for disclosure of information in the Estonian.e information gateway laid down in the Public Information Act and legislation enacted on the basis thereof.

§ 14 Sharing and exchange of information

(1) It shall identify the needs of different user groups in terms of information, presentation and volume, and take into account the needs of users in the development of processes and services.

(2) Authorities shall cooperate to share information and use services.

(3) The exchange of the information referred to in Section 2(1) and (2) of the Archives Act, which is recorded on paper, in a file or in an email message (for the purposes of this Regulation, hereinafter referred to as a document), shall be replaced, as far as possible, by the exchange of data contained in documents or by granting access to information.

(4) The authorities exchanging documents by electronic means, except where transmission is required: 1) a document that is not usable in electronic format by the recipient due to the quality of the format or presentation of the document; 2) a paper document or file received or created before the entry into force of the Regulation that cannot be digitised due to volume or exceptional reasons.

(5) Documents shall be exchanged electronically between constitutional institutions, government agencies and local government authorities and, where possible, other authorities, through the Inter - Agency Document Exchange System (hereinafter DVK) in the Information Systems Exchange Layer (hereinafter referred to as the X-Road). The document shall be accompanied by the metadata describing the document corresponding to the list of metadata for document exchange registered in RIHA.

(6) The administration of the DVK is organised and the proper functioning of the DVK is ensured by the Estonian Information System Authority. If DVK is replaced by an alternative X-Road document exchange solution, the Estonian Information System Authority develops the solution and organises its implementation. The resources necessary to ensure the continuity of the exchange of documents shall be provided by the Ministry of Justice and Digital Affairs. [RT I, 29.12.2024, 1– entry into force 1 JANUARY 2025]

§ 15 Sending information via the person’s official email address

(1) Communication of the information specified in Section 2(1) or (2) of the Archives Act shall be notified to the official email address of the person or, if the person has provided a different email address for communication in relation to a specific procedure, to the email address indicated by the person. The notification shall include a reference to the online environment where the person can read the information after authentication and authorisation. The authority shall ensure that, in the online environment, information is available on when the person has accessed the information transmitted. [RT I, 25.3.2021, 2– entry into force 28/03/2021]

(2) Where an institution does not have a secure online environment for the delivery of the information referred to in paragraph 1, it shall transmit the document via the Estonian.e information gateway official document infrastructure service (hereinafter the official mailbox of the person). Notification of the transmission of a document to a person’s official mailbox is sent to the person from the Estonian.ee information gateway. The information from the Estonian.ee information gateway is returned to the authority when the document arrived in the official mailbox of the person and when the person either opened, downloaded or forwarded the document.

(3) In addition to the information referred to in paragraphs 1 and 2, the authority may send a reminder or other awareness-raising message to the official email address of the person if this is due to the performance of a public task assigned to the authority. A notice not related to the performance of a public task, in particular advertising, is not sent by the authority to the official email address of the person.

(4) Information in the manner described in paragraphs 1 to 3 shall be sent by constitutional institutions, government agencies and local government authorities and, where possible, by other authorities.

(5) The functioning of the activation of the official e-mail addresses is ensured and the management and development of the official mailbox of the person is organised by the Estonian Information System Authority. The resources for this will be provided by the Ministry of Justice and Digital Affairs. [RT I, 29.12.2024, 1– entry into force 1 JANUARY 2025]

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§ 16 Organisation of document management

(1) The requirements laid down in Section 13 shall apply to the management of documents and the organisation of access to documents, taking into account the specific features of this Section.

(2) The requirements laid down in Sections 14 and 15 shall apply to the sharing, exchange and dispatch of documents through the official email address of a person, taking into account the specific features of this Section.

(3) The authority creates, coordinates and processes documents electronically. If it is necessary to issue the document on paper, the authority may issue a copy of the electronic document.

(4) The document created by the authority has mandatory elements and, in addition, elements specific to the document type. The mandatory elements are: (1) the originator of the document; (2) Date (3) subject matter, (4) signer or Content Confirmer or Automatic Authority Confirmation flag.

(5) The composition of the elements of a document created by an authority is based on the data description of the respective document type, if it is registered in RIHA. This type of document and its web forms will be developed on the basis of a data description.

(6) The text of the document produced by the authority must be unambiguous and as short as possible and must comply with the Estonian spelling standard.

(7) A document may be unsigned if the signature requirement does not stem from a legal act and if the authenticity, reliability and integrity of the document is ensured.

(8) The authority shall digitise the paper document received, unless: 1) the document is not digitised; 2) it is not appropriate to digitise a document for reasons of volume or for exceptional reasons.

(9) The authority may return the digitised paper document to the submitter or sender or destroy it if the transfer of the information to the electronic medium took place in accordance with the procedure laid down in the Archives Code and the requirement to preserve the original is not laid down by law.

(10) The agency shall store documents in archive format with a retention period of more than 10 years and, where possible, other electronic documents. If necessary, the institution shall also maintain a version in another format.

(11) The document is kept together with metadata describing the document, its links and management history. The document metadata shall be consistent with the document management metadata list and document type data description registered in RIHA.

(12) When imposing a restriction on access to a document, the authority shall take into account the classification of the grounds for access recorded in RIHA.

(13) The authority shall make public a digitised copy of the electronic text document and the paper document, without access being restricted, in PDF format or any other human-readable format that is independent of the application software, through the document register.

(14) Electronic documents with a retention period of more than 10 years that do not have archive value may be transferred by a state body to the National Archives for preservation purposes. The National Archives shall provide the transferring authority with access to documents. The costs relating to the transfer and preservation of documents shall be borne by the transferring authority on the basis of the cost rules laid down by the minister responsible for archives.

§ 161 More detailed requirements and conditions for data management

(1) The controller of a dataset belonging to the State Information System shall document and implement a data quality monitoring and management process to ensure the quality of data in the datasets belonging to the State Information System in accordance with the law.

(2) The Statistical Office shall draw up guidelines for drawing up the general data of the datasets included in the national information system and the description of the data processed in the dataset, and for ensuring the quality of the data. The guidelines are coordinated with the Ministry of Justice and Digital Affairs before being published on Statistics Estonia’s website. [RT I, 29.12.2024, 1– entry into force 1 JANUARY 2025]

§ 17 Introduction of additional requirements for information management

(1) The coordinator or any other competent authority may provide guidance to clarify the provisions of this Chapter. Coordinators and competent authorities may issue common instructions.

(2) If it is necessary to agree on a uniform course of action with regard to an individual question relating to the implementation of legislation or guidelines, a decision shall be taken by the Council acting under Paragraph 5(4) on a proposal from the coordinator. Where the decision affects the work of local government units and constitutional institutions, representatives of those bodies shall be involved in the

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preparation of the decision.

(3) Further arrangements for the information management of the Authority shall be laid down in the acts and instructions governing the internal functioning of the Authority. It shall keep the acts and instructions up to date and shall support compliance with the requirements set out by means of information technology.

Chapter 5 Administrative provisions

§ 18 Implementation of the Regulation

(1) The authority shall designate the offices or posts provided for in Section 4(1) and (3) and the responsible structural units by 1 October 2017 at the latest.

(2) The authority shall have the overview provided for in Paragraph 7(1) at the latest by 1 July 2018.

(3) The authority shall draw up and publish the list of services provided for in Paragraph 8 by 1 July 2018 at the latest.

(4) The Ministry of Economic Affairs and Communications shall draw up the guidelines referred to in Section 8(2) and (4) by 1 January 2018 at the latest. The authority shall submit the quality indicators referred to in Section 8(4) for the first time at the latest for the year following the year in which the guidelines were issued.

(5) The authority shall ensure that the requirements laid down in Section 9(2) and (3) are met by 1 July 2019 at the latest.

(6) The authority shall have the overview provided for in Paragraph 12(1) by 1 July 2018 at the latest.

(7) The authority shall communicate information to persons in the manner provided for in Paragraph 15(1) and (2) as from 1 January 2019 at the latest.

(8) The authority shall make electronic text documents in the formats specified in Section 16(13) available to the public without access being restricted from 1 July 2018 at the latest.

(9) The Agency shall bring the acts and instructions governing its internal organisation into conformity with the requirements of the Regulation by 1 July 2018 at the latest.

(91) The controller of a database forming part of a State information system shall ensure compliance with the requirement laid down in Section 16(1) by 31 December 2023 at the latest. [RT I, 19.5.2022, 7-entry into force 22/05/2022]

(92) The Statistical Office shall make public the instructions referred to in Section 16(1)(2) by 31 May 2022 at the latest. Annex: Estimated investments [RT I, 19.5.2022, 7- entry into force 22/05/2022]

(10) Instructions issued by the Ministry of Economic Affairs and Communications on the basis of Section 54(2)(1) of Government of the Republic Regulation No 80 of 26 February 2001 ‘Uniform bases for the procedure in question’ shall be followed until such time as they are renewed or repealed.

(11) The Ministry of Economic Affairs and Communications shall review the guidelines referred to in paragraph 10 no later than by 1 January 2018 and, where appropriate, update or repeal them. When the instructions are updated, they may be merged with the instructions of another coordinator or competent authority, or the management of the updated instructions may be transferred to another coordinator or competent authority. (12) Government of the Republic Regulation No 80 of 26 February 2001 ‘Uniform Basis of Procedure’ The document management board established on the basis of Section 54(2)(1) and operating within the Ministry of Economic Affairs and Communications shall continue to function as a board supporting the development of document management and the transition to information management until the need arises, in accordance with the procedure laid down in Section 5(4) and (5).

PARAGRAPH 19. —§ 23 [Omitted from this text]