Archival rules of the year. New rules for archives: what has changed? Section III

Office work and office

Rules for the work of archives of organizations 2015

Evgenia Kozhanova February 15, 2016 01:58 PM

Since September 2015, the order of the Ministry of Culture of the Russian Federation dated March 31, 2015 No. 526 came into force. He approved the "Rules for the organization of storage, acquisition, accounting and use of documents Archival fund Russian Federation and others archival documents in the organs state power, organs local government and organizations." Further in the text of the article, for brevity, we will call them " Rules-2015».

It is worth noting that there was no revolution in archiving with the publication of the Rules-2015. Unless the new rules are more friendly to electronic documents ... We talk about the status of new and old rules for archiving in this article. You can also download the rules for the work of archives of organizations 2015 here.

Let's remember how it was before the entry into force of the order: organizations worked according to two documents.

The first of them is the Basic Rules for the Work of Departmental Archives (approved by the order of the Main Archive of the USSR of September 5, 1985 N 263). It was the only normative (that is, mandatory) document on archiving in Russia until 09/21/15.

The letter of the Federal Archival Agency dated September 18, 2015 N 2 / 2133-A states that from the moment Order No. 526 comes into force, “The basic rules for the work of departmental archives are not subject to application.” You can no longer use them.

The second one is the Basic rules for the work of archives of organizations (approved by the decision of the Collegium of the Federal Archives of February 6, 2002). This is a methodical (optional, but informative) document that no one has canceled, but you can and even need to use it, because. in the Rules-2015, many issues related to the practical actions for storing documents in organizations were left behind the scenes.

Thus, we are left with two working documents: the 2015 Rules and the Basic Rules. They have a completely different status:

Basic Rules - methodological document. It is not necessary to use it, although in this case, creating an archive in an organization seems to be very difficult. The main rules are only approved by the decision of the Collegium of the Rosarchive, which means that their status is much lower than that of the Rules-2015.

Download the Rules for the organization of storage, acquisition, accounting and use of documents of the Archival Fund of the Russian Federation and other archival documents in state authorities, local governments and organizations (PDF, 4.02 Mb).

On September 21, 2015, the order of the Ministry of Culture of the Russian Federation dated March 31, 2015 No. 526 came into force. He approved the "Rules for the organization of storage, acquisition, accounting and use of documents of the Archival Fund Russian Federation and other archival documents in public authorities, local governments and organizations. Further in the text of the article, for brevity, we will call them "Rules-2015".

Before and after

Let's remember how it was before the entry into force of the order: organizations worked according to two documents.

Thus, we are left with two working documents: the 2015 Rules and the Basic Rules. They have a completely different status:

Rules-2015 is a regulatory document. It is mandatory for all organizations, regardless of their scope of activity and form of ownership. It is approved by the order of the Ministry of Culture.

Basic rules - a methodological document. It is not necessary to use it, although in this case, creating an archive in an organization seems to be very difficult. The main rules are only approved by the decision of the Collegium of the Rosarchive, which means that their status is much lower than that of the Rules-2015.

Office work and office

Rules for the work of archives of organizations 2015

Evgenia Kozhanova February 15, 2016 01:58 PM

Since September 2015, the order of the Ministry of Culture of the Russian Federation dated March 31, 2015 No. 526 came into force. He approved the "Rules for organizing the storage, acquisition, accounting and use of documents of the Archival Fund of the Russian Federation and other archival documents in state authorities, local governments and organizations." Further in the text of the article, for brevity, we will call them " Rules-2015».

Let's remember how it was before the entry into force of the order: organizations worked according to two documents.

Thus, we are left with two working documents: the 2015 Rules and the Basic Rules. They have a completely different status:

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What to rely on now in the field regulation and methodological support of archiving?

Firstly, to the current document, which is of a regulatory nature: Rules for the organization of storage, acquisition, accounting and use of documents of the Archival Fund of the Russian Federation and other archival documents in state authorities, local governments and organizations (approved by order of the Ministry of Culture of Russia dated March 31, 2015 526), which entered into force at the end of September last year. Further in the article we will call it Rules-2015.

And secondly, to the current document, which is of a methodological nature: the Basic rules for the work of the archives of organizations (approved by the decision of the Collegium of the Federal Archives of February 6, 2002, hereinafter referred to as the Basic Rules). Many practical matters, only affected by the 2015 Rules, are covered here in some detail, for example, the procedure for developing a nomenclature of cases.

The basic rules for the work of departmental archives (approved by order of the Main Archive of the USSR dated 05.09.1985 No. 263), which for a long time due to age were not quite a working document, were finally sent to a well-deserved rest and are not subject to application on the territory of the Russian Federation from the moment the Rules come into force -2015 (letter of the Federal Archive of September 18, 2015 No. 2/2133-A).

Do documents need to be kept?

What is an archival document? See the article “Which organizations require new archival rules? And who has documents from the Archival Fund of the Russian Federation?”

Documents must be kept. Despite the fact that the 2015 Rules say that “organizations have the right (emphasis added) to create archives in order to store archival documents formed in the course of their activities ...”, this right, upon closer examination, turns into a real obligation.

Firstly, if there is an organization, then there are employees, which means that a complete set of documents on personnel for each of them.

Secondly, if there is an organization, then there is also its tax accounting, also represented by paper or electronic documents.

Thirdly, at least all listed documents must be kept for deadlines. Sources of shelf life - special lists:

List of typical managerial archival documents generated in the course of activities government agencies, local governments and organizations, indicating the periods of storage (approved by order of the Ministry of Culture of the Russian Federation of August 25, 2010 No. 558);
A list of typical archival documents generated in the scientific, technical and production activities of organizations, indicating the periods of storage (approved by order of the Ministry of Culture and Mass Communications of the Russian Federation of July 31, 2007 No. 1182).

These lists are obligatory1 for use by both state and non-state organizations. So it turns out that any, even the smallest and most modest company, has a set of documents for archival storage. And conditions must be created for them that meet the new normative document: Rules-2015. The absence of structural subdivisions under the names "archive", "office" does not affect this duty in any way.

Storage of electronic documents

The innovation, which drew the attention of all specialists in office work and archiving, is the long-awaited order of storage electronic documents given in the 2015 Rules. Sections 2.30–2.33 are meant. The transition to electronic documents in the Rules-2015 is carried out quite abruptly, without any headings, immediately after the message that it is forbidden to be in dirty shoes in the archive.

2.30. Mandatory conditions storage of electronic documents are:

the presence in the archive of the organization of at least two copies of each unit of storage of electronic documents (the main and working copies must be located on different physical devices);

availability of technical and software tools intended for reproduction, copying, rewriting of electronic documents, control of physical and technical condition;

ensuring the mode of storage of electronic documents, excluding the loss, unauthorized distribution, destruction or distortion of information.

Another major innovation is the definition by the 2015 Rules of the format for archival storage of electronic documents:

Fragment of the document CollapseShow Rules for organizing the storage, acquisition, accounting and use of documents of the Archival Fund of the Russian Federation and other archival documents in state authorities, local governments and organizations (approved by order of the Ministry of Culture of Russia dated March 31, 2015 No. 526, entered into force on September 21, 2015)

2.31. The transfer of text electronic documents for storage in the archive of an organization that is a source of acquisition of the state and municipal archives is carried out in the PDF / A format.

PDF is undeniably a universal format. PDF/Archives (PDF/A) is a variation of this format, specially designed for long-term archival storage of documents and enshrined in the ISO 19005-1:2005/Cor.2:2011 “Document Management. Electronic document file format for long-term storage. But like anything universal, PDF isn't perfect. Management documents feel great in this format, but organizations use not only the Microsoft Office package. So, for example, drawings made in .dwg format are displayed incorrectly when converted to .pdf. The behavior of the electronic digital signature when converting a document to .pdf.

The procedure for the transfer of electronic files and documents is described in section 4.34 of the Rules. The following follows from the text:

firstly, electronic documents can be transferred to the archive and stored both on separate physical media and “via the information and telecommunication network”,
secondly, the inventory of electronic files and documents is compiled, however, in paper form (that is, even if we form an archive in the EDMS, the inventory will have to be delivered to the archivist personally),
thirdly, “when receiving for archival storage, electronic files are certified electronic signature head of the organization or authorized by him official". Relatively paper documents nothing of the sort is required. How to comply with this requirement for organizations that create electronic documents, but do not use EDS, the 2015 Rules are silent.

Finally, “for prompt access to electronic documents for reference and search purposes, a fund for the use of electronic documents is created in the archive” (paragraph 2.33). The concept of the use fund is not disclosed.

Document accounting

3.5. The archive of the organization maintains the main (mandatory) and auxiliary accounting documents. The composition and forms of the main accounting documents are determined in accordance with these rules. The composition and forms of supporting accounting documents are determined by the archive of the organization independently.

The main rules explained why the accounting of archive documents is carried out and what the system of accounting documents is, clearly formulating its purpose. These definitions have disappeared from the 2015 Rules. Let's remember them in order to understand why we will deal with accounting:

Accounting for documents in the archive of an organization is the determination of their number and composition in established accounting units and fixing (registration) the belonging of each accounting unit to a certain complex and their total number in accounting documents2.
The system of accounting documents of the archive is a complex of interrelated accounting documents and databases that reflect the number and composition of documents in the archive of the organization and their changes, component system of state accounting of documents of the Archival Fund of the Russian Federation3.

And the main change: the list of accounting documents of the archive in 2015 was reduced by more than half, from 11 to 5 positions. Only:

book of accounting for the receipt and disposal of cases, documents;
list of funds;
fund sheet;
inventory of cases, documents;
description register.

The procedure for compiling and maintaining accounting forms, although sparingly, is described in paragraphs 3.7–3.11 of the 2015 Rules.

The rest is at the discretion of the organization. If it is a source of acquisition of the state (municipal) archive, then an organization passport must be additionally drawn up (clause 3.12 of the Rules-2015). There is also a footnote to the Regulations on State Registration of Documents of the Archival Fund of the Russian Federation, dated 1997 and approved the form of an archive passport. Note that the Basic Rules proposed a form, although almost identical, but still more “fresh” than the mentioned regulations. At least, the reckoning in it began with the two thousandth, and not with the nineties.

Examination of the value of documents

Rules-2015 did not bring anything fundamentally new to the procedure for conducting an annual examination of the value of documents. Only paragraph 4.12 deserves attention:

4.12. Organizations whose activities do not create documents of the Archival Fund of the Russian Federation create inventories of cases by personnel and inventories of cases of temporary (over 10 years) storage periods and ensure their safety.

This provision refers to the conversation that, regardless of the presence in the organization of the archive and its belonging to the number of sources of acquisition of state (municipal) archives, it is obliged to deal with its documents at least to a minimum extent. After all, perhaps, few people will be able to compile an inventory of cases of temporary (over 10 years) periods of storage without first compiling a nomenclature of cases.

Case nomenclature

See the article "New Rules for the work of archives on the nomenclature of files"

They speak very sparingly about the nomenclature of cases, which the 2015 Rules call “the main accounting document reflecting the composition and organization of the organization’s documentary fund,” and do not even give it any intelligible definition. From the text of the document it follows only that (clauses 4.14–4.18):

“the nomenclature of cases fixes the classification (grouping) of executed documents into cases (electronic cases)”;
the nomenclature of cases is compiled according to the attached form;
the nomenclature of affairs of the organization is compiled on the basis of the nomenclatures of cases of structural divisions (the form is attached, however, it will not be possible to find it by the table of contents: it contains two appendices with the name “Nomenclature of cases”; No. 26 refers to structural divisions);
the nomenclature of the affairs of the organization is developed on the basis of standard, departmental and other lists of documents indicating the periods of storage, other regulatory legal acts, as well as typical and exemplary nomenclatures of cases;
organizations - sources of acquisition of state (municipal) archives will coordinate it with "the relevant EPC or the state (municipal) archive, in accordance with the powers granted to it";
organizations that are not sources of acquisition of state (municipal) archives agree on their nomenclature of files on their own.

No more practical information on the development and maintenance of the nomenclature of the organization's affairs is contained in the 2015 Rules. It should be said unequivocally: without the Basic Rules, an ordinary clerk, especially for the first time, will not be able to draw it up.

Registration of cases

4.19. Completed office work cases of permanent and temporary (over 10 years) storage periods, including for personnel, after the end calendar year, in which they were entered, are being prepared for transfer to the archive of the organization and are subject to registration and description.

Depending on the terms of storage, full or partial registration of cases is carried out. Full design cases of permanent and temporary (over 10 years) periods of storage and personnel are subject to.

Making cases for hard copy provides:

filing or binding of case documents (non-formatted documents are stored in closed hard folders or in boxes);

numbering of sheets of the case;

drawing up a sheet of evidence of the case (Appendix No. 8);

drawing up an internal inventory of the case documents (Appendix No. 27);

case cover design (Appendix No. 28).

Preparation of electronic files for transfer to the archive of the organization provides for the compilation of an inventory of electronic files, documents (Appendices No. 17, 18).

What includes partial registration of cases and how it depends on the terms of storage of documents, is not reported.

If earlier the internal inventory was compiled only “in necessary cases”(Basic Rules, clause 3.6.3.), then this phrase was removed from the Rules-2015. The heading of the inventory form, presented in Appendix 27, does not give any references to the periods of storage.

Electronic cases should not be described all, but only those that have a temporary (over 10 years) and permanent storage period (inventory forms - in appendices 17 and 18, respectively).

Applications: document forms

Traditionally, the 2015 Rules end with a set of applications - forms of documents that accompany certain document storage processes.

In general, it should be said that, firstly, there are fewer forms in the Rules-2015 than in the Basic Rules, secondly, among them there are two applications with the same names, which is very inconvenient, and thirdly, they are located in order of mention in the text (and not in order of importance or logical sequence, as in the Basic Rules). Some applications have changed names, some have slightly changed the form. The general recommendation will be as follows: if it is necessary to draw up any document on archiving, the archivist should first of all look for its form in the Rules-2015, and only if desired shape will not appear in them, refer to the Basic Rules.

Below are 3 lists. The first one (in the form of a table) is the annexes from the 2015 Rules and the corresponding forms from the Basic Rules. The second is novelties in forms introduced in 2015. The third is the forms from the Basic Rules that were not included in the Rules-2015, but not canceled either (as they say, use it to your health).

Compliance with the forms of the 2015 Rules and the Basic Rules

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Reappeared and approved by the Rules-2015:

Inventory of electronic files, documents of temporary (over 10 years) periods of storage;
Appendix to the inventory of electronic files of temporary (over 10 years) storage periods;
The act of acceptance and transfer of archival documents for storage (from organization to organization. - Approx. Aut.)
Description of cases;
Inventory of electronic files, documents with an attachment to the inventory of electronic files, documents.

The last two forms are designed to replace the delivery lists and actually represent acts of acceptance and transfer of documents for storage in the archive of the organization.

Inventory of cases of permanent, temporary (over 10 years) storage and personnel structural unit organizations (Annex 12 of the Basic Rules);
Final record and certification inscription (Appendix 13);
Title page of the inventory of documents permanent storage(Appendix 14);
Order (requirement) for the issuance of documents (Appendix 17);
Book of issuance of documents (Appendix 19);
Inventory of especially valuable cases (Appendix 23);
The book of accounting for the receipt and disposal of the insurance fund and the use fund (Appendix 27);
Inventory of the insurance fund (Appendix 28);
Passport of the archive of the organization storing management documentation(Annex 29);
Passport of the organization storing the documents of the sectoral fund (Appendix 30);
Registration card of the unit of accounting for electronic documents (ED) (Appendix 31);
Act on migration and rewriting of electronic documents (Appendix 32);
Journal of receipt and disposal of electronic documents (Appendix 33);
Journal of registration of migrations and rewriting of electronic documents (Appendix 34);
Act describing documents of personal origin (Appendix 38);
Act on the formation of a joint archival fund (Appendix 39);
Journal of registration of issued copies, extracts, references, thematic materials (Appendix 44);
Journal of registration of visits by users of the reading room (Appendix 45);
Annual work plan of the archive (Appendix 46);
Account card for work with the organization (Appendix 47);
The act of acceptance and transfer when changing the head of the archive (Appendix 48).

It is obvious that the Rules-2015 are designed for a prepared reader. But in many cases, unfortunately, office work and archives either secretaries or (if necessary) employees of various departments are involved in the organization: accountants, personnel officers, labor protection, lawyers, etc. It will be very difficult for these innocent people to understand what is required of them in the field of document storage.

Rules-2015 provide an absolute minimum of measures to ensure the storage of documents in the organization. Readers of the rules will have to look for information on how to implement this minimum in practice in methodological sources on their own. Thus, the Basic Rules for the work of the archives of organizations, despite their optional status, with the advent of the Rules-2015 will be in demand in the offices Russian organizations even stronger than before.

Footnotes

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Decision of the Supreme Arbitration Court of the Russian Federation dated February 21, 2012 No. 14589/11. come back

Clause 6.1.1. Basic rules. come back

Clause 6.3.1. Basic rules. come back

Free 1 issue of the magazine

"Basic Rules for the work of archives of organizations" (approved by the decision of the Collegium of the Federal Archives of February 6, 2002)

Approved
decision
Collegiums of Rosarkhiv
from 06.02.2002

BASIC RULES
WORKS OF ARCHIVES OF ORGANIZATIONS

INTRODUCTION

The basic rules for the work of the archives of organizations are a regulatory and methodological document that determines their activities. The rules are based on the current legal framework in the field of information, documentation support of management and archiving, synthesize the experience of domestic archiving, take into account modern achievements in the application technical means and information technologies in working with documents.

The right and obligation to create archives of organizations for the temporary storage of documents of the Archival Fund of the Russian Federation classified as state property, established by the Basic Legislation of the Russian Federation on the Archival Fund of the Russian Federation and archives (1993), the Regulations on the Archival Fund of the Russian Federation (1994) and the Regulations on the Federal Archival Service of Russia (1998), corresponding regulations subjects of the Russian Federation.

These Rules apply to archives government organizations, and are also obligatory for all non-governmental organizations in terms of ensuring the safety, description, accounting and use of documents of the Archival Fund of the Russian Federation classified as state property.

Archives of organizations that store film, photo, audio and video documents (audiovisual), scientific and technical, cartographic, telemetric documents are guided by these Rules in terms of organization, planning, reporting, methodological work with management documents stored in archives; in all other matters, work with these documents is regulated by the relevant instructions and rules.

The rules do not apply to documents the work with which is regulated by the Law of the Russian Federation of July 21, 1993 N 5485-1 “On state secret” and Decree of the President of the Russian Federation of November 30, 1995 N 1203 “On approval of the list of information classified as state secrets”.

State organizations not included in the composition of recruitment sources state archives, as well as non-governmental organizations may be guided by these Rules when organizing and ensuring the work of their archives.

The Rules are accompanied by forms of documents that ensure the operation of the archive.

The main rules for the work of the archives of organizations were prepared by the working group of the Federal Archives and VNIIDAD consisting of: Eremchenko V.A. (team leader), Albrecht B.V., Banasyukevich V.D., Gavlin M.L., Kiselev I.N., Krasavin A.S., Larin M.V., Meshcherina T.A., Privalov V. F., Smoglo I.A., Sokova A.N., Solobay N.M., Stepanova L.A.

Grouping of administrative acts

Archival office work involves the systematization of different types of information media. They also include regulations. They are grouped according to type and chronology with applications:

Regulations, charters, approved by administrative acts, act as annexes to them. They group together. If the provisions, instructions, charters were approved as independent acts, they are systematized into separate cases.
Orders of higher structures and resolutions on their implementation are grouped according to the areas of work of the enterprise.
Orders related to personnel are systematized according to the storage periods. With a large volume information materials it is advisable to group acts relating to different aspects of the company's work separately.
Orders in a key area of activity are systematized separately from acts on personnel. For example, an order for archival office work is included in one folder, and by appointment of the head of the responsible department - in another.
Approved limits, reports, estimates, title lists, plans, etc. grouped separately from projects by them.
The arrangement of documents in personal files is carried out in the order of their receipt.
Personal accounts of employees by salary are systematized in separate folders. They are arranged in alphabetical order.
Complaints, proposals, statements of citizens regarding the activities of the enterprise, documentation for their consideration and implementation are grouped separately from the appeals of individuals on personal issues.
Correspondence is usually systematized for a calendar period in chronological order. The answers are placed after the questions. In case of resumption of correspondence on a separate topic, started in the previous year, the documents are included in the folder of the current period. In this case, the index of the case of the previous year is indicated.

Nuances

Archival office work is a type of activity in which specialists ensure not only the safety of information media, but also the ability to work with them if necessary. For this, the acts that make up the folders are hemmed with four punctures into a cardboard cover. They are also allowed to be bound, taking into account the possibility of reading texts, resolutions, dates, visas in all papers.

In preparation for grouping, all metal fasteners are removed. Materials intended for permanent storage and consisting of particularly valuable or unformatted acts are contained in closed folders with three flaps with ties or in special boxes.

If there are unclaimed documents of a personal nature in the case ( work books, certificates, military tickets, etc.) they are put into a separate envelope and filed in it with the rest of the materials. At the end of the folders there should be a blank witness sheet. At the beginning of the folder, a form for the internal inventory is filed. To ensure the safety and order of the papers, each sheet is numbered with Arabic numerals. This rule does not apply to the certification page and the inventory form. The number is put in pencil in the upper right corner.

Internal inventory

It is formed to store and record information materials of temporary (more than 10 years) and permanent content. An internal inventory is also compiled for cases created on the basis of types of documents, in the headings of which their content is not disclosed. The form must contain data on the serial numbers of acts in the folder, indexes, headings, dates and page numbers.

A final entry is attached to the internal inventory. It indicates in numbers and in words the number of documents included in it, as well as the number of sheets that form it. The compiler endorses the internal inventory. If the folder is bound or bound without a form, then the compiled sheet is glued to the inside of the front cover.

Changes in the composition of materials in the folder should be reflected in the "Notes" field. In particular, this refers to the withdrawal, replacement of papers with copies, the inclusion additional documents to a folder. At the same time, links to the relevant acts are affixed. If necessary, a new generalizing entry can be formed for the internal inventory sheet, as well as the certification inscription of the folder.