Organizing an electronic archive system: an old task in new conditions

ELECTRONIC ARCHIVE AND STORAGE OF ELECTRONIC DOCUMENTS: DIFFERENT CONCEPTS, ALTHOUGH RELATED

An electronic archive is created using special software or on your own and represents a set of ordered scanned copies of paper documents or electronic documents of the organization. The meaning of the electronic archive is that any employee who has the right to view a particular document gets acquainted with it without leaving his workplace. The fact that the document has been in the archive for many years does not matter.

Storage of electronic documents is part of the organization’s document storage system, which, in turn, is one of the main office processes. Regardless of whether the document is paper or electronic, it must be retained for specified periods.

Of course, this is an ideal option when the electronic archive is part of the organization’s electronic document storage system. This should be achieved by gradually placing electronic copies of documents in a special database and thereby forming an electronic archive. But this is not storage, but just easier access. This is not even an archive in the full sense of the word, because original documents are submitted to the organization’s archive, and the electronic archive consists of scanned copies. A set of scanned copies of paper documents is not an archive. And an electronic document is a full-fledged document, and not a scanned copy of a paper one.

OUR DICTIONARY

An electronic document is documented information presented in electronic form, that is, in a form suitable for human perception using electronic computers, as well as for transmission over information and communication networks or processing in information systems [1].

An electronic archive is a file system designed for storing electronic documents.

Main functions of the electronic archive:

• confidentiality;
• storage reliability;
• ease of use;
• high search speed;
• restriction of access for users.

As a rule, electronic archives and data warehouses are built according to the following principle: documents in them are in an unstructured form (text files, graphic files, spreadsheets, etc.), which, in turn, are accompanied by a document card with a structured description.

Approaches to organizing data warehouses

Until recently, there were two main approaches to organizing electronic document storage:

1. Storage on a SQL server.
2. Storing data in files.

Now a combined option has been developed and is being used that combines the advantages of these methods: high performance and ease of management of the SQL server and an unlimited amount of stored data, multi-user access to data and low cost of storage in modern file storages.

Schemes for building a unified document archive

The use of one or another standard scheme depends on the amount of data stored, the number of users and the required speed of working with documents.

Four schemes for organizing electronic archives have found the greatest application:

1. Basic

This scheme is recommended at the initial stage of archive construction. If necessary, the electronic storage can be increased to the required volume and equipped with additional operating functions.

The main advantage is ease of storage and management.

2. Classic

With this design, the system consists of two components, between which two-way data exchange is organized: the SQL server acts as an operational storage, and the file storage as an archive storage.

This solution provides work with files up to 100 MB with high speed document processing on the side of the operational storage. At the same time, the cost of storage is quite low, and the volume of the archive is practically unlimited.

3. Multimedia

When working with large files, such as graphics, videos, podcasts, maps, etc., the requirements for organizing document storage increase. One of the main things with this scheme is the organization of streaming access to files (reading not the entire document as a whole, but only its required part).

There are four storages here: the first pair is an online SQL server and a file archive for documents up to 100 MB in size, and the second pair is an online media data storage with an archived media data storage for files larger than 100 MB.

This scheme allows you to organize operational work with files of almost any size, store documents in the archive for as long as you like and have quick access to them.

4. Distributed

The power of one server may not be sufficient when processing a large amount of data and simultaneous work of a large number of users. In this situation, a distributed data storage scheme is used, which involves several file servers and a database server. In this case, the load is redistributed between them.

With this scheme, electronic documents are distributed across existing storage facilities, which allows for load balancing both throughout the network as a whole and on a separate server. In addition, the maximum storage capacity is increased, system fault tolerance is increased and storage costs are reduced.

The main aspects that make up the effectiveness of the electronic archive IRM archiveDoc

The use of IRM archiveDoc will allow you to build an algorithm for managing enterprise electronic documents in which each type of document will correspond to a specific storage facility. Moreover, you can configure the required document migration scheme between repositories.

After creating and saving a document, it is placed by default in the storage for a specific document type (for example, audio and video files in media storage, reports in file storage, etc.). For documents, you can also configure the time they are available for online access. After a specified time, if the document has not been requested, it is transferred to the enterprise’s electronic archive .

Benefits of IRM archiveDoc

Using IRM archiveDoc allows you to manage various electronic documents from a single system. Due to this, there is no need to use additional tools for organizing archival storage, organizing storage of large files, etc.

By increasing the amount of RAM and reducing recovery time after a failure, the scalability of the system increases, i.e. the speed of operation will not decrease as the volume of data in the EDMS increases.

In general, the total cost of maintaining the IRM archiveDoc , which has a positive effect on the financial performance of the enterprise.

The effectiveness of IRM archiveDoc

The effectiveness of IRM archiveDoc , as a system as a whole, consists of the effective operation of all electronic components of the enterprise's production cycle.

Due to this, work efficiency increases when using IRM archiveDoc by enterprises:

1. Large enterprises:

• unlimited data storage;
• automation of applied tasks;
• high fault tolerance.

2. Medium enterprises:

• scalability – when connecting more and more users, the system’s efficiency does not decrease;
• corporate information is constantly accumulated, structured and managed.

3. Small businesses:

• By placing some documents on inexpensive workstations or less powerful servers and slowing down the growth of the database, the cost of equipment and system maintenance is reduced.

Benefits of using IRM archiveDoc for enterprise employees

1. Users

Ability to work in a single corporate environment with various types of content:

• prompt access to organizational and regulatory documents;
• transferring documents to the archive and gaining access to certain electronic archive files;
• saving media data over 100 MB;
• receive increased performance when working in the system by optimizing the operation of the SQL service.

2. Administrators

Administering multiple repositories is much more efficient than administering one large repository:

• recovery after a failure of one of the storages requires less time compared to the entire system;
• simultaneous failure of all storage facilities is extremely unlikely;
• simplification of SQL server administration by reducing the database size.

3. Leaders

• a distributed electronic storage system is the most fault-tolerant and most suitable for ensuring the continuity of business processes;
• optimization of the cost of storing electronic data by placing it in discount storage facilities.

4. Computer security department employees

Reliable data protection:

• it is possible to place confidential data in a specialized storage facility, where even system administrators will not have access;
• Certain files can be encrypted within the framework and tools of the operating system.

5. Application developers

Automation of business tasks:

• automation of large file storage processes;
• ease of development of application programs for multiple repositories.

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REGULATORY FRAMEWORK FOR STORING ELECTRONIC DOCUMENTS

Every year, the volume of electronic documents in organizations is growing. However, the number of regulatory or methodological documents devoted to the storage of electronic files, unfortunately, is not increasing. You have to be guided only by the Rules for organizing the storage, acquisition, accounting and use of documents from the archival fund of the Russian Federation and other archival documents in government bodies, local governments and organizations (approved by order of the Ministry of Culture of Russia dated March 31, 2015 No. 526, hereinafter referred to as the 2015 Rules). The 2020 Rules are the main regulatory document that currently covers, although not as fully as we would like, the rules for storing electronic documents.

Also of considerable interest is the Draft Recommendations for the acquisition, recording and organization of storage of electronic archival documents in the archives of organizations (see the website of the Federal Archives Agency: https://archives.ru). The project was developed by VNIIDAD in 2012 and is still a project. Nevertheless, this project may be useful for organizational archives, as it contains a lot of information that is not available anywhere else.

These documents contain one general rule: electronic documents are stored for the same periods and according to the same rules as paper files. However, the properties and characteristics of electronic media should be taken into account.

Next, we will tell you how to enter electronic documents into archive records, how to accept and store them.

Requirements for archival storage: long-lived documents

Perhaps it all starts with demands from above. Any storage of documents in the organization’s archive is subject to legalized and published lists, regulations and orders. Here are the main ones:

• Law “On Archives”, valid since 2004.
• Order No. 558 on archival documents, approved in 2010.
• Order No. 105, approved by the Ministry of Finance.

There are others too. We will mention some below.

To illustrate the specifics of legislation in archiving, let’s take the storage periods for archival documents in an organization. The simplest thing is to store all documents for 10 years, you can’t go wrong, you’ll only be exhausted in providing such an archive with the necessary resources.

To determine storage periods, special standard and departmental lists of archival documents have been created for different types of organizations. Special services have been developed, thanks to which you can quickly view the legal requirements for a particular document. It’s good to use them, but it’s even better when such information is embedded in the archive storage system in electronic form.

By the way, there are documents - mainly accounting - that must be stored for 10 years, and 50, and 75, and more, and even which cannot be destroyed at all. So be careful! Retention periods and other requirements for different types of documents are also specified in industry-specific laws - for example, in the Law “On Accounting”, “On Joint Stock Companies” and “On LLC”. In what order and for how long to store documents is indicated in Resolution No. 03-33ps.

There are also special requirements for the premises where the archive is located. They are aimed at minimizing the risks of losing the archive due to fire, destruction, mold, etc. If the archive is large, you will have to take care of the availability of premises for temporary documents, and for those that are constantly used, and for storage, and for the work of employees archive.

The requirements for light, temperature and humidity, sanitary and hygienic and security conditions are described. For example, humidity levels should be monitored twice a week, dust on all shelves should be removed once a year, and documents should preferably be located in the northern part of the building and isolated from daylight.

In general, storing documents in an organization’s own archive is a troublesome, but necessary task. How can automation reduce hassle?

WE CREATE ELECTRONIC CASES

There are no questions with paperwork: it is a collection of documents devoted to one issue. Things can be:

• homogeneous (for example, the case “Orders for core activities”, consisting only of orders);
• composite (for example, a composite file “Documents on the provision of services to contractors”, which includes correspondence, copies of contracts and additional agreements and other documents).

All paper documents of the case are filed in one folder.

Electronic files can also be homogeneous and composite. Electronic documents, like paper ones, are also collected in one folder, albeit electronic (file). For example, the electronic file “Internal Memos” can be a folder of the same name, which contains files of official memos from the first to the last number.

In addition to the file that contains the electronic document itself, the folder may also contain files of electronic signatures[2], metadata of the electronic document[3] - the set depends on the organization’s software.

The formation of electronic files, just like paper ones, should be handled by their executors in structural divisions. The secretary cannot accurately determine which case this or that highly specialized document relates to, does not know industry standards that determine storage periods, etc. I repeat, all this should be done by the performers. The secretary takes on the methodological and consulting part of the work.

WE PLACE ELECTRONIC DOCUMENTS IN THE NOMENCLATURE OF CASES

Electronic documents are placed in the nomenclature of cases in a general manner. You can indicate the “electronicity” of a document in two ways:

• in the “Note” column (Example 1);
• in the column “Case Title” (Example 2), as advised in paragraph 3.6 of the Methodological Recommendations for the development of instructions for office work in federal executive authorities (approved by order of the Federal Archive of December 23, 2009 No. 76).

WE COMPLETE AN INTERNAL INVENTORY OF ELECTRONIC CASES AND DOCUMENTS

Electronic files and documents are transferred to the organization’s archive along with paper ones, according to the general algorithm:

1) an annual assessment of value is carried out;

2) based on the results of the examination, files with expired storage periods are destroyed;

3) the remaining cases are entered into the inventory and sent for storage.

The form for the inventory of electronic files and documents, which at the same time plays the role of an act of acceptance and transfer of documents to the organization’s archive, is given in Appendix No. 24 to the 2020 Rules (Example 3). This inventory is completed in the structural unit.

Rules for compiling an inventory. The inventory graphs are intuitive; there is nothing to comment on here. Let's consider the “organizational aspects” of compiling this inventory:

• inventories are compiled separately for electronic files of permanent storage and temporary (over 10 years) storage periods;
• in the inventory of electronic files for permanent storage, the column “Storage period” is omitted;
• inventories are compiled in two copies (one will remain in the archive, the other, with the signature of the archivist who accepted the documents, will be returned to the unit);
• The fund number may not be indicated and this column may be excluded altogether if the organization has only one archival fund (this information is given to the unit by the archivist or the secretary responsible for storing documents);
• the title of the inventory indicates the year for which the documents are being submitted;
• the name of the structural unit is included in the name of the inventory section;
• the name of the section, indexes, headings, storage periods for files are established in accordance with the nomenclature of files;
• the inventory is agreed upon with the head of the office management department (office, preschool educational institution service, etc.), with the expert commission of the structural unit (if there is one) and signed by the head of the structural unit;
• the second part of the inventory (transferred-received) is filled out when receiving and transmitting documents to the archive;
• the serial number of the inventory is assigned in the archive.

In our opinion, it is advisable to supplement the inventory with the number and type of media transferred to the archive.

We prepare an appendix to the inventory. According to the 2015 Rules, inventories of electronic files and documents have attachments. The inventory appendix is ​​an internal inventory of each electronic file (Example 4).

In contrast to the transfer of paper documents to the archive, in which an internal inventory (if necessary, its preparation) is sewn into the volume when transferring electronic files:

• an application must be compiled for each electronic case;
• is not embedded in the media and is not recorded on it, but is drawn up in paper form as an appendix to the inventory of electronic files and documents transferred to the archive.

Document storage: possibilities for organizing an electronic archive management system

And here we smoothly move on to the operations that we have to perform with documents in the process of archival storage. Yes, with the help of an automation system we will not improve storage conditions. But we can significantly simplify the organization!

Here is a simple visual table showing what the same operation looks like with and without automation, regardless of whether you have an electronic archive or a classic, paper one.

“On the card you can indicate the time period of documents and storage location (rack, shelf).”

“A printed form of the internal inventory of case documents can be printed and attached to the case.”

It becomes clear that an electronic automation system is useful even for archival storage of paper documents, as it helps save labor costs. As a result, it allows you to keep a smaller number of employees responsible for the archive, and also minimizes the likelihood of errors. Let us mention a few more advantages that you will receive if you have an electronic document management system:

• The system has the ability to perform various operations in parallel
  . This reduces the document travel time.
• The continuity of document movement allows you to see who is currently responsible
  for the execution of the document.
• A unified information base eliminates the appearance of duplicates
  .
• Quick access to documents
  simplifies a number of operations with them and speeds up many work processes.
• The approval of documents
  , and subsequently decision-making, is significantly accelerated.
• The presence of a clear responsible person at each stage of document movement helps to increase executive discipline
  .
• Encrypting data and setting access rights helps protect documents from unauthorized use of information
  .
• When registering electronically and processing documents, the archive is created automatically
  , without the need to take additional steps.

The consequence - and the main advantage of using an EDMS for archiving - is the reduction in financial costs for document flow and maintenance of archival departments. According to our own analytics, archival document storage costs are reduced by 17–72%, depending on the size of the archive and the scale of the organization.

WE CONSIDER THE REQUIREMENTS FOR ELECTRONIC DOCUMENT FORMATS AND MEDIA

The archival storage format is established by the 2015 Rules. This is the PDF/A format, specially designed for long-term storage of information and enshrined in the ISO 19005-1:2005/Cor.2:2011 “Document Management” standard. Electronic document file format for long-term storage." But this requirement must be observed by state archives and organizations that are the sources of their acquisition.

Business organizations, where most documents are unlikely to ever leave their own storage, can use regular PDF as well as other formats. For example, drawings and diagrams are not always displayed correctly in PDF, so in order not to sacrifice the quality of the document in favor of maintaining a given format, it is advisable to save the file in any other unchangeable form.

Format immutability. When transferring documents for storage, special attention should be paid not so much to compliance with a particular format, but to how this format ensures the immutability of files. There is no need for expensive software and attending seminars on maintaining electronic archives if someone at the workplace can easily make amendments to a file that has long been archived.

Every secretary is familiar with the concept of “closing a document with office work.” This means that all tasks on the document have been completed and it can be placed on file.

For electronic documents, we recommend supplementing this with one more action - translating the document into an immutable format. Of course, it is not worth removing it from public access, but any outside interference in the form and content should be excluded.

How to implement this technically, each organization decides for itself, depending on the software used, the availability of an EDMS and the quality of technical support.

Of course, an organization that practices electronic document management will quickly build a system for archival storage of electronic documents than one that makes do with an office software package, cloud storage and the services of a system administrator who comes once a week. But, one way or another, it is possible to solve this problem - if only there was a desire.

Carriers. Conventionally, one information carrier can be compared to one volume of paperwork. You can’t write all your tasks on one disk in a row, as long as its capacity is enough. It’s better to stick to the “one thing, one drive” principle. However, you can record several files on one disk, but only if they are files of the same year and they have the same shelf life (all the same as with paper volumes).

As for media, nothing more convenient than a regular CD-R (compact disc with write-once capability) has yet been invented.

If more advanced storage media appear, it is better to rewrite the entire electronic archive onto them. Otherwise, you may never see the contents of the old media at all. This happened, for example, with floppy disks, which are still found in archives, but there is simply nothing to run them on in a regular office.

USB flash drives are less popular as archival storage media They are unpopular because files from them can be easily deleted or replaced. Ergonomics also leave much to be desired: while disks can be neatly folded without even being placed in special boxes, flash drives are too varied in shape.

Thus, the optimal medium for an electronic archive is a CD.

How to sign media. Each medium is signed. According to clause 4.34 of the 2020 Rules, the following is indicated on the insert, which is placed in the case so that the inscriptions are visible:

• name of the organization (full, abbreviated);
• fund number;
• inventory number of electronic files, documents;
• case number according to the inventory;
• mark on the status of the copy of electronic documents: “Basic.” (main) or "Slave" (worker);
• deadlines for electronic case documents;
• additional notes on restricting access to documents (if necessary).

The 2020 Rules do not provide a cover form. A possible option for placing the above information on the CD cover may look like Example 5.

The fund and inventory numbers are indicated on the cover only if there are several funds and the electronic file is included in the inventory.

As we have already found out, there are only two inventories: electronic files with permanent and temporary (over 10 years) storage periods. But electronic files with shorter storage periods can be transferred to the archive. There is no need to describe them, so the information block “Inventory number” in this case is simply omitted from the disc cover.

What is the shelf life of electronic documents and what difficulties may arise?

The legal requirements for organizing the storage of electronic documents by business entities are, in fact, generally the same as those adopted in relation to traditional paper documents. These requirements include compliance with document retention periods.

In the most general case, typical organizational documents (contracts, invoices, invoices, accounting registers) are stored for 5 years. Invoices (as well as purchase and sales books) - 4 years. Some documents - for example, orders for core activities and financial statements - must be stored as long as the business entity operates (has not closed).

With regard to individual documents, legislation (the main regulatory act here is Order No. 558 of the Ministry of Culture of Russia dated August 25, 2010 (LINK), which also includes private organizations) can establish very long storage periods - for example, personal records must be stored for 75 years employee cards. And they also apply to electronic documents (electronic versions of paper documents with corresponding storage periods).

The legislator, in turn, does not limit a business entity in the choice of methods for storing an electronic document, provided that it complies with the current provisions of the law. The main regulatory act that contains the rules for the circulation of electronic documents is Order of the Ministry of Culture dated March 31, 2015 No. 526 - LINK (its jurisdiction, as in the case of Order No. 558, also applies to private organizations). However, these norms are very general and superficial. In essence, the obligations of a business entity that uses electronic documents come down to solving three main tasks:

• using at least two copies of the document - which must be placed on different physical media;
• the use of technical and software tools that are adapted for reading, copying or rewriting a document (its copies), as well as for monitoring their condition;
• ensuring reliable storage of documents so that they are not lost, unauthorizedly distributed, destroyed or distorted.

It is also important that the methods of placing an electronic document chosen by the enterprise do not violate the requirements of legislation related to data protection. First of all, Law No. 152-FZ “On Personal Data”. That is, in practice, the media should be such that there is no unauthorized access to the files.

The document (one of its copies) can be placed on media within the enterprise (on a server, disk) or uploaded to the cloud (for example, by an EDF operator). The second method is becoming increasingly popular - but at the same time, its use is characterized by a number of tangible risks.

The electronic document management operator is responsible for sending and receiving documents in electronic form, signed with digital signature, but not for storing them! If you do not have a separate agreement with the EDF operator for storing electronic documents (archiving) as an additional option, then you will not be able to make a claim in case of loss of previously received (sent) electronic documents!

The main risk is the lack of clearly defined legal mechanisms for the responsibility of the EDF operator for the safety of documents posted on its servers. To a large extent, this risk is due to the fact that legislation related to the use of documents, in a number of cases, directly states that it is their owner who is responsible for the safety of documents. Thus, Law No. 402-FZ “On Accounting” directly states that ensuring safe conditions for storing accounting documents is the task of an economic entity. It is assumed that the EDF operator only transfers data in cases and in the manner prescribed by law or agreement - but not stores it.

In a number of scenarios, it is certainly possible to conclude a separate (usually paid and expensive) agreement between a business entity and an EDF operator for the provision of document storage services. And this agreement stipulates the responsibility of the contractor for certain errors (defects) in organizing their storage. But such errors include those that are mainly “technical” in nature. Examples of such errors (flaws):

• inadequate control over the technical condition of servers;
• failure to back up data;
• ignoring duplication of electricity supply.

While these “technical” errors can be considered rare for modern operators. But even they, as practice shows, can make mistakes in their work. Which can lead to extremely unpleasant consequences for the party that placed the document with the EDF operator - in a scenario where no corresponding additional agreement on the operator’s liability has been concluded.

Video - acute legal issues of storing electronic documents:

The EDF operator, as a rule, is not responsible for unauthorized access to documents (in fact, this risk can rightfully be considered the main one) - and simply because there are no suitable legal mechanisms for this. A typical scenario is when a document is signed (using a valid digital signature) by an already dismissed employee (optionally, for his own selfish purposes). The operator, in accordance with the contract, allows the owner of the digital signature to carry out legally significant actions (since he does not know and cannot know that the person has quit), which can harm the organization that once issued an digital signature for the dismissed person. It is impossible to hold the operator responsible for the consequences of such actions - at best, signed documents can be canceled (but in practice, such an action may be belated and therefore useless).

Actually, the digital signature can, in principle, fall into the wrong hands - and the operator is also not responsible for this (since he cannot control the movement of the signature).

An equally important nuance is that the operator, as an economic entity, is responsible for violations committed only within the limits of the authorized capital. A scenario is completely possible in which the total damage to individual users will far exceed the amount of this capital - and the operator simply will not be able to pay off the affected counterparties for financial reasons.

It is also possible to identify a number of other problem areas that can be observed when placing electronic documents on the cloud servers of EDF operators:

1. Lack of unification of file formats in the field of legally significant EDI.

It happens that the required document, even if completely protected from the identified risk factors, simply cannot be opened due to the lack of immediate access to the necessary programs. In turn, reformatting it in the most general case leads to the loss of legal force by the document - you need to re-sign it (which is not always possible).

1. Significantly longer storage periods for documents compared to the validity periods of digital signature certificates.

If the certificate has expired, then verifying its authenticity at the time of signing (when the certificate was valid) will require a large amount of additional work by competent specialists (most likely, again, for an additional fee) from the EDF operator. They will have to “manually” find out who exactly had the authority to sign, and whether the corresponding authority was legally used.

There is a technology for signing electronic documents, which involves the use of advanced qualified digital signatures - adapted not only for document certification, but also for including a time stamp in the signature. This stamp certifies the fact that a valid certificate was used at the time the document was signed.

Improved Qualified Signatures (UQES) were developed just for the case when the certificate has expired, the document is still stored, but one or another interested person has a need to verify the legality of signing this document. However, there is a problem here: the stamp is considered valid only during the validity period of the certificate. However, there is also a way to solve this - timely “restamping” of the electronic document as new certificates are issued (that is, by the time the current certificate expires, a new one is issued, and then the document is immediately “restamped” using it).

But, one way or another, the stamp, even if it has expired, will certify the authenticity of the certificate at the time of signing the document. Such an action, one way or another, will play in favor of the owner of the document, who needs to prove its authenticity.

The guarantor of the authenticity of the stamp itself in this case is the certification center that issues the qualified digital signatures in question. If necessary, if it is necessary to prove the authenticity of an electronic document in court, a representative of the CA can act as one of the witnesses - a third party to the dispute.

The practical use of improved digital signatures can be carried out within the framework of using the infrastructure of many leading EDF operators - for example, services from Kontur (LINK). The use of such UKEP is becoming widespread - due to the lack of real alternatives (which combine technological and legal tools for verifying the authenticity of electronic documents as effectively). And therefore we can expect an increasing popularization of services for the provision of improved digital signatures from leading Russian operators.

But the fact that the stamp still has a limited validity period allows us to speak of only a partial solution to the problem of authenticating electronic documents. At the same time, it is possible that updated standards for the use of such a stamp will soon emerge, in which alternatives to “re-stamping” can be found that do not introduce risks of infringing on the rights of participants in electronic document flow.

1. Difficulties in the practical implementation of certain legal requirements.

For example, state and municipal archives must, in accordance with Order No. 526, accept text documents only in PDF format. In turn, converting source Word or Excel files into this format can be difficult. In addition, if the source file was signed with an electronic signature, then the “output” PDF file must be re-signed (otherwise it will not have legal force), which, again, will take time.

It may be noted that Order No. 526 does not contain any separate requirements for procedures for authenticating documents (using digital signature). These procedures must be carried out in accordance with general legislation regulating the use of electronic signatures - but its norms do not always take into account the specifics of placing documents used specifically in internal corporate document flow.

One way or another, by placing documents with an EDF operator, the company risks:

• to be left without these documents due to technical failures of the operator (who may either not guarantee anything in the event of such failures, or guarantee in accordance with a separate agreement - but will face difficulties in fulfilling obligations under this agreement);
• face legal consequences for unauthorized access to documents (illegal use of digital signature) - for which the operator, as a rule, is not responsible in principle;
• encounter difficulties in verifying the authenticity of electronic documents (the legality of their signing).

However, electronic document management is becoming increasingly widespread. And companies need to look for mechanisms for its use while minimizing the identified risks. Let's consider what these mechanisms may be.

WE TRANSFER ELECTRONIC DOCUMENTS TO THE ARCHIVE

The procedure for transferring electronic documents to the organization’s archive is described in clause 4.34 of the 2020 Rules. The algorithm is as follows:

Step 1: the structural unit prepares electronic documents for transfer to the archive - independently saves them in unchangeable formats, and, if necessary, creates files.

Step 2: electronic files are recorded on separate storage media (each in two copies), for which covers are then designed.

Step 3: electronic files with long and permanent storage periods are entered into the appropriate inventories (see Examples 3 and 4).

Step 4: inventories with attachments are transferred to the organization’s archive on paper.

Step 5: The archivist scans all media with an anti-virus program, and then checks each recorded document file (the file that visualizes the document) for reproducibility.

Step 6: a record of acceptance and transfer is made in the inventory of cases. The inventory is signed by the archivist and the employee who transferred the documents to the archive.

WE PUT ELECTRONIC DOCUMENTS IN ACCOUNT IN THE ARCHIVE

Traditionally, in the archive, all cases received from departments are entered into accounting documents - archival inventories.

For electronic files, special inventories are provided, the forms of which are given in the 2020 Rules:

• inventory of electronic files and permanent storage documents (Appendix No. 17);
• inventory of electronic files and documents with temporary (over 10 years) storage periods (Appendix No. 18).

Please note: there is no inventory of electronic personnel files. All personnel matters are kept in paper form, and this will probably continue for a long time.

How to fill out an archival inventory. Archival inventories of electronic files and documents are filled out according to the same rules as inventories of ordinary paper files. The only difference is that instead of the number of sheets of the case, the number of megabytes of memory that it occupies is indicated. In addition, “volumes” are practically excluded in electronic files, unless it is such a voluminous file that it had to be recorded on several media.

Example 6 shows a sample of filling out an inventory of electronic files and documents with temporary (over 10 years) storage periods. The inventory of electronic files for permanent storage is compiled in the same way, the only difference is that it does not contain the “Storage period” column.

The inventory form (table) does not differ from that filled out by structural units when transferring electronic documents to the archive (see Example 3). The difference is that Example 6 presents an annual section of the inventory of electronic files and documents, general for the organization. The archivist will use it to collect all documents submitted by the departments. Pay attention to Example 6: the inventory includes, among others, the documents that were indicated in Example 3.

Appendices 17 and 18 to the 2020 Rules also have appendices that are similar in form to internal inventories of electronic files (see Example 4). In practice, this means that the archivist does not need to re-compile these “internal inventories” for each case. It is enough to ensure that colleagues from other departments pass them on when submitting their documents to the archive.

WE STORE ELECTRONIC CASES IN ARCHIVE

The mandatory conditions for storing electronic documents are as follows (clause 2.30 of the 2015 Rules):

• the organization’s archive must have at least two copies of each electronic document storage unit (the main and working copies must be located on different physical devices);
• the archive must be equipped with technical and software tools that allow you to reproduce, copy, rewrite electronic documents, monitor physical and technical condition;
• The storage regime for electronic documents must prevent loss, unauthorized distribution, destruction or distortion of information.

Please note: the archive must store two copies of each electronic file on two media. It is logical (although not specified in the regulations) that both media should be stored separately from each other. If something happens to one of the copies, it can be restored.

WE DESTROY ELECTRONIC DOCUMENTS

The destruction of electronic documents occurs in accordance with the general procedure. Also, in general order, electronic documents are placed in the act of destruction, and then appropriate notes are made in the accounting documents (inventories). No special features. Everything is the same as when destroying paper documents.

Like paper, media must be destroyed in a manner that cannot be recovered. The easiest way is to send the discs to the oven or shredder along with the paper documents to be destroyed.

[1] Clause 11.1 art. 2 of the Federal Law of July 27, 2006 No. 149-FZ “On Information, Information Technologies and Information Protection” (as amended on July 29, 2017).

[2] Electronic signature file is a separate file that is attached to the document being signed, created in electronic format.

[3] Metadata – information that contains significant characteristics of electronic documents that facilitate their identification, search, management and use (date/time of creation and editing of the document, number of edits and notes, etc.).

[4] A list of standard management archival documents generated in the course of the activities of state bodies, local governments and organizations, indicating storage periods (approved by Order of the Ministry of Culture of Russia dated August 25, 2010 No. 558).

What to consider when creating an electronic document archive

The number of electronic documents is growing, and the duration of their use is forcing users to take storage more seriously. That is why in recent years there has been more and more talk about creating paperless archives.

Previously, the submission of an electronic document (ED) to the archive was limited to the fact that its details indicated which case it related to. But the electronic documents themselves continued to be stored in the electronic document management system (EDMS). Either paper copies, which were prepared before signing, or electronic documents on tangible media (magnetic/optical disks) accompanied by a paper inventory were transferred to the archive. That is, archives continued to remain “material” and not electronic.

In this article we’ll talk about something else – creating archives of electronic documents for which paper copies do not exist. And one more condition - throughout the entire storage period it is necessary to ensure the safety and legal significance of the originals transferred to the archive.

To successfully organize an electronic archive, you need to resolve organizational and technical issues. To begin with, study two methodological points:

● What is the submission of an electronic document to the archive?

● How to prepare for the creation of such an archive?

Requirements for the archive of electronic documents

Archivists are familiar with the “Rules for organizing storage, acquisition, accounting and use of documents from the Archive Fund of the Russian Federation and other archival documents in government bodies, local governments and organizations” (approved by Order No. 526 of March 31, 2015 of the Ministry of Culture).

If we consider the rules in general, they say that the transfer of electronic documents to the archive is not much different from the story with paper documents. And this lulls the vigilance of specialists. Although in reality this is not entirely true! The fact is that electronic and paper documents have big differences. The main one is fixed in the definition of ED:

That is, information is separated from the carrier, and for it to be perceived by a person, special technical means are required. Related to this are the main difficulties that arise in the process of storing ED: ensuring reproducibility, legal significance, etc. And this must be taken into account when transferring electronic documents to the archive. But not only that...

The approach to working with ED differs from processes with papers. Almost any official document in an organization “passes” through many departments. When working with a paper copy, each of them can, after completing the work, write off a copy of the document to the file of their department, setting the required retention period.

If interaction with official documents in an organization is carried out electronically (for example, in an EDMS), then all users work with one ED. As a rule, no one creates copies. But when the work on the document is completed, questions arise: in what case should the ED be written off, who will be the owner of this case? These issues must be worked out in advance when forming the nomenclature of cases, which includes electronic cases (that is, cases containing ED).

Let's consider what stages of work will need to be completed to organize an electronic archive:

● analyze the types of electronic documents and determine which information systems (IS) will be the sources of documents entering the archive;

● determine where ED will be stored;

● clarify the moment of transfer of ED to the archive;

● fix the format for transmitting documents;

● form cases;

● transfer the ED for storage.

In general, the stages of organizing the storage of paper documents and ED are similar. Let's look at the features and differences.

Analyzing types of electronic documents

The first thing you need to start with is to clarify what EDs are created in the organization and estimate their number. This will help determine the specific requirements that need to be presented for the storage of electronic documents and create a list of cases (ND) taking them into account.

As a rule, most electronic documents consist of documents with a temporary (up to 10 years) storage period: office memos, primary accounting and accounting documents, etc. They cannot be transferred to the archive - the structural divisions of the organization are responsible for storage. But at the same time, it is necessary to ensure proper storage for them in accordance with the established deadlines.

Fixing source systems

Typical situation: a large organization uses many specialized information systems (EDMS, ERP, etc.) in which documents are created and processed. Each system determines the format of documents (docx, pdf, xml, etc.), their metadata, the type of electronic signature used (UKEP, UNEP, PEP) and its storage format. In addition, the same document (or its metadata) can be stored in several systems.

For example, it can be created and approved in the EDMS, after which information on it is transferred to the accounting system for making accounting entries. Another option is that the primary accounting document initially created in one IS is transferred to another, where an accounting document is generated on its basis.

The question arises: “Where can I get the ED for transfer to the archive?” In other words: “Which system will be the source?” It makes sense to choose the IS in which the ED appeared or was initially formed as an official document (GOST R 7.0.8-2013).

We clarify where to store electronic documents

Operational storage of ED, as a rule, is carried out in the system in which it was created. This allows you to quickly access it and use it in operational activities. For archival storage of electronic documents, the use of operational information systems is not always effective, especially when it comes to long-term and legally significant storage. Therefore, the question “Where will the archival storage of electronic documents be carried out?” remains relevant.

An alternative to using operational information systems for storage is to allocate a separate system for archival document storage in the enterprise’s IT infrastructure. This option is interesting for a number of reasons:

● you can unload storage of operational information systems;

● it will be possible to organize long-term storage of documents according to uniform requirements;

● storage costs are reduced;

● SLA requirements are reduced;

● makes it easier for archivists and file clerks to work.

If a decision is made to allocate a specialized system for storing electronic documents, the issue of document transfer arises.

We determine the moment of transfer of the document to the archival system

An electronic document created and received by an organization is processed in one of the information systems. Active work is underway with him. At this stage, not only is the number of requests to the electronic document large, but it is also supplemented with metadata (information about signatories, performers, etc.).

After completing work with a document, a period arises during which the probability and frequency of access to it remains high - the document remains in demand in operational activities. This period may vary for different types of documents. For example, administrative documents can be transferred to the archival system at the end of the year, and accounting documents - after the end of the reporting period. The moment of ED transfer to the archival system should be determined by the type of document and the source system, based on the characteristics of the business process within which the document was created.

Determining the document transmission format

Having found out the “moments” when documents can be transferred to the archival system, you need to answer the question: What information on them will be transferred (body, signatures, metadata), in what format?

The above-mentioned “Rules” stipulate the following requirements for the composition of the electronic document container:

● it itself in its original format and information about its signing;

● metadata;

● a copy of the document in a special format (for example, PDF/A), ensuring the possibility of its reproducibility throughout its storage period.

However, many questions remain at the discretion of the organization itself. For example, what metadata should be transmitted for a document? Depending on its type, they may contain not only details, but also other “useful” information reflecting the progress of execution, document approval, etc.

Formation of cases

Storing ED in the system simplifies the solution of some tasks for which cases were previously used. First of all, this concerns the search for documents.

In order to transfer electronic documents to the archive, they need to be formed into files. The list of files will reflect all types of documents that the organization has, including electronic ones.

It will also be necessary to slightly reconsider the approaches to the formation of the nomenclature of cases. Taking into account the large volumes of documents created in various source systems, the nomenclature should make it possible to determine the criteria or rules by which cases will be pre-formed.

At the same time, most organizational systems, for example, accounting and accounting systems, “know nothing” about the nomenclature of cases. The question arises: “How then to shape things?”

There are two options:

1. Writing off ED to files in the source system and transferring the document to the archival system along with information about the case to which it relates. Here we have to solve the problem with source systems that do not “know” about the nomenclature of cases.

2. Formation of files directly in the archival system and distribution of documents in them at the time of reception. To do this, it is necessary that the general nomenclature of the organization’s affairs be transferred to the archival system. As a rule, the source of this directory is the EDMS.

The process of transferring cases to the archive

As soon as the cases are formed, electronic documents can be sent to the archive. The process of transferring cases to the archive in accordance with all the rules can be implemented both in the EDMS and in the archive system - by launching special scripts (using several buttons).

Let's sum it up

Management of paper archives and operational storage of electronic documents has been successfully implemented for a long time with the help of EDMS. The organization of paperless archival storage, including long-term storage, leads to the emergence of new requirements, the implementation of which may require the creation of a specialized archival system. In this case, the EDMS can act as a source of electronic documentation and normative reference apparatus (as a source of the nomenclature of cases).

In addition, to transfer electronic documents to an organization’s archive, it is necessary to solve a number of problems:

1. Methodological:

● development of rules and requirements for the storage of all existing types of electronic documents of the organization. It should be taken into account that an increasing number of documents are being converted into electronic form;

● revision of regulatory documentation taking into account the specifics of ED;

● creation of internal regulations that complement the existing regulatory framework for organizing the storage of documents.

2. Organizational:

● determining the owner of the electronic document storage process and vesting him with the appropriate powers;

● ensuring the execution of developed legal regulations.

3. Technical:

● providing a set of technical and software tools necessary to create an archive. Significant hardware resources may be required (disk space, RAM, etc.), as well as the use of special software, for example, a TSP server;

● organization of ED transfer to the archive in accordance with the requirements determined by the archival system. This may require modifications to source systems.

The next steps will be taken over by the automated archival information system. Using an electronic archive allows an organization to:

● speed up and simplify access for employees to documents in storage;

● ensure the safety of all documents of the organization, including temporary, up to 10 years, storage period;

● reduce the load on operational storage, as well as the cost of document storage due to lower requirements for server hardware and storage systems compared to the requirements for operational systems.

Author: Alexey Mikryukov,
Directum
Source: GlobalCIO