BASIC RULES FOR THE OPERATION OF ARCHIVES OF ORGANIZATIONS (approved by the decision of the Board of Rosarkhiv dated 02/06/2002)

Author: Denis Aleksandrovich Avdyushin , General Director of Delis Archive"

Storing archival documents for a certain period of time is one of the responsibilities of any Russian institution or organization. The basis of any archive is accounting and personnel documents. Violation of the statutory storage periods will most likely result in unpleasant consequences in the form of penalties, as well as quite likely problems with obtaining information necessary for the further activities of the enterprise or any personal data of employees.

Features of domestic legislation in the field of archival storage of documents

The basis of the legal framework regulating the rules for storing various documents is made up of several legislative and regulatory documents. These include:

Tax and Labor Codes;

Federal Laws No. 402-FZ “On Accounting” and No. 125-FZ “On Archiving in the Russian Federation”, which were approved, respectively, on December 6, 2011 and October 22, 2004;

Order No. 558, signed by the head of the Ministry of Culture on August 25, 2010 and approving the list of archival documentation, the storage of which for a certain period is mandatory;

Order No. 526, issued by the Ministry of Culture and dated March 31, 2015. It approves the currently current edition of the Rules for the storage of archival documents.

A characteristic feature of domestic legislation in the field of archival affairs is the inconsistency of existing regulations. As a result, situations often arise when the head of an organization simply cannot determine how long to store a particular business paper.

Regulations and responsibilities

At the federal level, the general principles of organizing archival affairs are regulated by Law No. 125-FZ of October 22, 2004, certain provisions of which are mandatory for all enterprises that have a constant document flow.
In addition to legal norms regarding the maintenance of archives, the law also provides for the liability of officials and organizations for violations committed in this area. The fine in this case does not exceed 500 rubles, however, the complete or partial absence of mandatory storage documentation can lead to a much more serious penalty - up to 300,000 rubles.

Certain provisions on archiving accounting documents are outlined in the order of the USSR Ministry of Finance, approved back in 1983 and still relevant. An exhaustive list of documents drawn up throughout the existence of the organization, along with their storage periods, is presented in Order of the Ministry of Culture of Russia dated August 25, 2010 No. 558. The set of Rules for the Operation of Archives of Organizations already mentioned above contains a detailed list of recommendations relating to all aspects of such activities.

Standard storage periods and rules

A careful study of the above legislative and regulatory acts allows us to draw a conclusion about the basic rules and storage periods for the most important documents of the organization. When creating an archive of an enterprise or institution, you must be guided by the following provisions:

The storage period is counted from January 1 of the year following the year in which they were completed. · All documents in the archive should be stored in accordance with the nomenclature of files;

the case is a bound folder with original documents, which has a name, case number and storage period.

The duration of storage of documents in the archive is:

for most accounting documentation – 5 years;

for documents on debts of debtors – 4 years from the moment the debt was recognized as bad;

for documents on the acquisition of fixed assets and property – 4 years;

for documents on personnel generated before 2003 - 75 years, and 50 years for later documents;

for a collective agreement with employees of the enterprise - at least 10 years, and for organizations of acquisition sources - permanently.

In cases where the shelf life of a document differs in different regulatory documents, you should focus on a longer shelf life.

On the new “Rules for organizing 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”

On September 7, 2020, the Ministry of Justice of the Russian Federation registered the order of the Ministry of Culture of the Russian Federation dated March 31, 2020 No. 526 “On approval of the rules for organizing storage, acquisition, accounting and use of documents of the Archive Fund of the Russian Federation and other archival documents in government bodies, bodies local government and organizations." The order was published on September 10, 2020 and came into force 10 days after publication. Thus, the long-term work of the Federal Archival Agency and the All-Russian Research Institute of Document Management and Archival Affairs to create a much-needed regulatory document for archive employees of organizations at different levels of management, industries and fields of activity has been completed.

Specialists of the National Archive of the Republic of Karelia, having studied the new “Rules for organizing the storage, acquisition, accounting and use of documents of the Archive Fund of the Russian Federation and other archival documents in government bodies, local governments and organizations” (Rosarkhiv, VNIIDAD. 2015), noted a number innovations that I would like to draw the attention of colleagues to. Along with paper documents, electronic documents are becoming a reality of modern archives. According to the approved Rules, the mandatory conditions for storing electronic documents are:

• the presence in the organization’s archive of at least 2 copies of each electronic document storage unit (the main and working copies must be located on different physical devices);
• availability of technical and software tools designed for reproduction, copying, rewriting of electronic documents, monitoring physical and technical condition;
• ensuring a storage regime for electronic documents that prevents loss, unauthorized distribution, destruction or distortion of information.

In the process of storing electronic documents in the organization’s archive, at least once every 5 years, technical control is carried out on the physical condition of the electronic document carriers and the reproducibility of electronic documents; in the event of a change in the physical state of the media, work is carried out to rewrite electronic documents onto new media.

When transferring electronic documents to the organization's archive, the electronic documents are checked for the presence of malicious computer programs and the reproducibility of electronic documents is checked. Transfer of text electronic documents for storage in the archive of the organization that is the source of acquisition of the state and municipal archives is carried out in PDF/A format.

In terms of general provisions, the new Rules delimit the responsibilities and rights of the organization to create archives:

• state bodies, local government bodies of a municipal district, urban district and intra-city district are obliged to create archives for the purpose of storing, compiling, recording and using archival documents generated in the process of their activities;
• organizations have the right to create archives for the purpose of storing archival documents generated in the process of their activities, including for the purpose of storing and using archival documents that are not related to state and municipal property (Part 2, Article 13 No. 125-FZ).

Regarding document storage:

• It is not allowed to place the organization’s archive in basements and attics;
• the archive storage must have access to elevators and staircases;
• all documents received by the organization’s archive are placed in archival storage facilities on stationary and/or mobile metal racks, in metal cabinets and containers;
• security regime is ensured by equipping archival storage facilities, as well as other premises where archival documents are permanently or temporarily stored, with security equipment that ensures access control to the archive storage facility and archive premises, and by observing the procedure for placing under protection and deprotection established by the head of the organization;
• protection of documents from light is ensured by storing documents in boxes, folders and binders, in cabinets or on closed racks;
• checking the availability and condition of paper documents is carried out in the organization’s archives by a commission or at least two employees at least once every 10 years, electronic documents - at least once every 5 years;
• electronic documents are issued from the archive in the form of electronic copies and copies on paper. If it is necessary to certify copies of electronic documents, an electronic signature of the head of the organization or an official authorized by him is used, or a copy of the document on paper is certified in the prescribed manner;
• The organization must develop specific action plans and other regulatory documents regulating the procedure for working in emergency situations, in the event of which it is impossible to ensure the safety of archival documents.

Regarding document accounting:

• the archival code of electronic documents stored on separate electronic media is indicated on the insert included in the media case. The archival cipher of electronic documents stored in the archive information system is a mandatory element of the description of the electronic document container.
• the list of funds is maintained in the archive of an organization that stores documents from more than one fund;
• The organization's archive can also keep records in an automated mode - in the form of accounting databases. Accounting databases are used in conjunction with other information databases available in the organization’s archives and must be compatible with the corresponding accounting databases of state (municipal) archives and archival management bodies.

In terms of completing documents:

• examination of the value of documents is carried out annually;
• inventories of cases and documents (annual sections) are sent for consideration by the EPC in three copies on paper and one copy on electronic media three years after the completion of cases in office work;
• electronic files with expired storage periods are subject to separation for destruction on a general basis, after which they are physically destroyed or destroyed by software and hardware with the appropriate mark in the act of allocation for destruction of documents (Appendix 21);
• the nomenclature of files consolidates the classification (grouping) of executed documents into files (electronic files) and is the main accounting document reflecting the composition and organization of the organization’s documentary fund;
• transfer of electronic documents to the organization’s archive is carried out on the basis of inventories of electronic files, documents of structural units via the information and telecommunications network (if there is an information system in the organization’s archive) or on physically separate tangible media, which are transferred in two identical copies;
• When transferring electronic documents to the organization's archive, the following basic procedures for working with documents are performed: the formation in the organization's information system of electronic files, which are a set of containers of electronic documents or a container of an electronic document containing the content and metadata of the electronic document, files of electronic signatures and a visualized copy of a text electronic document in PDF/A format;
• when accepting electronic documents into the organization’s archive via an information and telecommunications network (if there is an information system in the organization’s archive) or on physically separate media, it is drawn up by drawing up a final record at the end of the inventory of electronic files and documents, which indicates in numbers and in words the number of electronic documents actually accepted into the archive files and electronic documents;
• the final record is confirmed by the signatures of the archive employee and the employee of the structural unit who transferred the electronic files and documents. When accepted for archival storage, electronic files are certified by the electronic signature of the head of the organization or an official authorized by him.

In terms of organizing the use of documents:

• the main (mandatory) archival reference book in the organization's archive is an inventory of files and documents; in addition, the organization's archive maintains auxiliary archival reference books - catalogues, indexes, historical information about the fund;
• similar inventories are compiled for electronic files and documents;
• inventories (annual sections of inventories) of affairs, documents are compiled: permanent storage in at least four copies: three on paper and one in electronic form (as a working copy); temporary (over 10 years) storage in at least two copies; documents on the personnel of organizations that are sources of acquisition of state (municipal) archives in at least four copies: three on paper, one in electronic form (as a working copy); documents on the personnel of organizations that are not sources of acquisition of state (municipal) archives, in at least three copies;
• Three copies of the inventory of permanent storage files, one copy of the inventory of personnel files approved (agreed) by the EPC, as well as one copy of each inventory in electronic form (as a working copy) are transferred to the state (municipal) archive. One copy of the inventory of affairs for permanent storage and two copies of the inventory of affairs for personnel remain in the organization;
• for requests of a thematic nature received by the organization’s archive via the information and telecommunications network, including the Internet, a response can be sent in the form of an electronic message to the email address specified by the author of the request;
• At the request of users, archival certificates can be issued in electronic form on an electronic medium or sent over information and telecommunication networks. Electronic archival certificates are certified by the electronic signature of the head of the organization or another official authorized by him;
• on archival copies, including archival copies on paper of electronic documents, archival codes are affixed to the back of each sheet of the archival copy, and a certification inscription and seal are placed on the back of the last sheet of the copy. At the request of users, electronic copies of archival documents are issued in electronic form or sent via information and telecommunication networks. Electronic copies of archival documents are certified by the electronic signature of the head of the organization or another official authorized by him.

Regarding the transfer of organization documents for storage to the state (municipal) archive: the transfer of documents is formalized by an act of acceptance and transfer of documents for storage (Appendix 30), drawn up in two copies. One copy remains in the state (municipal) archive, the other in the transferring organization. Together with the documents, three copies of the inventory of cases and documents are transferred, including one in electronic form.

Thus, the new Rules for the first time clearly formulate the requirements for storing electronic documents. We understand that the practice of working with electronic documents in archives has not yet been developed; it will take time to understand, comprehend and implement the norms proposed in the Rules. But the document is certainly relevant and universal, because... focused on working with both paper and electronic documents. In addition, with the adoption of the new Rules, the era of wooden racks for storing paper-based archival documents and the use of basements and attics for storing organizational archives remains in the past, which is clearly stated in the new Rules - “placing an organization’s archives in basements and attics is not allowed " With the adoption of the new Rules, archives and records services of state bodies, local governments and organizations received uniform, unified rules for archival activities.

One of the first to comment on the new Rules was M.V. Larin, director of VNIIDAD and O.V. Naumov, deputy head of Rosarkhiv in the article “On the rules of working with archival documents in state authorities, local government and organizations”, published in the magazine “Domestic Archives”, No. 5, 2020. It outlines the main milestones in the history of state regulatory regulation of organizational issues storage, acquisition, accounting and use of archival documents in departments. The authors note that all provisions of the new Rules exactly correspond to the norms No. 125-FZ.

Comments are given on why the new Rules, in contrast to the Basic Rules of 1986, provide only rules without any recommendations for their use, as, indeed, with respect to the Rules of 2002, which were widely used, ensuring the methodological unity of archival work, but, unfortunately, they did not receive the status of a national normative act. Attention is also paid to the structure of the new Rules, which differs from the Basic Rules not only of 1986, but also of 2002.

It is noted that in the process of developing regulations, which include the new Rules, unresolved problems are often discovered that require additional study after the adoption of the regulation. The developers of the new rules recognize that in this case, too, significant work remains to be done to implement the Rules into everyday activities, as well as to develop appropriate methodological recommendations.

Dear participants of the VIII Internet seminar, we invite you to familiarize yourself with the new “Rules for organizing the storage, acquisition, accounting and use of documents of the Archival Fund of the Russian Federation and other archival documents in government bodies, local governments and organizations” (Rosarkhiv, VNIIDAD. 2020. ), and take part in their discussion by leaving your comments and questions in the Forum.

T.A. Varukhina, chief specialist of the department of analytical and organizational and methodological work of the KU NA RK

Responsibility for violations in the field of archiving

The figures listed above clearly show that competent archival management requires not only serious attention, but also quite significant time and financial costs. Moreover, violation of storage terms and rules threatens administrative liability, including penalties and disqualification of the manager and responsible specialists.

The size of a possible fine varies from 2 thousand 500 rubles to 300 thousand rubles, and can be imposed both on the head of the organization (official) and on a legal entity and is determined taking into account the nature of the missing documents. If their absence leads to a tax violation, sanctions are allowed in the amount of 20% of the amount of the tax not paid as a result, which can amount to a very impressive amount.

It is important to note that among the managers of a wide variety of commercial enterprises, there are misconceptions that have been established since Soviet times that only documents of state institutions are considered archival. Therefore, private archives are the property of companies, have no value and are not under the control of representatives of the archival service. This approach can hardly be called legally competent, since it completely contradicts the current legislation.

Recommendations for the proper organization of archiving in a company or institution

It is quite easy to follow the described rules for storing personnel and accounting documentation. In a small organization, this area of ​​responsibility is usually assigned to a secretary or assistant manager, rarely to an accountant. In medium-sized document flow enterprises, a separate division is often created that is responsible for putting things in order in the documents and archives of a legal entity.

Some managers of large companies prefer to outsource the storage of archival documentation, attracting specialized companies providing such services for cooperation. This approach to solving the problem provides organizations with a number of important advantages.

Firstly, obtaining advice from competent specialists who thoroughly know the nuances of archival affairs and the current legislation in the country. Secondly, reducing the cost of document storage. Thirdly, the use of the most advanced archiving, processing and destruction technologies. Therefore, it is not surprising that the services of such companies in today's conditions are in increasing demand.

Basic rules for operating archives of organizations 2020

M.A. Kozlov, lawyer, Moscow

There will be an archive

First of all, you need to understand how necessary it is to create an archive in an institution. As stated in paragraph 9 of Art. 3 of the Federal Law of October 22, 2004 No. 125-FZ “On Archiving in the Russian Federation” (hereinafter referred to as Law No. 125-FZ), an archive is an institution or structural unit of an organization that carries out the storage, acquisition, recording and use of archival documents. Clause 3 of the Model Regulations mentions another important function of the archive - preparing documents for transfer for permanent storage to the state (municipal) archive, the source of which is the organization. The obligation to create archives for storing, compiling, recording and using archival documents generated in the process of their activities is charged to state bodies, local government bodies of a municipal district, city district and intra-city district (Article 13 of Law No. 125-FZ). As for organizations and citizens, the creation of archives for the purpose of storing documents generated in the process of activity is their right. Similar provisions are enshrined in paragraphs 1.3, 1.4 of 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 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 Document Storage Rules). Please note that otherwise may be established by regulatory legal acts of the constituent entities of the Russian Federation and municipalities. Thus, the powers of state bodies of constituent entities of the Russian Federation and local governments in the field of archival affairs include, among other things, storage, acquisition, recording and use of archival documents and archival funds:

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Stages of creating an archive in an organization

At the present stage, almost every organization is faced with the problem of document storage. According to the legislation of the Russian Federation, many documents must be stored for 5, 10 and sometimes 20 years.

An archive is an institution or structural unit of an organization that stores, compiles, records and uses archival documents [1].

Archives of organizations are divided into:

 transferring their documents to archival institutions for permanent storage;

 not transferring their documents to archival institutions for permanent storage.

In the process of creating an archive, it is advisable to distinguish several interrelated stages.

The first stage is associated with the study of regulatory legal documentation in the field of organizing archival storage. This is a necessary condition for the development of local regulatory acts for the creation and operation of the archive. In order to create an archive of an organization, it is necessary to refer to the Federal Law of October 22, 2004 No. 125-FZ “On Archiving in the Russian Federation”. This regulatory legal act regulates the issues of storage, acquisition, accounting and use of documents from the Archival Fund of the Russian Federation. With the help of this document, a personnel service employee will gain an understanding of the basic principles of organizing archival affairs [1].

It is also necessary to refer to the List of standard management documents generated in the activities of organizations, indicating storage periods (approved by Rosarkhiv on October 6, 2000, hereinafter referred to as the List). The List contains documents generated in the activities of any organization, regardless of its type and form of ownership. The terms and periods of their storage are also indicated here [4].

The next document that you should familiarize yourself with is the Basic Rules for the Operation of Archives of Organizations (approved by the decision of the Board of Rosarkhiv dated February 6, 2002). They apply to the archives of state organizations and all non-state organizations in terms of ensuring the safety, description, recording and use of documents of the Archive Fund of the Russian Federation classified as state property [3].

When creating an archive, no less important is GOST R 51141–98 “Office work and archiving. Terms and definitions" (approved by Decree of the State Standard of the Russian Federation dated February 27, 1998 No. 28). It establishes terms and definitions in the field of records management and archiving that are mandatory for use in all documentation and literature on records management and archiving [2].

When creating an archive in an organization, the work procedure must be determined by a special local act called the Regulations on the organization's archive.

It is advisable to reflect in the Regulations such items as general provisions for the work of the archive, the composition of the archive documents, functions and main tasks, the rights of the archive and the responsibilities of the persons heading the archive of the organization. If the archive of an organization is created as an independent unit, it is headed by the head of the archive; in other cases, its functions are assigned to the person responsible for storing documents. This information should also be reflected in the Regulations on the organization’s archive [5].

In addition to the Regulations on the archive of the organization, it is necessary to create Regulations for the issuance of documents from the archive upon applications from employees of the organization and requests from third parties. The issuance of documents must be registered in the Book of Issuance of Cases.

The second stage is making a management decision on the allocation of a full-time archivist position or the creation of a separate structural unit. When creating an archive, an organization needs to revise its staffing table, adding positions that will be occupied by archive workers. It is also advisable to draw up job descriptions for these employees and indicate specifically what their job function will be, and state their rights and responsibilities.

The third stage will be choosing a room for the archive and providing it with the necessary conditions for storing documents.

A room for storing documents must be a specially equipped separate room, equipped with technical means that ensure the storage of documents. Water supply and sewerage pipes, as well as technological water outlets, are not allowed in storage rooms. The premises must be equipped with fire and security alarms and a fire extinguishing system. Installations of ventilation equipment, boiler rooms with pumping units, compressors, refrigeration and other machines that produce vibration are not allowed to be located above archive rooms, below them and in rooms adjacent to them. Premises for storing documents must be isolated from domestic, industrial, warehouse, and laboratory premises and must not have common ventilation ducts with them [6].

In the archives premises, it is important to create optimal conditions for storing documents. This is done to prevent damage, harmful environmental influences and prevent their loss. Accordingly, the archive must comply with certain light, temperature, humidity and sanitary conditions.

Archival documents on paper should be stored in the dark, therefore natural lighting in the archive storage is allowed provided that protective filters, curtains, blinds, and glass painting are used on the windows. To protect documents from light, they are placed in cabinets or on racks in cardboard boxes, folders or other containers made from materials harmless to documents.

All types of work with archival documents must be carried out at limited or technologically necessary lighting levels. For artificial lighting, incandescent lamps are used in closed shades with a smooth surface. The use of fluorescent lamps is allowed.

To control the level of temperature and humidity, instruments are installed in the storage facility (thermometers - for measuring air temperature; psychrometers - for measuring both air temperature and humidity; hygrometers - for measuring air humidity). Control and measuring instruments are installed in the main passage of the storage facility, away from heating and ventilation systems. Instrument readings are recorded in log books: in air-conditioned rooms - once a week, in rooms with unregulated conditions - twice a week, in case of violation of the storage regime - daily.

Sudden fluctuations in temperature and humidity are not allowed in the archives. With a prolonged increase in relative air humidity to 80–90%, it is necessary to take measures to normalize the storage conditions of documents (intensive ventilation, dehumidification of storage facilities, elimination of the causes of increased humidity).

To avoid the appearance of mold, rodents, insects, and dust in the archive, the archive premises must be kept clean. Free air circulation must be ensured in the storage facility, excluding the formation of unventilated zones that are hazardous from a sanitary and biological point of view.

The fourth stage of creating an archive is the technical support of the archive department. To place documents in the archive, organizations use metal racks or metal cabinets.

Racks are installed perpendicular to walls with window openings, and in a room without windows - taking into account the characteristics of the room and equipment. Shelves (cabinets) should not be placed close to the outer walls of the building due to the possibility of freezing or close to heat sources due to the possibility of overheating.

There is a method developed by specialists for calculating the area for storing an archive. When determining the area, proceed from the following data:

 a rack 1 m long can accommodate 30 “Crown” folders or 50 binder folders;

 a regular archival rack with a height of 2 m 30 cm has 12 shelves.

Thus, on one rack there is a maximum of 600 cases, a minimum of 350–400 cases.

When calculating, you must also take into account: the distance between the racks is at least 0.8 m, the width of a standard rack is 65 cm, the length is just over 1 m, taking into account the thickness of the side racks.

To calculate the space, you need to know the number of cases to be stored, and also take into account how many cases will be stored for at least the next three to five years.

The order of arrangement of documents in the repository is determined by the plan (scheme) of their placement. To secure the location of documents in the archive storage, all archive rooms, as well as racks, cabinets, and shelves are numbered from top to bottom, from left to right, from the front door in a clockwise direction. In addition, shelving is compiled, and if the archives of an organization store documents from several funds (for example, the archives of an organization store documents of the organization before its corporatization or documents of the parent organization and its branches - in these cases, the archives of the organization before and after corporatization will be separate funds, also , as well as the archive of the parent organization and the archives of branches), then also stock indexes, where the location of documents is indicated.

If the organization does not have a person responsible for storing documents, the head of the organization is responsible for their safety.

Shelf topographic index cards are compiled for each rack and attached to its end side. Fund-by-fund topographic index cards are compiled for each fund and are located in the card index in order of fund numbers.

The fifth stage is associated with organizing the transfer of cases to the archive.

The preparation of HR service files for transfer to the organization’s archive is divided into the main stages: formation of files in the HR service; registration of cases; examination of the value of documents. The formation of cases is usually called the grouping of documents into cases in accordance with the nomenclature of cases and the systematization of documents within the case [6].

When documents with an expired storage period are allocated for destruction or transfer to archival storage, an examination of the value of the documents is carried out. But only documents documented in cases are accepted for examination. Complete registration of the case involves filing or binding the case, numbering the sheets, drawing up a certification inscription of the case, an internal inventory of documents, and designing the cover of the case. Documents with permanent and temporary (over 10 years) storage periods are compiled into volumes; it should be taken into account that each volume should contain no more than 250 pages.

Depending on the storage period, full or partial registration of cases is carried out. Cases of permanent, temporary (over 10 years) storage and personnel records are subject to full registration. Cases of temporary (up to 10 years inclusive) storage are subject to partial registration, while it is allowed not to re-systematize the documents in the case, not to number the sheets of the case and not to draw up certification notes.

Archive workers, together with the head of the organization, are responsible for the loss and destruction of documents, violation of access and non-compliance with storage conditions for documents.

Thus, in this article the author examined the stages of creating an archive in an organization. The process of creating an archive requires a sufficient amount of time and labor.

Literature:

1. Federal Law of October 22, 2004 No. 125-FZ “On Archiving in the Russian Federation” (as amended on December 4, 2006). URL: https://base.garant.ru/12137300/ (access date: 09/12/2015).
2. GOST R 7.0.8–2013 “System of standards for information, library and publishing. Record keeping and archiving. Terms and Definitions". URL: https://base.garant.ru/70650732/ (date accessed 10/12/2015).
3. Basic rules for the operation of the organization's archive dated 02/06/2002 (Moscow, 2002). URL: https://www.consultant.ru (accessed 10/12/2015).
4. List of standard management documents generated in the activities of organizations, indicating storage periods (approved by Rosarkhiv on October 6, 2000) (as amended on October 27, 2003) URL: https://www.kadrovik.ru/docs/perechen. tipovyh.upravlencheskih.dokumentov.htm (accessed November 21, 2015).
5. Alekseeva E. V. Archives and law: current state and development prospects / Office work. 2003. No. 2 (31). pp. 77–84.
6. Grishina M.V. Enterprise archive: organization of document storage // Personnel decisions. 2011. No. 2

Basic rules for the work of archives of organizations: what documents regulate

Any company, regardless of its form of ownership, maintains document flow. These are, for example, internal and external organizational and administrative documents, personnel, accounting and financial records, etc. The employer is obliged to store them. State and municipal institutions are directly required by law to maintain archives.

The concept of “archive” refers both to a separate institution and to a structural unit whose employees are required to store, compile, account for and work with archival business papers. The activities of such institutions and structural divisions are subject to the basic rules for the operation of archives of organizations 2020.

The rules for operating archives of organizations 2020 establish three main federal documents:

• Federal Law of October 22, 2004 No. 125-FZ “On Archival Affairs in the Russian Federation” (hereinafter referred to as the Law on Archival Affairs);
• Rules for organizing the storage, acquisition, recording and use of documents from the Archival Fund of the Russian Federation, approved by Order of the Ministry of Culture of Russia dated March 31, 2015 No. 526 (hereinafter referred to as the Rules dated March 31, 2015);
• Basic rules for the work of archives of organizations, approved by the Decision of the Federal Archive of 02/06/2002 (hereinafter referred to as the Rules of 02/06/2002).

The rules of March 31, 2015 relate to normative acts. All organizations that operate archives are required to comply with them. The rules of 02/06/2002 are of a methodological and advisory nature. Both documents contain the basic rules for the operation of organizational archives and complement each other. Therefore, in practical work they need to be used in combination.

Important!

Amendments are constantly being made to the documents that regulate the archival activities of enterprises.
Find out what will change in the regulatory framework for office work and archiving by the end of 2020
in the Secretary's Handbook magazine.

Introduction

The basic rules for the work of archives of organizations are a normative and methodological document that determines their activities.
The rules are based on the current legal framework in the field of information, documentation support for management and archival affairs, synthesize the experience of domestic archival affairs, and take into account modern achievements in the use of 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 are established by the Fundamentals of the 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 Archive Service of Russia (1998), relevant regulations of the constituent entities of the Russian Federation.

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

Archives of organizations storing film, photo, audio and video documents (audiovisual), scientific, 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, work with which is regulated by the Law of the Russian Federation of July 21, 1993 N 5485-1 “On State Secrets” 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 that are not included in the sources of acquisition of state archives, as well as non-state organizations, may be guided by these Rules when organizing and ensuring the operation of their archives.

Forms are attached to the Rules

documents supporting the operation of the archive.

The basic rules for the work of archives of organizations were prepared by a working group of Rosarkhiv 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.

Basic rules for working archives: useful information for the secretary

A secretary or assistant manager must have an idea of ​​the basic rules for operating archives of organizations, know what company documents and how they need to be stored. We will give the basic concepts and rules that are necessary when working with archives.

1. Examination of the value of documents

This is a check of cases that are stored in the archive. If the storage period for documents has expired, they are disposed of. This is done by a commission of the organization, which is created by order of the head.

The storage period for documents is established by special lists. State and municipal organizations, as a rule, are guided by the List of standard management archival documents approved by Order of the Ministry of Culture of Russia dated August 25, 2010 No. 558 (hereinafter referred to as List No. 58). Please note that the retention period for documents from even the same target group can vary significantly. And personnel documents on personnel are kept for 75 years. The HR System expert will tell you which documents are included in this category.

An example of the storage period for accounting and personnel records.

Analytical documentation (tables, reports) accompanying the annual financial statements

Employees' personal cards, accounts

Various types of balance sheets, applications and explanatory notes to them, certificates of registration

Writs of execution issued by the bailiff service for employees of the enterprise

until the need passes

Forms of statistical reporting forms stored in institutions that are not their developers

before replacing with new ones

Documentation confirming the calculation and payment of insurance premiums to extra-budgetary funds

1. Storage of electronic documents

You can find out the procedure for creating and transferring to the archive files and documents created on electronic media in the Rules dated March 31, 2015. The same document regulates the procedure for storing electronic documents.

This is a classifier of executed paper and electronic documents compiled in an organization and their storage periods. Using the nomenclature, you can determine in advance which case a particular document will relate to, which greatly simplifies the further preparation of cases. As a rule, a case folder contains documents with the same shelf life.

Find out how to retrieve documents from the archive without errors. 4 real-life situations and ready-made solutions for them

in the magazine "Secretary's Handbook".

2.2. Organization of examination of the value of documents

2.2.1. An examination of the value of documents in an organization is carried out:

in office work - when compiling case lists, in the process of forming cases and in preparing cases for transfer to the archive;

in the archive - in the process of preparing for the transfer of files for permanent storage.

2.2.2. To organize and carry out work on the examination of the value of documents, selection and preparation for transfer for permanent storage of documents of the Archive Fund of the Russian Federation, including managerial, scientific and technical, audiovisual, machine-readable and other documentation *(2)

formed in the course of the organization’s activities, an expert commission (EC) is created.

In ministries and departments, and other organizations with a subordinate network, central expert commissions (CEC) are created.

2.2.3. The Central Executive Committee (EC) is created by order of the head of the organization from among the most qualified employees in the number of at least three people. The organization's EC must include the head of the archive or the person responsible for the archive.

It is advisable to include in the CEC a representative of the archival institution for which this organization is the source of acquisition.

The Chairman of the Central Executive Committee (EC) is appointed one of the organization's senior employees, who oversees the issues of record keeping and archives.

2.2.4. The main tasks of the CEC (EC) are:

organizing and conducting an examination of the value of documents at the stage of office work when compiling a nomenclature of cases and in the process of forming cases;

organizing and conducting an examination of the value of documents at the stage of preparing them for transfer to the organization’s archive;

organizing and conducting the selection and preparation of documents for transfer for permanent storage to the state or municipal archive.

2.2.5. The main functions of the CEC (EC) are:

organizing an annual selection of cases for storage and destruction;

consideration and submission for approval and agreement with the expert verification commission (EPC) of the archival institution of draft nomenclatures of the organization’s files, inventories of permanent and temporary (over 10 years) storage, including personnel, acts on the allocation for destruction of files that are not subject to storage;

preparation and submission for consideration by the EPC of the archival institution of proposals to change the storage periods for certain categories of documents established by the lists, and to determine the storage periods for documents not provided for in the lists;

participation in the preparation and consideration of draft regulatory and methodological documents on issues of working with documents in the organization.

2.2.6. The CEC (EC) holds meetings in accordance with the work plan and as necessary. Meetings of the Central Executive Committee (EC) are recorded. The minutes are signed by the chairman and secretary of the commission. Decisions of the Central Executive Committee (EC) come into force after approval by the head of the organization.

CEC (EC) protocols containing decisions on the approval of draft standard and approximate case lists, on changing the storage periods for documents established by standard and departmental lists of documents indicating their storage periods, as well as standard and approximate case lists, are approved by the head of the organization only after their consideration EPC of the corresponding archival institution.

Storage of personnel documents in an organization 2020

Articles on the topic

All organizations are required to ensure proper storage of personnel documents. At the same time, it is important to comply with the established retention periods for personnel documentation in the organization. We will tell you how to organize this correctly and functionally in this article.

By law, all employers must ensure proper storage of personnel documentation (Part 1, Article 17 of the Federal Law of October 22, 2004 No. 125-FZ “On Archival Affairs in the Russian Federation”, hereinafter referred to as the Law on Archival Affairs). Cases are formed for these purposes.

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The procedure for creating files for storing documents in an organization

Personnel documentation is formed into files, as a rule, with the onset of a new calendar year in accordance with the nomenclature of files approved in the organization. This formation is carried out in order to ensure a quick search for documents and prepare them for archival storage.

When forming cases, the personnel service is guided by the Basic Rules for the work of the organization’s archives (approved by the decision of the Board of Rosarkhiv dated 02/06/2002) and the Rules for organizing the storage, acquisition, recording and use of documentation of 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).

Today, these two regulations are in force. However, they are not mandatory regulations, but are only advisory in nature.

Section IV. Transfer of organization documents for storage to the state (municipal) archive

Determines the procedure for transferring organization documents for storage to the state (municipal) archive. This section establishes that:

• organizations - sources of acquisition of state (municipal) archives, after the expiration of the temporary storage period for documents of the Archive Fund of the Russian Federation in the archive of the organization, transfer them for permanent storage to the corresponding state (municipal) archive in accordance with Rules No. 19;
• state and non-state organizations that are not sources of acquisition of state (municipal) archives may transfer documents of the Archival Fund of the Russian Federation, generated in their activities, to state (municipal) archives on the basis of agreements.

The new Rules establish the procedure for transferring documents. They emphasize that documents are transferred for permanent storage in an orderly state with the appropriate scientific reference apparatus, and the transfer of documents to the state (municipal) archive is formalized by an act of acceptance and transfer of documents for storage (Appendix No. 30).

Basic rules for creating files for organizing document storage

There are several rules for creating personnel documentation files

Rule 1. Personnel documents are formed into files in accordance with the nomenclature of the organization’s files.

Rule 2. Conducting a case begins from the moment even one document is filed in it.

Rule 3. The cover of the case is drawn up.

The following details are indicated on the cover:

• full name of the organization;
• full name of the structural unit;
• case number;
• case title;
• storage period for documents.

Rule 4. Only executed and executed documents are filed.

Rule 5. Only one original copy of the document is filed, with the exception of a number of cases.

Rule 6. Documents published in the same calendar year are filed in the file.

Rule 7. The file should contain no more than 250 sheets, and its thickness should not exceed 4 centimeters.

Rules for grouping documents into cases

3.3. Composition of documents to be transferred to the archive

3.3.1. The archive of the organization, in accordance with the regulations on it, is completed with files of permanent, temporary (over 10 years) storage, as well as files on personnel.

3.3.2. Temporary storage files with storage periods of up to 10 years are, as a rule, not subject to transfer to the organization’s archive. They are stored in the structural divisions of the organization and upon expiration of the storage period are subject to destruction (see clause 2.4.5

).

3.3.3. Documents of personal origin are transferred to the organization's archive for temporary storage at the request of their owner (proprietor), with subsequent transfer to the state archive for permanent storage.

3.3.4. Documents of predecessor organizations, as well as documents of liquidated subordinate organizations, are transferred to the archive.

Storage periods for personnel documents in the organization

From March 13, 2020, the storage period for personnel documentation has been changed. Now the storage period for such documentation is 50 years, instead of 75 years.

The changes apply to all archival documents reflecting the labor relationship between the employee and the employer (Article 3 of the Law on Archival Affairs).

Documentation on personnel can be divided into four groups:

Group 1. Documents related to staffing the organization.

For example: employment agreement (contract), orders (instructions) on hiring, appointment to a position, employee’s personal card, etc.;

Group 2. Documentation related to the movement of workers during their working life.

Among them: agreements, orders (instructions) on transfer to another job, on combining professions (positions), on fulfilling the duties of a temporarily absent employee, etc.;

Group 3. Documents related to the attitude of employees to work.

In particular, orders (instructions) on promotion, on establishing an increase to the official salary, etc.;

Group 4. Documentation related to termination of employment relations.

As a rule, these are orders (instructions) to terminate the employment contract.

Another fundamental innovation: the calculation of the new retention period begins from the day the documents were created, and not from the date of dismissal of the employee, as was the case before.

However, the new provisions do not apply to all documents of the organization. They apply only to personnel documentation created since 2003. For earlier documents, the storage requirement for at least 75 years remains (clauses 1, 2, article 22.1 of Law No. 43-FZ).

documentation on personnel generated in connection with the passage of citizens in federal public service, the storage period is 75 years after termination of service: military, in internal affairs bodies, the Investigative Committee, etc. (clause 3 of article 22.1 of Law No. 43-FZ).

Formation of a case with orders for personnel

When creating files with orders for personnel, the storage periods for personnel documents in organizations are taken into account:

• 50 (75) years (we talked about them in the previous section);
• 5 years (orders on regular and educational leaves, imposition of disciplinary sanctions, short-term domestic business trips).

For this reason, two different files are formed: orders for personnel with a storage period of 50 (75) years and orders for personnel with a storage period of 5 years.

Inside the case, orders are filed by numbers and dates. If the number of filed sheets in the case exceeds 250, then the case is divided into volumes (for example, volume 1, volume 2, etc.).

If an organization issues a large number of orders, then they can be filed in different files (for example, hiring orders, transfer orders, dismissal orders, etc.).

Formation of a file with personal cards of employees for organizing document storage

Personal cards are issued upon employment of employees and are maintained throughout the entire period of their employment.

As a rule, such documents are stored in the form of a card index, divided by structural divisions, and within sections - alphabetically.

After an employee is dismissed, his personal card is moved to the “Personal cards of dismissed employees” file.

Formation of a case with contractual documents for organizing storage

If the organization maintains personal files of employees, then employment contracts and agreements are included in their composition. Otherwise, such documentation is compiled into a separate file “Employment contracts, agreements with employees.”

After the dismissal of an employee, the employment contract (agreements) is removed from the file and filed in alphabetical order in another file, “Employment contracts of dismissed employees.”

3.6. Requirements for registration of cases accepted into the archive

3.6.1. The registration of cases is carried out by employees of the documentation support service of the organization’s management or other structural units whose responsibilities include the establishment and formation of files, with methodological assistance and under the control of the organization’s archive.

3.6.2. Depending on the storage period, full or partial registration of cases is carried out.

3.6.3. Cases of permanent, temporary (over 10 years) storage and personnel records are subject to full registration.

Full registration of cases includes:

file filing or binding;

numbering of case sheets;

drawing up a certification sheet;

drawing up, if necessary, an internal inventory of documents;

introducing the necessary clarifications into the details of the cover of the case (clarification of the name of the organization, the registration index of the case, the deadlines of the case, the title of the case).

Cases of temporary (up to 10 years inclusive) storage are subject to partial registration: it is allowed not to systematize the documents in the case, not to number the sheets of the case, and not to draw up certification notes.

3.6.4. The documents making up the cases are filed with 4 pins in a hard cardboard cover or bound, taking into account the possibility of free reading of the text of all documents, dates, visas and resolutions on them. When preparing files for filing (binding), metal fasteners (pins, paper clips) are removed from the documents.

3.6.7. At the end of each case, a blank form of the certifying sheet is filed, and at the beginning of the case (to record especially valuable documents) - a form for the internal inventory of the case documents.

3.6.8. In order to ensure safety and consolidate the order of arrangement of documents included in the case, all sheets of this case (except for the certification sheet and internal inventory) are numbered in Arabic numerals with gross numbering in the upper right corner of the sheet using a simple pencil or numberer. Sheets of the internal inventory of case documents are numbered separately.

3.6.9. Sheets of cases consisting of several volumes or parts are numbered for each volume or for each part separately.

3.6.11. The folded sheet (A3, A2 format) is unfolded and numbered on the right side of the top margin of the sheet. In this case, a sheet of any format, hemmed at one edge, is numbered as one sheet; a sheet folded and hemmed in the middle is subject to re-stitching and is numbered as one sheet.

3.6.12. A sheet with firmly pasted documents (photos, clippings, extracts, etc.) is numbered as one sheet. If other documents are glued to the document at one edge (text inserts, translations, clippings, etc.), then each document is numbered separately.

3.6.13. Envelopes with attachments filed in the case are numbered; in this case, the envelope itself is numbered first, and then each attachment in the envelope is numbered with a subsequent number.

3.6.14. Documents filed in the case with their own numbering of sheets (including printed publications) can be numbered in the general order or retain their own numbering if it corresponds to the order of the sheets in the case.

3.6.16. The certification sheet is drawn up in the file on a separate sheet, in books - on the reverse side of the last blank sheet, in card files - on a separate blank sheet of card format.

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The case certification sheet is drawn up in the prescribed form, which indicates in numbers and in words the number of numbered sheets of the case, the number of sheets of the internal inventory, specifies the specifics of the numbering of case numbers (presence of lettered case numbers, missing numbers, numbers of sheets with pasted photographs, numbers of large-format sheets, envelopes with attachments and the number of sheets included in them), and also indicates the presence in the file of printed copies of brochures with the number of sheets in them, if they were not noted in the general gross numbering in the file.

The document certifying the case is signed by its compiler.

It is prohibited to place the certification sheet on the cover of the case or the blank back of the last document. If the case is filed or bound without a form of the certification sheet, it is pasted behind the top of the sheet on the inside cover of the case.

3.6.17. An internal inventory of case documents is compiled to record documents of permanent and temporary (over 10 years) storage, the recording of which is caused by the specifics of this documentation (especially valuable, personal, judicial, investigative cases, etc.), as well as to record cases of permanent and temporary ( over 10 years) storage, formed according to types of documents, the headings of which do not reveal the specific content of the document.

The internal inventory is compiled on a separate sheet in the prescribed form, which contains information about the serial numbers of the case documents, their indexes, dates, headings and sheet numbers of the case. A final record is drawn up for the internal inventory, which indicates in numbers and in words the number of documents included in it and the number of sheets of the internal inventory.

The internal inventory is signed by its compiler. If the case is bound or filed without an internal inventory of documents form, then the inventory drawn up in the prescribed form is glued to the inside of the front cover of the case.

3.6.18. The cover of the case for permanent, temporary (over 10 years) storage and for personnel is drawn up and executed in the prescribed form, which indicates the name of the organization, structural unit, case index, archive code of the case, case number (volume, part) for the annual section of the summary inventory cases, case title.

On the cover of permanent storage files, space is provided for the name of the state archive into which the organization’s files will be accepted, designation of the codes of the state archive and organization.

When the name of an organization (structural unit) changes during the period covered by the case documents, or when the case is transferred to another organization (to another structural unit), the new name of this organization or the legal successor organization is indicated on the cover of the case, and the previous name of the organization (structural unit) is enclosed in parentheses.

The title of the case on the cover of the case is transferred from the nomenclature of the organization’s cases, agreed upon with the expert review commission of the relevant archival institution. If necessary, clarifications are included in the title (numbers of orders, protocols, etc.).

In cases where the case consists of several volumes (parts), the general title of the case and the title of each volume (part) are placed on the cover of each volume (part).

The headings of cases containing copies of documents indicate their copy number. The authenticity of the case documents is not stated in the title.

On the cover of the case, the extreme dates of the case are indicated in Arabic numerals - the year(s) of establishment and completion of the case.

If the case includes documents (appendices, etc.), the dates of which go beyond the last dates of the case, then under the dates of the case, a new line is made about this: “the case contains documents for ... year(s).” Case dates may not appear on the cover of files containing annual plans and reports, as they are reflected in the case titles.

The extreme dates of cases containing organizational, administrative, creative and other documentation (protocols, transcripts, letters, reports, etc.), for which precise dating is important, as well as cases consisting of several volumes (parts), are marked with the extreme dates the dates of the case documents, i.e. the dates of registration (compilation) of the earliest and latest documents included in the case.

If the case is a journal of registration of orders, instructions, etc., then the date of the case will be the exact calendar dates of the first and last entries in the journal.

The deadlines for a case containing minutes of meetings are the dates of approval (for documents that are approved) or the drawing up of the first and last minutes constituting the case.

The deadlines for a personal file are the dates of signing the order for the hiring and dismissal of the person for whom the file was opened.

Mandatory details of the cover of the case are the number of sheets in the case, which is affixed on the basis of the certification inscription of the case, and the storage period for the case (on permanent storage cases it is written: “Keep permanently”).

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Rules for archiving documents in an organization

As a rule, the storage of personnel documents is carried out in order to satisfy the social and legal needs of ex-employees.

Thus, there are two stages of storing personnel documents:

Stage 1. Current storage (storage for office work).

Stage 2. Archival storage (archival storage).

If the organization does not have an archive room, then the storage of documents in two stages is carried out in the personnel service.

Rules for storing documents in the organization’s archives

In order to ensure the safety and integrity of personnel documents, it is necessary to observe a certain storage regime:

• the premises must be equipped with special cabinets or safes that will be securely locked and sealed;
• It is advisable to place cases on shelves in accordance with the nomenclature of cases;
• The place where documents are stored in the HR department must be separated from the part of the office where work with visitors is carried out.

The main thing is order

Cases are transferred to the organization’s archive according to a specially developed schedule. Its preparation must be agreed upon with the heads of each of the structural divisions to which documents will be transferred, and also approved by the archivist. Since working documents in the archive are not only stored, but also periodically used, it is necessary to determine the rules for their issuance (if necessary) according to the submitted applications of the organization’s employees, as well as third-party interested parties.

The issuance of documents must be noted in certain registration books. To formalize the process, there are requirements-orders, acts for the transfer of cases for temporary use procedures to third-party organizations (among others, these may include prosecutorial authorities and the court). Documents are issued for a period of up to one month to our own employees and up to three months to representatives of third-party structures.