The procedure for transferring documents for storage to archival institutions during the liquidation of an organization
In accordance with Art. 23 of the Federal Law of October 22, 2004 No. 125-FZ “On Archival Affairs in the Russian Federation” (as amended on May 13, 2008) during the liquidation of state bodies, local government bodies, state and municipal organizations, documents included in the Archival Fund of the Russian Federation, documents on personnel, as well as archival documents whose temporary storage periods have not expired, are entered in an orderly state for storage in the appropriate state or municipal archive. When liquidating non-governmental organizations, incl. as a result of bankruptcy, archival documents, documents on personnel, as well as archival documents whose temporary storage periods have not expired, formed in the course of their activities and included in the Archive Fund of the Russian Federation, are transferred by the liquidation commission (liquidator) or the bankruptcy trustee in an orderly manner to storage in the appropriate state or municipal archive on the basis of an agreement between the liquidation commission (liquidator) or bankruptcy trustee and the state or municipal archive. In this case, the liquidation commission (liquidator) or bankruptcy trustee organizes the organization of archival documents of the liquidated organization, incl. an organization being liquidated as a result of bankruptcy.
Functions of the liquidation commission
After a decision to liquidate a legal entity is made in accordance with the established procedure, a liquidation commission is created or a bankruptcy trustee is appointed, which takes measures to ensure the safety of archival documents of permanent storage and personnel. It is recommended that the liquidation commission include an employee of the relevant state or municipal archive, who will monitor the preparation and transfer of documents for state or municipal storage.
The liquidation commission or bankruptcy trustee is responsible for the preparation and transfer for further storage of archival documents of the liquidated organization.
In order to carry out work to organize documents and transfer them for storage to archival institutions, the cost estimate for the liquidation of an organization includes an article that provides for the costs of conducting an examination of the value and processing of documents. Preparation of archival documents for transfer to archival institutions and their transportation are carried out at the expense of the organization.
The organization of documents transferred for state or municipal storage is carried out on its own or with the help of organizations licensed to carry out this type of work, in accordance with the Basic Rules for the work of archives of organizations, approved by the decision of the Board of Rosarkhiv dated 02/06/2002. The chairman of the liquidation commission or the bankruptcy trustee may enter into an agreement with the relevant state or municipal archive for the provision of services for assessing the value and organizing documents.
Note . Upon liquidation of an organization that is the source of acquisition of the state (municipal) archive, an inventory of permanent storage files, an inventory of temporary storage files for personnel (75 years), an inventory of temporary storage files (up to 10 years inclusive), the storage periods of which have not expired, and the act of allocation for destruction of files that are not subject to storage are submitted for approval and approval by the expert-verification commission of the relevant archival body, and then approved by the chairman of the liquidation commission or the bankruptcy trustee.
When liquidating an organization that is not the source of acquisition of the state (municipal) archive, inventories of temporary storage personnel files (75 years), inventories of temporary storage files (up to 10 years inclusive), the storage periods of which have not expired, and an act on the allocation for destruction of files that are not subject to storage.
Who should keep the documents of a liquidated organization?
Documents of a liquidated organization that has a legal successor or a higher organization are transferred for storage to the legal successor, and in his absence, to the higher organization in an orderly manner.
In the absence of a legal successor and a higher organization, documents of permanent storage, documents on personnel of temporary storage (75 years) and documents of temporary storage (up to 10 years inclusive), the storage periods of which have not expired, are transferred to the appropriate state (municipal) archive in an orderly state. At the same time, non-governmental organizations transfer their documents under the agreement.
Documents with unexpired temporary storage periods can be transferred to the appropriate state (municipal) archive if there is free space in the archive and upon agreement with it on a paid basis.
Preparation of documents for transfer to state or municipal storage includes:
- conducting an examination of the value of documents;
- registration of cases;
- compilation of inventories and scientific reference apparatus for it.
Examination of the value of documents
When conducting an examination of the value of documents, the storage periods for documents are determined in accordance with the List of standard management documents generated in the activities of organizations, indicating the storage periods, approved by the Federal Archive on October 6, 2000 (as amended on October 27, 2003; hereinafter referred to as the Standard List).
Personnel documents that have a long-term storage period include:
- administrative documents (orders; instructions; notes replacing orders for personnel; resolutions, etc.);
- lists of personnel, incl. lists of workers in production with hazardous working conditions;
- personnel registration cards, incl. temporary workers (form T-2);
- Personal things;
- personal payroll accounts of employees (salary statements);
- acts on accidents related to production;
- tariff sheets;
- report cards and work orders for workers in hazardous professions;
- employment agreements (contracts), labor agreements that are not included in personal files;
- minutes of meetings of commissions to establish length of service for the payment of bonuses for length of service;
- minutes of meetings, resolutions of certification and qualification commissions;
- documents (submissions, petitions, characteristics, autobiographies, extracts from decisions, resolutions, etc.) on the nomination of employees of the organization for state and departmental awards, conferring titles, and awarding bonuses;
- lists of employees retiring on preferential pensions;
- staffing arrangements;
- books (cards) recording the reception, movement (transfer), dismissal of employees.
The storage period for these documents in accordance with the Model List is generally 75 years. The exceptions are:
- reports of accidents related to production are stored for 45 years;
- tariff sheets – 25 years;
- minutes of meetings of commissions to establish length of service for the payment of bonuses for length of service - 15 years;
- minutes of meetings, resolutions of certification and qualification commissions - 15 years;
- lists of employees retiring on preferential pensions – 50 years.
The selection of documents for further storage is carried out by conducting a sheet-by-sheet review of files. It is not permitted to examine the value of documents based solely on the headings on the covers of cases. At the same time, excess copies of documents or documents not related to the issues on which the case was formed are removed from the cases; The correctness of the documents is checked.
Note . In accordance with Art. 6b of the Standard List, orders and instructions regarding personnel have two storage periods: 75 years and 5 years.
Orders and instructions on personnel that have a 75-year shelf life include orders, instructions on hiring, dismissal, relocation, bonuses, promotions, long-term care leave, and long business trips.
Orders and instructions that have a 5-year shelf life include orders and instructions on the provision of regular and educational leave, duty, penalties, and short-term business trips.
Orders and instructions that have a 75-year storage period are selected for state (municipal) storage. Orders and instructions with a 5-year storage period are included in the destruction act provided that their storage periods according to the list have expired.
Registration of cases
Registration of cases involves systematization of documents in the case, filing or binding of the case, numbering of sheets of the case, drawing up a document certifying the case, drawing up (if necessary) an internal inventory of documents.
Orders, instructions and other administrative documents are compiled into files within one calendar year in chronological order and with related annexes.
On a chronological basis, documents are also systematized in cases containing accident reports, minutes of commission meetings, documents on nominations for awards, employment contracts (agreements), tariff sheets, timesheets and work orders for workers in hazardous professions.
Personal accounts for employee wages are formed into independent files and are arranged in them alphabetically by last name.
Documents in personal files are located as they are received.
Employees' personal cards are also compiled into files according to the alphabetical order of surnames.
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 leave certification sheets in the files.
Binding and filing of completed files for permanent, long-term (over 10 years) storage is carried out only after completion of the examination of the value of the documents. Documents that have a temporary (up to 10 years inclusive) shelf life may not be bound or filed, but stored in a binder until the expiration of their storage period according to the list.
The documents of the case are filed, intertwined in four holes with harsh threads. Considering the intensity of the use of personnel documents to fulfill requests of a social and legal nature, when performing bookbinding work and filing files, high-quality cardboard with increased density should be used. Documents are filed and bound so that the text can be easily read.
If there are unclaimed personal documents in the personal file (identifications, certificates, work books, military IDs, etc.), they are placed in an envelope, which, together with other documents, is filed in the file.
Drawing up case inventories
An internal inventory of case documents is compiled in exceptional cases, as a rule, for personal files.
At the beginning of each case, a blank sheet of paper is placed, and at the end - a certified sheet in the prescribed form. The certification sheet indicates in numbers and in words the number of numbered sheets in the case, the presence of missing and lettered numbers, and, if necessary, the number of sheets of the internal inventory of the case is indicated. It is not allowed to place a certification inscription on the reverse side of the last document of the case or on the cover of the case.
Based on the results of the examination of the value and organization of documents, an inventory of permanent storage cases, an inventory of temporary (75 years) storage cases for personnel, an inventory of temporary (up to 10 years) storage cases and an act on the allocation for destruction of files that are not subject to storage are drawn up.
Depending on the volume, composition of documents, their storage periods, the format of personnel files, as well as for the purpose of quickly searching for the necessary information to confirm seniority and wages, separate inventories of personnel files can be compiled:
- orders;
- personal files of those dismissed;
- personal cards of dismissed people;
- personal accounts for wages;
- payroll statements;
- unclaimed personal documents (work books, certificates, etc.);
- acts of industrial accidents, etc.
Management documents of organizations that are not sources of acquisition of state (municipal) archives, used to fulfill requests of a socio-legal nature, are included either in a separate inventory, or (if the volume of transferred documents is insignificant) in the inventory of personnel files for a temporary (75 years) storage period .
Inventories of files and an act on the allocation for destruction of files that are not subject to storage are submitted to the expert review commission of the relevant archival body for approval and approval.
Cases subject to destruction, after approval and coordination of case inventories with the archival authority, are transferred for processing (disposal) with the appropriate execution of an acceptance note, which indicates the date and weight of waste paper.
How much does storage cost? Government bodies and organizations, incl. unitary, transfer their documents to state archives without paying for storage services. The same applies to local governments and municipal organizations.
Liquidated non-governmental organizations, both those that are and those that are not sources of acquisition of state (municipal) archives, transfer their documents to state (municipal) storage under an agreement.
If a liquidated non-governmental organization has documents generated in the office work of a predecessor organization with state ownership, no fee is charged for storing these documents.
Documents are transferred to state (municipal) archives in an orderly state according to inventories approved or agreed upon by the expert verification commission of the relevant archival authority.
Reception and transfer of documents for storage is carried out by employees of the state (municipal) archive and a representative of the liquidated organization. During the acceptance and transfer process, the availability of cases specified in the inventories is checked. The physical state of affairs is determined by visual inspection. Acceptance of documents is formalized by an act of acceptance and transfer of documents for storage in two copies, which is approved by the bankruptcy manager (chairman of the liquidation commission) and the head of the archival institution. Together with the documents, three copies of each inventory and the scientific reference apparatus for them (historical information about the archival fund, a preface to the inventory, indexes, a list of abbreviated words, etc.) are transferred to the state (municipal) archive for storage. The fourth copy of the inventory and one copy of the act of acceptance and transfer of documents for storage in the state (municipal) archive is transferred to the bankruptcy trustee (chairman of the liquidation commission).
E.A. Kosheleva, deputy Director of the state institution of the Moscow region "Central State Archives of the Moscow Region"
Source: https://www.profiz.ru/sr/9_2010/poradok_peredaci_dok/
Organization of current storage
The organization’s documents, upon completion of work with them, are subject to ongoing (operational, temporary) storage.
Depending on the volume of correspondence, documents or a certain part of them can be stored directly in the manager’s office in cabinets (safes) intended for this purpose.
Transferring documents to storage mode means that, on the one hand, work with them was carried out in full accordance with the resolutions of the manager and the requirements of governing documents. And on the other hand, the organization’s need for these documents temporarily remains, and in certain circumstances they can be re-submitted for study, clarification or re-examination.
The best option for current document storage is the following.
Documents are placed in specially equipped rooms where the required temperature and humidity conditions are constantly maintained and there is a sufficient number of storage spaces (cabinets, safes, racks, etc.).
Only officials responsible for storage, as well as their immediate superiors and employees of the document security unit (information security service) have access to these premises.
The premises must provide normal working conditions for personnel. Access to document storage areas should not be obstructed by furniture, equipment, etc.
Cabinets and safes must have information on the doors about the person responsible for storing documents, as well as locks and sealing devices.
The keys to the cabinets must be kept by the responsible person, and at the end of working hours they must be handed over to the security officer on duty against signature.
Inside the cabinets there should be regularly updated inventories of stored files.
Rules for the preparation of documents when placing them in current storage:
1. Only fully executed (processed) documents are filed. It is prohibited to file multiple copies of one document, as well as its draft versions.
2. Only original documents are filed (for outgoing documents - their second copies, certified under the signature of an authorized person). Documents that are subject to return are not filed in the file (in this case, as an exception, only a certified copy of the document is placed in the file).
3. Placement of documents in files is carried out in strict accordance with the approved nomenclature of the enterprise’s files. Attachments to documents are placed in files along with the documents themselves.
4. Documents placed in files must have registration numbers, internal page numbering, information about the performers, and their signatures.
5. As a rule, documents executed during the same year are filed in the same volume of the case (with the exception of transferable cases, for example, personal files of employees of the organization). It is advisable to file documents with different shelf life in different files (in different volumes of the same file).
6. The arrangement of documents in the file is carried out in direct chronological order, and those with strict serial numbering (for example, orders) - in ascending numbering.
To file cases, binders (file folders) are used, which are covers made of hard material (with polyethylene inserts for documents).
The dimensions of one side of the cover should be 0.3-0.5 cm larger than the dimensions of an A4 sheet in order to protect the bound documents from mechanical damage (usually 215 X 300 mm). As a rule, more than 250 sheets cannot be filed in one binder (volume), and the thickness of the volume should not exceed 4 cm.
Conducting business involves, in addition to regular filing of documents, also drawing up (filling out) an inventory of them. Such an inventory is kept in each volume of each case.
A record of a document newly filed in the file is made after its pages are numbered in accordance with the internal serial numbering of the volume.
As a rule, company documents are kept in current storage for two years.
For documents for which the specified period has expired, a specially authorized expert commission of the organization makes a decision on the procedure for their subsequent storage for a period of up to 10 years or sending (if the need for their current storage has ceased) to an institution of the Federal Archive or for destruction (in accordance with requirements of governing documents in this regard).
The maximum storage period for documents is 75 years.
Application of the 2019 List with shelf life in questions and answers
It is much more convenient for the records management service to annually regulate, plan and coordinate the work of those responsible for records management in preparing inventories of cases and draft acts in structural divisions, and to draw up annual sections of inventories and summary acts in the same planned manner (if this is established in the regulations on the records management service). In the same annual cycle, it will be much easier and more technologically advanced for the organization’s archive to compile annual sections of inventories and a consolidated act (if this is established in the regulations on it), develop a schedule for the receipt and transfer of documents to the archive and annually prepare it for approval by order of the first manager. Please note that if there are planned activities, then based on the results of their implementation it becomes possible to formulate indicators for assessing the performance of departments in a completely objective manner and carry out this assessment also annually.
Now let's turn to the legislation. According to Art. 17 of the Federal Law of October 22, 2004 No. 125-FZ “On Archiving in the Russian Federation”7 any organizations are obliged to ensure the safety of archival documents during their storage periods established by federal laws, other regulatory legal acts of the Russian Federation, as well as lists of documents with storage periods . Moreover, this mandatory storage of archival documents does not provide for the mandatory creation of an archive as a structural unit (Article 13 of the Law on Archival Affairs). But the creation of an expert commission (EC) as an advisory body under the first head of any organization is mandatory on the basis of the order of the Federal Archive of April 11, 2018 No. 43 “On approval of the Model Regulations on the organization’s expert commission.” In organizations with a complex structure and/or subordinate organizations, central expert commissions (CEC)8 are created.
If your organization is not the source of acquisition of the state or municipal archive, then you will not need to coordinate your inventories and acts with its expert verification commission (EPC).
So, the organization’s expert commission “organizes an annual selection of cases generated in the organization’s activities for storage and destruction”9. In each calendar year, the organization's EC usually holds at least 2 meetings, recording in the minutes the facts of agreeing on the draft list of cases for the next calendar year (at the end of the year) and the annual sections of the case lists and the consolidated act (usually at the beginning of the new calendar year). The EC approval stamp is required before the annual sections of the inventories and the consolidated act are approved by the first head of the organization. In case of checks of compliance with the requirements of the Federal Law of October 22, 2004 No. 125-FZ “On Archival Affairs in the Russian Federation”, which are actively carried out in the constituent entities of the Russian Federation by authorized bodies in the field of archival affairs, state and municipal archives, minutes of EC meetings are required to be presented .
In the situation described in the question, it is important that the inventories and acts of allocation for destruction are agreed upon at least by the EC of your organization before 02/18/2020 (i.e. 02/17/2020 or earlier) and the storage periods in them are determined according to the old List . If this is realistic for your EC, then there is really no need to redo the deadlines in the documents in accordance with the new List. This is a direct answer to your specific question.
However, we cannot advise you to do exactly this. Because we must warn you that signing or approving documents “back-dating” both in our practice and in international practice in ISO standards is considered an unacceptable action.
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