1 range

This standard specifies the principles and methods of filing documents that should be kept as file files.

This standard is applicable to the arrangement of archival documents kept by organs, organizations, enterprises, institutions and other social organizations at all levels as document files. Other types of documents can be implemented by reference. Enterprises and units have other special provisions, from its provisions.

2 normative reference documents

The following documents are essential for the application of this document. For dated reference documents, only dated version is applicable to this document. For undated reference documents, the latest version (including all revisions) is applicable to this document.

GB/T 18894 specification for filing and management of electronic documents

DA/T 1-2000 basic terms of archival work

DA/T 13- 1994 Formulating Rules for Document Number

DA/T25-2000 Technical Specification for File Installation

DA/T38-2008 Technical Requirements and Application Specification of Electronic Document Archiving CD-ROM

3 Terms and definitions

The following terms and definitions apply to this standard.

3. 1

archive file

Documents and materials that should be kept as documents and materials, including paper and electronic documents and materials, formed by archiving units in their functional activities.

3.2

Arrange arrangement

Assembly, classification, sorting, numbering, cataloging, etc. (paper filing documents also include trimming, binding, page editing, packing and shelving; Electronic files also include format conversion, metadata collection, archiving data packet organization, storage and other processes. ) make them orderly.

3.3

project

Organization of filing documents.

3.4

File number file code

A set of character codes given to archive files in order to reflect the categories and arrangement order of archive files.

4 classification principle

4. 1 archiving should follow the law of document formation and keep the organic connection between documents.

4.2 Archiving should distinguish between different values for easy storage and utilization.

4.3 Archiving should meet the requirements of integrated file management, which is convenient for computer management or computer-aided management.

4.4 Filing shall ensure the coordination and unification of paper documents and electronic documents.

5 General requirements

5. 1 assembly (organization of parts)

5. Composition of1.1

Generally, every file is a file. The text and attachments are integrated; The original version and the final version of the document (including the previous revisions of important documents such as laws and regulations) are one; The forwarded file and the forwarded file are integrated; The original and the copy are integrated; The original and translation are integrated; Chinese text and foreign text are integrated; Reports, rosters, atlas and other volumes (volumes) are one volume (except when documents are attached); The first issue of the newsletter, weekly report and other materials for one; Meeting minutes and minutes are generally one for each meeting, one for each year; I. Communication and reply (request and reply, report and instruction, letter and reply, etc.). ) are generally independent, or they can be one. If there is a document handling sheet or paper, the document handling sheet or paper is integrated with the relevant documents.

5. 1.2 Classification of internal documents

When sorting the archived documents, the text comes first and the attachments come last; The original is in the front and the final version is in the back; Forward the text in front, forward the text in the back; The original is in the front and the copy is in the back; For texts in different languages, if there are no special provisions, the Chinese text comes first and the minority text comes last; Chinese text comes first and foreign text comes last; When communication and reply are regarded as a whole, reply comes first and communication comes last. If there is a document processing sheet or manuscript paper, the document processing sheet is in the front and the receipt is in the back; The manuscript is in the front, and the manuscript paper and the final draft are in the back.

5.2 classification

5.2. 1 The archiving unit shall scientifically classify the archived documents, and the consistency and stability of the classification scheme shall be maintained for the same case.

5.2.2 Archived documents are generally divided into three levels according to the methods of year-organization (problem)-storage period and year-storage period-organization (problem).

A) classification by year

Classify documents by year. Generally speaking, the date of issuance of the document shall prevail. Plans, summaries, budgets, statistical reports, commendation of advanced documents, normative documents and other documents involving different years shall be determined based on the date of issuance of the documents. The meeting documents formed across years are classified as the closing year. Documents processed across years are classified as completion years. If it is impossible to verify the year of formation, it shall be the year of filing, and it shall be stated in the notes.

B) Classification by institution (problem)

Classify documents according to their formation or organization (problem). Institutional classification and problem classification are either applicable or not adopted at the same time. If the organization classification is adopted, the archived documents shall be classified according to the document formation or the undertaking organization, and the archived documents formed by multiple departments shall be classified according to the document sponsoring department. If the problem classification is adopted, the archived documents shall be classified according to the problems reflected in the contents of the documents.

C) classification by storage period

Classify files according to the specified retention period.

5.2.3 Filing units that are small in scale or whose document processing procedures are not suitable for classification according to institutions (problems) can be classified at two levels by methods such as year-retention period.

5.3 arrangement

5.3. 1 Archived documents shall be arranged in the lowest category of the classification scheme according to time and reason.

5.3.2 Documents with the same cause shall be arranged in the order of their formation.

5.3.3 Complete sets of documents such as meeting documents and statistical statements can be centralized.

5.4 numbering

5.4. 1 The archived documents shall be numbered according to the classification scheme and arrangement order. The establishment of file number should follow the principles of uniqueness, rationality, stability, expansibility and simplicity.

5.4.2 The structure of file number should be: fonds number-file category code year-storage period-institution (problem) code-part number.

The upper and lower codes are connected by "-",and the codes at the same level are separated by "". For example, "z109-ws.201-y-bgs-0001".

5.4.3 Document numbers shall be compiled according to the following requirements:

A) Parcel number: the code compiled by the archives for the filing unit, marked with 4 digits or alphanumeric combination, and compiled according to DA/T 13- 1994.

B) Year of file category code: the file category code of the filing file is identified by the 2-digit Chinese phonetic initials "WS" of "File". The year is the year when the document was formed, and the year is marked with 4 Arabic numerals, such as "20 13".

C) storage period: the storage period is divided into permanent, fixed-term 30 years and fixed-term 10 years, which are marked with codes "y", "D30" and "D 10" respectively.

D) Institution (problem) code: The institution (problem) code is identified by 3-digit pinyin letters or Arabic numerals, such as the institution code "BGS". If the archive file is not classified by institution (problem), the institution (problem) code shall be omitted.

E) Part number: The part number is the serial number of a single file in the lowest category of the classification scheme, which is identified by 4 digits. Less than 4 digits, fill 0, such as "0026".

5.4.4 Archive documents shall be stamped with archive seal in the blank space above the home page, and relevant contents shall be filled in. Electronic files can be marked on the archive file in the form of system-generated archive chapter or bar code and other forms.

5.4.5 The filing chapter takes the components of the case file number, that is, the case number, year, storage period, part number and page number as required items, and the institution (problem) can be selected (see Appendix A, Figure A 1). The number, year, storage period, part number and organization (problem) in the filing chapter are compiled according to 5.4.3, and the number of pages is identified by Arabic numerals (see Appendix A and Figure A2). For the convenience of memory, the storage period of the filing seal can also be marked with the abbreviations of "permanent", "30 years" and "10 years", and the organization (problem) can also be marked with the standardized abbreviation of "office" (see Appendix A, Figure A3).

5.5 cataloging

5.5. 1 Archive files shall be arranged in the order of file number. Cataloging should be accurate, detailed and easy to retrieve.

5.5.2 The archived documents shall be catalogued one by one. When communication and reply are regarded as a whole, the catalogue of reply should reflect the content of communication. Set the serial number, file number, file number, responsible person, title, date, classification, number of pages, remarks and other items in the archive file directory.

A) Serial number: fill in the serial number of the application document.

B) Document number: The document number is compiled according to 5.4.2-5.4.3.

C) Document number: Document number. No symbols, no signs.

D) Person in charge: the organization or individual who issued the document, that is, the issuing authority or signatory of the document.

E) Title: the title of the document. If there is no title, the title is not standardized, or the title cannot reflect the main contents of the document, which is not convenient to find, all or part of the title should be self-drawn, and the self-drawn content should be enclosed in square brackets.

F) Date: the formation time of the document, which is expressed by international standard date symbols, such as 19990909.

G) Classification: the classification of documents should be filled in according to the actual identification of documents. If there is no classification, there is no need for identification.

H) Pages: the total number of pages in each file. A page with pictures and texts in a document is one page.

I) Remarks: Annotate the information that needs to be explained in the document.

5.5.3 It is suggested that the archive file directory be generated by the system or compiled by spreadsheet. The catalogue shall be in A4 format, and the pages shall be set horizontally (see Appendix B, Figure B 1).

5.5.4 In addition to saving the electronic version, the archive file directory should also be printed and bound into a book. Cover pages shall be prepared for the bound archive file catalogue (see Appendix B, Figure B2).

Cover set fonds number, fonds name, year, storage period, organization (problem), of which fonds name is the name of filing unit, and full name or standardized abbreviation should be used when filling in. The catalogue of archived documents can be bound into a book by year, or it can be bound into a book by year according to the storage period.

6. Finishing, binding, page editing, packing and shelving of paper archive documents.

6. 1 finishing

6. 1. 1 Unqualified documents shall be trimmed before binding.

6. 1.2 If the archive file is damaged, it shall be repaired according to DA/T25-2000; If the handwriting is vague or easy to degenerate, copy it.

6. 1.3 archive files shall be taken out from metal or plastic binding articles that are easy to rust and oxidize according to the requirements of storage period.

6. 1.4 For documents with too large format, fold them without affecting their future use effect.

6.2 binding

6.2. 1 Archived documents are generally bound in pieces. The binding of archived documents should be firm, safe and simple, so as not to damage pages, reverse pages or press words. After binding, the documents are flat, which is beneficial to the protection and management of archived documents. Binding should minimize the impact on the archive itself. If the original binding method meets the requirements, it should remain unchanged.

6.2.2 The binding method shall be determined according to the storage period of the archived documents, and the binding materials shall meet the storage period requirements. In order to facilitate management, the binding methods of the archived documents of the same term should be as consistent as possible, and the binding methods of different terms should be relatively uniform.

6.2.3 Materials used for binding shall not contain or produce substances that may damage the archived documents. Please do not use paper clips, pins, dovetail clips, hot melt adhesives, office glue, binding clips, plastic packaging and other binding materials for binding.

6.2.4 Permanently saved archive documents shall be bound in line. If the number of pages is small, use right-angle binding (see Appendix C, Figure C 1 and Figure C2) or sewing machine edge binding; If the document is thick, please use "three holes and one line" for binding. The permanently preserved archives should be bound with stainless steel staples or paste, and the binding materials should meet the needs of long-term preservation of archives.

6.2.5 The permanently saved archive documents shall not be bound with stainless steel clips or envelopes.

6.2.6 Archived documents that are kept regularly and need to be handed over to the comprehensive archives shall be bound according to 6.2.4-6.2.5. Archived documents that are kept regularly and do not need to be handed over to the comprehensive archives room can be bound according to 6.2.4, or bound with stainless steel clips or envelopes.

6.3 page making

6.3. 1 The page numbers of general paper filing documents shall be compiled in units of pieces.

6.3.2 Page numbers shall be compiled page by page and marked in the blank space in the upper right corner of the front or the upper left corner of the back of the document respectively.

6.3.3 Documents and materials have been printed into volumes with page numbers; If the page number to be compiled is the same as the original page number of the document, the original page number can remain unchanged. 6.4 boxing

Put the filing documents into the filing box in sequence, and fill in the items of the spine and reference table of the filing box. Archived documents with different years, institutions (problems) and storage periods cannot be put into the same file box.

tray

6.4. 1. 1 The cover of the file box shall indicate the names of all cases. The overall size of the file box is 3 10mm×220mm (length× width), and the thickness of the box ridge can be set to 20mm, 30mm, 40mm, 50mm, etc. As required (see Appendix D, Figure D 1).

6.4. 1.2 The archive box shall provide necessary items such as family number, year, storage period, starting and ending part number and box number. According to different resettlement methods, options such as institutions (problems) can be provided (see Appendix D, Figures D2 and D3).

Wherein, the starting and ending part numbers are filled in the part numbers of the first file and the last file in the box, the starting part number is filled in the upper box, and the ending part number is filled in the lower box; The box number is the serial number of the file box, which is compiled on the ridge or bottom edge of the file box according to the storage requirements.

6.4. 1.3 The file box shall be made of acid-free paper.

6.4.2 Preparation Form

The reference table is placed after the documents in the box, and the items include the description, proofreader, proofreading date, proofreader and inspection date of the documents in the box (see Appendix E).

A) Description of the documents in the box: fill in the information about the defects, modification, supplement, deletion and destruction of the documents in the box.

B) Organizer: signature or seal of the person responsible for organizing the filing.

C) End date: the end date of the archive.

D) Auditor: signature or seal of the person responsible for auditing the quality of the archived documents.

E) Inspection date: the date when the inspection of the archived documents is completed.

6.5 Bending frame

6.5. 1 After the archive files are sorted and boxed, the shelving method should be consistent with the classification scheme of the archive files of the unit, and the shelving method should avoid frequent inversion.

6.5.2 If the archived documents are classified by year, organization (problem) and storage period, the documents formed every year will be put on shelves in the order of organization (problem) when shelving in the warehouse, which is convenient for entity management.

6.5.3 If the archived documents are classified by year-storage period-organization (problem), the documents formed every year will be put on the shelves in turn according to the storage period when shelving in the warehouse, so as to facilitate the transfer of documents.

7 filing requirements of electronic documents

7. 1 The components (organization of documents), classification, arrangement, numbering and cataloging of archived electronic documents shall comply with the provisions of "5 General Requirements" of these Rules.

7.2 The format conversion, metadata collection, archiving data package organization and storage of archived electronic files shall be carried out according to standards such as Guide to the Construction of Digital Archives (20 14), GB/T 18894, DA/T48 and DA/T38.

7.3 Archived electronic documents should be sorted by using application systems that meet the standards of Digital Archives Construction Guide (20 14) and GB/T 18894.