Requirements for the document management system. Requirements for information systems for electronic document management of financial institutions. Software requirements

Only in the last five years. The main incentive here was the order of the Government of the Russian Federation dated February 12, 2011 No. 176-r, which approved the Action Plan for the transition federal bodies for paperless document flow and Decree of the Government of the Russian Federation dated September 6, 2012 No. 890 “On measures to improve electronic document flow in government bodies.”

In accordance with the mentioned Action Plan of the Ministry of Telecom and Mass Communications of the Russian Federation, “Requirements for information systems electronic document management of federal executive authorities, taking into account, among other things, the need to process official information of limited distribution through these systems.”2

While EDMS were used exclusively as intra-institutional systems, their diversity and incompatibility with each other was not a significant problem. But with the beginning of the transition to a unified information space, the organization of interdepartmental electronic document flow, the need to unify EDMS, ensure their compatibility with national systems of document exchange, electronic interaction and archival storage come to the fore. GOST R 53898-2010 is partially aimed at solving the interaction of EDMS systems. “Electronic document management systems. Interaction of document management systems. Requirements for an electronic message."

“Requirements for electronic document management information systems...” are intended for federal executive authorities, but in accordance with Art. 11 of Federal Law No. 149-FZ of July 27, 2006 also applies to other government bodies and authorities local government. Commercial organizations have the right to organize EDS at their own discretion, but given the role of the state in our country, usually all large and medium-sized commercial organizations are guided by the rules set by the state for the convenience of interaction with government agencies.

These Requirements are of a framework nature and therefore in 2013, the Federal Archival Agency All-Russian Research Institute of Document Management and Archival Affairs (VNIIDAD) developed “Archival and document management functional requirements for information systems that provide electronic document flow in the process of internal activities of federal executive authorities ".3

Let's consider the most interesting provisions of the Requirements... The Ministry of Telecom and Mass Communications of Russia.

“Requirements for electronic document management information systems...” define the minimum set of functions that must be present in the EDMS, as well as the requirements for organizing the use of EDMS in an institution.

One of the main requirements for the EDMS is its scalability, both in terms of the number of connected workstations and the number of documents contained in the EDMS. It should be taken into account that modern document management systems are used by almost all employees of the organization who work with documents, and the general trend is the use of both stationary workstations and access to documents from mobile devices, remote access to the system. Regarding the number of documents stored in the EDMS, it should be borne in mind that since the system stores not only final completed and signed documents, but also intermediate working versions, the number of files, draft documents and documents received in the EDMS per year is several times higher the total number of documents registered by the preschool educational institution service (incoming, outgoing and internal). The requirements stipulate that the EDMS must ensure the storage of all documents for a period of at least 5 years, but in practice it is necessary to focus on periods of at least 10-15 years, since this is the period during which documents continue to be actively used, especially since .20 pp. f) the same Requirements provide for the possibility of storing documents for up to one hundred years.

An important parameter of the EDMS is its speed. If the hardware and software complex (EDMS server) is not sufficiently productive for a given number of users simultaneously working in the system and (or) for a given volume of the database (number of documents in the system), then employees will have to wait for the document card or the document itself to open, therefore, employee productivity falls. Therefore, the Requirements contain temporary parameters that the performance of the EDMS must meet:

The time to gain access to the EDMS is no more than three seconds; the time to gain access to the card created when registering a document and containing data describing the context, content, structure of the document, actions performed with the document during preparation, consideration, execution and storage, as well as identification data (metadata) - no more than five seconds.

In any system, a failure can occur, both software and hardware. But an EDMS failure makes it impossible for all employees of the organization to work with documents, so the Requirements set strict limits for downtime in the event of EDMS failures and reboots - no more than 30 minutes. The EDMS must also provide automatic notification to users of system failures. First of all, they usually set up automatic notification via SMS and email to the administrator and EDMS technologist.

Another common situation is that for some reason the document is damaged or accidentally erased by the user. The requirements stipulate that in this case, the electronic document must be restored from a backup copy within 30 minutes. The organization, in accordance with the Requirements, must have at least one backup copy electronic documents, stored in the EDMS. However, in practice, to ensure safety, at least two backup copies are created, preferably on different media. This minimizes the risk of losing electronic documents.

The reliability coefficient of the EDMS must be at least 0.98.

Another indicator is the level of security of the EDMS from unauthorized access. For government agencies working with restricted access documents, this should be at least class 1G. However, due to the high cost of creating and operating secure EDMS, they usually try to work with restricted documents in the traditional mode, on paper, since they usually make up a small proportion of the organization’s documents. Otherwise, specially dedicated computers or even a separate secure network that is not connected to an open computer network and the Internet are usually installed to work with such documents. However, in this case, it is envisaged to work with documents at the DSP level, but not with documents containing state secrets.

The main part of the “Requirements for electronic document management information systems...” is a description of how document management processes should be structured in the EDMS.

It is emphasized that the EDMS must ensure work with all types and categories of documents and draft documents of the organization.

EDMS used by government agencies must ensure interaction with interdepartmental electronic document management systems (IDF), interdepartmental electronic interaction (IEIC), and other information systems.

The work of the EDMS must comply with the provisions of GOST R ISO 15489-1-2007 “System of standards for information, library and publishing. Document management. General requirements", including in the field of ensuring the authenticity, integrity and reliability of an electronic document, as well as the Rules of office work in federal executive authorities, approved by Decree of the Government of the Russian Federation of June 15, 2009 No. 477 (clauses 9 and 11 of the Requirements).

The EDMS must provide all basic office processes:

Saving a document or information about a document (draft document) in the EDMS (its registration or, in terms of the Requirements, entering the document into the system):

Bringing the document to the executor (EDS user) approval of the document signing of the document transfer (sending) of the document; “storage and accounting of documents, in accordance with the instructions for office work in the federal executive authority, as well as discipline, preparation of reference materials and filing of documents in the archive,” that is, control of execution, information and reference work, ongoing storage and accounting, including preparation of documents for transfer to state archive or for depository storage.

A special feature of office work is the presence of a function for logging all user actions and system events. In other words, everything that happens in the EDMS - a document is created or registered, a file is simply viewed, an edit is made - all this information is stored in special service files, which allows you to always say who and when looked at or edited the document (document card). Separately, the Requirements stipulate that it is mandatory to record the date and time of document entry into the system. This information is recorded both in the registration card (metadata for the document) and in the control information (protocol of actions in the EDMS).

In accordance with clause 17 of the Requirements, information about all actions performed with documents or sets of documents, draft documents, registration cards (metadata) is subject to recording. This information:

about the EDMS user of the federal executive authority who performed the action;

about the date and time of the action;

on entering documents and draft documents into the EDMS;

about moving a section (subsection) in the classification scheme;

about changes in instructions on storage periods and subsequent actions with documents;

on the actions performed by the administrator of the EDMS of the federal executive authority during the examination of the value of the document, carried out in accordance with the Federal Law of October 22, 2004 No. 125-FZ “On archival affairs V Russian Federation";

on the imposition and lifting of a ban on the destruction of a section (subsection) of the classification scheme;

about any change or destruction of metadata by the EDMS user;

about changes in access rights to documents;

on the transfer of documents;

on the destruction of documents;

about printing a document or metadata.

In other words, the EDMS should allow you to obtain information at any time about who opened, viewed, edited a document or a registration card for it and when, as well as what documents this or that employee worked with.

The requirements of the Ministry of Telecom and Mass Communications of the Russian Federation divide the office processes supported by the EDMS into the following groups:

a) processing of incoming and outgoing documents created or received by the organization and included in the FOV EDMS by registering, scanning and creating an electronic image of documents (including documents received through postal services, telecommunications and courier communications);

b) processing of electronic documents received or transmitted through the interdepartmental electronic document management system;

c) processing of electronic documents received or transmitted using the interdepartmental electronic interaction system;

d) processing of electronic documents received or transmitted by email;

e) processing of internal documents in the EDMS.

In organizations that are not government bodies, points b) and c) are absent; documents are received only either by traditional mail or by e-mail.

If a document is received on paper, entering the document into the EDMS includes its registration, scanning and creation of an electronic image of the document.

If a document is received in electronic form, entering the document into the EDMS means loading it into the EDMS, registration with a ban on making changes to the received document.

An organization may approve and include in the office management instructions a list of documents for which the creation of electronic images is prohibited, for example, documents marked as chipboard, marked “personal”, confidential documents, etc. If such a document is received, it is registered in EDMS, but its electronic image is not created.

For electronic document projects, at each stage of their creation, approval and signing, the contents of the document are recorded by creating versions of the documents and attaching them to the document card.

The EDMS must support attaching any file formats to the registration card. This is important, since the EDMS is usually used for many years and during this time new versions of programs and, accordingly, file formats may appear that will also need to be supported by the EDMS. The EDMS should allow you to enter and register document files into the system even if the application in which the document was created is not available (not installed) at a given workplace. At the same time, the EDMS must be able to display some of the most common formats. These are pdf, rtf, doc, tiff.

The EDMS should allow documents to be placed in a hierarchical scheme, consisting of sections and subsections, in accordance with which the systematization and organization of storage of documents in the EDMS (classification scheme) is organized. It should be borne in mind that documents are physically placed on the server (storage system) in the order determined by the internal configuration and principles of storing files in a given EDMS, and the classification scheme is simply a field in the registration card that allows you to quickly find documents based on classification criteria.

The classification scheme is usually based on the nomenclature of the organization's affairs.

The EDMS registration card must define those fields that are required to be filled out. When entering a document, the EDMS must ask the user to fill in the required fields (metadata) (clause 13 of the Requirements).

While working with a document, not only resolutions, but also comments and instructions on the document can be entered into the EDMS. To sign (and, if necessary, approve) a document, the EDMS provides for the possibility of connecting funds in accordance with the Federal Law “On Electronic Signature”.4

When sending documents using traditional methods (on paper), the EDMS provides overprinting of envelopes and printing of mailing lists.

The storage periods for documents included in the relevant sections (subsections) are established in accordance with the List of standard management archival documents generated in the process of activity government bodies, local government bodies and organizations, indicating storage periods, approved by Order of the Ministry of Culture of the Russian Federation dated August 25, 2010 No. 558.5

According to established deadlines storage EDMS must provide the following actions:

keep the document permanently;

conduct an examination of the value of documents;

at the end of the calendar year, create documents in the prescribed form: an act on the allocation for destruction of documents (sections) with expired storage periods and an inventory of documents with a permanent and long-term (over 10 years) storage period;

allocate documents for destruction (remove from the system) while storing information about the allocation of documents for destruction in the EDMS;

transfer documents for storage to another storage facility (automated system), including exporting annual sections of documents with a permanent storage period for transfer to storage in state archives and export annual sections of personnel documents for transfer to personnel document archives.

In practice, transfer to state storage requires ensuring compatibility of the EDMS in the annual section export format with the software package “ Archive fund", used in state and municipal archives.

The Requirements contain a provision for ensuring storage periods of at least one hundred years. However, at present such technologies are in the development stage, and the author is not aware of any EDMS that could provide such long periods of storage of legally significant documents in electronic form.

The considered Requirements of the Ministry of Telecom and Mass Communications of the Russian Federation complement those developed by VNIIDAD “Archival and document management functional requirements for information systems that ensure electronic document flow in the process of internal activities of federal executive authorities.” They are important both for employees of office work services and for employees of IT departments who ensure the implementation or configuration of electronic records management and document management systems (EDMS).

In general, the considered “Requirements for electronic document management information systems of federal executive authorities, taking into account, among other things, the need to process official information of limited distribution through these systems” can and should be used not only at the stage of selection, implementation and initial configuration of the EDMS, but also for analysis functioning EDMS to determine the compliance of the EDMS used in a particular organization with modern requirements.

The author can be contacted at: kouznets @yandex .ru Order of the Ministry of Communications and Mass Communications of the Russian Federation dated September 2, 2011 N 221, registered with the Ministry of Justice of the Russian Federation on November 15, 2011 No. 22304. Published on the portal “Archives of Russia” at: http:/ /archives.ru/sites/default/files/rekomendation-vniidad-foiv-2013.pdf Federal Law of 04/06/2011 No. 63-FZ “On Electronic Signature” (as amended on 06/28/2014). Registered with the Ministry of Justice of the Russian Federation on September 08, 2010, registration No. 18380.

Requirements for electronic document management information systems of federal executive authorities, taking into account, among other things, the need to process official information of limited distribution, were approved by order of the Ministry of Telecom and Mass Communications of Russia dated September 2, 2011 No. 221, registered by the Ministry of Justice of Russia (No. 22304 dated November 15, 2011) and published in “ Rossiyskaya newspaper" dated November 21, 2011, federal issue No. 5637. These Requirements were prepared by the Ministry of Telecom and Mass Communications of Russia in pursuance of clause 2 of the Action Plan for the transition of federal executive bodies to paperless document flow when organizing internal activities (approved by Order of the Government of the Russian Federation dated February 12, 2011 No. 176-r ) .

Thus, the long-awaited general system requirements for EDMS have been in effect since December 2, 2011. But, oddly enough, they have not caused a particular surge in professional interest either from the manufacturers of the relevant software products or from the office management services. It is obvious that the factors determining the real transition to paperless document flow and specific aspects of the impact on the EDMS market remained unaccounted for and not fully regulated in the Requirements.

We will try to consider the Requirements in various practical aspects: from the point of view of document management (office work), from the point of view of harmonization with the Rules of office work in federal executive authorities, approved by Decree of the Government of the Russian Federation dated June 15, 2009 No. 499 (as amended on September 7, 2011).

On the implementation of the Government's instructions

Let's see what the essence of the order of the Government of the Russian Federation was, which approved the Action Plan.

Clause 2 contains name of the planned event, not the title/title of the document (requirements, technical requirements etc.). Thus, the phrase “taking into account, among other things, the need to process proprietary information of limited distribution” should be attributed to one of the substantive goals of developing such requirements, and not to the title of the document. This is important because the approved document could have been named more specifically, for example, “Technical requirements for electronic document management information systems/EDMS,” which would clearly reflect the purposes of its creation and avoid conflicts with the Rules of Office Management.

Further, the planned event under clause 2 must be carried out without fail, taking into account the relationship with other events. And the “key” points that are indicated in the “strong-willed” government management decision are the following:

According to the Government Action Plan, the period for developing new Requirements was determined as April 2011, and according to the corresponding departmental action plan of the Ministry of Telecom and Mass Communications of Russia - as August 2011

The professional community discussed such a significant violation of the deadlines for fulfilling the government order to determine the requirements for electronic document management information systems. Publicly, it was explained by the lengthy procedure for approving the project with co-executing departments.

The usual technique for executing a collective assignment, in which a responsible executor (indicated first) and co-executors are appointed, involves, first of all, joint work, the creation of working groups from the best industry specialists, holding operational meetings, etc. collective activity. Unfortunately, the joint determination and development of system requirements for EDMS have been replaced by the usual approval procedure. Moreover, in the period from April to July 2011, for example, three completely different versions/drafts of Requirements were sent to the Federal Archive for approval, in which there was no continuity of norms, unity of concept and methodology and did not take into account the necessary systemic connection with the actions of all other federal executive bodies authorities, in particular, on the implementation of uniform requirements established by the Rules of office work in the federal executive authority.

The most important thing is that the results of the efforts of federal bodies to determine the composition of documents, the creation, storage and use of which should be carried out exclusively in electronic form, are not taken into account; the direction of modernization of existing EDMS in order to support this particular paperless document flow technology is not taken into account. Due to violation of the deadlines for the development of the Requirements, the majority of federal bodies were unable to determine areas for improving existing EDMS, plan and carry out their modernization, i.e. carry out the measures established by clause 3 of the Government Action Plan on time.

Thus, within the framework of time-based control over execution, the Government’s order can be considered fulfilled (with a postponement and extension of the deadline for execution), and within the framework of control over execution on the merits (i.e., management control), it cannot be unequivocally stated that the Requirements have been significantly advanced (and will be able to be advanced) federal executive authorities are on the path to a real transition to paperless document flow in the process of organizing internal activities and effective interdepartmental electronic interaction.

Real problems and prospects for implementing EDMS: opinions and expectations of federal executive authorities

Federal executive authorities and their subordinate organizations are for the most part ready to introduce full-fledged paperless document flow, actively use existing EDS, initiate their modernization, and successfully implement interdepartmental electronic interaction using the MEDO system.

VNIIDAD, commissioned by Rosarkhiv, annually monitors the document flow of federal bodies. In 2011, very interesting results were obtained indicating that, in fact, practice requirements for EDMS as an office management tool have long exceeded the minimum set of EDMS functions discussed in paragraph 1 of the Requirements and in the subsequent text of this document.

Firstly, in federal bodies EDMS now they are mainly designed, finalized and used as distributed information systems, the workstations of which are installed on the computers of almost all employees of the central office, territorial bodies, and not just employees of the office management service. In 2011, 44 federal agencies out of 56 monitoring objects provided information about this.

Secondly, when installing workstations of the interdepartmental electronic document management system (IEDO), the office management service centrally performs operations for receiving, sending and transmitting documents and electronic messages within the organization, which is determined by the Office Management Rules. According to data obtained in 2011, MEDO jobs are established for heads of federal bodies and office management services in almost equal proportions, i.e. approximately 2-3 jobs for management, 2-3 for business management or office.

Almost everything office services for all observation sites in 2011 it was reported that perform the role of subject EDMS administrator:

• determine directions for improvements and modernization,
• develop the necessary system of reference books and classifiers and keep it up to date, “loading” standard forms/electronic templates into the appropriate views, “folders” and databases,
• make decisions about granting access rights.

This role of the office management service in Western practice is called functional administration of the information system and provides for the responsibility of the records manager as the “owner” of the relevant resource. In the Requirements (clause 13 and section III) there is no distinction between the rights and roles of persons authorized to perform administrative functions when working with the EDMS, and the functions of system administrators. Access rights should be managed by the relevant managers of the organization - the owners of information resources and the records management service together with the so-called “security officers” (usually the security service/ information security). And system administrators (IT service specialists) only technically open/provide the necessary access to the system in accordance with already by decision. Thus, clauses 13, 28 and 29 of the Requirements need to be refined and clarified the concepts of “management of access rights and user groups”, “EDMS administrator”, etc.

In the process of monitoring document flow in federal executive bodies in 2011, VNIIDAD obtained generalized data indicating the problems of transition to paperless document flow, prospects for the development of electronic document management, which were formulated by practitioners, representatives of the federal executive bodies themselves:

• there is no tendency to reduce the number of documents on paper, there is significant increase in document flow due to electronic copies- scanned electronic images of documents that already exist in paper form. There is a parallel movement of documents on paper and in electronic form;
• continuation of the parallel use of paper and electronic documents, i.e. duplication of document flows until an infrastructure is created that fully ensures the implementation of the Federal Law of 04/06/2011 No. 63-FZ “On Electronic Signatures” (since this Federal Law in the Requirements provides only a direct reference, regulation of types and statuses electronic signatures in the EDMS, incl. for the office management service, remains an unresolved issue);
• forced change in work functions established by the Rules of Office Work, because When implementing an EDMS, the document processing process depends on the limitations of the system or the “mother” platform (this is how IT service specialists and contractor companies present the problem). In this regard, special training is required for employees - managers and ordinary users, the development of new regulatory documents, and the introduction of changes to the office management instructions that do not comply with the approved Office Management Rules and administrative regulations of the federal executive authority;
• lack of a unified understanding of the structure of the EDMS (i.e., the developed organizational and functional architecture) and regulations on the EDMS. Such an idea is also absent from those who form terms of reference for the development of EDMS, and from companies producing software products (note that the Requirements only provide for the development of a “hierarchical/classification scheme”, which is currently not clear to office management services and is not perceived by them as the basis of a functional, rather than systemic, architecture of EDMS);
• the need to introduce uniform requirements for information systems for all government bodies and organizations, which was provided for by the Government Action Plan;
• the need for a unified document flow system for federal executive authorities with their subordinate organizations, mandatory implementation of distributed EDMS and use of portal technologies;
• the need to improve interaction between EDMS and MEDO, i.e. building a common information space for federal executive authorities, or at least ensuring the convenience of controlled entry into both systems from one workstation authorized employee of the office management service. Included in the Requirements, paragraph 5 on the interaction of the federal executive EDMS with the SMEV and MEDO systems contains general references to documents of a higher level, to the relevant regulatory documents of the Government of the Russian Federation, which do not contain specific requirements for the technical implementation of interaction, and in general view mention the registration of electronic services and the language used to describe electronic messages. Whether the EDMS must have a corresponding gateway or adapter that is offered on the market by IT companies to ensure electronic interaction is not established by the Requirements;
• the problem of storing electronic documents in the information system is acute in connection with the creation and approval by each department of the List of documents, the creation, storage and use of which is carried out exclusively in electronic form. There are no regulatory documents for EDMS and standard formats for storing documents in EDMS (note that the short clause 12 of the Requirements for displaying file formats in EDMS without dividing into documentation/creation formats and storage formats for electronic documents does not help much in solving the problem);
• The rules of office work provide for the use of input forms (Appendix - a list of mandatory information about documents), including electronic document templates that ensure the entry of information about a document into the EDMS or direct documentation, i.e. creation of a document in the system according to the approved unified form. Specialists of the federal executive office's office management services are well aware of this area of ​​work and hoped to receive regulated requirements containing at least the structure of an electronic document in the information system or a set of its mandatory details/attributes, components and relevant metadata, taking into account information security and interaction with MEDO. However, the approved Requirements do not yet contain such systemic provisions.
  At the same time, in the process of monitoring document flow conducted by VNIIDAD in 2011, more than 14% of the federal bodies under surveillance reported the presence of document forms approved back in 2010 and plans for their further development. And the Ministry of Health and Social Development of the Russian Federation provided information that in connection with the development new version He created and uses 230 standard EDMS unified forms letters of response to citizens' appeals that will be used in electronic form, i.e. as electronic templates for drawing up and processing documents. More than 50 standard unified forms for correspondence and internal communications are used Federal service bailiffs, Federal migration service and other departments.
  The development of technology for entering documents into the EDMS based on their unified standard forms (electronic templates) confirms the requests of practice, but in the approved Requirements, scanning technology is considered a priority when entering documents into the EDMS, increasing the total volume of document flow due to the resulting electronic images/copies.

Is this a regulatory document?!

Registration by the Ministry of Justice of Russia of the order of the Ministry of Telecom and Mass Communications of Russia dated September 2, 2011 No. 221 “On approval of the Requirements...” gives them the status of a valid regulatory document. But the text of the order does not contain any mandatory state regulations designed for repeated use, instructions on the mandatory implementation of the Requirements, securing responsibility for the methodological guidance of their application and liability for non-fulfillment. The Requirements themselves are a technological document, and part of the text does not contain rules and regulations of direct effect, but refers to normative ones legal acts, incl. higher level and standards. It is stated in such a way that, in essence, the Requirements can be classified as acts of a recommendatory nature. As is known, similar regulations, as well as technical acts in accordance with the explanations of the Ministry of Justice of Russia (order No. 88 dated May 4, 2007) should not be subject to state registration. In addition, the Ministry of Telecom and Mass Communications of Russia can adopt normative legal acts only to regulate information technology sphere: establish requirements for networks and communications, for data formats in government information systems, for information security of information systems, etc.

Nevertheless, Order of the Ministry of Telecom and Mass Communications No. 221 and Requirements state registration passed, despite the fact that office work and document flow are not in the field of information technology (i.e., in the direct area of ​​​​responsibility of the Ministry of Telecom and Mass Communications of Russia). The situation can only be explained by the fact that according to the plan for the transition to paperless document flow, approved by Decree of the Government of the Russian Federation No. 176-r, the final result of the implementation of measures under clause 2 was the publication of an order, and the Ministry of Telecom and Mass Communications of Russia was appointed as the responsible executor for this event, as well as those that the Requirements will be of an interdepartmental nature.

The text of the thematic sections of the Requirements contains 10 direct references, including to regulatory legal acts (“... in accordance with the Decree...”, “... in accordance with the Federal Law...”), despite the fact that that the acts establish norms and rules of the highest level. These high-level standards just needed to be specified in the Requirements, transferred to the level of methodology and technology in the process of implementation and use of information systems.

At the same time, when listing the processes of the preschool educational institution that the EDMS must provide (clause 6), the Rules of office work are not mentioned; the names of the “processes” do not correspond to the technology of office work and the professional names of office work operations.

The text contains a reference to the basic standard GOST R ISO 15489-1-2007 for document management (clause 9), but only 2 out of 4 enshrined in it were subject to specification and clarification in the Requirements general characteristics documents that are created, used and stored in the information system (authenticity and integrity of the document).

European specification MoReq (Model Requirements for the management of electronic records; Standard requirements for the management of official electronic documents) are not mentioned anywhere in the text of the Requirements, even in the form of a link. But one of basic concepts MoReq - “classification scheme/hierarchical scheme” of an information system is borrowed from this source.

It is regrettable that not all current national standards of the Russian Federation for document management were taken into account when developing the Requirements. Thus, the classification of metadata, on the basis of which the system of identifiers and EDMS directories is built, is established by GOST R ISO 23081-1-2008; the structure of the electronic document (to clause 13 of the Requirements) and support for versioning are disclosed in detail in the official translation of the IEC 82045-1 standard, registered by FSUE Standardinform, which establishes the principles and methods of document management from the standpoint of information technology and electrical engineering. And the mandatory regulation of document creation processes when developing requirements for an information system (which is practically not done in the Requirements) is enshrined in the GOST R ISO 22310-2009 standard.

Highlighting a special section “Normative references” would not only make it easier to understand the entire subsequent text of the Requirements, but would also show the unified normative and methodological basis on which the actions of office management specialists and IT services should be combined on the path to moving towards real paperless document flow.

This consolidation would also be facilitated by the allocation of a special section of the Requirements containing the conceptual apparatus. Necessary:

• harmonize terminology, introduce and define concepts “props”, “fields/field”, “metadata”, A
• when listing specific details/fields of an electronic document, indicate one more characteristic of them - whether the details are identification.

Instead, new, partly colloquial names for office work operations were introduced, not provided for by the Office Work Rules (“bringing the document to the EDMS user” instead of “sending the document for execution or to the executor”, “writing off documents to the archive” instead of “organizing ongoing storage”, “storing documents and ensuring their safety”, “transferring files to the archive”), “parallel” but not synonymous with office work concepts “technicisms” ( “prohibition on creation”, “display of file formats”, “extract values ​​from fields assigned by an official”, “request the EDMS user to enter mandatory metadata”, “impose and lift a ban on the destruction of a section of the classification scheme”, “the ability to create, change or destroy shelf life”, “assignment of shelf life”, “number of shelf life”, etc.).

The structure of the text of the Requirements is drawn up according to the rules provided for the regulatory legal acts of the federal executive authority. There are only three sections in the Requirements:

1. General provisions.
2. Description of the processes of documentation support for management in the EDMS of the federal executive authority.
3. Requirements for information security of the EDMS of the federal executive authority, including when processing official information of limited distribution.

Sections are designated by Roman numerals, and the numbering of all items is gross, in Arabic numerals, i.e. in numerical order and without taking into account whether the item belongs to a section. This matches .

Sections of the Requirements are developed with varying degrees of detail, which can be considered acceptable. But the second section does not fully reflect the requirements established by the Rules of Office Work and does not correspond to their logic, this reduces the significance of the Requirements as a normative document. For example, the creation of documents in the EDMS is not systematically regulated in the Requirements (there is only a short clause 11) and the phrases that the EDMS “should allow maintaining storage periods of at least 100 years” (clause 20, last paragraph, sub. . “e”) or “to ensure the storage of all electronic documents... for a period of at least 5 years” (clause 3) will remain only a good wish.

The Requirements do not include applications, identifiers and classifiers, which are mentioned in general terms in the text.

Subject of regulation

In the absence of a special terminological section of the Requirements, paragraph 1 is of interest, establishing the definition of the concept of EDMS and, in part, the purpose of creating this document:

This definition does not comply with the requirements of the Office Management Rules (as amended on September 7, 2011) and departs from the modern (new and non-minimum) concept of document management established by the national standard GOST R ISO 15489-1-2007. The EDMS, which supports the implementation of uniform Rules for office work in all federal executive authorities, should be considered as an information system that ensures the collection of documents (inclusion of documents in the system), their processing, document management and access to them. The definition of the subject essence of the EDMS of the federal executive authority, which is close in meaning to what is established by the Rules of Office Work, is recorded only in clause 4 of the Requirements, and the EDMS is considered in this definition as information system designed to manage all documents of federal executive authorities, including draft documents(as you know, a draft or project is not considered at all in office work in the status of a document, so this clarification is unnecessary).

Employees of the federal executive office office services and the professional community did not expect the minimum set of functions that the federal executive EDMS should perform(clause 1 of the Requirements), but a detailed and modern set of functional and technical requirements that would allow federal authorities to:

• carry out a phased transition to electronic document management with a gradual shift away from mass scanning of sent and internal documents, and then from the document flow of incoming documents,
• ensure real paperless document flow of those documents that federal executive authorities included in the relevant lists of electronic documents,
• choose directions for effective modernization of existing EDMS,
• correctly implement the electronic signature mechanism and
• fully implement the measures provided for by the order of the Government of the Russian Federation No. 176-r.

In this regard, paragraph 2 of the Requirements that they apply to federal executive authorities that are implementing an electronic document management system or assessing the capabilities of an existing electronic document management system sounds equally unconvincing. The analysis shows that only clause 3 of the Requirements allows you to evaluate the EDMS (when choosing a system) according to technical, non-functional criteria, and the functional selection criteria have long been established in the market and are taken into account by both IT companies offering software products and federal authorities conducting relevant procurements.

It should also be noted that the level of requirements for EDS in practice is quite high; almost all federal executive authorities in 2011 had one or another, incl. industrial EDMS. Judging by the monitoring questionnaires, even those federal bodies that responded that they did not have their own system actually used the EDMS workplaces of a higher ministry (distributed industry system) or EDMS “inherited” from their predecessor federal executive authorities, which underwent restructuring during the stages of administrative reform recent years. Perhaps only the Federal Archival Agency really does not have an EDMS.

Thus, the goal of developing the Requirements was to be modernization in the field of implementation of information systems in office work on the basis of unified regulatory, methodological and technical standards, parameters and requirements, which was implied by the Government Action Plan.

General non-functional requirements for EDMS

A useful clause of the Requirements that “levels out” the technical requirements and has a sufficient impact on the EDMS market is clause 3, which sets out advisory requirements for the performance of the EDMS, its reliability and the protection of information in the EDMS.

The requirement is unconditional EDMS scalability in the federal executive authority, because In federal bodies, EDMS have recently been designed as distributed systems of collective work, in which employees of the central office, territorial bodies, subordinate enterprises, etc. work.

Performance indicators in this case will largely depend on factors not related to the EDMS itself - the degree of network load, its throughput, configuration and load of server resources. Access to the EDMS for no more than 3 seconds., of course, will be welcomed by users, but the office management service needs to know that this standard and the standard for access to the card created when registering a document (“input” form, electronic document card) is no more than 5 seconds. , - can affect production standards, calculations of the number of employees at the registration/entry of documents into the system, assessment of work efficiency, etc. Experience from “best practices” shows that these technical requirements, as well as requirements to limit system downtime and limit the time to restore a document from a backup copy, are usually established in a specific Service Level Agreement (SLA), which is concluded by the “owner” SED, i.e. an office management service, with an IT department performing system administration, and specific values ​​of standards/measurements tend to decrease and are optimized from year to year.

Automatic notification of the user of the EDMS of the federal executive authority about a failure in the system, in our opinion, should not be formulated as a separate technical requirement, but can be mentioned as an option, one of the possibilities in the general mechanism of notifications and reminders to users of the system, which the federal executive EDMS, of course, should have.

The recommended requirements for minimizing the risk of losing electronic documents (at least one backup copy) and the reliability coefficient of the EDMS (at least 0.98) today can probably be considered sufficient, but for document flows federal bodies existing exclusively in electronic form, these coefficient values ​​need to be strengthened. Moreover, technical standards can be formulated for other indicators of the functioning of the EDMS, and each indicator can have its own standards / their limits (loss coefficient and error rate with boundaries “no more”, “no less”, response time of the communication center in the center, in a territorial body, etc.), and on the basis of technical standards it is possible to calculate the values ​​of EDMS reliability indicators not in general form, but based on real document flows. This is especially important for modernizing the EDMS of the federal executive authority at the design stage, when measures are being developed to meet reliability requirements, as well as at the stage of monitoring system load indicators and analyzing technical faults. It must be borne in mind that the values ​​of reliability indicators of the communication network are also specially established and monitored. But in general, software product manufacturing companies can present a much larger number of evaluation indicators and characteristics for selecting an EDMS.

Requirement for database volume for storing electronic documents for a period of at least 5 years is, rather, a functional requirement, “archival”. Here it should be clarified that it is also necessary to store electronic images, i.e. copies of documents obtained as a result of scanning, and also take into account the fact that documents with a storage period of up to 10 years inclusive are not transferred to the archives of the federal executive authority (clause 34 of the Rules of Records Management). Indeed, the five-year retention period is mainly for documents of operational significance that can be created, used and stored in the EDMS itself exclusively in electronic form. By the way, this provision will make it possible to require, within the framework of the organizational and functional architecture of the EDMS, the creation of a repository for the operational/current storage of electronic documents themselves. A separate storage should be provided for those electronic copies of documents, the drafts of which were created, agreed upon and finalized in the EDMS, but according to the methodology for selecting media (ISO 15489:2001, GOST R ISO 15489-1-2007), their originals/originals must be signed and registered (identified in the system) in paper form, because subject to permanent or long-term storage. On the basis of this repository, a use fund can be organized to send documents for execution, transmit information and documents to employees of the organization, actively use it in current activities, and then, as the same already created use fund, it can be used in the archive to which the originals were transferred documents in paper form. Unfortunately, the methodology of document management standards is not revealed even in the rather voluminous paragraphs 19 and 20, devoted to the functional requirements for the EDMS.

Non-functional requirements for EDMS information security

The requirement for the security of the EDMS deserves special attention when it provides for the processing of proprietary information of limited distribution - not lower than class 1 G (clause 3 of Section I).

In the absence of an appropriate reference, it can be assumed that this requirement is based on the Guidance Document “Automated Systems. Protection against unauthorized access to information. Classification of automated systems and requirements for information protection”, approved by the State Technical Commission under the President of the Russian Federation on March 30, 1992 (hereinafter referred to as the Guiding Document).

The guidance document established a classification of automated systems in which confidential information is processed, i.e. information to which access is restricted federal laws. The defining features of the classification are:

• availability in automated system information of varying levels of confidentiality;
• distribution of powers and levels of access to confidential information;
• individual or collective mode of information processing in the system, which can be supported by all modern EDMS.

Security class 1G suggests that the EDMS should clearly highlight:

• access control subsystem,
• subsystem for registration and accounting of users, programs, transactions, including accounting of access to protected files, their transfer via communication channels,
• accounting for access to the communication channels themselves,
• accounting of powers/access rights,
• accounting of storage media in terms of “cleaning freed areas of RAM” and external drives, i.e. accounting for document destruction (according to ISO 15489:2001).

The EDMS must also have a subsystem for ensuring the integrity of software and processed information, but the presence of a cryptographic subsystem (encryption and the use of certified/certified cryptographic tools) is not provided for by the class 1G system. In this regard, in clearer explanations in section III Requirements the question of application in the EDMS of the federal executive authority is needed enhanced electronic signature.

I would like to note that the Guidance Document prescribes registration and accounting of the issuance of printed (graphic) output documents. This requirement is fully consistent with the current draft recommendations of the Economic Commission for Europe of 2010 No. 37 that a signed digital (i.e. electronic) document is a digital document that can be presented as evidence, and if the digital document is to be printed, it must contain additional data so that the reader can verify its authenticity and integrity. In addition, it explains the practical needs of office management services, which, when choosing or developing an EDMS, order counters for forms, counters for printing documents of a certain type, incl. marked “For official use”. Unfortunately, Section III of the Requirements does not address these issues, despite the fact that the well-known provisions are set out in lengthy and lengthy paragraphs 30-32.

Section III of the Requirements, which contains requirements for the EDMS in the aspect of information security, can be considered quite relevant, with the exception of attempts to establish in a technical document the organizational and functional tasks of the activities of the federal executive authority. For example, paragraph 26 says that The EDMS of the federal executive authority must provide access to documents in accordance with the security policy, but for the federal executive authority the security policy or document management policies are not established as mandatory organizational documents. The powers of the EDMS administrator of the federal executive authority must be recorded in the official regulations official Federal executive authority (clause 29), but this issue is resolved in the administrative regulations for organizing the internal activities of the federal executive authority and cannot be the subject of regulation in these Technical Requirements.

At defining user roles in the system and determining access rights it is also necessary to take into account the Regulations on the procedure for handling official information of limited distribution in federal executive authorities (approved by Decree of the Government of the Russian Federation of November 3, 1994 No. 1233), in connection with which a mark/stamp “For official use” is issued on documents. The type of secret (corresponding access restriction and stamp) should be determined by the owners of management processes/functions, i.e. heads of the organization or structural divisions, but not the EDMS administrator.

Basic regulatory requirements in the field of preschool educational institutions

Description of management documentation processes(DOU) in the EDMS of the federal executive authority is devoted to section II of the Requirements. But for development and implementation of EDMS in this document it would be better to consolidate the requirements for the EDMS, which would allow the implementation of the technology already described in:

• federal legislation on electronic signatures,
• Rules of office work of the federal executive authority,
• instructions for office work of federal bodies, which are developed (and agreed upon with Rosarkhiv) on the basis of a single methodological document at the national level - Methodological recommendations on the development of instructions for office work in federal executive authorities.

Given such sufficiency of the unified regulatory and methodological framework, it is surprising that clause 6 of the Requirements once again establishes the processes of documentation support in the EDMS, which include:

• a set of actions for storing a document or information about it in the EDMS, determining the place of the document in the EDMS and allowing you to manage it, i.e. in fact, the subject essence of the definition of “input” of a document is formulated, which does not comply with the GOST R ISO 15489-1-2007 standard, which establishes a more complete description of the methods for including a document in the EDMS (clause 9.3);
• bringing the document to the user of the EDMS of the federal executive authority(this should imply a developed mechanism for reminders and notifications, or simply a mechanism for setting up routes for sending a document for execution, for consideration by the management of the organization or directly to the structural units of the executors);
• document approval(it is necessary to regulate the requirements for organizing internal approval of documents in the EDMS and external approval, since both of these forms of approval are provided for by the Rules of Records Management);
• signing a document(probably, until the completion of the creation of the infrastructure that ensures the full implementation of the federal legislation on electronic signatures, one should not expect specific requirements for signing documents in the EDMS or in the interacting MEDO);
• recording of action protocols(control information) performed in the EDMS and including both the actions of users and the actions of EDMS administrators (this is a system process that is not related to the operations of documentation support for management);
• transfer of documents (sending)(this is a traditional and important office work operation, but its regulation without defining the requirements for the operation of receiving documents, including through telecommunication channels and others, including mail and couriers, looks unconvincing. In addition, clause 42 of the Office Work Rules establishes that the receipt and sending of documents is carried out by the office management service, i.e. these operations are considered as related, in addition, it is the office management service that verifies the authenticity of the electronic signature of the received document (clause 41), and clause 23 also provides for the transfer of documents within the federal executive authorities, i.e. .e. internal traffic routes. But for some reason the Requirements only talk about sending documents). By the way, paragraph 16 of the Requirements mentions the “original” rule, according to which the EDMS must ensure the printing of envelopes and the mailing list of outgoing/sent documents, while the EDMS should provide primarily electronic interaction, and if it prints, then not envelopes , and stickers on them based on the list of addressees, and not only the mailing list, but also an inventory of the correspondence sent according to the standard form established by the Russian Post);
• storage and accounting of documents in accordance with the instructions for office work in the federal executive authority, as well as control of performance discipline, preparation of reference materials and filing of documents in the archive(several tasks are formulated in one subparagraph as one multi-aspect task, in addition, the last name is not a term for office work and archiving).

Thus, it is assumed that the EDMS, in accordance with the Requirements, should not and will not be able to support in full the office work operations established by the Office Rules, which say (clause 41) that documents of the federal executive authority are created, processed and stored in the electronic document management system.

It is the Rules of Office Work that lay down the basic functional requirements for EDMS - systems should only be a means/tool ​​of documentation, a “transport” that ensures the routing of document flows, and, finally, a “storage” that provides not only the operational storage of documents and the accounting and reference apparatus for them, but and longer storage of electronic documents (up to 10 years inclusive; clause 34 of the Rules of Records Management).

Issues of creating documents, in our opinion, should be considered at the very beginning of the Requirements, taking into account all the norms of the Rules of Office Work and the appendices to them, and not in the short clause 11, which is not specified, but contains only a direct reference to the Rules of Office Work.

Classification of document flows(clause 7 of the Requirements) was basically carried out correctly and complies with the Rules of office work and the practice of interdepartmental electronic interaction of federal executive bodies using the SMEV and MEDO systems. But, unfortunately, application in practice individual gateways and storage facilities for EDMS of the federal executive authority for receiving and processing electronic messages and documents received by email were not reflected and developed in sub-clause. 7 "d" Requirements.

The regulation of the processes for including documents in the EDMS of the federal executive authority (clauses 6, 8, 10, 13) reflects the requirements for document management established by GOST R ISO 15489-1-2007. However, paragraphs 8 and 10 mention list of documents for which there is a ban on creating an electronic image. The need for its development or approval as part of the instructions for office work of the federal executive authority is not provided for by the Rules of office work. In our opinion, clearer a ban should be placed on scanning primarily internal documents, as a result of which electronic images/copies of documents already created in paper form are created.

It should be more clearly formulated and requirement to create documents in the EDMS of the federal executive authority exclusively in electronic form in accordance with the list of electronic documents (approved by the Federal Archive and approved by the leadership of the federal executive authority), which is not mentioned in the Requirements, and the federal authorities have spent enough resources on developing such lists.

GOST R ISO 15489-1-2007 establishes a more complete a list of characteristics of a document that is created, used and stored in the information system than those that should be provided by the EDMS of the federal executive authority in accordance with clause 9 of the Requirements. Firstly, must be installed requirements for the structure of an electronic document(the listing of file formats in clause 12 of the Requirements is not enough), and, secondly, the characteristics authenticity document, reliability, integrity And suitability for use are interrelated and interdependent, so you should not make only two mandatory and omit the rest.

Along with the functional requirements, Section II establishes actual technical requirements for EDMS(fixing the date and time of all transactions, system logging and ensuring the safety of system protocols during the storage periods of the documents themselves, requirements for setting up an interactive interface, support for versioning of draft documents and others), which for the most part correspond international standards on document management.

We will comment briefly on the final points of Section II of the Requirements (clauses 19 and 20), because, in our opinion, without allocating storage in the organizational and functional architecture of the EDMS and without clear regulation of the rules for creating documents only in it, it makes no sense to establish any requirements for storing documents in the system. And so it turned out that a sufficient number of formulations in these paragraphs consolidates the actions of the subject (functional) system administrator, i.e. office management services rather than system requirements. EDMS cannot itself “create” a deadline, “select documents for destruction” and “destroy” them, “provide in the retention periods a minimum set of options for actions” with documents, “limit the number of storage periods,” etc. These operations will be carried out by the subject system administrator (responsible for the archive), developing appropriate reference books, classifiers and establishing an algorithm for their functioning. The EDMS must support, but cannot itself automatically conduct an examination of the value of documents and their destruction.

The requirement to create documents formalizing the procedure for transferring documents to the archive (subclause 20 “d”) is incompletely formulated, because in the form of reports from the EDMS, it is also necessary to receive, in the established form, internal inventories of permanent, long-term storage and personnel records.

Of interest is only what is superfluous, in our opinion, requirement for compliance with the classification scheme of the EDMS of the federal executive authority(clause 19 of the Requirements) sections and subsections of the nomenclature of cases, which for federal executive authorities is being developed as a classifier of a structural type (clause 29 of the Rules of Office Management). This requirement determines the dependence of the organizational and functional structure of the EDMS on the organizational structure of the federal body itself, which changes quite often (after all, administrative reform continues), and this dependence is not functional and optimal, because The EDMS should support, first of all, the processes of working with documents and interaction within the federal executive authority, and not specific structures.

Brief conclusions

Thus, the recommendations of the Requirements of the Ministry of Telecom and Mass Communications are a regulatory document that is subject to careful study and verification for compliance with the requirements of the Rules of Office Work, which are mandatory for federal executive authorities! The Requirements themselves cannot fully support the norms and rules for performing office work operations established by the Rules of Office Work and the departmental instructions for office work in the federal executive authority developed on their basis.

The requirements are an interesting document that has normative status, but in fact cannot be applied in its present form, because requires development, clarification and specification in the context of full and real compliance with the Action Plan approved by Government Order No. 176-r.

And one more important note: Currently, none of the ready-made EDMS solutions offered on the domestic market can meet the requirements.

Footnotes

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We’ll tell you what criteria need to be taken into account when choosing an EDMS in order to choose the most suitable program and avoid problems during its implementation!

An electronic document management system (EDMS) is not just an option, but a necessary solution for controlling and protecting documents in your organization. The productivity of your business will depend on the EDMS you choose. To make an informed choice of EDMS, find out the requirements that it must meet and prepare for the problems that you may encounter during its implementation.

What requirements must the EDMS meet?

Functional Requirements

General:

• Ensuring the creation of electronic documents.
• Ability to add comments to documents.
• Creating links between documents.
• Document project management (approval, signature).
• Control of document execution.
• Provide reporting and analysis.
• Providing printing of electronic documents, metadata.
• Collective processing of documents.
• Search for documents.
• Storage and classification of documents.
• Sending notifications and notifying users.

Special:

• Creating discussions on documents.
• Comparison of document content (including graphic ones).
• Ability to comment on content using highlighting in the text.
• Import documents from legacy document management systems.
• Publication certain types documents on the portal.

Integration requirements

General:

• Integration with corporate email system, MS Office.
• LDAP integration.

Special:

• Integration with ERP\CAD\CRM\OCR systems.
• Synchronization of directory data with various systems (by time, by event).
• Generating a protocol/message about loaded/unloaded objects when synchronizing directories.

Safety requirements

General:

• Possibility of obtaining full list system users with the necessary account information.
• Possibility of blocking the work of individual users.
• Management of access rights to document content, metadata, versions.
• The ability to determine the authorship of each operation in the system, logging attempts to commit illegal activities.
• Support for integrated domain authentication.
• Security administrator workstation support and necessary tools operational control and impact.
• Problems of implementing an electronic document management system

Special:

• Verification of digital signature on any document.
• Displaying watermarks when printing documents.

What problems can you encounter when implementing an EDMS?

• Misunderstanding: “Why do we need an EDMS?” It happens that staff do not fully understand why the EDMS is being implemented, and therefore are not interested in using it. When half of the employees work using an EDMS and half do not, delays and losses remain, which reduces efficiency significantly and slows down the formation of a single centralized system.
• Reluctance to learn new things. The problem arises when employees do not want to give up their usual way of working and learn a new one, fearing excessive control of their activities by management.
• The “secular type” director factor. Reluctance to work with a computer, view and edit documents.
• Giving an electronic document legal force. Since the advent of digital signatures, it has become possible to give electronic documents legal status. But often legal documents cause concern, and management requires them to be accompanied by paper copies with a “real signature.”
• Interaction with the “paper” world. Most often, information comes from other organizations on paper. In order for paper documents from the outside world to enter the internal electronic document management system, it is necessary to obtain their electronic images. To do this you have to purchase scanners.

The benefits that EDMS provides are worth solving these problems.

Find out in 10 minutes how effectively the electronic document management system works in 1C - watch the video!

Typical functional requirements for electronic document management systems and systems for storing electronic documents in the archives of government agencies

Alexey Mikryukov, company analystDIRECTUM .

June 14, 2018 on the official website of the Federal Archive Agency (Rosarkhiv) in the section “Draft documents » posted «Draft standard functional requirements for electronic document management systems and systems for storing electronic documents in the archives of government agencies » volume of 37 pages.

The industry has been waiting for this document for a long time. And as stated in the project, the requirements were developed in order to form a unified regulatory framework for electronic document management systems (EDMS) and electronic document storage systems (EDS), as well as for the assessment of already used EDMS and EDMS. The document clearly distinguishes between EDMS and SED, and this is an important point.

The emphasis on the term SCED is one of the fundamental differences between the new requirements. There is a clear emphasis on the archival storage stage of the document life cycle. Previously, we were talking mainly about EDMS, and the issues of storing electronic documents (ED) remained behind the scenes. Accordingly, documents with long storage periods were previously either initially created in paper form or printed before being transferred for storage.

The document only addresses functional requirements, unlike previous ones regulatory documents (Requirements for electronic document management systems of federal authorities (EDMS of federal authorities), approvedBy Order of the Ministry of Communications and Mass Communications of the Russian Federation No. 221 dated September 2, 2011 ; see also ) . System and technical requirements, requirements for information security, reliability, as well as requirements for the interface of automated workstations for EDMS and SED users are not considered. The requirements do not apply to work with documents containing information constituting state secrets.

When analyzing the document, it is most interesting to consider the requirements associated with organization of document storage. The requirements for creation or recording, registration, execution and control when working with documents are not so interesting, since these are the main tasks of the EDMS. There are practically no large organizations left that would not automate these tasks using an EDMS. Therefore, the requirements for EDMS are only interesting for assessing existing and used systems at the time of updating or replacement, and this is the topic of a separate material.

General functional requirements

Let's start with “General functional requirements for document management in EDMS and SDS”.

This section, in my opinion, reflects two important points:

First« 2.3. The EDMS and SED must comply with the requirements for authenticity, reliability, integrity and fitness for purpose electronic documents included in these systems».

In order to ensure compliance with these requirements when storing documents, it is necessary that when transferring documents for storage to the storage system, they are authentic, reliable, complete and usable. Accordingly, before the document is transferred to the EDMS, the “responsibility” for fulfilling these requirements lies with the operational system (EDMS or other information system).

Second"2.4. Document metadata must be generated and stored in the EDMS and SED:

- created when a document is included in the system (EDS or SED);

- generated after inclusion of a document in the EDMS or SED within its life cycle in the system;

- used in the interaction of EDMS and SED with other information systems (including MEDO, SMEV, etc.)

- related to the transfer for subsequent storage (from the EDMS— to the storage system, from the storage system- to the state archive).

Metadata about documents included in the EDMS or SED must be associated with the document to which they relate.”

That is, metadata associated with a document is generated throughout the entire life cycle of the document, including throughout its entire storage period. However, there are no explicit requirements for the format or method of storing metadata.

Working with archival documents

Preparation for transfer of documents for storage to the storage system (clauses 3.8 and 3.9).

“The functions of the EDMS include:

• Formation and maintenance of a list of cases
• Assignment of documents to cases
• Formation of case inventories, documents of structural divisions
• Examination of the value of documents, including the selection of electronic files, documents to be transferred to the SED and the selection for destruction of documents that are not subject to storage.”

Everything is clear with the documents stored in the EDMS. But organizations also have other information systems in which documents can be stored, for example, ERP. These systems may not “know” anything at all about the nomenclature of cases and office work standards. Accordingly, additional rules should be developed for them, according to which documents will be transferred for storage to the SED.

The document does not say anything about how to download documents from other systems, the same ERP. Therefore, if an organization wants to store documents from ERP, then it will need to come up with some rules according to which:

1) these documents will be downloaded from ERP - this is the actual ERP task;

2) these documents will be placed in the storage system - this is the task of the storage system, and we have the tools for this.

Reception of documents in the storage system (clause 4.3)

“SMS must provide:

● Reception of electronic files, documents and inventories of structural units with verification of completeness

● Verification of electronic signatures of documents

● Checking the reproducibility of electronic documents

● Generation of response messages about confirmation or refusal to accept documents.”

The requirements for reproducibility are outlined, but how to implement this is not clear.

The document contains an explicit reference to the ED container format, which is “ zip archive, including content and metadata of an electronic document, files of electronic signatures and a visualized copy of a text electronic document in PDF/A format».

Accounting and classification of documents in the storage system (clause 4.4)

The requirements for recording electronic documents in the storage system are practically no different from the requirements for recording paper documents. At the same time, the requirements for the composition of ED metadata take into account only the specifics of documents typical for government agencies (letters, orders, etc.). For commercial organizations, the variety of documents is much greater: commercial proposal, project charter, technical specifications, protocol of the procurement commission, etc. In this sense, the requirements are unlikely to apply to other types of documents.

Storage of electronic files and documents in the storage system (clause 4.5)

This block seems to be one of the most undeveloped requirements in the project. It sets out the requirements for providing storage systems capabilities:

● backup of electronic documents;

● carrying out checks of the presence and condition of electronic documents using special programs for checking the technical condition of electronic documents and recording the results of checks in the relevant acts;

● conversion and/or migration of electronic documents into new formats;

But nothing is said about ensuring the legal significance of ED during long-term storage. These requirements are me.

Use of electronic files included in the SCED (clauses 4.2 and 4.6).

The use of ED involves:

● Providing permanent and temporary access rights to documents

● Formation of a fund for the use of electronic files and organization of an electronic reading room on its basis

● Multi-criteria search

● Creation of archival copies, statements of statements

● Accounting for the use of electronic files.

Here, questions remain, first of all, regarding the provision of electronic documents at the request of various organizations, since there are currently no uniform requirements for the provision of electronic documents externally, and the practice has not been formed.

Examination of the value and allocation for destruction of electronic files and documents with expired storage periods (clauses 4.7 and 4.8).

The requirements given in the project are also practically no different from the requirements when working with paper documents. The difference lies only in the features of destruction of electronic documents (for example, deletion of backup copies and guaranteed destruction).

Requirements for transferring electronic documents for storage in the state. the archive is described formally. The reason is most likely due to the lack of established practices.

General conclusions

After analyzing the draft requirements, there is a feeling that what is stated in it “catches up” with the current state of affairs, consolidates existing developments, but does not fully answer existing questions and certainly does not try to predict and give answers to questions of the near future.

The document shows that there are many specific requirements for a long-term storage system for electronic documents. Some of them are quite tough and specific. Enterprises have many systems that generate documents that are subject to long-term storage or require long-term storage: ERP, HR, ECM. CRM and others. Thus, we can conclude that it is most appropriate allocate a separate long-term storage system, integrated with source systems. Implementing the requirements in all of the above systems is time-consuming and expensive.

On the other hand, the requirements already have a technological basis that allows the implementation of such systems. Document management systems available on the market can and should be checked for compliance with the requirements formulated in the regulatory framework.

Implementation of requirements

One example of a system that shows readiness and fully satisfies these requirements is the “Long-term Archive” solution from DIRECTUM.

"Long-term archive" is a comprehensive system for managing an organization's paper and electronic archives. The solution was developed in compliance with the rules of Russian archival records management. It allows you to centrally store documents of any type for the period established by the legislation of the Russian Federation, guaranteeing the legal validity of documents throughout the entire storage period.

The solution can work with any ECM systems, not only DIRECTUM solutions, and integrates with ERP and other systems using ready-made mechanisms.

In addition, the solution not only solves the problem of creating an electronic archive now, but also works for the future. The solution includes the ability to work with automatic document processing tools based on artificial intelligence for classification and examination of the value of documents. In addition, it uses its own unique technology to ensure legal significance, which in the future can be transferred to blockchain technology.

(4.80 - rated by 10 people)

Scalability. The document management system must support a significantly changing number of users, and its ability to increase its capacity should be determined only by the power of the corresponding hardware.

Distribution. The main problems when working with documents arise in geographically distributed organizations, therefore the architecture of document management systems must support the interaction of distributed sites. Moreover, distributed sites can be connected by communication channels of a wide variety of speed and quality, for example, an office operates via a dedicated line, a suburban warehouse – via a rural telephone line.

Modularity. It is quite possible that the customer may not need to immediately implement all components of the document flow system, and sometimes the range of tasks solved by the customer is smaller than the entire range of document flow tasks. Then it is obvious that the document management system should consist of separate modules integrated with each other.

Openness. All EDMS are built on a modular basis, and their APIs are open. This allows you to add new functions to the EDMS or improve existing ones. Currently, the development of applications integrated with EDMS has become a separate type of business.

High degree integration with application software: the key capability of EDMS is their high degree of integration with various software applications through the use of OLE Automation, DDE, ActiveX, ODMA, MAPI, etc. technologies. Users deal only with conventional application programs: at the time of installation of the EDMS client part, application programs are supplemented with new functions and menu items.

Peculiarities storage organization documents. Most EDMS implement a hierarchical document storage system (according to the “cabinet/shelf/folder” principle). The number of nesting levels when storing documents should not be limited. The same document should be able to be part of several folders and shelves. A number of EDMS implement even more powerful storage capabilities by organizing links between documents.

Peculiarities routing documents. EDMS modules responsible for the actual document flow are usually called document routing modules. With “free” routing, any user participating in the document flow can, at his own discretion, change the existing route for the passage of documents. With “hard” routing, the routes for passing documents are strictly regulated, and users do not have the right to change them. In most EDMS, the routing module is included in the delivery package; in some EDMS it must be purchased separately.

Access control(the set of set permissions depends on the specific EDMS): full control over the document, the right to edit, but not destroy the document, the right to create new versions of the document, but not edit it, the right to annotate the document, but not edit it or create new versions, the right to read document, but not edit it, access right to the card, but not to the contents of the document, complete absence access rights to the document, full logging.

Availability viewing utilities documents of different formats: most EDMS include utilities for viewing documents (so-called viewers) that understand dozens of file formats.

Annotating documents. Since in some cases users are deprived of the right to make any changes to the document during the approval process, they should be able to annotate it, add comments, amendments, and notes.

Support various client programs. Clients of most EDMS can be PCs with MS Windows OS of various generations and platforms, sometimes UNIX/Linux and Macintosh platforms. In addition, almost all modern EDMS allow you to work with documents through standard Web navigators (browsers).

Composition of the EDMS

When automating document flow, you must initially distinguish between:

(a) implementation applications, automating specific document processing processes and (b) implementation platforms for such automation.

One of the main reasons for the failure of implementing document automation systems is the mixing of these two tasks. Let's consider some perfect document automation system, which includes the maximum number of functions. Naturally, any real system will include only a subset of the functions required for a particular organization.

5.6.1 Document automation applications

Here are examples of specific processes and tasks solved by these applications:

· registration of correspondence;

· coordination and approval;

· control of execution of documents and instructions;

· automation of the contractual process;

· travel arrangements;

· internal information portal;

· control of employee knowledge; etc.

Very often, document processing functions are part of business processes that are already automated in a given enterprise using various software technologies. Therefore, it is necessary to ensure the absence of duplication and compatibility. Examples of such tasks:

· formation of documents in the budget process;

· process of publishing and filling the site;

· tracking the processing of the invoice outside the boundaries of warehouse accounting;

· control and notification in the contact management application;

· document flow in project management;

· approval of payment documents; etc.