Grouping of documents. Features of the formation of certain groups of documents in files. General principles of case formation

In the process of activity, firms receive and create large number documents. A quick search and use of documents is possible only with their clear classification, therefore one of the main issues in organizing work with documents is the development of a nomenclature of cases.

The list of cases is compiled according to unified form, in which each column has its own purpose and requires correct filling. The nomenclature of cases is a multi-purpose document. Its main purpose is to systematize documents, allowing the distribution of documents after their execution into cases and determining the document storage system in the institution. Each case includes documents of the same shelf life, thus, the nomenclature of cases allows an initial examination of the value of the documents. Indexation of cases, fixed by the nomenclature of cases, is used when registering documents.

It can also be used as a scheme for constructing a reference file for executed documents. The nomenclature can be used instead of an inventory when handing over files with storage periods of up to 10 years. When compiling inventories for files of permanent and long-term storage, they also use the nomenclature of files.

When studying the structure of an organization, the list of cases is used as reference material. For its preparation and execution, normative and methodological documentation is used. Archival institutions have developed methodological manuals on compiling a nomenclature of institutional affairs.

The simplest classification of documents is to group them into cases. Cases are grouped according to the following criteria:

· Nominal;
· Subject-based questions;
· Author's;
· Correspondent;
Chronological

Nominal sign- grouping documents of the same type into one file (orders, protocols, etc.)

Subject-question mark - This is the combination of documents on one issue (for example, a court case or documents about the construction of a new educational building) into one folder.

Correspondent sign - correspondence with a specific correspondent (for example, correspondence with the Novaya Zarya factory).

Chronological sign (accounting documentation) - is used when the first place is taken by the time parameters of documents (reports on the shipment of goods for January).

The nomenclature of affairs should be in every institution, company and cover all documents created in the course of their activities. There are three types of case nomenclatures: individual (for a specific company, division of the company), approximate and standard.

Typical and approximate nomenclatures are compiled for organizations that are similar in nature and are mandatory.

It is compiled for each functional division of the company by the person responsible for record keeping with the involvement of leading specialists of the division. It is agreed with the archive and signed by the person responsible for record keeping in this department.

In small companies, the nomenclature of cases is approved by the head, in large companies - by the head of the department.

Compiled in four copies:

· The first one is stored in the office work service of the institution or company;
· Second in the state archives;
· Third in the departmental archive;
· The fourth is a working copy.

A consolidated list of cases is compiled for large ones and represents a summary of all the lists of cases of the unit.

The nomenclature comes into force on January 1 of the next calendar year. If the functions and tasks of the institution do not change, the previously agreed upon nomenclature is reprinted for the next year with appropriate amendments and approved by the head of the institution. At least once every 5 years, the nomenclature is subject to change and re-approval. During the year, the approved nomenclature of cases may be supplemented with new, not provided for cases, and the storage periods for individual cases may be specified.

The formation of completed documents in the files of organizations is carried out throughout the entire record-keeping year in accordance with the nomenclature of files approved for a given year. From the beginning of the office year, case covers must be prepared according to the rules stipulated in the basic rules for the work of archives of organizations. The form of cover for files of permanent and temporary (up to 10 years) storage is also established by GSOT 17914-72 “Cover of files for long-term storage. Types, varieties, technical requirements."

The following information is included on the cover of each case opened in accordance with the nomenclature of cases: name of the organization, name of the structural unit, case index, case title, case date, storage period and article according to the list. The information included on the cover of the case at the beginning of the year can be clarified and supplemented with new data. So, only at the end of the year can you clarify the title and, if necessary, give a subtitle if several volumes of the case have been formed. In this case, next to the case index the following can be written: “volume 1”, “volume 2”, etc.

Only at the end of the year can you enter the number of foxes and make clarifications on the date of formation, indicating the exact dates of the first and last documents. When forming cases in office work, the archival code of the case is not indicated on the cover, which includes: the name of the state archive to which the cases are transferred to permanent storage organization; fund numbers, inventories, files - this information will be entered after the files are transferred for storage in the organization’s archives.

The name of the organization on the cover of the case is indicated in full in the nominative case, indicating the full name of the organization to which it is directly subordinate (also in the nominative case). If an organization or parent organization has officially adopted abbreviated names, then they are indicated in parentheses after the full name, for example: Committee social protection population of Moscow (Komsotszashchita Moscow). When the name of an organization or structural unit changes during a record-keeping year or when a case is transferred to another organization (division), the new name of the organization or receiving organization (division) is added to the cover, and the previous one is placed in brackets. The case index, case title, shelf life and article according to the list are transferred to the covers of the case from the nomenclature of cases.

The case is considered initiated if the first executive document is filed in it. Formation of documents into cases should be carried out either by clerical workers or specially appointed persons who know the basic requirements for the formation of cases:

· Receipt executive documents;
· Checking the correctness of the design and the presence of all the details that ensure their legal force, and marks indicating the completion of work with the documents;
· Distribution of executive documents in cases in accordance with the nomenclature of the case: documents that in their content correspond to the title of the case are placed in the case, while it is prohibited to group draft and doublet copies into cases, as well as documents to be returned.

One copy of each document is placed in the file, and only exceptions can be made for particularly valuable documents. The main requirements that must always be met are the formation of documents with permanent and temporary storage periods into separate files. The file should not be more than 4 cm thick and contain more than 20 sheets in one volume, the documents should be located within the file in a certain sequence. In accordance with the Basic Rules for the Operation of Archives of an Organization, documents within files must be arranged so that their content consistently covers certain issues. Typically, documents are in the file in chronological order, starting from earlier documents in date and ending with more recent ones. Documents can be arranged by their serial numbers (orders), which also reflects the chronological sequence. Reverse chronological sequence is often used when forming documents into files, when the earlier document is at the end of the case, the later one is at the beginning of the case, for example, when creating personal files. This ensures ease of use and eliminates the need to remove documents from the file when filing another document. When transferring such cases to archival storage they are rearranged to provide the usual chronological sequence.

When creating cases of individual categories of documents, the following rules are also followed:

· Administrative documents are formed into cases with related applications;
· Correspondence is grouped into a file in such a way that the response document is placed immediately after the request document;
· Attachments to documents, regardless of the date of their approval or preparation, are attached to the documents to which they relate. Applications with a volume of more than 250 sheets are formed into a separate volume, about which a note is made on the document;
· Approved documents are always generated separately from their projects;
· When generating certain categories of documents, it is necessary to immediately fill out the internal inventory of the case (personal files; files containing particularly valuable documents);
· Cases with citizens' appeals are formed in alphabetical order of applicants. All documents related to one applicant constitute an independent group. Repeated requests are filed with this group of documents.
· Inside, documents are arranged in chronological order;

The formation of case documents begins from the beginning of the production year. As already noted, it is best to use “Corona” type folders for filing documents. Things tend to happen in organizations. Formed in a decentralized manner. Only in small organizations is it possible for centralized formation of cases by the preschool educational institution service. With decentralized formation, the DOU service ensures the safety of the most important part of the organization’s management documents, and the remaining documents are formed in structural divisions. The correctness of the formation of cases is monitored by the preschool educational institution service, the organization’s archive and state archive. All the above requirements apply primarily to the formation of cases in the traditional way.

Executed documents must have a mark indicating that the document has been executed and sent to the file (requisite 28) and placed in the file on the day the execution is completed. Strict adherence to this simple rule will eliminate the loss of documents and ensure their safety.

When forming a case, documents are placed in it that, in their content, correspond to the title of the case; however, it is prohibited to group draft and doublet copies of documents (with the exception of especially valuable ones), as well as documents that are subject to return, into cases.

Cases are formed in organizations with centralized record keeping - by the documentation support service of the organization (DOU), and with decentralized management - both by structural units (persons responsible for the DOU) and by the DOU service of the organization. At the same time, the formation of files is carried out under the direct methodological guidance of the organization’s archive, and, if necessary, the corresponding state archive.

When forming cases, the following basic requirements must be observed:

· documents of permanent and temporary storage must be grouped into separate files;

· include in the file one copy of each document;

· group documents from the same calendar year into a file; exceptions are: moving cases; court cases; personal files that are formed during the entire period of work of this person in the organization; documents of elected bodies and their standing commissions, deputy groups, which are grouped during the period of their convocation; documents of educational institutions that are generated during the academic year; theater documents characterizing stage activities during the theater season; files of films, manuscripts, medical histories, etc.;

· the file should contain no more than 250 sheets, with a thickness of no more than 4 cm (if the file is larger, then it is divided into two or more volumes). The thickness of files with storage periods of up to 10 years should not exceed 10 cm. If there are several volumes (parts) in the file, the index and title of the case are placed on each volume with the addition of “T.1”, “T.2”, etc.

Within the case, documents must be arranged so that their content consistently covers certain issues. In this case, the documents are located in chronological order (incoming - by date of receipt, outgoing - by date of departure) or alphabetically by authors and correspondents.

Attachments to documents, regardless of the date of their approval or preparation, are attached to the documents to which they relate. Applications over 250 sheets form a separate volume , about which a note is made in the document.

Organizational and administrative documents are grouped into files by type and chronology with related annexes, taking into account the following rules:

· charters, regulations, instructions approved by administrative documents are appendices to them and are grouped together with the specified documents. If they are approved as an independent document, then they are grouped into separate cases;

· orders for core activities are grouped separately from orders for personnel;

· orders for personnel are grouped into cases in accordance with established deadlines their storage. It is advisable, in case of large volumes of documents, to group personnel orders relating to various aspects of the organization’s activities (hiring, dismissal and relocation, business trips, etc.) into separate cases;

· instructions from higher-level organizations and documents for their implementation are grouped into cases according to the areas of activity of the organization;

· approved plans, reports, estimates, limits, title lists and other documents are grouped separately from their projects;

· documents in personal files are arranged in chronological order as they are received;

· personal accounts of workers and employees according to wages are grouped into separate cases and arranged in them according to the alphabet of surnames;

· proposals, statements and complaints of citizens on issues of the organization’s work and all documents for their consideration and execution are grouped separately from statements of citizens on personal issues;

· correspondence is grouped, as a rule, for a calendar year and systematized in chronological order, the response document is placed after the request document. When correspondence on a particular issue that began in the previous year is resumed, the documents are included in the current year's file, indicating the index of the previous year's file. Depending on the specifics of the organization’s activities, correspondence can also be grouped by academic year, term of convening of elected bodies, etc.

Documents that served as the basis for issuing orders (applications, certificates, acts, notes) can be grouped separately from orders.

Planning and reporting documentation (plans, applications, estimates, reports) is placed in the file of the year to which it belongs in its content, regardless of the time of its preparation or date of receipt. For example, a report for 2008 would be written in 2009, but placed in a 2008 file. Conversely, the plan for 2009 is drawn up in 2008 and placed in the 2009 file. Long-term plans should be related to elementary year their actions.

Registration of cases

3.5.1. The formation of cases is the grouping of executed documents into cases in accordance with the nomenclature of cases.

Documents that, in their content, correspond to the title of the case are placed in the file; however, it is prohibited to group draft and doublet copies of documents (with the exception of especially valuable ones), as well as documents that are subject to return, into files.

3.5.2. Cases are formed in organizations with centralized record keeping - by the organization's preschool educational institution service, and with decentralized management - both by structural units (persons responsible for the preschool educational institution) and by the organization's preschool educational institution service.

The formation of cases is carried out under the direct methodological guidance of the organization’s archive, and, if necessary, the corresponding state archive.

3.5.3. When forming cases, the following basic requirements must be observed:

documents of permanent and temporary storage must be grouped into separate files;

include in the file one copy of each document;

group documents from the same calendar year into a file; exceptions are: moving cases; court cases; personal files that are formed during the entire period of work of this person in the organization; documents of elected bodies and their standing commissions, deputy groups, which are grouped during the period of their convocation; documents of educational institutions that are generated during the academic year; theater documents characterizing stage activities during the theater season; files of films, manuscripts, medical histories, etc.;

the case should contain no more than 250 sheets, with a thickness of no more than 4 cm.

3.5.4. Within the case, documents must be arranged so that their content consistently covers certain issues. In this case, documents are arranged in chronological order (incoming - by date of receipt, outgoing - by date of departure) or alphabetically by authors and correspondents.

Attachments to documents, regardless of the date of their approval or preparation, are attached to the documents to which they relate.

Applications of over 250 sheets constitute a separate volume, about which a note is made in the document.

3.5.5. Administrative documents are grouped into cases by type and chronology with related applications:

charters, regulations, instructions approved by administrative documents are appendices to them and are grouped together with the specified documents. If they are approved as an independent document, then they are grouped into separate cases;

orders for core activities are grouped separately from orders for personnel;

orders for personnel are grouped into files in accordance with the established retention periods. It is advisable, in case of large volumes of documents, to group personnel orders relating to various aspects of the organization’s activities (hiring, dismissal and relocation, business trips, etc.) into separate cases;

instructions from higher organizations and documents for their execution are grouped into files according to the areas of activity of the organization;

approved plans, reports, estimates, limits, title lists and other documents are grouped separately from their projects;

Formation of a case is called the grouping of executed documents into a case in accordance with the nomenclature of cases and the systematization of documents within the case.*

* GOST R 51141-98 Record keeping and archiving. Terms and definitions, s.Z.

After the documents are executed, they are placed in the appropriate files and systematized within them. The case is considered initiated from the moment the first executed document appears in it.

The correct distribution of documents in files is of great importance, as it ensures a quick search for the necessary documents and their safety.

Currently, uniform requirements for the formation and execution of cases have been developed. They are set out in the State Documentation Management System and the Basic Rules for the Operation of Departmental Archives. The procedure for the formation, storage and registration of files, based on existing standards, should be enshrined in the instructions for office work of specific organizations, as this makes it possible to take into account the specifics of their work and documentation.

In small organizations, files are compiled and stored centrally by the employee responsible for office work (for example, a secretary). In large institutions and organizations, cases are formed in structural units at the place where documents were created or executed. Administrative documents, correspondence of managers and the most important internal documents are formed and stored in the office or secretariat of management.

Formation begins at the beginning of the calendar year, when a separate folder (binder folder or recorder folder) is created for each case named in the nomenclature.

Work on the formation of cases consists of the following operations: distribution and layout of executed documents into folders (cases); arrangement of documents within files in a certain sequence; design of case covers.

Cases must be processed in accordance with existing rules. A number of data are displayed on the cover, giving an idea of the documents’ affiliation with the organization, their composition and content, and shelf life. The name of the organization in full and/or abbreviated if it is officially recognized is placed on the cover of each case, for example: Russian State Humanitarian University - RSUH. The name of the structural unit is written under it: Financial Department, Human Resources Department.

Under the name of the structural unit, the case index according to the nomenclature is indicated, for example: Case No. 01-05, where 01 is the index of the structural unit, 05 is the serial number of the case in the nomenclature.

Only those documents that are provided for in the nomenclature can be filed in the file. If new documents appear, an independent case is formed from them and its name (title) is entered into the nomenclature of cases under a reserve number.

The correct arrangement of documents within the file is of great importance. The time it takes to find the necessary information largely depends on the sequence in which they are located.

Documents are systematized in files in accordance with certain principles. The most significant and practically the most convenient are: question-logical, chronological, alphabetical, numbering. They can vary and be combined.

Most often used interrogative(question-logical) principle, according to which documents are placed in files in the logical sequence of solving a particular issue. This systematization coincides with chronological arrangement of documents.

At alphabetical systematization of documents uses the names of their authors, names of corresponding institutions, names of administrative-territorial units, etc.

IN numbering homogeneous documents that have sequential numbering (protocols, orders, receipts, invoices, etc.) are grouped in order.

Administrative documents (orders, instructions, resolutions, etc.) are formed into files by type of document and by chronology (together with appendices). Orders for main activities and personnel are grouped separately;

Protocols are grouped into cases in chronological order and by numbers;

Correspondence is grouped over a period of a calendar year and systematized in chronological order: the response document is placed after the request document;

Planning and reporting documents should be stored in the files of the year to which they relate in their content, regardless of the time of their preparation or date of receipt;

Documents in reports should be placed in the following sequence: explanatory note, report, appendices;

Annual plans and reports are separated from quarterly and monthly ones;

Financial monetary documents (cash orders, advance reports, bank statements, etc.) are grouped by number. Receipts, invoices, etc. are arranged similarly;

Documents in personal files are placed in the following sequence: internal inventory of documents available in the personal file; job application; questionnaire, personnel records sheet; autobiography; educational documents; extracts from orders on appointment, transfer, dismissal; addition to the personal personnel record sheet; addition to the personal sheet for accounting for incentives; certificates and other documents related to to this person(except for certificates of residence, health status and other documents of secondary importance, which are grouped separately from personal files).

Within these groups, documents are arranged chronologically. Copies of orders on imposition of penalties, incentives, change of name, etc. they are not filed in a personal file, since this information is recorded in addition to the personal personnel record sheet.

Personal accounts of workers and employees are grouped into independent cases alphabetically within the calendar year.

Citizens' appeals are formed into separate cases using alphabetical grouping order.

Along with the principles of systematization of documents, when creating cases, one should adhere to the basic rules common to all categories of documents:

Only executed documents are filed in the files. It is prohibited to file unfulfilled documents, as well as documents subject to return, into the file;

Each document placed in the file must be drawn up in accordance with the requirements of state standards and other regulations.* Therefore, before filing a document in the file, the correctness of its execution must be checked: the presence of the necessary signatures, visas, index, dates, marks, etc. ;

* Basic Rules for the operation of departmental archives, clause 2.2.3.

The case file includes documents in one copy. Drafts and duplicated copies are not filed together with the originals. The only exceptions may be drafts of particularly valuable documents or copies that have marks, visas, etc., supplementing the contents of the first copies;

Documents with permanent and temporary storage periods are grouped into separate files;

Documents of the same calendar year are grouped into cases, with the exception of transitional cases. Besides, separate categories cases have their own formation characteristics. Thus, personal files are formed during the entire period of a person’s work in the organization; the affairs of elected bodies and their standing commissions are formed during the convocation period; documentation of educational institutions is compiled into files by academic year;

The documents are placed in the file with all related attachments and additional materials. If the applications are large, they are formed into an independent business.

The thickness of each case should not exceed 30-40 mm, which is approximately 250 sheets. If there are more documents, the case is divided into volumes. The number of volumes of each case is indicated in the nomenclature of cases at the end of the year.

Correct grouping of documents into files and their systematization in the file greatly facilitates the examination of the value of documents, the preparation of documents for subsequent storage and use.

See also:

In the course of their activities, firms receive and create a large number of documents. A quick search and use of documents is possible only with their clear classification, therefore one of the main issues in organizing work with documents is the development of a nomenclature of cases.

The nomenclature of cases is compiled according to a unified form, in which each column has its own purpose and requires correct completion.

The nomenclature of cases is a multi-purpose document.

The main purpose of the nomenclature of files is to systematize documents, allowing the distribution of documents after their execution into files and determining the document storage system in the institution.

Each case includes documents of the same shelf life, thus, the nomenclature of cases allows an initial examination of the value of the documents.

Indexation of cases, fixed by the nomenclature of cases, is used when registering documents.

The nomenclature of cases can be used as a scheme for constructing a reference file for executed documents.

The nomenclature of files is used instead of an inventory when handing over files with storage periods of up to 10 years.

When compiling inventories for files of permanent and long-term storage, they also use the nomenclature of files.

When studying the structure of an organization, the list of cases is used as reference material.

To compile and formalize the nomenclature of cases, normative and methodological documentation is used. Archival institutions have developed methodological manuals for compiling a nomenclature of institutional files.

The simplest classification of documents is to group them into cases.

Documents are grouped into cases according to the following criteria:

nominal;

correspondent;

chronological.

The nominal feature is the grouping of documents of the same type into one file - orders, protocols, etc.

A subject-issue feature is the combination of documents on one issue into one folder, for example: A court case or Documents on the construction of a new educational building.

A correspondent sign is correspondence with a specific correspondent, for example: Correspondence with the Novaya Zarya factory.

Chronological attribute (accounting documentation) - is used in the case when the time parameters of documents come first, for example: Reports on the shipment of goods for January.

Standard and approximate nomenclatures of cases are compiled for organizations that are similar in nature of their activities.

The standard nomenclature of cases is mandatory.

The list of cases is compiled for each functional division of the company by the person responsible for record keeping with the involvement of leading specialists of the division. It is agreed with the archive and signed by the person responsible for record keeping in this department.

In small companies, the nomenclature of cases is approved by the head, in large companies - by the heads of departments.

The list of cases is drawn up in four copies:

the first one is stored in the records management service of the institution or company;

the second is in the state archive;

the third - in the departmental archive;

the fourth is a working copy.

A consolidated nomenclature of affairs is compiled for large firms and represents a summary of all nomenclatures of affairs of divisions.

At least once every 5 years, the nomenclature is subject to re-composition and re-approval. During the year, the approved nomenclature of cases may be supplemented with new, not provided for cases, and the storage periods for individual cases may be specified.