Preparing personnel documents for submission to the organization’s archives

Registration of cases and other documents for subsequent storage in the court archive Order of the Judicial Department at the Supreme Court of the Russian Federation dated March 19, 2021 N 56 (as amended on July 16, 2021) On approval of the Instructions on the procedure for organizing the acquisition, storage, recording and use of documents (electronic documents) in the archives of federal courts of general jurisdiction

5. Registration of files and other documents for subsequent storage

in the court archive

 

5.1. Court cases, orders, materials, and other documents completed by paperwork that are subject to transfer to the archive for permanent and temporary (over 10 years) storage, including personnel records, after the end of the calendar year are prepared for transfer to the court archive and are subject to registration and description.

All completed cases and other documents before being transferred to the archive must be drawn up by employees responsible for record keeping in the judicial panel, judicial staff or structural unit of the court, in accordance with the requirements of the Rules
N 526, instructions N 36
, N 161
and this Instruction.

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Other court documents – registration and statistical cards, books, journals of registration (accounting) of documents and other documents.

 

5.2. The decision to transfer court cases, proceedings and materials to the archive is made by the judge who examined them, and in his absence – by the chairman of the court (judicial panel, judicial panel) or his deputy. At the same time, the judge checks the status of each court case, proceeding or material.

5.3. The decision to transfer nomenclature, journals and registration and statistical cards to the court archives is made by the chairman of the court (judicial panel, judicial staff) or his deputy.

5.4. The decision to transfer other court cases to the archive is made by the head (specialist) of the records management department (general department) of the court (secretariat of the judicial panel).

5.5. When forming a case, the following 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 of one calendar year into a file (exception: moving cases; court cases; personal files that are formed during the entire period of work);

orders for personnel should be grouped into files in accordance with the retention periods established for them;

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

personal accounts for wages of employees are grouped into separate files and arranged in them alphabetically by last name, first name and patronymic.

5.6. Depending on the storage period of cases, they are fully or partially processed.

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

Complete registration of cases on paper provides for:

filing or binding of case documents (unformatted documents are stored in closed hard folders or boxes);

numbering of case sheets;

drawing up a document certifying the case ( Appendix No. 11
to this Instruction);

drawing up an internal inventory of case documents ( Appendix No. 12
to this Instruction);

case cover design ( Appendix N 13
to these Instructions).

5.6.1. The documents constituting the case on paper are filed with at least four punctures in a hard cover or bound, taking into account the possibility of free reading of all documents, dates, visas and resolutions on them, metal fasteners are removed from the documents. If necessary, documents smaller than A5 size (checks, receipts, certificates, photographs, etc.) are pasted onto an A4 sheet for ease of filing. If there is no margin for filing, the document must be pasted onto a supporting sheet without damaging the text.

Documents are filed in the case in chronological order, all documents included in the process of consideration of the court case are in the order of their receipt. Documents to be returned, as well as copies of documents already in the case and drafts, should not be filed with the case.

The maximum number of sheets filed in one volume should not exceed 250 sheets with a thickness of no more than 4 cm. If the number of sheets in the file exceeds 250, the materials are formed into volumes in chronological order. Volume 2 can be started only after the end of volume 1. The opening date of volume 2 should not be earlier than the end date of volume 1. The volumes should have a general heading according to the nomenclature of cases.

At the beginning of the case, if necessary, sheets of the internal inventory of the case documents are filed on paper; at the end of each case, a document certifying the case.

If audio recording and other technical means are used to record the progress of a court hearing, electronic storage media (disks, floppy disks, flash cards) are stored along with the court case. At the same time, they must be sewn into the court case (attached to the minutes of the court session) in packaged form (envelope) with the case number and date indicated on the packaging, and also signed by an authorized employee of the court staff. The packaging must ensure the safety of the electronic media from damage and deterioration.

5.6.2. In order to ensure safety and consolidate the order of arrangement of documents included in the case on paper, all its sheets (except for the certification sheet and internal inventory) are numbered in bulk order in Arabic numerals, which are affixed in the upper right corner of the document sheet with a simple graphite pencil or numberer. The use of ink and colored pencils for numbering sheets is prohibited. Sheets of the internal inventory of case documents are numbered separately.

Sheets of cases consisting of several volumes are numbered for each volume separately.

Photographs, drawings and other illustrative documents that represent an independent sheet in the file are numbered on the reverse side in the upper left corner.

The folded sheet is unfolded and numbered in the upper right corner. In this case, a sheet of any format, hemmed at one edge, is numbered as one sheet; a sheet folded and hemmed in the middle is subject to re-stitching and is numbered as one sheet.

A sheet with firmly pasted documents (clippings, extracts, photographs) is numbered as one sheet. If other documents (clippings, inserts of text, translations) are pasted to one edge of a document in the file, then each document is numbered separately.

Envelopes with attachments filed in the case are numbered; in this case, the envelope is numbered first, and then each attachment in the envelope is numbered with a subsequent number. If attachments cannot be numbered, their presence is specified in the certification inscription.

If the enclosure is a copy of a document in the file, only the envelope may be filed.

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

In cases where a large number of errors are detected in the numbering of sheets of the case, renumbering is carried out, in which the old numbers are crossed out with one slash, and a new sheet number is placed next to it. If there are individual errors in the numbering of the sheets of the case, it is allowed to use lettered sheet numbers.

If the numbering of the case sheets is changed, a new certification sheet is drawn up, while the old one is retained in the case.

5.6.3. After the numbering of the sheets is completed, a certification inscription is drawn up, which is located at the end of the case on a separate certification sheet ( Appendix No. 11
to these Instructions).

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

The certification note indicates in numbers and in words the number of numbered sheets and the number of sheets of the internal inventory, specifies the specifics of the numbering of sheets of the case (order) (presence of missing numbers; numbers of sheets with pasted photographs, documents, newspaper clippings; numbers of envelopes with attachments and number of sheets included in them).

All subsequent changes in the composition and state of the case (damage, replacement of original documents) are noted in the certification sheet with reference to the corresponding act.

The certification signature is signed by the employee who completed the registration of the case for transfer to the archive, indicating the position and date of compilation of this signature.

Example: in the present case (order), 250 (two hundred and fifty) sheets are stitched and numbered, including 3 (three) photographs on sheets: 20, 113, 235. There are lettered sheets with numbers 10a, 33a, 33b. The envelope (sheet 245) contains the work book of the convicted Ivanov A.V.

5.6.4. Case cover design.

On the covers of cases ( Appendix N 13
to these Instructions) subject to permanent and temporary (over 10 years) storage, the following are indicated:

name of the court (in full, in the nominative case);

title of the case (volume);

last name, first name, patronymic of the convicted person and the full name of the article of the Criminal Code
the Russian Federation under which the person was convicted;

surname, initials of the plaintiff, defendant (name of organization), essence of the claim (statement);

last name, first name, patronymic of the acquitted person or the person in respect of whom the proceedings have been terminated;

start and end dates of the case;

number of proceedings in the case;

case index;

volume number;

number of sheets in the case;

the period for storing the file, indicating the date until which storage is carried out;

date of transfer of the case to the archive;

signature of the judge who considered the case (with a transcript of the signature);

archive case code.

Permanent files must be filed in a hard cover.

On the cover of permanent storage cases, a place is provided for the name of the state archive into which the court cases will be accepted (if the cases are transferred for storage to the state archive).

When the name of the court is changed, a new name is added to the cover of the case, and the old name is placed in brackets.

The title of the case on paper and the title of the electronic case are transferred to the cover of the case (electronic case) from the nomenclature. The title must correspond to the content of the documents in the case.

If the order consists of several volumes, then a general heading according to the nomenclature of cases is placed on the cover of each volume, and then the contents of each volume are specified separately.

Example:

“Documents of operational meetings of judges in 2 volumes. Volume N 1 – meetings of judges of the judicial panel on criminal cases”;

“Documents of operational meetings of judges in 2 volumes. Volume N 2 – meetings of judges of the judicial panel on civil cases.”

The cover of the case indicates its date – the year(s) of establishment and end of the case in office work.

If the case includes documents (for example, applications), the date of which does not coincide with the date of the case, then under the date on a new line an entry is made about this: “The case contains documents for . year(s).”

The date of cases containing administrative and other documentation (reports, letters, transcripts), for which precise dating is important, as well as for cases consisting of several volumes, are the dates (day, month, year) of registration (compilation , receipts) of the earliest and latest documents included in the case (extreme dates of cases, documents).

The date of the personal file is the date of signing of orders for the admission and dismissal of the person for whom it was opened.

When indicating the date of a document, first indicate the day, then the month and year. The date and year are indicated by Arabic numerals, the name of the month is indicated by a word.

Mandatory details for the cover of a case on paper are an indication of the number of sheets in the case (indicated on the basis of the document’s certification sheet) and the storage period for the case (on permanent storage cases it is written: “Keep permanently”).

On cases included in the annual sections of the inventory of cases, the code is affixed after approval (coordination) in the prescribed manner of the annual section of the inventory of the corresponding EPC of the archival institution and approval by the chairman of the court (before this, the archival code is affixed in pencil).

The archival code (the designation applied in the lower left corner of each case in order to ensure accounting and identification) consists of: the number of the archival fund; numbers of the inventory of cases, documents; case numbers.

5.6.5. In all cases subject to transfer to the archive for permanent and temporary storage (over 10 years), including personnel files, an internal inventory of the case documents is drawn up ( Appendix No. 12
to these Instructions) indicating the title, index (number) of the document, date and sheet number in the order.

If a paper case is bound or filed without an internal inventory of documents form, then the internal inventory drawn up in the prescribed form is glued to the inside of the front cover of the case.

Changes in the composition of case documents (withdrawals, inclusions of documents, replacement of documents with copies) are reflected in column
“Note” of the internal inventory with links to the relevant acts. If necessary, a new final entry for the internal inventory and a certification sheet can be drawn up.

The sheets on which the internal inventory is made are numbered separately in Arabic numerals. The number of sheets of the internal inventory is indicated in the certification note after the total number of sheets in the order through the arithmetic plus sign.

5.7. In registration journals of permanent and temporary (over 10 years) storage, before they are transferred to the archive, employees of the departments responsible for maintaining these documents number the sheets and make a certification inscription.

On the cover of the logbook or book, according to the nomenclature, the shelf life is indicated and the number of sheets is indicated.

Before transferring accounting and statistical cards to the archive, an employee of the office management department checks their presence and completion of all required details.

After transferring cases to the archive, registration and statistical cards must be stored in file cabinets (boxes, filing cabinets) separately for criminal, civil, administrative cases, cases of administrative offenses in the order of their numbers by year. Each volume should contain no more than 150 accounting and statistical cards, but no more than 250 sheets.

Registration and statistical cards are transferred to the archive along with an alphabetical index.

5.8. Electronic documents to be stored are transferred to the court archive in the form of containers that ensure the integrity of electronic documents, via an information and telecommunication network from the corresponding automated court system to the court archive information system or on separate record-once media.

The electronic document container includes an electronic document file in archival storage format and an electronic document metadata file, including electronic signatures.

Containers of electronic documents can be transferred to the court archive on physically separate material media of a single record in two identical copies – the main (reference copy, which is used in exceptional cases, for example, to create copies of a working copy) and the working one (from this copy they are made copies of electronic documents, including for fund use).

5.9. When preparing electronic documents for transfer to the court archive, they are converted into the PDF/A archival format.

Electronic documents that have attachments that are an integral part of the document, when converted to an archival storage format, are attached to the main document, forming one file with it. Large applications can be converted into separate files.

5.10. The systematization of electronic documents and their indexing in accordance with the nomenclature, the formation of containers of electronic documents for the transfer of electronic documents to the court archive are carried out in judicial panels, judicial panels, and structural divisions of the court in the relevant information systems.

5.11. Preparation of electronic documents for transfer to the court archive consists of the following stages:

checking the physical condition of computer media intended for transfer to the archive;

recording electronic documents on computer media;

recording quality check;

description of the electronic document;

affixing archival codes to storage units (on cases) in accordance with the archival inventory (inventories) of electronic documents of permanent storage and for personnel;

preparation of a set of accompanying documentation.

The archival code of electronic documents stored on separate electronic media is indicated on the insert included in the media case. The archival cipher of electronic documents stored in the archive information system is a mandatory element of the description of the electronic document container.

5.12. The accompanying documentation of electronic documents must be sufficient to ensure their recording and use. It reflects the following information: title of the document, date of its creation, characteristics of the content (abstract), electronic format, physical and logical structure (for accounting databases, websites, etc.), volume of the document (for databases also the number of records).

5.13. Cases (electronic cases) and other documents drawn up in violation of established requirements will not be accepted by the court archives.

5.14. Before transferring a court case to the archive, an employee of the records management department (secretariat of the judicial board) must pay special attention to the appeal for execution (execution) of a court decision that has entered into legal force.

5.15. Court cases are subject to registration for transfer to the archive no later than one month after applying for execution of the final judicial act that has entered into legal force.

Appeal for execution is made in accordance with the procedural legislation of the Russian Federation and instructions N 36
, N 161
.

5.16. Registration and preparation for transfer to the archive of cases subject to permanent and temporary (over 10 years) storage are carried out by employees of the office management departments of judicial panels, judicial panels and structural divisions of courts, who are entrusted with the responsibility for transferring cases to the court archive.