A document is information presented in a form corresponding to the content and purpose. The document is created with a purpose, by someone for someone else. But the person will not always be the source of the document and / or its addressee. The modern level is when it is possible and necessary to effectively and practically include machines and mechanisms in the control loop.
The process, features and speed of movement of a document depends on its form, content and functioning of the "environment of movement". The success, economic indicators and social efficiency, and this: the quality and life of the company, depend on how competently the workflow in the organization is configured.
Administration, form and order of workflow using the example of an organization is not regulated by law. There are GOSTs, by-laws and mandatory recommendations. Regarding accounting documents, papers for processing a loan or medical reports, there are legal norms.
A document is not always a strict written form. He might be:
All three versions of documents can be presented on paper or electronically and, thanks to the availability of technical and legal tools, they are absolutely equivalent, although there are still cases when only a paper form is possible.
Despite the lack of legislative regulation of the form and content of the document and document flow, there is a tough, generally accepted and not discussed practice of creating, moving, storing or destroying documents, which each organization is free to adjust for itself in absolutely any way.
It is fundamentally impossible to achieve the ideal:
because each new approach gives the opportunity to see new horizons. There is a desire and need to follow them. Document flow is no exception. On the contrary, it is an indicative and living example of the dynamic fixation of the process of information movement.
It does not matter at all how the information is recorded: on paper or in electronic form. Currently, both forms have the same legal meaning, although in some cases the paper version has advantages.
An example of workflow in an organization that honors itself, its field of activity, treats with respect to government agencies, its partners, suppliers and consumers (clients), is not always necessarily cited to electronic system, which controls, takes into account documents and provides a cycle of their movement from the moment of appearance (creation) to the moment of deposit or destruction.
Not all organizations have an understanding that many documents can be executed directly by machines and mechanisms without human participation, just as not all sources (authors) should be only people.
The usual understanding in the overwhelming majority of cases is at the level of a simple "signal idea", when the program is entrusted to report only about the occurrence of events.
Both circuits are important for a successful organization. The external turnover has a static value, and the internal turnover has a dynamic one.
The better the management of the company understands this circumstance, the more promising the electronic document management system it chooses. Those who want to show the perfect example of the movement of business papers in an organization write their own information system.
Documents can be primary and secondary. The latter always have a history of movement within the organization.
By analyzing the application of knowledge about the document and its use, it is possible to assess the functional characteristics of the company, socio-economic indicators and time parameters. This is important for both partners and consumers.
Uniqueness is characteristic not only of a person, but also of an organization. Moreover, each person appreciates his individuality and seeks to emphasize it in every possible way with clothing, behavior, education, etc.
A company acquiring a ready-made information system is an ideal example of document flow in an organization, which deprives it of its own face and forces employees to dress in “other people's clothes”.
It is better to entrust your own employees to work with paper carriers the old fashioned way than to impose a third-party, but modern opinion on documents and their use on them. Each employee is an important element of the organization's functionality, and not a researcher of the effectiveness of other people's ideas and designs of third-party workflow.
The outer contour of the workflow is always limited, unpretentious and characterized by static stability. Generally speaking, it should be given no more importance than it deserves. For example, what is the point of “investing your heart” in relations with the tax authorities, regulatory authorities or partners. You can somehow diversify the process of exchanging information with advertising agencies, but this, in the end, takes on a static, everyday form.
The priority of our own information processing system, of which electronic document flow is always an important part, does not raise any doubts. But everyone always feels sorry for the time and money to create their own system.
A combination of the classic options "one es" or "galaxy", which never do without "Ixel" and a couple of third-party local economic or accounting programs, coupled with their own website to have feedback and documents (orders, complaints, suggestions, .. .) from customers and partners - the usual state of affairs, employees are constantly busy with routine, and there are no costs.
The dynamics of the production process can only be ensured by the effective implementation of its own functionality. Only in this capacity is the electronic document flow in an organization an example worthy of imitation, and in the context of the implementation of one's own business idea - an excellent dynamics of production, economic and social indicators.
Any organization is an information system that arises and exists in a similar environment. Documents are received from outside the organization, inside it is also required to create documents, some of which are of a regulated and mandatory nature.
An organization's simple workflow chart is an example of how everyone usually does it. Regulations on the rules of work, daily routine, duties of employees are the usual norm of things, but very few people are engaged in the development of "Regulations on the organization's information system".
From an objective point of view, the leaders of the organization can be guided by anything, write any position and job descriptions. But the effectiveness and practicality of this rule-making depends only on how the internal regulatory arsenal meets the requirements of reality.
The document management system of an enterprise is an integral part of the information sphere of the company, as a result of which the "Regulation on document circulation" is an appendix to the "Regulation on the information system of the organization", but very important and uniting all its constituent elements into a single information organism.
If the management intends to create an ideal example of document flow in the organization, then it is really engaged in the development of a successful business, has the goal of making a profit and increasing the welfare of employees.
The peculiarity of the current state in the field of software development, in particular, at the forefront, in the field of distributed information processing (examples of Internet programming), is that it is almost impossible to create a mobile self-adapting application.
The task of electronic document management in an organization is a simple but illustrative example. Here the dynamics are inherent:
It is very difficult to write code that can vary according to changes in data and algorithms. The investment of time and resources may not be available to every organization.
Organization of document flow at the enterprise using the example of the problem of the electronic version is relevant, simple, indicative and practical. The process of designing code that is capable of dynamic change is a challenge. Development time is also an issue.
Noteworthy is the order of document flow on the example of an organization belonging to the Federal Tax Service, Federal Migration Service, Russian Post, etc. Moreover, it is absolutely not necessary to design the system in exact accordance, it is enough to take the structure and content of documents as a basis, use the general processing logic.
Then the workflow in the organization = example + features of your own business idea. In a first approximation, the result will not be practical, but as soon as the first implementation of tasks is put into operation, the cycle of their solution will become irreversible and with due attention the result will be achieved.
The creation of an information system capable of processing dynamically changing information is, first of all, the dynamics of the creation process itself.
Until a mechanism is created to adequately change incoming, outgoing and internal documents, and the code does not get the opportunity to independently change without the participation of a programmer, it will not be possible to talk about the fact of creating an electronic document management system.
However, coming up with and implementing your own system to fully support the organization's information processes is the same as making its success brilliant and perfect.
A couple of years ago, even professionals spoke of electronic document management systems as a "bright future". But life turned out to be faster than our ideas. Electronic document management systems are already actively used at large and medium-sized enterprises, in state structures, and, most importantly, interest in them is constantly growing. This article provides a brief overview of the main electronic document management systems presented in Russia, and introduces basic concepts that allow you to approach the decision on choosing a document management system that is best suited for your organization. Let's make a reservation right away: the article does not pretend to be a complete presentation of the capabilities of software products (if necessary, you can familiarize yourself with them by contacting suppliers for materials) - attention is focused on their conceptual features that allow you to make the right choice of a product (system).
The review includes 12 different systems presented on Russian market... So that their description does not seem like a scattered set of facts, at the beginning of the article the applied principles of classification of systems are given - without such a "scale", the study of the subject of this article, complex and multifaceted, would be impossible. To describe the context in which these systems are used, the reason for the emergence of electronic document management is indicated, some basic concepts are given, and the main tasks solved by the systems are indicated. As a "key" to making a choice, the main factors influencing the decision to choose a system are given, the main problems of implementation are mentioned.
Why did this article appear in the All About Scanners section of articles? As you can see during the reading of this article, any document management system is meaningless without data entry block. Because it is the data that is the entity that is entered into the system, processed, transformed at each stage of the system and, ultimately, leads to the formation of new formalized data, which, in turn, determine the further behavior of the system.
There can be several ways of entering data into the Electronic Document Management System: it can be data from other systems, application applications, e-mail, etc., but first of all, it is data from paper carriers that are entered into the EDMS by scanning the original document and then processing it. That is why document scanners and specialized software for scanning are integral, and often the primary part of electronic document management systems.
See the diagram above. In specific implementations, some components may be absent or, conversely, be present in several instances.
In any organization, workflow is either there or not. If an organization can exist in conditions of informal management ("the boss said - done"), then, obviously, there is no document flow in it. If a certain formalism is introduced in the management of the company and in the organization of all kinds of business processes (or, in other words, "business processes"), then sooner or later it becomes necessary to transfer at least some of the management mechanisms to an orderly documentary basis (for example, to collect visas in contract, register incoming and outgoing letters so that later you can find the ends, etc.). As a result, there is a workflow. If it is not controlled, then after a while problems begin. For example, documents are lost, and then, when the need for them disappears, they are found in their usual place. Or the manager signs an agreement in which the wrong amount is indicated and, in addition, there is no visa of the employee who is directly responsible for its implementation. Situations familiar to almost everyone.
Obviously, when putting things in order, company leaders find organizational solutions to various workflow problems that roughly correspond to the level of tasks of each company. They often come up with a reasonable scheme for placing files on the server so that documents can still be found, and use e-mail as the basic means of transferring a document for approval and for control of execution.
However, these partial measures only work up to a certain point. Further, when the company sets itself more and more complex tasks and, in addition, grows in size, such means of storing information, ensuring interaction and monitoring the execution of orders begins to be lacking. There are two possibilities: either to introduce in the company a classic paper document flow, which today looks like a "stone age", or to introduce an electronic system. Usually the choice is made unambiguously in favor of the second path - the only question is which system to choose.
First of all, the management is concerned about the issue of economic efficiency use of electronic document management systems. At the stage of making a decision on the choice and implementation of an electronic document management system, from the customer's representative one sometimes hears something like the following reasoning: "Why do we need to introduce electronic document management systems at all?"; "What economic effect will the introduction of the EDMS give?"; "People have been working with paper for hundreds of years. Why don't we work the same way?"; "The introduction of information systems in general and electronic document management in particular requires serious capital investments. We would rather spend this money on modernizing the main production assets"... Sometimes similar arguments are presented in a somewhat provocative form:" Like, I guess that the introduction of an electronic document selection system is fashionable, promising, modern and even profitable. But you will convince me of this! "
Speaking about the various factors of increasing the efficiency of an organization's activities when introducing an electronic document management system, it is necessary, first of all, to agree on how the same efficiency is determined. According to the general definition, we will consider efficiency as the achieved result of activity, referred to the cost of achieving it.
As can be seen from this definition, there are at least two ways to improve the efficiency of an organization: by reducing costs and / or increasing the result. Good electronic document management systems allow you to implement both options. Figuratively speaking, the introduction of such systems gives the organization the opportunity to spend less and earn more... Let's consider, first of all, the factors contributing to cost reduction:
Factor 1 - Reducing the cost of paper documents
Factor 2 - Reduction of unproductive costs of employees' working time
Factor 3 - Acceleration of information flows
Factor 4 - Change in corporate culture
To assess the possible economic effect of the introduction of an electronic document management system, it is necessary to know how much time the organization's employees spend on performing routine, unproductive operations on documents. According to estimates of Western consulting companies, the share of such operations can be up to 20-30% of the total working time. Anyone who has ever tried to agree on a document in Russian bureaucratic organizations knows that it can take 60 and 70% of the working time. A fairly accurate idea of such costs can be obtained by conducting a study of the existing workflow and measuring the corresponding indicators.
Just as a bit is a unit of information in cybernetics, a document is a unit of information in workflow systems. Document management systems store documents, maintain their history, ensure their movement throughout the organization, and allow tracking the execution of those business processes to which these documents are related. In an organization where a document management system has been implemented, the document is the basic management tool. There are no just decisions, instructions or orders - there are documents containing these same orders, decisions, instructions, etc.: all management in the organization is carried out through documents.
Any document in the workflow system is supplied with a "card" similar to a library one. Usually, a specific set of fields in such a card is tied to the type of document. The storage of an electronic document management system can be imagined in the form of a database containing information from the fields of cards and some storage for the documents themselves.
Usually two terms are confused: "paperwork" and "workflow". You can often hear the phrase: "This is not a document management system, but a paperwork system" or vice versa. Paperwork is a term used in office practice to refer to a formal set of rules for working with documents. There are document management systems that can be configured to the necessary office rules. But there are systems that were originally designed to support precisely these rules and in this sense do not have more general functions enough to be called workflow systems. On the other hand, the set of rules for office work, which is adopted in Russia, is quite extensive, and adjusting the workflow system to these rules is not a trivial task.
Document management systems are usually implemented to address specific challenges facing an organization, of which the following are the most common:
There are problems common to almost any organization that have to be solved during the implementation, implementation and maintenance of electronic document management systems. The main ones are listed below.
In addition to these, there are problems specific to certain types of organizations; their detailed analysis can become the subject of a separate article.
Any workflow system can contain elements of each of the categories below, but most of them have a specific orientation in one of the areas associated primarily with product positioning.
As you know, the problem of the exchange of correspondence between organizations using various electronic document management systems (EDMS) is quite topical. Document flow between two different organizations is still carried out in paper form, which greatly complicates the operational exchange of official information. Until now, this process looked like this: a document created in the EDMS of one organization was printed on paper, delivered by courier or regular mail to another organization, where it was scanned and entered into a new EDMS. Taking into account the fact that each of these organizations has its own workflow automation system, each change in a document intended for external circulation is repeatedly subjected to the above procedure.
The adoption of the law on electronic digital signatures partially solved this problem by legislatively allowing the paperless exchange of documents between independent organizations. However, the lack of a unified standard for electronic exchange of correspondence was a serious obstacle to the practical implementation of this opportunity. This problem is especially serious in the implementation of the federal target program "Electronic Russia", one of the tasks of which is to unite state authorities with a single electronic document management system.
The emergence of a new XML format, one of the most promising applications of which is the transition to a unified electronic document management system, will significantly increase the efficiency of contacts between organizations and their partners, remote branches, government agencies and other external organizations.
In mid-March 2002, IT Co. was the first company among the manufacturers of electronic document management systems to announce the completion of the development of a solution that will allow integrating electronic document management systems built on various platforms and using various data formats into a single information space.
To create this solution, the company's specialists were prompted by the desire to organize the interaction of their product - the widely used BOSS-Referent system, built on the Lotus Domino / Notes platform, with other electronic document management systems. For this purpose, the BOSS-Referent system implements an XML gateway, developed taking into account the recommendations of the current GOSTs and instructions in the field of management documentation.
The choice of a document management system is not just a technological or engineering challenge, it is associated with the overall development strategy of the organization. If it is a commercial company, then the choice is largely determined by its goals, the competitive environment, the structure that exists at the moment, as well as the structure that the company will come to in the future, and, in addition, the economic effect of implementation. If this is a state institution, then the emphasis should be shifted to the completeness of accounting for the tasks solved by the organization, the features of these tasks associated with the specifics of its activities. In general, when choosing a document management system, you need to take into account many factors that, at first glance, may not be relevant to the subject. The above overview will help you develop an initial hypothesis about which systems might be right for you.
Preparation of the Concept for ensuring the security regime at the enterprise, which by its design and purpose unites all its directions, provides for the presence in the organization of the entire complex of internal regulatory documents.These are the Rules, Regulations, Instructions, various kinds of Memo, etc. approved at the enterprise.
Preparation of a document entitled "Concept for ensuring the security regime" should begin when the enterprise has local regulations.
Internal documents must be prepared in accordance with applicable law and must be prepared by experienced lawyers.
In this article, we will present you with the necessary List of them and tell you about their application and purpose. There can be a lot of internal documents, it all depends on the direction of the organization's activities, including international cooperation.
To ensure the safety regime in production activities, internal (local) regulatory documents are applied, which are executed by officials of enterprises and all personnel in the following areas of production activity:
Internal labor regulations.
Mandatory for execution by all employees of the enterprise, without exception (managers, engineers, workers);
Regulation "On commercial secrets".
It is distributed in relation to managers and engineers who are carriers of trade secrets;
Regulation "On the organization of the work of warehouses."
Mandatory for execution by the heads of enterprises and employees of warehouses (storerooms) involved in the accounting and movement of inventories (goods and materials);
Regulation "On labor protection and safety measures".
Applies to all managers involved in the production process, as well as officials of enterprises that provide labor protection and safety measures;
Regulation "On the IT department (ACS)".
Mandatory for employees of information technology (IT) and automatic control systems (ACS) departments;
Regulation "On accounting".
Applies to the head of the company, officials and accounting staff.
Regulation "On contractual work".
Necessary for the work of the initiators (executors) of the conclusion of contracts and the legal department;
Regulation "On personal data".
In accordance with the requirements of the Regulations, their functions are performed by the head and officials of the personnel apparatus.
Regulation "On discipline".
Mandatory for all employees of enterprises;
Position "About fire safety", Evacuation schemes, corresponding orders, calculations.
Mandatory for all employees of the enterprise.
Regulation "On the admission and dismissal of personnel."
Mandatory for all managers and personnel departments of enterprises.
Job descriptions.
Applies to all staff of enterprises in the field of execution functional responsibilities.
Regulation "On access control".
Mandatory for all employees of the enterprise.
Instruction (regulation) "On the procedure for the import and export of inventory of the enterprise."
Mandatory for execution by all managers and financially responsible persons;
Instructions for the work of employees of private security companies at a guarded facility.
Applies to all employees of private security companies in accordance with contractual obligations. Can be joint.
Instruction on the List of specialties for hazardous work.
It is necessary for all managers involved in direct production, as well as personnel of the personnel service and officials of enterprises responsible for labor protection;
Rules "On the sanitary maintenance of the premises of the enterprise."
Designed for all employees of the company.
Reminder of actions in the event of an emergency.
Applies to all employees of the enterprise.
List of priority documents and property to be evacuated in case of fires and other emergencies.
All company officials are guided by the list.
Regulations, Agreements with service organizations, Orders.
Will apply to individual officials in the part concerning.
Other internal regulations.
Published as needed for a specific category of company officials.
We emphasize once again that this is not a complete List of internal regulatory documents. There may be such as instructions for club cards, instructions for escorting goods, etc.
The enterprise must have those regulatory documents that are necessary in production activities.
All internal (local) regulatory documents are approved by the heads of enterprises and are communicated to the responsible officials under their signature.
Officials of enterprises, as well as employees who are involved in ensuring the security regime, must know the approved internal regulatory documents and be guided by them in their practice.
The concept of "internal documents" unites all official papers intended for internal use. They belong to the least regulated segment of the workflow.
Until recently, the definition of this could be found in the national standard GOST R 51141-98 "Office work and archival business". According to him, all official documents that do not go beyond the boundaries of the company that prepared them are considered internal. However, with the introduction of the new GOST 7.0.8-2013, the definition disappeared from the regulatory and methodological documentation.
Internal documents play an important role in documenting management processes. They act as their regulators of the internal life of any institution on a par with legislative and legal acts. The need to develop some internal corporate acts is dictated by the current legislation.
Internal corporate acts facilitate the solution of problems within a particular organization. There are many types of such documentation. As a rule, its classification is built on the basis of the purpose, content and order of approval of the official paper.
The composition of the list of internal documents of an organization depends on many factors: its organizational and legal form, form of ownership, degree of openness, purpose, size and scope of activity.
Types of internal documents in modern office work:
|
Appointment |
||
|
Charter, staffing, regulations, organization regulations, internal labor regulations, job description |
They perform the functions of the legal framework of the company and include binding provisions based on the norms of administrative law. |
Organizational and legal |
|
Orders for the main activity and personnel, decrees, orders, decisions, instructions |
Record management decisions on organizational issues. |
Administrative |
|
Service, memo, explanatory notes, statements, proposals, certificates, minutes, acts, conclusions |
They provide information on the actual state of affairs, encourage the adoption of administrative decisions, the issuance of administrative acts. |
Information and reference |
|
Lease agreements, provision of services, subcontracting, construction, delivery. License agreements, additional agreements |
Establish the civil rights and obligations of two or more parties to the agreement (individuals or legal entities), modify or terminate them. |
Contracts |
|
Licenses and permits, permits to work of a certain type, notifications of the beginning of activities, a certificate of entry into the Trade Register, an account coupon and a passport of cash registers, contracts for its maintenance |
They fix various aspects of the organization's activities, regulate current issues. |
Service papers by main activity |
|
General ledger, annual reports, balance sheets, primary documentation, profit and loss accounts, acts of audits and inventories, plans, reports, estimates, accounts, cash books |
They serve as the basis for synthetic and analytical accounting in the company, are necessary for the preparation of reports (tax, accounting, statistical) and accounting. |
Financial and accounting |
|
Orders for personnel, labor agreements and contracts, work books, personal files, personal cards, vacation schedules, payroll accounts |
They fix the rights and obligations of the employer and his subordinates, regulate labor relations. |
Labor relations |
|
CV, autobiography, receipts, powers of attorney |
Created by individual employees on an individual basis. |
The execution of internal documents corresponds to the scheme for creating outgoing documentation. First, a project is drawn up, then it is coordinated with stakeholders and finalized according to the remarks and comments made, the final version is drawn up and approved by the head of the organization. Then the final version is registered and reproduced in a number of copies sufficient for all performers. Each copy is certified and transferred for execution to the appropriate structural unit or directly to the responsible person against receipt. The original is filed into the file.
Stages of registration of internal documents:
1. Drawing up a primary project;
2. Coordination;
3. Refinement based on the proposed comments;
4. Reconciliation;
5. Registration in accordance with the requirements of the legislation and local regulations;
6. Approval;
7. Signing;
8. Registration.
Stages of execution:
Transfer to the responsible person (performer);
- Execution;
- Execution control;
- The filing in the case.
Registration of internal documents
The procedure for registering internal documents is determined based on their belonging to a particular category. So, for example, decisions, instructions, decisions, orders are registered in the same manner as orders. Official papers belonging to other categories are most often registered in the same way with outgoing documentation.
Each object is assigned a unique registration index, consisting of a structural unit code, a case number according to the nomenclature and a serial number within the office year. Registration of internal documents often takes place in a decentralized manner according to groups in those structural divisions where they are drawn up. This can be accounting documents, paperwork from the personnel department or office.
Each local act of the organization must be registered on the day it is signed or approved by the head.
Forms of registration of internal documents
Depending on the needs of the company, a journal, card and automated electronic registration form can be selected.
Magazine
It is preferable in the case of an insignificant volume of workflow, assumes the presence of a separate journal for each category of local documentation, it is convenient when documentary accounting comes first due to the specifics of the organization's activities. It takes a lot of time, leads to duplication of operations, complicates reference work and control of deadlines.
Card
Registration is carried out using registration cards, the form of which is determined within the company and fixed in the instructions for office work. When using this method, several employees can participate in the process, the need for re-registration disappears, the systematization of the card index and reference work is facilitated, and control over execution is simplified.
Recording of internal documents is an important part of general record keeping. Its main goals include:
Obtaining information for calculating the number of personnel in the office management service;
- Selection of technical means that meet the needs of the organization;
- Adjustment of the workload of executors and departments of the institution when working with documentation;
- Correctly organized accounting allows you to assess the volume of workflow, easily determine the location of any object and the sequence of work with it.
To account for local documentation, its basic attributes are used, which make it possible to uniquely identify any object:
1. Serial registration number;
2. Date of registration;
3. Content;
4. Subdivision-compiler;
5. Contractor;
6. Term of performance;
7. Execution progress;
8. Case number.
Regardless of the registration form, each object can be assigned additional attributes, for example, the number of sheets or the presence of attachments. Note that accounting and registration must be carried out in accordance with the approved Records Management Instruction and the Nomenclature of Cases adopted by the company.
It is an obligatory document in the process of registering cases with information that is especially valuable for the company. The internal inventory of case documents has a unified form and is filled out on a separate sheet.
The internal record of the case must be signed by the compiler. In the event that the internal inventory is bound or hemmed without a blank, then it is glued to the inner side of the front cover of the case.
In the archive of an organization, the concept of a case and storage units are equivalent.
Sheets of the internal inventory of the case are numbered separately in Arabic numerals and are indicated in the certification sheet with a "+" sign.
Rules for filling out the internal inventory of case documents:
Serial number.
The serial number of the document in the file is indicated.
Document index.
The index of the document is the registration number of the document (if there is none, then a note is made in the internal inventory).
Date of the document.
The column contains the date of registration of the document or the date of signature of the document (if the document has not been registered).
Document title.
The title of the document includes a summary of the document.
Sheet numbers.
It is necessary to indicate the numbers of the sheets of the document.
Note.
In a note, if necessary, notes are made about the peculiarities of the physical condition of the case documents (removal, inclusion, replacement of them with copies, etc.) with links to the relevant acts.
Final record.
At the end of the inventory, a summary record follows, in which the number of documents is indicated in numbers and in words. The number of sheets of the internal inventory is indicated.
Exception: a situation when the head of the organization has assumed the responsibility of maintaining accounting records. For example, small businesses, when organizing internal control, must proceed from the principle of rationality and, under certain circumstances, the head of such an economic entity can exercise the functions of internal control independently. A similar approach, according to Information No. PZ-11/2013, can be applied by some non-profit organizations.
Internal control in the organization's activities should:
1. permeate the entire management system, from development strategic plans and setting tactical tasks to control a specific operation of acquiring, using and ensuring the safety of any resource and asset;
2. to promote the implementation of management decisions, assess their legality and effectiveness, show the real state of affairs in the organization, identify and minimize risks.
Internal controls should not only assess the reliability of the facts of economic life, but also prevent illegal events, processes, operations and prevent negative results of the financial and economic activities of an economic entity. Internal control evaluates the reliability of indicators and the timeliness of reporting. It prevents distortion of accounting data and accounting (financial) statements.
Internal control procedures, according to the recommendations of the Ministry of Finance of Russia, include:
Documentary registration of all transactions and operations;
checking the compliance of primary accounting documents with the established requirements and assessing the reliability of the information;
authorization of transactions, providing confirmation of the legality of their commission;
reconciliation of data;
delineation of powers, determination of the rights and obligations of officials;
control of the actual presence and condition of objects;
analysis of the achievement of the set goals, assessment of the correctness of the implementation of transactions and operations;
procedures related to computer processing of information and information systems.
Thus, the organization should have documents containing an approved list, description, characteristics and quantitative assessment of the main methods and procedures of internal control.
The most important elements of internal control are risk detection, risk analysis, management decisions aimed at eliminating, reducing and minimizing them.
In the Information of the Ministry of Finance N PZ-11/2013 it is said that the risk assessment is designed to identify those that may affect the reliability of accounting and reporting.
Internal controllers must ensure that:
The facts of economic life, reflected in the accounting, took place in the reporting period and relate to the current activities of the organization;
property, property rights and obligations of the organization, reflected in the accounting, actually exist;
accounting objects are reflected in the correct value measurement;
accounting data are correctly and timely disclosed in the accounting statements.
Assess the risk of abuse. Abuse can be associated with any area of accounting and the activities of the organization as a whole.
The problem of assessing the risk of abuse is directly related to imprudence and negligence both when doing business in general and when choosing counterparties in particular.
Taking into account the recommendations of the Ministry of Finance of Russia, for the correct organization and implementation of internal control, it is necessary to develop and execute internal organizational and administrative documents of an economic entity (orders, orders, regulations, job descriptions, regulations, methods, standards). The duties and powers of departments and personnel provided for in these documents are determined depending on the specifics of the activity of an economic entity and the characteristics of its management system. Internal control can be carried out both by internal services of the organization and with the involvement of external consultants.
Particular attention should be paid to the fact that the effectiveness of internal control can be reduced or limited for various reasons, often beyond the control of the organization. For example, changes in legislation, the emergence of new circumstances outside the sphere of influence of the leadership of an economic entity. But the excess of official powers by the management or other personnel or the occurrence of errors in the decision-making process, in the conduct of transactions, in accounting are already internal reasons and their influence on the organization of control can be reduced.
In conclusion, it should be noted that an internal control system must be created and used in its activities by each company. It is an organization management tool that allows you to implement various business processes as efficiently as possible. Internal control should not only detect shortcomings and violations in terms of already accomplished facts of economic life, but also prevent their occurrence in the future. And it is important that it is carried out constantly, without gaps during the entire reporting period, in full compliance with the approved regulations.
Internal control should become one of the most important tools in making decisions, achieving the strategic goals of the organization, safeguarding assets, their effective use, compliance with legislation and internal regulations, as well as drawing up reliable accounting (financial) statements.
PVTP are developed and compiled by the organization independently (based on the specifics of the work) by the personnel or legal department of the enterprise and can be an annex to the collective agreement. Exists normative base assisting in the development of PVTP. Since this document refers to organizational and administrative, its design is regulated by the requirements established by GOST R 6.30-2003.
Usually, the title page for the house rules is not drawn up. The first sheet of rules should contain a heading with an image of the logo, the full name of the organization (in some cases, it is allowed to indicate the abbreviated name if it is enshrined in the charter), as well as the name of the document - in capital capital letters. If the developed labor regulations are an annex to the collective agreement, then a corresponding mark is made at the top.
In the upper right corner, a stamp of approval of the rules is drawn up. For example, I APPROVE General Director full name. Date.
The date of drawing up the rules is the date of their approval.
Let us remind you once again that PVTP should reflect the specifics of the organization's work and identify as many typical situations as possible that arise in the course of work.
It is forbidden to prescribe in the internal rules conditions that worsen the situation of employees.
The developed set of rules must necessarily go through the stage of agreement with other departments of the organization, as well as with representatives of the trade union committee, and only after that are approved by the head.
It is necessary to familiarize all employees with the approved procedure against receipt. Therefore, the organization's PTP should be posted in a conspicuous place and available for reading at any time.
1. General provisions - the purpose of the rules and their application, to whom they apply, in what cases other general information is revised.
2. The procedure for hiring and dismissing employees - a description of the procedure for registering the admission and dismissal of employees, the actions of the organization when transferring an employee to another job, conditions and duration probationary period, list of required documents.
3. Basic rights and obligations of employees (based on Article 21 of the Labor Code of the Russian Federation).
4. Basic rights and obligations of the employer (based on Article 22 of the Labor Code of the Russian Federation).
5. Working hours - the time of the beginning and end of the working day (shift), the length of the working day (shift) and the working week, the number of shifts per day; list of positions of employees with irregular working hours, if any; place and terms of payment of wages.
6. Rest time - the time of the lunch break and its duration; special breaks for certain categories of workers (for example, porters, janitors, builders working in the open air during the cold season), as well as a list of the work they are engaged in; days off (if the organization works on a five-day working week, then the rules should indicate which day, except Sunday, will be a day off); duration and grounds for granting additional annual paid holidays.
7. Incentives for employees - the procedure for applying measures of moral and material incentives.
8. Responsibility of employees for violation of discipline - a description of the procedure for applying disciplinary measures, lifting disciplinary sanctions, types of penalties and specific violations of labor discipline that may entail punishment.
9. Final provisions - includes clauses on the mandatory implementation of the rules and the procedure for resolving disputes over labor relations.
PVTP may also include other sections, for example "Confidential information", "Throughput and intra-site mode".
A) administrative, which contain orders for the implementation of a particular business transaction; they are not the basis for recording transactions in the accounting, since there is no confirmation that such a transaction took place. Administrative documents include orders, instructions, instructions, etc .;
b) executive or exculpatory, confirming the facts of the operations. They are the first stage of registration. These include receipts and expenditures, invoices, receipts confirming the acceptance of values, acts of work performed, etc.;
c) accounting documents, which include administrative information, various certificates, calculations, etc. (for example, calculating the amount for the procurement and purchase of material assets);
d) combined - with one-time signs of administrative, executive documents of accounting registration in a given business transaction and at the same time an indication of its reflection in the accounting accounts. These documents include Advance Reports, Profit and Cash Receipts, and requests for the release of materials from the warehouse.
According to the place of preparation, documents are divided into external and internal.
External documents are those that come from other enterprises, organizations, that is, they are outside the given enterprise. These include bank statements, supplier invoices, etc.
Internal documents are documents drawn up (written out) at a given enterprise, in an organization.
By the volume of displayed operations, documents are divided into primary and summary documents.
Primary documents are such documents that for the first time perform registration of a business transaction at the time of its commission or immediately after implementation. These include acts of acceptance and disposal of fixed assets, invoices, receipts, etc. Consolidated documents are drawn up on the basis of primary ones. These include various reports, payrolls, etc.
According to the method of use, documents are divided into one-time and accumulative.
One-time documents are used only for one-time registration and reflection of transactions. These include Profitable and Expenditure cash orders, requirements for receiving material assets from a warehouse, etc.
Accumulative documents are used for multiple execution and registration of transactions within a certain time (week, decade, month). For example, limit fence cards, with the help of which the release of materials for production (performance of work) is issued. Such documents reduce the amount of primary documentation.
According to the degree of use of funds, documents are divided into manually filled and mechanized ones.
Primary documents are subject to mandatory verification by employees who keep accounting in form and content, that is, they check the presence of mandatory details in the document and the compliance of the business transaction with current legislation, the logical linkage of individual indicators.
Accounting documents are used to transfer orders from the manager to the executor, that is, to manage the economic activities of the enterprise.
Documentation plays the role of an impulse, gives rise to the movement of accounting information. It provides accounting with a continuous and continuous reflection of the economic activities of the enterprise. With the help of documentation, the correctness of operations is monitored, and a current analysis of the work done is carried out. Thus, the documentation carries out control and analytical functions.
GOST R 6.30-2003 “Unified documentation systems. Unified system of organizational and administrative documentation. Requirements for paperwork "allows, at the discretion of the organization, to supplement the serial registration numbers with identification indices (clause 3.12), which contributes to the solution of tasks for the operational search of a particular document.
So, the numbering of outgoing letters is supplemented with the code of the department that initiated the document. To avoid confusion with the definition of the administrative document, personnel orders are numbered with the assignment of the index K (personnel) or PM (personnel), it is customary to supplement the order number with the letter R.
When a request is received to search for a document, the secretary by number, more precisely, by the additionally assigned index, can easily navigate in which case (folder) to look for it, for example:
No. 26-r - in orders;
No. 26-ls - in orders for personnel;
No. 26-opera - among the minutes of operational meetings.
By adding the serial number of the received document with the letter F (fax) or E (e-mail), you can solve the problem of accounting for the method of delivery of a letter to your organization without increasing registration forms (magazines).
Single registration. A document within the walls of one institution is registered once (upon creation or receipt). A document travels from unit to unit under its unique number, i.e. internal divisions, having received a document, take it into account under the originally assigned index, and do not assign a new one. This rule applies to both administrative documentation and official correspondence.
Timeliness of registration. According to clause 16 of the Rules of office work in federal executive bodies, approved by Decree of the Government of the Russian Federation No. 477, registration of received documents is carried out on the day of receipt, created - on the day of signing or approval or the next business day. Such requirements are justified by the fact that the delay of the document at the registration stage reduces the time for actual execution by the specified date. Such a delay can result in negative consequences for employees or even for the entire institution, regardless of the form of ownership. The procedure and terms of registration should be reflected in the instructions for the office work of a particular company.
Separation of registration records. Each type of document has its own separate registration.
So, in separate registration forms, the following are taken into account:
Incoming correspondence (incoming documents);
outgoing documents;
internal memos;
orders for the main activity;
personnel orders;
orders;
minutes of the board of directors;
reports of planning meetings (RAMs), etc.
Registration is carried out within a calendar year. Every year on January 1, the numbering of almost all types of documents (orders, incoming and outgoing letters, protocols, etc.) is reset to zero. The exception is the inventory of cases of permanent storage. These inventories have one number and end-to-end numbering of items throughout the entire life of the organization.
Completeness of reflection of information about the document during registration. When entering registration data in the log (database) of the database, all information available on the document is indicated: index, date, reference to the number and date of the request, the name of the addressee / correspondent, and also its content is stated in maximum detail. In addition to the traditionally taken into account information, accounting forms should be supplemented with columns that would reflect Additional Information most frequently requested by employees or customers (for example, the method of dispatch). The list of the signs taken into account should be prescribed in the instructions for office work.
Uniformity of registration, regardless of its form or form of receipt (creation) of the document. Accounting for documents in an organization is built according to the same rules, regardless of the accepted form of registration: by hand in a journal, in Excel or using a specialized electronic document management program.
Your task is to make the asphalt crack.
To create such a document, it is required that it be a cross between the text of the law and the text of one of Chichvarkin's letters.
To get started, study all available document flow standards, GOSTs for documentation, requirements for instructions.
After you have made sure that you know all the requirements, you can ignore any of them, because they are optional, unless you decide to obtain a certificate of conformity to the standard.
Following this, it is necessary to study the current state of the system. Have an understanding of how adhering to the new standard will improve this condition.
Because the document, as a rule, describes the process - in the process, the requirements of the internal client must be spelled out. Of course, with this very internal client, this regulation must also be agreed upon at the development stage.
Sitting down to write the next regulatory document, you must be in the mood to draw up the best regulatory document in the history of mankind.
The document must have such a cumulative charge to pass the following layers of the system's inertia armor:
1. The document must be read.
Each employee should read your document, not just sign the acquaintance. To do this, the document should be short, it should be beautifully designed and not boring, and not like a piece of bureaucracy, and also not have unnecessary parts, which should be just for the sake of decency.
Old bureaucrats never bother with this. They simply take comfort in the fact that their document must be read by those who are obliged to do so. And if the employees simply sign the acquaintance, then they are simply frivolous, frivolous employees, and they themselves are to blame for not reading what follows. If they violate the regulatory document, they will answer, because here it is - the signature in the introduction!
The most ineffective thing that can be if the goals are to implement a new / changed process is familiarization with the signature. If the acquaintance begins and ends with a signature on the acquaintance sheet, this is a work "for show" of ordinary amateurs, who threw off all responsibility on the performers, not being particularly puzzled by the results and effectiveness of their requirements.
2. The document must be understood.
Imagine that you are explaining the text of the document to one of the employees in person. Just write! And not a square-nest office!
Old bureaucrats never bother with this. They simply write something like: "The organization should, where monitoring and measurement is used to obtain evidence of conformity of products and services to specified requirements, determine the resources necessary to ensure the suitability and reliability of the data."
That is why the QMS services hate everyone - they write a clever paper, and then get excited that everyone ignores it. Yes, just reading such a document is a job in itself!
And when they are pointed out that the document is not clearly written, they propose to raise the issue of the qualifications of the employees for whom the document is intended.
You can write examples in instructions and even in the standard, you can write arguments, you can write anything to make it easier for employees to understand the meaning that you are trying to convey to them!
Sometimes you read the paragraph of the instructions and ask the author a question:
And what does this item REALLY mean?
It is not important how you wrote the document, the main thing is how it will be understood!
No matter how clear a document is written, once approved, the document still needs to be clarified. a) through training; b) through a phased implementation with an analysis of emerging problems and amending the regulations, if necessary.
3. The document must be memorized.
To do this, you need to convey to the employee the importance and relevance of the problem being solved. You can describe the current state or the problem being solved (it is better to put this in a cover letter) and provide it with as much pain as possible.
In addition, you should make the text emotionally colored where appropriate. It is allowed to have such speech turns as "IN NO EVENT do not tell the Client that ..". The presence of specific examples, understandable and slang speech turns, narrative speech is encouraged. Feel free to be imaginative. The human mind is best at remembering images and texts that are like telling a story.
But you should not overdo it, so words like "answer correctly" are better to replace with "answer correctly".
4. The document must be executed.
To do this, I used such a technique as a description of what happens when one or another paragraph is violated. I describe the requirement. Under it I write "If this is not fulfilled, then the following happens: * a painful and true picture of complete failure is described *" Do not hesitate to argue your claims. The requirement, underneath immediately the reason for its nomination.
Old bureaucrats never bother with this. They are just making a demand. They think that each person can perform something only under the threat of some kind of sanctions, and not for reasons of intrinsic motivation (decency, for example). And they seek the execution of the document of ton of control, micro-management, fines and other manifestations of external motivation. And all this is muda, of course. Or they simply state that the employees of the organization are very irresponsible and feeble-minded.
Most employees will fulfill your requirements if they just understand why it is needed. Most employees will ignore your demands, even under the threat of some kind of punishment, if they do not understand why it is necessary.
There are many ways to increase the intrinsic motivation of people to comply with the requirements of the system. I even went as far as insults "If you do not fulfill this requirement, then you cannot be called a specialist" and threats "violation of this instruction is punishable with special malice" within the regulatory documents.
5. Everyone should live according to your document. If the process changes, the first thought of the employees should be "It is necessary to amend the regulations".
To do this, try to involve everyone in the creation of this document. If a person himself wrote a regulatory document, if he actively participated in its approval, then he will treat it with great attention. Get everyone to voice their additions.
After the approval of the document, employees will not have the opportunity to say that some kind of nonsense has been written that cannot be done. They themselves wrote this nonsense and agreed. Secondly, an extra head when defining requirements will allow us to look at the requirements from another side, which we could not take into account. Process owners may have a more detailed view of the current state of the system.
The more time we spend on the development and approval of the document, the less time we will need to implement it, turn the requirements into reality.
Always use the concept of a test period, when not just someone will monitor the fulfillment of requirements, but can quickly solve all problems, answer questions that arise, and be aware of the progress of implementing requirements from the beginning to the end of the entire process during this period.
And do not forget that your document must be systematic and have the correct structure. Have correctly configured inputs and outputs, links to other regulations, correctly specified positions, no spelling errors, and a nice design. You can learn a lot of useful examples from GOSTs and document flow standards, which I recommended you read at the beginning of this post.
This way you can ensure that the document is "live". Anyone can write stillborn papers that no one ever reads or is guided by.
An example of a cover letter with which I supplied the standard of the organization "Product Quality Management" launched for approval by intracorporate mail:
Dear Colleagues!
Please treat this standard as the most important document in the organization. This is the core, the basis of the foundations around which everything revolves.
The standard is not perfect now. It looks more like a skeleton, but in the future it will grow flesh, become more detailed and systemic.
I want each of you to contribute to the writing of this standard. Write me your additions and comments in the same meticulous and detailed way as I review the documents of each of you that come to me for approval.
The worst thing you can do is ignore the birth process of this document. Now is the time to voice all concerns and agree on everything. When the standard is approved, I will no longer let you shy away from its implementation.
Now I see a situation where we are building very quickly, but we are building on the sand. And you need - on the foundation! This standard is the foundation that I am trying to put under our activities. We are building a house on one side, and that part of it that was built a little earlier is crumbling. Therefore, you should give up the idea that building a foundation is a waste of time. Yes, it is not visible, tk. it is underground, but it is needed.
I ask you to read and participate in the preparation of this standard with the thought that you will then live by it. And in no case should one withdraw from this process. It is foolish to stay on the platform when the train of our improvements, car after car, goes ahead. You may not have time to jump into the last carriage.
One should not think that it is impossible to live by this standard - I perfectly administer the database of the development department in terms of my projects and have completely worked out the described methods on myself. Now I am trying to scale my result to the whole company.
At the moment, the standard is not written “as is”, but as “as it should be”. For example, we do not yet have a single complete instruction for the manufacture of a product. Let's now outline for ourselves a picture of an ideal state, and everyone will clearly understand what state of the system we all strive to eventually arrive at.
However, whoever needs a specific list specifically for their organization, our labor lawyers in Ryazan will draw up the required set of documents for your organization.
Internal corporate documents:
Decisions (minutes) on the approval of internal documents;
Decision (protocol on the appointment of the sole management body (director, president, head, chairman, etc.).
Here we have not indicated the protocols (decisions) required when creating and registering an organization, because it is assumed that they already exist if the organization is working.
Optionally, you can also envisage a provision on the procedure for convening the supreme governing body (meetings of founders, shareholders, members, shareholders, etc., with appropriate protocols for their approval.
Regulation on the direction of information, also approved by the supreme governing body.
Internal accounting documents:
Regulation on accounting policy (this document is usually developed by the accountants themselves, in accordance with the further work of the entrusted company);
Optionally, there may also be a provision on the distribution of profits, dividends, the formation of funds - reserve, capital and others.
List of internal labor (personnel) documents:
Staffing table (you can take a standard form T3);
Internal labor regulations (Article 189 of the Labor Code);
Regulations on remuneration (Chapter 21 of the Labor Code of the Russian Federation);
The list of normative acts on labor (Article 212 of the Labor Code of the Russian Federation);
A set of legal acts on labor in accordance with the specifics of the activity (Article 212 of the Labor Code);
Labor contracts (Article 57 of the Labor Code of the Russian Federation), including an employment contract with the director (note: earlier, if the founder of the LLC and the director coincided in one person, then the labor contract was not required, since you cannot sign an agreement with yourself, by the way there were a lot of explanations and The Ministry of Labor, and the Ministry of Finance, but now the state bureaucratic thought is moving along the path that all the same, when the founder and director coincide, then the contract should still be);
The list of professions and types of work for which labor protection instructions should be developed (Articles 211, 221, 223, 225, 226, 228 of the Labor Code of the Russian Federation);
List of instructions on labor protection (decree 1/29);
Documents confirming insurance of employees against industrial accidents and occupational diseases (Article 212 of the Labor Code of the Russian Federation).
Programs (Article 225 of the Labor Code):
Introductory briefing program;
initial on-the-job briefing program.
Instructions:
Job descriptions for directors and employees (Articles 211, 221, 223, 225, 226, 228 of the Labor Code of the Russian Federation);
instruction on labor protection;
fire safety instructions.
Magazines:
Registration log of introductory instruction (Article 225 of the Labor Code);
workplace briefing log (225 TC);
a register of accidents at work (Art. Art. Art. 228 - 231 of the Labor Code of the Russian Federation);
register of instructions on labor protection for employees, resolution 1/29);
a logbook for the issuance of labor protection instructions for employees (decree 1/29).
Books (Resolution of the Ministry of Labor of the Russian Federation N 69 "On approval of the Instructions for filling out work books"):
Income and expense book for accounting of work book forms and an insert in it;
book of accounting for the movement of work books and inserts in them.
Local orders and regulations of the founders on labor and labor protection:
Order on the development (approval) of the list of professions and types of work for which labor protection instructions should be developed;
an order on the appointment of a person responsible for instructing on labor protection and maintaining instruction logs * (* can be combined);
order approving the annual vacation schedule;
an order on the appointment of a person responsible for maintaining and recording work books;
decision (minutes) on the approval of the induction training program;
the decision to approve the initial on-the-job instruction program;
decision to approve OSH instructions for employees (can be combined).
Optionally (these internal documents of the organization may or may not be depending on the specific specifics and (or) desire, but still we considered it necessary to supplement our list with them):
Journal of inspections of legal entities and individual entrepreneurs optional (clause 8 of article 16 of the Federal Law N 294-FZ "On the protection of the rights of legal entities and individual entrepreneurs in the exercise of state control (supervision) and municipal control", Order of the Ministry of Economic Development of the Russian Federation N 141 "On implementation of the provisions of the Federal Law "On the Protection of the Rights of Legal Entities and Individual Entrepreneurs in the Exercise of State Control (Supervision) and Municipal Control";
Regulation on personal data (clause 8 of article 86, article 88 of the Labor Code);
Instructions for working on a PC (if working on a PC takes more than 50% of the working time);
Occupational safety training program (optional when creating a health and safety training commission);
Order on the creation of a commission for testing knowledge on labor protection;
Occupational safety training instruction;
Protocols for testing knowledge on labor protection;
Journal of knowledge testing on labor protection.
As you can see, nothing extraordinary. With due diligence and minimal PC skills, you may well make the required list of internal documents of your organization.
However, in accordance with article 309.2 of the Labor Code, organizations that fall under the category of micro-enterprises can use a standard form of an employment contract concluded between an employee and an employer - a small business entity that belongs to micro-enterprises, approved by Decree of the Government of the Russian Federation No. 858. The criteria for classification as micro-enterprises are established by article 4 of the Federal Law No. 209 - FZ "On the Development of Small and Medium-Sized Businesses in the Russian Federation" and the Decree of the Government of the Russian Federation adopted in accordance with this law No. 265 "On the Limit Values of Income Received from Carrying Out Entrepreneurial Activities for Each Category of Small and Medium-Sized Businesses ".
If a micro-enterprise uses a standard labor contract, such internal documents of the organization as internal labor regulations, provisions on remuneration and a number of other local labor (personnel) documents included in the mandatory list may not be drawn up.
Incoming (incoming) documents, i.e. entering the organization;
outgoing (sent) documents;
internal documents.
Incoming document (incoming document) - a document received by the institution.
Outgoing document (sent document) - an official document sent from an institution.
An internal document is an official document that does not go beyond the organization that prepared it.
Each of the document flows has processing peculiarities. You should always remember that the peculiarities of processing are influenced by the choice of the form of organizing work with documents (centralized, decentralized, mixed).
The incoming documents include those that come from other organizations: superior, subordinate, public, municipal, non-governmental, from deputies and citizens. For example: laws, decrees, decisions, decisions, instructions, instructions, instructions, instructions, orders, powers of attorney, contracts, letters (offers, accompanying, guarantee, advertising, informational, inquiries, etc.), fax messages, messages sent by e-mail , telegrams, telephone messages, teletype messages, reports on economic, financial, management activities, memoranda, acts, citizens' appeals, requests and appeals of deputies, petitions, collective appeals.
Processing of incoming documents includes:
Reception and primary processing of documents;
preliminary consideration and distribution of documents;
registration;
transfer for execution.
Reception and initial processing of documents in organizations that receive a large number of documents are carried out by the office management service, in small ones - by the secretary. In very large organizations (ministries, concerns) in the structure of the preschool educational institution, special units are created that receive documents - expeditions.
Incoming documents can be received by mail, delivered by courier, courier, visitors, or sent by e-mail or fax.
Upon receipt, it is necessary to check the correctness of the delivery of the correspondence. If it is delivered to the wrong address, it must be forwarded to the sender. The envelopes are opened, with the exception of those marked “in person”, the physical condition of the documents is assessed (text damage, incomplete receipt of a fax message), and the presence of attachments is checked. As a rule, envelopes are destroyed, unless the date on which the document was sent or received, or the sender's address, can be stamped on the envelope. Then the envelope is pinned to the document. If the text of the document is damaged, there are no attachments, then an act is drawn up. One copy of the act together with the received documents is sent to the addressee. Registered letters are accepted against receipt. If the document bears the inscription "URGENT", the time of receipt is stamped on it. Preliminary consideration of documents is carried out in order to distribute incoming correspondence to documents that require special consideration by the management of the organization or structural divisions, in order to free the manager from consideration of secondary issues, to speed up the movement of documents and their execution.
The distribution of incoming documents between the management is based on the order on the distribution of responsibilities between the management, where the directions of activity are assigned to each official. The transfer of documents for consideration to the management staff of the organization is made based on the importance of the content of the document and in accordance with the functions and competence of the officials to whom the document is sent for consideration on the basis of the distribution of duties established in the organization.
Accounting for incoming documents consists in affixing a mark of receipt. It includes the registration serial number of the document and the date of receipt (if necessary, hours and minutes). The mark is placed in the lower right corner of the first sheet of the document. It can be stamped by hand or with an electric stamp. The facsimile image of the document has the date of receipt, so only a serial number should be put in it. Then the documents to be registered are entered into the registration form established by the organization (magazine, card, electronic card).
Consideration of the document by the management consists in the fact that the relevant official writes a resolution on it, i.e. his decision on the information contained in the document.
The resolution is transferred to the registration form.
The transfer of a document for execution is carried out after consideration by its management.
The documents must be executed on time, therefore, incoming documents must be handed over to the performer on the day they are received and registered or on the first business day when documents are received outside of business hours.
If the document requires immediate execution, it can be transferred directly to the performer, but always with a message about this to the head.
If a document is intended for execution by several performers, in agreement with the responsible performer, it is transferred one by one to each or for all performers indicated in the resolution, or photocopies are made. All work on the preparation of the draft document is organized by the responsible executor.
Thus, the main tasks of processing incoming documents are:
Verification of the correct delivery of documents;
checking the integrity of attachments and the physical condition of the received documents;
fixing the fact of receipt of documents;
preparing them for execution;
transfer of documents to performers.
Outgoing - documents created within the organization and sent from it to other institutions or individuals who sent the appeal. If an organization has subordinate institutions, it can send administrative documents (resolutions, orders, instructions), letters (information, guarantee, etc.) to them. They send memoranda, reports, certificates, reviews, letters, telegrams, telephone messages, faxes, messages sent by e-mail to higher organizations.
Outbound processing includes:
Drafting a draft document;
preparation of a draft document;
its approval (sighting);
certification of the document;
sending the document.
The executor is responsible for preparing the draft outgoing document. He coordinates the actions of other executors specified in the resolution. The responsible executor has the right: to convene co-executors to working meetings, to demand everything from them necessary materials, establish the sequence of work between co-performers.
In the process of preparing an outgoing document, the performer independently draws up a draft, prepares a draft document, and approves it (endorsement). He must bring to the preschool educational institution a draft document that requires affixing the necessary certifying details (signature, date of signing, outgoing registration index, if necessary, stamp of approval, seal). The document can be transferred to the appropriate official through the service of the preschool educational institution or the secretary. The draft document is submitted with all the materials on the basis of which it was prepared. If comments of the official (persons) approving the draft document are attached to the draft document, they must be attached to the draft.
The manager, having familiarized himself with the draft document, can immediately certify it with his signature, or he can make comments, amendments and submit it for revision. Then the contractor finalizes the document in accordance with the remarks "again collects the visa approval. The return of the project can be repeated, and each time the performer must repeat the entire procedure for preparing the draft document from start to finish.
Each employee of the preschool educational institution should know "that the contractor brings a draft document, fully executed: printed on the appropriate form, with all visas.
The main tasks of the preschool educational institution when processing outgoing documents are:
Checking the correctness of the design of the document in accordance with the established rules;
checking the availability of certifying details;
affixing the outgoing registration index;
processing the document to be sent.
Processing of sent correspondence includes:
Sorting;
attachment to envelopes;
addressing;
delivery to the post office.
When accepting documents for sending, be sure to check:
Correctness of paperwork (signature, date, registration index, mark on the category of departure);
the presence of attachments specified in the sent document, and the correspondence of the number of copies to the number of addressees;
correct addressing, the presence of a record number, if the document was sent by fax.
Documents sent to one address can be enclosed in one envelope.
For registered correspondence in the clerical service, a mailing list is drawn up, at the end of which the surname of the employee who prepared it and the date of dispatch are put down.
Machine documents are accepted only with a cover letter.
All documents originating from the organization must be processed and sent on the same day or no later than the first half of the next business day.
Internal documents include reports, explanatory notes, minutes, acts, statements.
The processing of internal documents at the stages of their preparation and execution goes through the preparation of outgoing documents (drawing up a draft, preparing a draft document, approving it (endorsement), certification, registration, sending), and at the stage of execution - incoming documents (acceptance, preliminary consideration, registration, consideration by the management, transfer for execution).
Internal documents have a number of features of their processing, which are determined by the type of documents:
Draft orders must be endorsed by a representative of the legal service;
the protocol does not have a stage of project preparation, as well as approval and endorsement.
The transfer of incoming, outgoing and internal documents can be carried out:
Courier or courier service;
secretaries;
with the help of technical means.
Structural divisions of some organizations may be located in different buildings or districts of the city. In such cases, it is recommended to organize the delivery of documents by couriers.
Within the structural unit, it is most rational to involve a secretary who can pick up correspondence from the preschool educational institution, return outgoing documents prepared for sending, and transfer documents for execution to employees of the structural unit.
The introduction of technical means and computer technology has made it possible to change the process of processing documents. The process of drafting the document has been speeded up, since making edits does not require reprinting. Document approval (endorsement) is significantly reduced and simplified. Fundamental changes took place in the process of receiving and sending documents with the advent of faxes and e-mail. But it should be remembered that the named means of transmission generally transmit not a document, but the information shown on the carrier. Currently, a document transmitted using information and telecommunication systems can be certified with an electronic digital signature. Only in this case it will be legally binding.
All documents must be submitted with notes on the fact of transfer in the appropriate registration forms. If a document is transferred from one structural unit to another, bypassing the preschool educational institution, the employee who transferred the document must inform this service about the fact of the transfer.
Registration of a document is a record of credentials about a document in the prescribed form, which fixes the fact of its creation, sending or receiving.
You can also give a more detailed definition of registration as confirmation of the creation or receipt of a document on a specific date by entering it into the registration form with the assignment of an account registration number and recording it in the form of basic information about the document, which allows you to create a database about the documents of the institution for subsequent control over the timing execution of documents and reference work on it.
In other words, during the registration process, an information retrieval system is laid for all documents of the institution, which can then be used for reference work and control over the execution of documents.
Therefore, registration has three purposes:
Document accounting;
control over their execution;
reference work on documents.
Only documents requiring a response and execution are subject to registration, regardless of the method of their creation or receipt.
Documents of an operational nature, sent or created for information only and do not require a response or execution, are not registered. The office work service should develop a list (list) of documents that are not subject to registration. It is approved by the head of the organization and updated as needed. After the initial processing, unregistered documents are transferred to the department or direct executors, who may be affected by the information contained in them.
Documents that are not subject to registration, as a rule, include:
Information letters sent for information;
all sales letters;
congratulatory letters and telegrams;
invitations, programs of seminars, meetings and conferences;
printed publications (books, brochures, magazines);
packages marked "in person";
copies of regulatory documents, decisions and orders of state bodies;
information materials, etc.
Incoming, outgoing and internal documents are registered separately with separate registration numbers.
Registration number (index) of a document is a digital or alphanumeric designation assigned to a document upon its registration.
There are three forms of document registration:
Magazine;
card;
automated.
The journal system is usually used when the registration of documents comes to the fore; the most valuable documents are usually registered in journals, for example, passports, work books, educational documents. Banks keep journals for accounting of deposit agreements, company accounts, etc. The journal registration system is used when working with documents of limited access: secret, confidential. For each category of documents, its own form of the journal is usually developed with varying degrees of granularity of information about the document.
The journal registration system was convenient for organizations as long as they received a small number of documents. With a large volume of workflow, the journal system has a number of significant disadvantages. Since registration in the journal is carried out in the sequence of receipt of documents, only one person can conduct it at a time. With a large number of documents received, the registration process takes a lot of time and delays further work with documents. In addition, the journal registration system often leads to re-registration of documents in other structural divisions where the document is transferred. But the main drawback of the journal registration system is the impossibility of organizing control over the deadlines for the execution of documents and promptly conducting information and reference work on documents.
The card registration system allows to overcome these shortcomings, since cards can be placed in card indexes in any sequence, and several people can register documents at the same time, creating the required number of copies of the registration card under a carbon copy. The form of the registration card can be determined by the institution itself and is recorded in the record keeping instructions.
However, the most rational today is an automated system for registering documents on a computer. It allows, by registering at various workplaces, to combine all information about documents into a single database, on the basis of which it is possible to organize a centralized information and reference work and control over the execution of documents.
Incoming documents are usually registered centrally. In a small company, they are registered by a secretary, in an institution that has an office - a specially assigned employee or, if the volume of incoming documents is large, a registration group.
Documents are registered regardless of the way of their receipt: received by mail, received through a courier, by fax, e-mail.
The following information about the incoming document is usually entered into the registration form:
Date of receiving;
incoming registration number assigned to the document by the receiving institution;
author (correspondent) - i.e. whose document is it;
the date of the document assigned to it by the author institution;
the registration number of the document assigned to it by the author institution;
title (what the document is about);
resolution;
the deadline for the execution of the received document;
performer (who will work with the received document);
progress of execution (all transmissions of the document and the result of execution are recorded);
N & of the case (where the document is placed after execution).
The registration form of the incoming document is not filled out completely at first. Before the document is handed over to the head, there is no resolution, deadline and executor on the document, these data are entered after the document is considered by the head. Information about the progress of the execution of the document and the number of the case are entered into the registration form already during and after the execution of the document.
Such a card can be designed in A5 (148x210) or A6 (105x148) format. It is multiplied by choosing a fairly thick paper.
For different groups of registered documents, you can use cards of different colors, color stripes along the top margin or diagonally.
With an automated registration system, it is most convenient (offered by the majority computer programs) the displayed form of the registration card (RKK), in which information about the document is entered, similar to the traditional manual card on paper backing.
With an automated registration system, information about a document can be easily supplemented. For example add:
Type of document;
the geographical location of the author of the document;
author of the resolution;
the name of the structural unit;
the number of sheets in the document;
number of application sheets;
related documents.
Filling out a registration card on a computer screen is in many ways similar to filling out a traditional paper card, but it also has its own peculiarities.
The form of an electronic registration card, as a rule, contains both data (fields), filled in manually (for example, the number and date of the incoming document, a summary, the text of the resolution), data (fields) that are entered automatically (registration date, registration number of the document), and data (fields) that are entered by selecting information from drop-down lists. Such input of information not only speeds up the procedure for filling out the registration card, but also, which is especially important, avoids typos and misunderstandings, which can significantly complicate or even make it impossible to automatically search for information about a document.
With the help of drop-down lists, as a rule, data (fields) are filled in:
Document type - since the number of document types is limited;
the author of the resolution is a list of the leading persons of the organization;
structural unit - a list of structural units;
performers - as a rule, this field consists of two parts - the name (and / or index) of the structural unit and the surname and initials of the performer;
Case number - associated with the nomenclature of the organization's cases;
linked documents - this data establishes a link between the registered document and others (for example, the response document is linked to the initiative document).
With the help of the updated list, the data (field) "correspondent" is filled in. Organizations with which constant correspondence is maintained are selected from the list. In case of registration of a document received from a new correspondent, information about it is entered into the list. Information about correspondents can be further used in reference work, to form mailing lists, etc.
Having spent time on creating such lists once, they achieve significant time savings in the process of further work.
Registration forms for outgoing documents are in many ways similar to registration forms for incoming documents, but filled with different data. Indicated:
The name of the department that prepared the document,
outgoing document number;
date of the document;
addressee, i.e. the name of the organization where the document is sent;
a summary of the document;
the name of the contractor who prepared the document;
key date of the expected response;
a link to an incoming document if the document is a response;
case number where a copy of the sent document is attached (or the original, if the document is sent by fax).
Other information about the document can be added, for example, the number of sheets "presence of attachments" number of the form, order of sending, etc.
Outgoing documents are usually registered centrally at the mailing area.
Internal documents are often registered in a decentralized manner in groups in those departments where they are created and executed: in the accounting department, personnel department, office, etc.
Internal documents must be registered on the day they are signed or approved.
When registering an internal document, the following information about it is filled in:
Serial registration number assigned to the document;
date of the document (registration);
summary;
department that prepared the document;
executor;
period of execution;
execution mark (progress of execution);
case number where the document is filed.
As in the previous forms of incoming and outgoing documents, other data can be added to the registration form: the number of sheets, the presence of attachments, etc.
Each type of document (orders, orders, contracts, memoranda) is registered and numbered independently. The serial number assigned to the document at the time of registration is transferred to the document. Letters can be added to the number. For example, to an order on personnel - "ls", that is, personnel, or "k" - cadres, to the order number - the letter "r" - an order, etc.
The establishment of a rational document registration system allows the office management service to possess information about all documents of the organization and to perform professionally such important tasks as information and reference work and control over the execution of documents.
Inspection tasks are usually formulated in the order (order) of the head of the enterprise (organization, institution). To check the status of office work, a subcommittee with the appropriate powers is usually formed as part of the commission.
The main tasks of the subcommittee are as follows:
1) checking the availability of local regulations governing the organization of office work of an enterprise (organization, institution), their compliance with the requirements of regulatory legal acts in the field of office work;
2) the provision of office work with the main types of resources, their compliance with the needs of the enterprise (organization, institution) in documented information;
3) the state of work on the management of documents generated in the activities of the enterprise (organization, institution), as well as on its documentation;
4) identifying shortcomings in the functioning of the office work system of an enterprise (organization, institution), establishing their causes, developing proposals aimed at improving the office work system (reflecting the above in the inspection report).
Let's consider how these tasks are solved during verification activities.
Regulations on the structural unit exercising the authority to organize office work;
- instructions for office work;
- job descriptions of employees of the authorized unit. The listed LNAs form the organizational and legal basis for the proper functioning of the corporate record keeping system.
In addition to them, an enterprise (organization, institution) can develop:
Regulations on subdivisions within the authorized structural subdivision: a group for processing documents, a group for technical preparation of documents, a group for operational storage of documents, a group for archival storage of documents, etc.;
- instructions for employees responsible for office work in other structural divisions.
When checking LNA, it is also established how they comply with the requirements of regulatory and legal (regulatory and methodological, regulatory and technical) acts in the field of office work.
In particular, when checking the instructions for office work, the compliance of its structure and content with the Guidelines for the development of instructions for office work in federal executive bodies is established, approved. by order of Rosarkhiv N 76.
When checking job descriptions the correspondence of their content to qualification characteristics is established. In addition, attention is drawn to the compliance of the LNA design with GOST R6.30-2003.
Based on the results of the check, a conclusion is made about the presence (partial or complete absence) of a LNA regulating the organization of office work of an enterprise (organization, institution), as well as its compliance or partial (complete) non-compliance with regulatory legal acts in the field of office work.
When checking the security of office work with the main types of resources, their compliance with the needs of the enterprise (organization, institution), the documented information focuses on:
Staffing of the authorized structural unit with personnel of the required number and qualifications;
- availability and condition of premises for the placement of an authorized structural unit and relevant work areas;
- availability and equipment of workplaces of the personnel of the authorized structural unit, their compliance with labor protection requirements;
- availability and serviceability of the means of organizational and technical support for the activities of the authorized structural unit: processing of documented information, storage, communication and communication, etc .;
- the regularity of the receipt of funds to ensure the functioning of the authorized structural unit, their sufficiency for the proper performance of tasks to meet the needs of the enterprise (organization, institution) in documented information.
Based on the results of the check, a conclusion is made about the provision (partial or complete lack of provision) with the listed types of resources, their compliance (partial or complete non-compliance) with the needs of the enterprise (organization) for documented information.
When checking the state of work on the management of documents generated in the activities of an enterprise (organization, institution), as well as on documenting it, the compliance of the actual performance with the planned one is assessed first of all.
In particular, the volume of document circulation of the enterprise (organization, institution) is determined: in general and by the main information flows (incoming, outgoing and internal documents), as well as by types of documents (paper and electronic), incl. relative to similar indicators of previous years.
The effectiveness of the use of automated means of processing documented information is also assessed.
Particular attention is paid to ensuring the safety of documents in the process of circulation: the volume of measures to search for and restore their normal physical and chemical state, the number of undetected (lost) documents for the period being checked and in comparison with similar indicators of previous years. The data on the results of document execution control are also checked, in particular the number of cases of their improper execution: non-compliance with deadlines, execution of documents in violation of the established requirements, non-compliance of the executed document with the resolution, etc. Based on the results of the audit, a conclusion is made about the degree of efficiency of office work - in general and in terms of functional components (document management and documentation).
Compliance with the norms of the Labor Code of the Russian Federation, the correctness of the preparation of personnel documentation is controlled by both the bodies of the Federal Labor Inspection (Federal Labor Inspection) and the bodies of the Federal Tax Inspectorate. The state inspector can come to the office of any organization, regardless of the form of ownership and demand documents related to personnel records, and other mandatory and existing in the organization internal regulations and orders (Federal Law No. 134-FZ "On the Protection of the Rights of Legal Entities and Individual Entrepreneurs during State control (supervision) ").
Documenting the activities of the personnel service covers all processes related to the preparation and processing of personnel documentation in accordance with the established rules, and solves the following personnel management tasks:
Labor organization of employees;
- conclusion of an employment contract and employment;
- transfer to another job;
- providing employees with vacations;
- encouragement of employees;
- imposing disciplinary sanctions on employees;
- certification of employees;
- maintaining the staffing table;
- accounting for the use of working time;
- attracting employees to work on weekends and non-working holidays;
- registration of business trips;
- termination of an employment contract and dismissal from work.
The list of personnel documents to be maintained by organizations, regardless of their form of ownership, is given in the appendix. It also indicates the regulatory documents governing the employer's obligation to maintain certain personnel documents, and the terms of their storage (in accordance with the List of standard management documents generated in the activities of the organization, indicating the storage times approved by Rosarchiv).
The organization of workers' labor is carried out by the adoption (approval by the head of the organization or an official authorized by him) of local regulations. Each employer must have internal labor regulations and a regulation on the protection of personal data. Other local regulations, such as regulations on wages, labor rationing, bonuses and material incentives, certification, etc., are adopted if necessary.
The collective agreement (agreement) is of a recommendatory nature, since it is concluded by agreement of the parties (Chapter 7 of the Labor Code of the Russian Federation). The management of personal files of employees is advisory in nature for private companies. The employer's duty to maintain personal affairs applies to employees of state organizations in accordance with Federal Law No. FZ-79 "On the State Civil Service of the Russian Federation". For convenience, you can still recommend to form personal files or personal folders, and the procedure for their formation should be fixed in the local regulatory act of the organization, approved by the head.
An employee's personal file (personal folder) can include copies of documents that are required when applying for a job (passport, military ID, TIN assignment certificate, pension insurance certificate, marriage certificate, birth certificate of children - to provide income tax benefits; documents on education, etc.) and subsequently all the main documents created during the period of the employee's labor activity, which characterize his labor activity (applications for transfer to another job, letter of dismissal, characteristics, documents on professional development, copies of orders for admission , transfer, dismissal, etc.).
In addition, the employer must have the following OSH documents:
Occupational safety instructions by profession;
- log of briefing (familiarization with instructions);
- a log of employees passing compulsory medical examination and others.
These documents can be stored in the personnel department of the enterprise, if the organization does not have a separate labor protection service, or in the office.
In accordance with sub. "A" part 1 of Art. 356 of the Labor Code of the Russian Federation, the federal labor inspectorate exercises state supervision and control over employers' compliance with labor legislation and other regulatory legal acts. The Federal Labor Inspectorate has the right to send in the prescribed manner to federal bodies executive power, executive bodies of the constituent entities of the Russian Federation, bodies local government, law enforcement agencies and the courts, claims and other materials on the facts of violations of labor and labor protection legislation, up to the suspension of the activities of firms, which revealed violations (Art. 3.12. Administrative Code).
The heads of organizations are personally responsible for the documentary fund formed in the course of their activities. For violation of the legislation of the Russian Federation and other regulatory legal acts, incorrect maintenance of personnel records or the absence thereof, the legislator provides for the imposition of an administrative fine: on officials - from 1,000 to 5,000 rubles, on legal entities - from 30,000 to 50,000 rubles. or administrative suspension of activities for up to 90 days, and again - entails the disqualification of an official (Articles 3.11, 3.12, 5.27, 5.44 and 14.23 of the Administrative Code).
List of personnel documents required for the organization:
|
Document |
What document regulates |
Note |
Storage period |
|
|
Internal Labor Regulations (PVTR) |
Article 189 of the Labor Code of the Russian Federation |
When hiring (before signing an employment contract), the employer is obliged to familiarize the employee with the HTPP against signature. Valid until replaced with new ones. |
Constantly |
|
|
Regulation on the protection of personal data of employees |
Article 86 of the Labor Code of the Russian Federation |
When hiring (before signing an employment contract), the employer is obliged to familiarize the employee with the Regulation on the protection of personal data of employees against signature. Valid until replaced with a new one. |
Constantly |
|
|
Staffing table (form T-3) (staffing arrangement) |
Article 57 of the Labor Code of the Russian Federation, Resolution of the State Statistics Committee of Russia No. 1 |
It is compiled every time when certain changes are made to it. |
Constantly |
|
|
Book of accounting for the movement of work books and inserts to them |
It is kept in the personnel department and is constantly maintained. |
|||
|
Receipt and expense book for accounting forms of work books and inserts to them |
Instructions on the procedure for filling out work books and inserts to them (approved by the decree of the Ministry of Labor of Russia No. 69) |
It is stored in the accounting department along with forms of work books and inserts to them; to the personnel department, forms are received at the request of a personnel worker. |
50 years (but when the company is liquidated, it is handed over to the archive of the city along with other documents, the storage period of which is 75 years) |
|
|
Regulations on wages, bonuses and material incentives |
Section 6 of the Labor Code of the Russian Federation, Chapter 21 of the Labor Code of the Russian Federation |
In the presence of complex systems of remuneration and labor and bonus systems. Valid until replaced with a new one. |
Constantly |
|
|
Regulations on the training system |
Articles 196, 197 of the Labor Code of the Russian Federation |
If there is a training system in the organization. |
Constantly |
|
|
Regulations on the certification of workers |
Article 81 of the Labor Code of the Russian Federation |
When carrying out certification by the decision of the employer. |
Constantly |
|
|
Vacation schedule |
Article 123 of the Labor Code of the Russian Federation, Resolution of the State Statistics Committee of Russia No. 1 |
Approved by the employer no later than two weeks before the onset of the calendar year. |
||
|
Labor contract |
Articles 16, 56, 57, 67 of the Labor Code of the Russian Federation |
It is concluded in writing with each employee. |
||
|
Job descriptions for each position in accordance with the staffing table, work instructions for professions |
Accepted by the decision of the employer. |
Constantly |
||
|
Job orders |
Article 68 of the Labor Code of the Russian Federation |
Published on the basis of an employment contract. They are announced to the employee against signature within three days from the date of the actual start of work. |
||
|
Transfer orders |
Article 72.1 of the Labor Code of the Russian Federation |
Published on the basis of an agreement on transfer to another job (supplementary agreement to the employment contract). |
||
|
Dismissal orders |
Article 84.1 of the Labor Code of the Russian Federation |
|||
|
Orders for the main activity |
Published as needed. Orders for the main activity, prepared by the personnel department, are registered and stored in the office. In the personnel service, the case "Copies of orders for the main activity" is being conducted. |
1 year (copies of orders stored in the personnel department) |
||
|
Leave orders |
Chapter 19 of the Labor Code of the Russian Federation, Resolution of the State Statistics Committee of Russia No. 1 |
Published on the basis of a vacation schedule or an employee's statement |
||
|
Employee applications for unpaid leave |
Article 128 of the Labor Code of the Russian Federation |
Unpaid leave is granted at the request (upon application) of the employee in accordance with Part 1 of Art. 128 of the Labor Code of the Russian Federation or at the request of the law on the basis of an employee's application (part 2 of article 128 of the Labor Code of the Russian Federation). |
||
|
Employee's personal card (form T-2) |
Resolution of the State Statistics Committee of Russia No. 1. |
Conducted for each employee. |
||
|
Employment history |
Article 66 of the Labor Code of the Russian Federation, Resolution of the Government of the Russian Federation No. 225 "On Work Books", Instructions on the procedure for filling out work books and inserts to them (approved by Resolution of the Ministry of Labor of Russia No. 69) |
The employer maintains work books for each employee who has worked for him for more than five days. |
Upon dismissal, the employee receives a work book in his hands. Unclaimed work books are stored in the organization for 50 years, when the company is liquidated, they are handed over to the archive |
|
|
Full liability agreements |
Appendices 2, 4 to the decree of the Ministry of Labor of Russia No. 85 |
They are concluded with employees who directly serve material assets. |
||
|
Accounting book (registration journal) of orders for the main activity |
Instruction for office work in the personnel service of VNIIDAD "Approximate instructions for office work in the personnel service of an organization" (recommendatory) |
Must be numbered and laced, sealed and signed by the employer |
||
|
Record book (registration log) of orders for employment |
||||
|
Book of records (register) of orders of dismissal |
||||
|
Book of accounting (registration journal) of orders for granting vacations |
||||
|
Journal of registration of travel certificates |
||||
|
Time sheet |
Part 3 of Article 91 of the Labor Code of the Russian Federation |
The employer is obliged to keep records of the time actually worked by each employee |
||
|
Shift schedule |
Article 103 of the Labor Code of the Russian Federation |
It is brought to the attention of employees no later than one month before its implementation. |
||
|
Inspection body inspection log |
Federal Law No. 134-FZ "On the Protection of the Rights of Legal Entities and Individual Entrepreneurs during State Control (Supervision)" |
Lead by all legal entities and entrepreneurs without the formation of a legal entity |
Constantly |
|
|
Minutes of meetings, decisions of attestation qualification commissions |
Regulations on the certification of employees of the enterprise |
Issued by the attestation commission |
||
|
Tables and outfits of workers in harmful professions |
Part 3 of Article 91 of the Labor Code of the Russian Federation |
Compiled monthly. |
||
|
Lists of workers in production with harmful working conditions |
Resolution of the Council of Ministers of the USSR No. 10 "On approval of lists of industries, jobs, professions, positions, indicators that give the right to preferential pension provision" |
If production with harmful working conditions; ongoing. |
||
|
Lists of employees retiring on preferential pension |
||||
|
Correspondence on the appointment - state pensions and benefits; Preferential pension |
||||
|
Occupational safety instructions by profession |
Section 10 of the Labor Code of the Russian Federation |
Constantly |
||
|
Briefing log (read instructions) |
Section 10 of the Labor Code of the Russian Federation |
|||
|
Journal of employees passing compulsory medical examination |
Article 69 of the Labor Code of the Russian Federation, order of the Ministry of Healthcare of the Russian Federation No. 90 "On the procedure for conducting preliminary and periodic medical examinations of workers and medical regulations for admission to the profession." |
|||
|
Accident reports |
Resolution of the Ministry of Labor of the Russian Federation No. 73 "On approval of the forms of documents required for the investigation and recording of accidents at work, and provisions on the specifics of investigating accidents at work in certain industries and organizations" |
|||
|
Acts of investigation of occupational poisoning and diseases |
The speed of passage of the document, the efficiency of solving the issue raised in it, the uniformity of the workload of departments and officials depend on the correct, rational organization of document flow.
Work with documents of an enterprise can be represented in the form of the following technological chain of operations:
Reception of incoming documents;
preliminary review (markup by the secretary);
registration of documents;
report to the manager on the received documents;
decision making by the head;
sending documents for execution;
control over the execution of documents;
execution of documents;
the formation of documents in the case;
use of documents in reference and information work;
determination of the storage time of documents (transfer to the archive, further use, destruction of documents).
The degree of perfection of the technological system for working with documents is determined by the speed of movement and execution of documents and the effectiveness of providing the management of the enterprise with documented information.
In the documentation support of the enterprise, three main groups of documents can be distinguished: incoming documents (incoming), outgoing documents (outgoing), internal documents.
Registration can be carried out for all groups of documents, primarily for incoming documents. Many enterprises do not keep registration of internal documents.
The work on the execution and control of the execution of documents covers internal, incoming documents and only, as an exception, outgoing ones.
From the stage of forming cases, all groups of documents go through the same operations, except for incoming documents, which, with rare exceptions, are not transferred to archival storage.
To establish a unified procedure for drawing up documents and organizing work with them, an enterprise is developing an instruction for office work, which contains samples of correctly drawn up documents and rules for working with them.
Reception and processing of incoming documents is carried out by the secretary-assistant.
Received documents go through the following stages:
Primary processing;
preliminary review, markup;
registration;
consideration of documents by management;
direction for execution;
execution control;
execution of documents;
filing of documents in the case.
Primary processing of incoming documents consists in checking the correctness of the delivery of letters. All envelopes are opened, except for personal correspondence (marked “in person”). Then the correctness of the addressing of the document enclosed in the envelope, the number of sheets of the document, and the presence of attachments to them are checked.
In the absence of attachments or sheets of the document, the sender of the letter is notified and a mark is made on the document itself and in the register of incoming documents in the "Note" column:
Do not open envelopes marked "in person".
Draw up an act if the text of the document is damaged or there are no attachments.
Send one copy of the act together with the received documents to the addressee.
Forward the erroneously delivered mail to the correct address.
Registered letters are accepted against receipt.
Put the time of receipt on the document that bears the words "urgent".
As a rule, envelopes are destroyed, except in those cases when the address of the sender, the date of dispatch and the date of receipt can be determined only by the envelope, or when the envelope is marked “confidential”, “urgent”.
Preliminary consideration of incoming documents is carried out in order to distribute documents to registered and non-registered documents.
The registered documents are marked with the incoming number, the date of receipt of the document in the organization.
During the preliminary examination, it is also found out whether the documents transferred to the head do not need the selection of additional materials: previous correspondence, contracts, regulatory documents, etc. These documents are selected by the secretary-assistant and handed over together with the incoming document to the head of the enterprise.
Without preliminary consideration, documents addressed to a structural unit or specifically to an employee of the company are transferred to their destination.
The head of the enterprise examines the incoming document and, with a resolution reflecting his decision and the real terms of execution, sends it to the executor through the secretary. The secretary enters the resolution in the register. If several performers are indicated in the resolution, then the document is transferred to the first in the list, which is considered the responsible performer.
The contractor, working with the document, prepares a response, which is sent to the head for signature (along with the accompanying materials that were used in preparing the response).
The secretary (if necessary) monitors the execution of the incoming document.
The secretary receives an initiative letter from the executor and places it in the relevant file for further storage and use, and sends the answer to the addressee.
Documents sent from the company are called outgoing documents. Outbound processing consists of the following operations:
Drafting of the outgoing document;
approval of the draft document;
checking the correctness of the draft document by the secretary;
registration of a document;
checking the correctness of addressing;
sending the document to the addressee;
filing a second copy (copy) of the document in the case.
The draft of the outgoing document is drawn up and executed by the contractor, and the secretary checks the correctness of its execution.
Outgoing documents are drawn up in two copies, with the exception of faxes drawn up in one copy.
The prepared draft of the outgoing document is submitted for signature to the head. Together with it, other documents may be transferred, on the basis of which the draft of the outgoing document was drawn up (initiative letters, contracts, acts, regulatory documents, etc.).
The manager can make any changes and additions to the signed document or return it to the contractor for revision.
After signing by the head of two copies, the document is registered by the secretary. The documents to be sent are registered in the "Journal of registration of outgoing documents".
To register outgoing documents, the following data is required:
The index of the document, including the case number;
date of the document;
destination;
summary or title;
execution mark (record of the resolution of the issue, numbers of the answer documents);
executor;
note.
The registered document is sent to the addressee on the same day. When sending a document, it is necessary to verify the recipient's address on the letter and on the envelope.
A copy of the sent document and a single copy of the fax are attached to the case with correspondence:
The documents must be processed and sent on the same day.
Telegrams are sent immediately.
Outgoing documents are printed in duplicate.
If the document is to be returned, please affix a stamp or mark “To be returned” and mark it in the filing cabinet or journal.
To register incoming and outgoing documents using a personal computer, you can use the same columns of the registration journal.
Internal documents are documents that are prepared, executed and executed within the organization (institution) itself, in accordance with the internal rules for the development of documents.
Internal documents include: statements, acts, minutes, reports and explanatory notes, etc.
Work with internal documents is carried out as follows:
1) drawing up a draft document by the contractor;
2) checking the correctness of the design of the draft document;
3) signing of the document by the head (approval, if necessary);
4) registration of the document;
5) transfer of the document to the contractor;
6) execution of the document;
7) control of the execution of the document;
8) filing of the executed document into the file.
The final stages of working with internal documents are: use in reference and information work (from 1 to 3 years) and determination of the further storage period (examination of the value of documents). As a result of the decision of the expert commission of the enterprise, internal documents can be used in the reference and information work of the office work service for more than three years, or can be transferred to the archive, or destroyed.
Registration of documents. This is the fixation of the fact of the creation of a document or its receipt, by assigning a registration number (index) to the document and recording information about it in the registration journal.
Registration is necessary to ensure the safety of documents, prompt search, accounting and control:
Give the qualitative and quantitative characteristics of the documents;
confirm the fact of receipt or sending of the document;
create a registration and reference apparatus that can be used for informational purposes;
monitor the execution of the document.
The basic principle of document registration is single entry. Each document must be registered with this company only once. Incoming documents are registered on the day of receipt, outgoing and internal documents - on the day of signing.
There are several forms of document registration: centralized, decentralized, mixed.
The greatest efficiency is achieved with a centralized document registration system, that is, when all registration operations are carried out in one place or by one employee, for example, a secretary. Such a system allows you to create a single reference center for the documents of the enterprise and establishes a single registration procedure.
A decentralized system involves the registration of documents at the places of their creation or execution, that is, in structural divisions.
Taking into account the specifics of the enterprise, a mixed document registration system can be used, when part of the documents is registered centrally, and part of the documents is decentralized, in structural divisions.
In small businesses, a centralized registration system is most often used.
When registering documents at the enterprise, the following rules must be observed:
Each document is registered only once;
all documents are registered in only one place;
all documents are registered in a uniform form adopted at the enterprise.
When registering, all documents are divided into several groups, each of which is registered separately, for example:
Incoming documents;
outgoing documents;
internal documents;
commercial contracts;
documents marked "CT" ("Confidential").
When registering each group of documents, uniform unified methods of assigning numbers (indices) to documents must be applied.
There are three main types of document registration:
1) card system for document registration;
2) a journal system for registering a document;
3) computerized document registration system.
The organization's staffing tables and changes to them at the place of development and approval have a permanent storage period (Article 71 of the List of typical management archival documents).
The internal labor regulations must be kept in the organization for one year after replacement with new ones (Article 773 of the List of typical administrative archival documents).
Based on Art. 411 The list of standard administrative archival documents, provisions on wages and bonuses for employees are subject to permanent storage at the place of their development and approval.
Documents (list of information, regulations, etc.) on the establishment of a trade secret regime in an organization have a permanent storage period (Article 62 of the List of typical administrative archival documents).
Despite the fact that the storage times of local regulations and orders that approved them often differ, the local regulatory act becomes part of the order, its annex, and the storage time in this case will depend on the storage time of the local act or order (depending on whether how long is more long).
From the moment of the approval of the new edition of the job description, the old one is no longer valid. The storage period for invalid editions of job descriptions is 3 years (clause 77 of section 2 of the List of typical administrative archival documents).
Changes in the storage periods for personnel documents, which were introduced by Article 22.1 of Law No. 125-FZ, concern only documents whose storage period was previously 75 years. At the same time, the legislators made a mistake, since they formally achieved an increase in the storage time for all groups of documents on personnel. Namely, for those for which a storage period of five years is stipulated in accordance with clauses 19 and 665 of the list approved by order of the Ministry of Culture of Russia No. 558. Currently, a bill is being prepared that will amend Law No. 125-FZ and eliminate the deficiency that has arisen. As the Rostrud specialists explain, prior to the adoption of these changes, the existing system for determining the storage time of documents according to the list approved by order of the Ministry of Culture of Russia No. 558 should be applied in order to avoid any misunderstandings and fines and not to allocate personnel documents for destruction.
The periods during which it is necessary to store documents on personnel are indicated in article 22.1 of Law No. 125-FZ and the list approved by order of the Ministry of Culture of Russia No. 558. The beginning of the storage period for documents is January 1 of the year following the year in which they were drawn up ( paragraph 4, clause 1.4 of the list approved by order of the Ministry of Culture of Russia No. 558).
So, orders for hiring, transfer, dismissal, unpaid leave and other orders for personnel, as well as statements of employees, if they are stored in their personal files, in general, must be kept for at least 75 years, if they are created until 2003. If these documents were created after 2003, then they must be kept for at least 50 years.
Employment contracts, personal cards and personal files of employees must also be kept for 75 years if they were created before 2003, or for 50 years if they were created after 2003, and the personal files of managers must be kept permanently. It is also necessary to constantly keep the staffing table.
At the same time, any documents on personnel that were formed during the period of civil service, which is not a civil service, must be stored for 75 years, regardless of the date of their creation.
This procedure is provided for in Article 22.1 of Law No. 125-FZ.
Orders for the provision of annual and educational leaves, sending on business trips in Russia (as well as other documents on business trips: assignments, reports, etc.), as well as orders for collection and statements of employees, if they are stored separately, and not in personal files, it is enough to keep only five years.
This conclusion follows from paragraphs 19 and 665 of the list approved by order of the Ministry of Culture of Russia No. 558.
Attention: changes in the storage periods for personnel documents, which were introduced by Article 22.1 of Law No. 125-FZ, concern only documents whose storage period was previously 75 years. At the same time, the legislators made a mistake, since they formally achieved an increase in the storage time for all groups of documents on personnel. Namely, for those for which a storage period of five years is provided in accordance with clauses 19 and 665 of the list approved by order of the Ministry of Culture of Russia No. 558. Currently, a bill is being prepared that will amend Law No. 125-FZ and eliminate the flaw that has arisen. As the Rostrud specialists explain, prior to the adoption of these changes, the existing system for determining the storage time of documents according to the list approved by order of the Ministry of Culture of Russia No. 558 should be applied in order to avoid any misunderstandings and fines and not to allocate personnel documents for destruction.
Workplace certification materials should be stored for 45 years, and in difficult, harmful or hazardous working conditions - 75 years.
Keep working rules even after replacing them with new ones. The shelf life is one year. The one-year storage period is set for vacation schedules as well.
The period during which you need to keep documents confirming that the employee received education at the expense of the organization is due to the requirements of tax legislation. The fact is that clause 3 of Article 264 of the Tax Code of the Russian Federation establishes that in order to write off these costs to reduce taxable profit, the organization must keep all documents confirming the training (agreement with an educational institution, order of the head on sending an employee to training, certificate of service, diploma, certificate, certificate, etc.). Their storage period is limited by the duration of the training agreement and one year of the employee's work, but not less than four years.
Back | |
Not so long ago I was involved in the implementation of electronic document management for one of my clients. In the process, I had to explain a lot of concepts, tell what it is, how systems of this type work. And only after that he managed to understand the essence of my proposals and approved the work plan. During the discussion, I realized that very little has been written on this topic in simple language for a wide range of readers. As usual, I will try to explain in simple terms about this concept.
It is important to understand that there are two types of document flow - internal (EDMS) and external (VEDO). In Russia, it is customary to call it EDO, but I think that it is more correct to call it VEDO and EDMS, in principle, they share these concepts in the Russian Federation. That is, if you are looking for a system for exchanging with counterparties, then you need to look for EDF, if for internal document flow, then EDMS.
In this article I want to talk about the external electronic document flow between the company and its counterparties. Internal systems electronic document management are used for the exchange of documents between divisions of one company, they are presented with a slightly different set of requirements. But I will not consider them here.
Electronic document management is a modern, convenient alternative to conventional paper documents that are used for any type of business activity.
Traditional workflow is associated with constant time delays. To start cooperation with a client, you need an invoice, often a contract, and then - signed invoices, acts of work performed, etc. All these papers are approved, they are printed, signed and sealed. After that, it becomes necessary to transfer them to a business partner, where they also go through the process of approval and signing.
Then the documents with signatures are scanned and sent by e-mail. Then the originals are sent by courier, employees or regular mail. All this takes a considerable amount of time, paper documents sometimes get lost, require corrections (which further slows down the process of receiving documents). And for their storage, whole rooms are often allocated. As a result, the business is experiencing a lot of inconveniences, the conclusion of transactions is delayed, problems arise with the accounting department, since at the end of the reporting period the securities are still somewhere “on the way”. And if, after signing by one of the parties, controversial points were identified or an error was found in the accounting documentation, then the process of obtaining the correct paper document takes even more time, sometimes even for months.
Electronic document management allows you to get rid of all these inconveniences:
In addition, electronic document management allows you to solve the problem of business reporting to the state. Previously, documents were accepted only in paper form, and company employees spent long hours on trips to the tax office, stood in queues for an inspector, and inspectors, in turn, processed a lot of papers to check the correctness of the report and enter data into a common database.
Now all these issues can also be solved using electronic document management. At the same time, it is important to understand that in electronic form the tax service accepts reports and documents of a strictly established form. Any other format will not be accepted. Therefore, when introducing electronic document management, it makes sense to check the format of the company's internal documentation and, if necessary, make appropriate adjustments to the document templates.
At the first stage, the state began to accept tax returns electronically. The technique proved to be successful. And more recently, all documents are also accepted in electronic form.
There are 4 parties involved in this type of document flow:
How this is implemented in practice:
Thus, the fact of sending and receiving a document is automatically recorded. Unlike paper bags with documents that are transferred by company employees, courier or postal service, it is impossible to not receive a document electronically or to lose it. The fact of timely receipt of the document in the electronic system is recorded automatically, this data can be used in the event of a dispute even in court.
Also, information about documents signed on both sides is automatically transferred to the tax authorities, which reduces the likelihood of accounting errors, lost paper copies or not including a transaction in the report, which excludes in the future possible fines and other problems with tax related to the human factor and so common in the case of using paper workflow.
With paper workflow, it is difficult for the head of the company to control the timeliness of receipt of each document. Most often, these issues are resolved at the level of accountants, couriers, sales managers. As a result, the accountant does not always have paper originals before the end of the reporting period. And this, if checked, can lead to fines and other troubles.
With electronic document management:
To implement cooperation through electronic document management, it is necessary that both parties use software connected to a document management platform. Or, alternatively, one or both parties can work directly in the service for sending and receiving documents.
To organize the electronic exchange of documents, a high degree of security and protection is required. All electronic document management services use a secure connection, data encryption, and an electronic digital signature is used to confirm the authenticity of the sent document.
A digital signature is a special "electronic key" that creates a unique digital code by mathematically processing the data of the user's certificate and electronic document. Public certificates are used to verify and confirm the signature. And for generation (signing) - a personal confidential "key" of the user.
Today there is a wide range of sites that provide document management services. These are Directum, ELMA, DocsVision, WSS Docs, E-COM, Diadoc and many others. They all perform approximately the same functions:
When choosing a system for your company, the most important thing is to consider the preferences of your customers. It is important here that you either work in the same system as an important client for you, or the service should have the ability to integrate (exchange data) between your system and a similar platform that your client uses.
In some cases, you will be able to convince the buyer to start working with a site convenient for you. But very often, especially in the case of the beginning of cooperation with large retail chains and enterprises, they have long made their choice, and one of the conditions for cooperation is the ability to work with a certain platform for electronic document management.
When choosing a document management system, many users are also faced with systems that position themselves not as VEDO, i.e. "Electronic document flow", but as EDI (document flow for retail).
EDI systems are a special case of electronic document management. They are focused on the exchange of data with trading partners or divisions of the trading network. If, in the general case, any types of legally significant documents are carried out through the workflow, then there is an operational exchange of commercial information between organizations, including legally significant documents necessary for trade operations.
Conventional electronic document management allows the use of any type of document in any format convenient for the parties. When using EDI, the list of possible documents, their format is strictly regulated. There is no way to generate and transmit a document in the internal format of the company or not directly related to trading operations. I will tell you about how EDI works, why it is used only in trading, and what its advantages are in one of the following articles.
For effective work electronic document management is very important that your chosen platform supports integration with your accounting system.
Why is it needed:
It is very important that for your accounting system there is a ready-made solution on the service side, on the basis of which your specialists will be able to implement the necessary add-on for the accounting program. If there is no such solution, then it is better not to try to implement it yourself, this is a very time-consuming and complex process. Document management services use a digital signature, complex encryption systems. Therefore, there are no guarantees that even after all the efforts of programmers, you will get the desired result. It is better to choose another site where you will find a suitable integration option.
Document management services usually offer connection to the service for free. And for sending documents, a fee is charged. In some cases, this will be a fixed price for each document sent. Somewhere you can buy services in packages, i.e. one amount - for 100 documents, another - for 1000 per month, etc.
This issue must also be approached reasonably. On the one hand, the larger the package you choose, the less will be the cost of sending one document. On the other hand, there is no point in paying for a package of 300, 500 or 1000 documents with a document circulation not exceeding 100 documents per month.
Do all documents need to be sent through an electronic system?
No. With the help of electronic document management, you will send only those documents that are most convenient to send in this way. Usually these are acts of work performed, tax invoices, sometimes contracts, etc. It all depends only on your needs and convenience.
Are the shipping fees charged per document or page?
You pay, and the system records the sending of the document. Even if your document has many pages, it counts as one payable unit.
How safe is it?
Electronic document management is completely safe. Moreover, the service providing the service is responsible for ensuring security. For this, a digital signature, data encryption, and a secure communication channel are used. The level of security is about the same as in the usual bank-client services.
If we have 1C installed, will all users be able to access electronic document management?
No. In addition to restricting access rights in the accounting system itself, for working with electronic documents, the connection is limited to one session on one computer. To access from another computer, you will need to connect from scratch with all passwords and other security methods.
Is it possible to use electronic document management without electronic signature and connection to paid services?
No. Signing and using a document management service that has passed state certification is necessary for your document flow to be legally enforceable. You can, of course, send documents without electronic signatures to your clients by any method via any channel. But they are not considered document flow. This is nothing more than a copy for your reference. In this case, you will need to always confirm them with paper originals.
Is it so difficult to use electronic document management?
Difficulties can arise only at the stage of connection. But to resolve this issue, specialists are usually involved. The process of use itself is simple and convenient. The manager (person in charge) checks the document, clicks the "sign" and "send" buttons. Those. sending documents becomes much easier than even exchanging scans by e-mail.
But what if my client is not using the site I am using?
You have two options. You can connect a counterparty to your site, for example, at your expense. Alternatively, you can find out if there is a possibility of integration between your electronic document management systems. If so, just use this service. Then the document will be transferred according to the scheme: from you - to your system - then to the recipient's system - and, finally, personally to the recipient. This will not affect the speed of receiving the document or the complexity of using the system.
Tags:
