【中英文对照版】企业档案管理规定(2023修订).docx

企业档案管理规定ProvisionsontheAdministrationofEnterpriseArchives制定机关：国家档案局发文字号：国家档案局令第21号公布日期：2023.08.08施行日期：2023.10.01效力位阶：部门规章法规类别：档案IssuingAuthority:StateArchivesAdministrationDocumentNumber：OrderNo.21oftheNationalArchivesAdministrationofChinaDateIssued：08-08-2023EffectiveDate：10-01-20231.evelofAuthority：DepartmentalRulesAreaofLaw:Archives国家档案局令（第21号）OrderoftheNationalArchivesAdministrationofChina(No.21)企业档案管理规定已经2023 年4月7日国家档案局局务会会 议修订通过，现予公布，自2023 年10月1日起施行。TheProvisionsontheAdministrationofEnterpriseArchives,asamendedandadoptedattheexecutivemeetingoftheNationalArchivesAdministrationofChinaonApril7,2023,areherebyissuedandshallcomeintoforceonOctober1,2023.局长 陆国强Director:LuGuoqiangAugust 8, 20232023年8月8日ProvisionsontheAdministrationofEnterpriseArchives企业档案管理规定Contents目录ChapterIGeneralProvisions第一章总则ChapterIlInstitutionandPersonnel第二章机构和人员ChapterIIIFacilitiesandEquipment第三章设施设备ChapterIVFormation,Collection,Sortingand第四章文件材料的形成、收ArchivingofDocumentsandMaterials集、整理与归档ChapterVCustody,Conservation,Appraisal第五章档案的保管、保护、鉴andDisposalofArchives定与处置ChapterVlUtilization,Development,Statistics第六章档案的利用、开发、统andHandoverofArchives计与移交ChapterVllArchivesInformatization第七章档案信息化建设ChapterVlllSupervisionandAdministration第八章监督管理ChapterIXRewardsandPenalties第九章奖励与处罚ChapterXSupplementaryProvisions第十章附则ChapterIGeneralProvisions第一章总则Article1TheseProvisionsaredevelopedin第一条为加强企业档案工accordancewiththeArchivesLawofthe作，推进企业档案科学、规范管理，服务企业各项工作，服务中 国特色社会主义事业，根据中 华人民共和国档案法等法律法 规，制定本规定。People,sRepublicofChinaandotherlawsandregulationsforthepurposesofstrengtheningtheworkofenterprisearchives,promotingthescientificandstandardizedmanagementofenterprisearchives,servingthevariousworkofenterprises,andservingthecauseofsocialismwithChinesecharacteristics.第二条本规定所称企业档 案，是指企业在研发、建设、生 产、经营和服务等活动中直接形 成的对国家、社会和企业具有保 存价值的各种文字、图表、声像 等不同形式的历史记录。Article2ForthepurposesoftheseProvisions,enterprisearchivesnrefertovariouskindsofhistoricalrecordsincharacters,charts,audioandvideoandotherforms,whicharedirectlyformedbyenterprisesintheactivitiessuchasresearchanddevelopment,construction,production,operationandservice,andwhichareofpreservationvaluetothestate,societyandenterprises.第三条中华人民共和国境 内设立的按照规定应当形成档案 的企业开展档案收集、整理、保 管、利用及监督管理等活动适用 本规定。Article3TheseProvisionsshallapplytothecollection,sorting,custody,utilization,supervisionandadministration,andotheractivitiesrelatedtoarchivescarriedoutbyenterprisesformedintheterritoryofthePeople'sRepublicofChinathatshallformarchivesinaccordancewiththeprovisions.第四条企业档案工作是企 业履行档案管理职责的行为和活 动，是企业不可缺少的基础性、 支撑性工作，是国家档案事业的 重要组成部分，是维护企业和职 工合法权益、服务党和国家工作 大局的一项重要工作。Article4Asthebehaviorandactivityofenterprisestoperformthedutiesofarchivesmanagement,theworkofenterprisearchivesisanindispensablefundamentalandsupportivetaskofenterprises,animportantpartofthenationalarchivescause,andanimportanttasktosafeguardthelegitimaterightsandinterestsofenterprisesandemployees,andservetheoverallsituationofthePartyandthestate.第五条坚持中国共产党对 企业档案工作的领导。企业应当 加强对档案工作的组织领导，建Article 5 TheleadershipoftheCommunistPartyofChinaovertheworkofenterprisearchivesshallbeinsistedon.Enterprisesshallstrengthentheorganizationandleadershipof立健全档案工作责任制，将档案 工作纳入企业整体规划、年度工 作计划和考核体系，与业务工作 同步部署、同步实施、同步发 展。thearchiveswork,establishandimprovethearchivesworkresponsibilitysystem,incorporatethearchivesworkintoenterprises'overallplanning,annualworkplanandassessmentsystem,andsynchronizeitsdeployment,implementationanddevelopmentwiththebusiness-relatedwork.档案工作经费应当列入企业年度 财务预算，为档案工作提供保 障。Fundsforthearchivesworkshallbeincludedintheannualfinancialbudgetofenterprisestoprovideguaranteeforthearchiveswork.第六条企业档案工作实行 统一领导、分级管理的原则，维 护档案完整与安全，便于开发利 用。Article 6 Theprincipleofunifiedleadershipandhierarchicalmanagementshallbeimplementedinthearchivesworkofenterprisestomaintaintheintegrityandsecurityofarchivesandfacilitatedevelopmentandutilization.国家档案主管部门负责全国企业 档案工作的统筹规划和组织协 调，建立统一制度，对中央企业 （包括国务院国有资产监督管理 委员会监管中央企业、中央金融 企业、中央所属文化企业等，下 同）档案工作实行监督和指导。 县级以上地方档案主管部门在职 责范围内对本区域企业档案工作 实行监督和指导。各级各类开发 区管理机构档案部门对本区域企 业档案工作实行监督和指导。Thenationalarchivesadministrationshallberesponsiblefortheoverallplanning,organizationandcoordinationofthearchivesworkofenterprisesacrossthecountry,establishaunifiedsystem,andsuperviseandguidethearchivesworkofcentralenterprises(includingcentralenterprisesunderregulationoftheState-ownedAssetsSupervisionandAdministrationCommissionoftheStateCouncil,centralfinancialenterprises,centralculturalenterprises,thesamebelow).Localarchivesdepartmentsatorabovethecountylevelshallsuperviseandguidethearchivesworkofenterprisesintheirrespectiveregionswithinthescopeoftheirduties.Thearchivesdepartmentsofregulatoryinstitutionsofvariousdevelopmentzonesatalllevelsshallsuperviseandguidethearchivesworkofenterprisesintheirregions.中央和地方专业主管部门对所属Thecentralandlocalspecializedcompetent企业（包括上市公司、境外企业 等，下同）档案工作实行监督和 指导。企业应当按照资产归属关 系对所属单位档案工作实行监督 和指导。departmentsshallsuperviseandguidethearchivesworkoftheiraffiliatedenterprises(includinglistedcompaniesandoverseasenterprises,thesamebelow).Enterprisesshallsuperviseandguidethearchivesworkoftheiraffiliatedentitiesinaccordancewiththeownershiprelationshipofassets.国有企业应当按照业务监督和指 导关系向档案主管部门或母公司（投资主体）报送企业年度档案 工作情况。中央企业总部制定的 档案管理制度应当报国家档案主 管部门备案。Astate-ownedenterpriseshall,inaccordancewiththebusinesssupervisionandguidancerelationship,submittheinformationontheannualarchivesworktothearchivesdepartmentoritsparentcompany(investor).Thearchivesmanagementsystemdevelopedbytheheadquartersofacentralenterpriseshallbesubmittedtothenationalarchivesadministrationforrecordation.第七条企业委托档案服务 时，应当按照合法、安全、可控 的原则选择依法设立的具备相应 资质和服务能力的受托方，签订 委托协议，约定服务范围、质量 和技术标准等内容，并对受托方 进行监督，保证服务质量，确保 档案安全。第二章机构和人员Article7Whenentrustingarchiveservices,anenterpriseshall,undertheprinciplesoflegality,safetyandcontrollability,selectalawfullyformedentrustedpartywithappropriatequalificationsandservicecapabilities,enterintoanentrustmentagreement,agreeingonthescope,qualityandtechnicalstandards,amongothers,ofservices,supervisetheentrustedparty,assurethequalityofservices,andensurethesafetyofarchives.第八条企业应当根据规模 和管理模式设置档案部门（机 构）或者确定负责档案工作的部 门（机构），配备与企业规模相 适应的专职档案工作人员，满足 档案保管利用和业务监督指导的 需要。其中档案保管利用人员数 量可以根据馆（室）藏档案数量ChapterIlInstitutionandPersonnelArticle8Anenterpriseshallsetupanarchivesdepartment(institution)ordeterminethedepartment(institution)responsibleforthearchivesworkaccordingtothescaleandmanagementmode;andappointfull-timearchivesstaffmemberscommensuratewiththescaleoftheenterprisetomeettheneedsofarchiveskeepingandutilizationandbusinesssupervisionandguidance.Thenumberof及年度档案增量等确定，档案业 务监督指导人员数量可以根据内 设部门数量、所属单位数量、项 目数量等确定。archiveskeepingandutilizationpersonnelmaybedeterminedaccordingtothenumberofarchivesinthelibrary(room)andtheannualincrementofarchives,andthenumberofarchivesbusinesssupervisionandguidancepersonnelmaybedeterminedaccordingtothenumberofinternaldepartments,thenumberofaffiliatedentities,thenumberofprojects,etc.中央企业、地方国有大型企业应 当在总部设立负责档案工作的职 能部门。Centralenterprisesandlocallargestate-ownedenterprisesshallsetupfunctionaldepartments,attheirheadquarters,whichareinchargeofthearchiveswork.企业可以根据需要按照规定设立 档案馆。Anenterprisemaysetupanarchivescenterinaccordancewiththeregulationsifnecessary.第九条企业应当确定分管 档案工作负责人、档案部门负责 人。企业可以根据需要设置档案 专业负责人（档案总监），履行 建立档案工作体系、审核专业技 术标准、组织实施专项工作、服 务主营业务等职责。企业档案部门履行Article9Anenterpriseshalldeterminethepersoninchargeofthearchivesworkandthepersoninchargeofthearchivesdepartment.Anenterprisemay,accordingtotheneeds,appointaprofessionalpersoninchargeofarchives(archivesdirector),toperformsuchresponsibilitiesasestablishinganarchivesworksystem,examiningtheprofessionalandtechnicalstandards,organizingandimplementingthespecialwork,andservingthemainbusiness.Article10Thearchivesdepartmentofan第十条enterpriseshallperformthefollowingduties:下列职责：（一）贯彻执行党和国家有关档 案工作法律法规和方针政策，制 定档案管理制度和业务标准规 范；(1)Implementingthelaws,regulationsandpoliciesofthePartyandthestateonthearchiveswork,anddevelopingarchivesmanagementrulesandbusinessstandardsandspecifications.(2) Organizing the development of and implementing medium and long-term development plans and annual plans for the archives work of the enterprise.（二）组织制定并实施本企业档 案工作中长期发展规划、年度计 划；(3) Supervising and guiding the formation, accumulation, appraisal, sorting and archiving of documents and materials of all departments.（三）监督和指导各部门文件材 料的形成、积累、鉴定、整理及 归档工作；(4) Being responsible for the collection, sorting, custody, conservation, appraisal, disposal, utilization, development, statistics and other work related to archives, and transferring archives in accordance with the provisions.（四）负责档案的收集、整理、 保管、保护、鉴定、处置、利 用、开发、统计等工作，并按照 规定移交档案；(5) Organizing and coordinating the acceptance of construction projects, scientific research projects, products (business) and other archives.（五）组织协调建设项目、科研 项目、产品（业务）等档案验收 工作；(6) Supervising and guiding the archives work of the subordinate entities.（六）监督和指导所属单位的档 案工作；(7) Organizing and implementing informatization of archives.the （七）组织实施档案信息化工 作；(8)Organizingandcarryingoutscientificresearch,technologicalinnovation,publicitytraining,businessexchangesandotheractivitiesrelatedtoarchives.（）组织开展档案科学研究、 技术创新、宣传培训和业务交流 等活动。第十一条企业各部门（含 项目，下同）应当确定档案工作 负责人，配备专（兼）职档案工 作人员。Article 11 Eachdepartmentofanenterprise(includingproject,thesamebelow)shalldeterminethepersoninchargeofthearchivesworkandappointfull-time(orpart-time)archivesstaffmembers.第十二条 企业各部门负责 本部门文件材料的形成、积累、 鉴定、整理、归档，确保其真 实、完整、准确。Article 12 Eachdepartmentofanenterpriseshallberesponsiblefortheformation,accumulation,appraisal,sortingandarchivingofthedocumentsandmaterialsofitsowndepartmenttoensuretheirauthenticity,completenessandaccuracy.第十三条企业应当加强档 案工作人才培养和队伍建设，提 高档案工作人员业务素质，为其 评聘职称创造条件。Article 13 Anenterpriseshallstrengthentalenttrainingandteambuildingforthearchiveswork,improvetheprofessionalqualityofarchivesstaffmembers,andcreateconditionsfortheirevaluationandappointmentofprofessionaltitles.档案工作人员应当忠于职守、遵 纪守法，具备相应的专业知识与 技能。Archivalstaffmembersshallbeloyaltotheirduties,abidebydisciplineandlaw,andhavethecorrespondingprofessionalknowledgeandskills.第十四条档案工作人员调 离岗位或退休的，应当在离岗前 办好交接手续。涉密档案工作人 员的调离应当按照国家有关保密 法律法规执行。Article 14 Archivesstaffmemberswhoaretransferredfromtheirpositionsorretireshallundergothehandoverformalitiesbeforeleavingtheirpositions.Thetransferofpersonnelinvolvedinconfidentialarchivesshallbegovernedbytherelevantlawsandregulationsofthestateonconfidentiality.第三章设施设备第十五条 企业应当分别设 置档案办公用房、阅览用房和档 案库房，可以根据需要设置展览 （陈列）室、服务器机房、档案 接收、整理、修复、消毒、数字 化、缩微、安全监控等用房（以 下统称业务和技术用房）。ChapterIIIFacilitiesandEquipmentArticle15Anenterpriseshallseparatelysetupanarchivesofficeroom,areadingroomandanarchiveswarehouse,andmaysetupanexhibition(display)room,aserverroom,andarchivesreceiving,sorting,repair,disinfection,digitization,micro,securitymonitoringandotherrooms(hereinafterreferredtoas''businessandtechnicalrooms)accordingtotheneeds.档案库房应当根据载体类型分别 设置，不具备条件的应当根据载 体类型分区设置。Anarchiveswarehouseshallbeseparatelysetupaccordingtothecarriertype,andseparateroomsshallbesetupaccordingtothecarriertypewheretheconditionsarenotmet.第十六条档案办公用房、 业务和技术用房等面积应当满足 业务开展需要。Article 16 Theareasofthearchivesofficeroom,businessandtechnicalroomsandotherroomsshallmeettheneedsofbusinessdevelopment.阅览用房面积应当满足不同载体 类型档案阅览需求，适应涉密与 非涉密档案分区阅览的需要。Theareaofareadingroomshallmeettheneedsofreadingarchivesofdifferentcarriertypes,andmeettheneedsofreadingclassifiedandnon-classifiedarchives.档案库房面积应当满足企业档案 法定存放年限需要，新建档案库 房面积应当满足未来至少10年档 案存放需要。Theareaofanarchiveswarehouseshallmeettheneedsofstatutoryretentionperiodofenterprisearchives,andtheareaofanewarchiveswarehouseshallmeettheneedsofarchivesretentionforatleast10yearsinthefuture.第十七条档案阅览用房、 库房、业务和技术用房选址应当 利于档案保护，远离易燃、易爆 物品和污染源，宜符合档案馆 建筑设计规范（JGJ 25）规 定。Article 17 Thelocationofanarchivereadingroom,awarehouse,abusinessroomandatechnicalroomshallbeconducivetoconservationofarchives,awayfromflammableandexplosivematerialsandpollutionsources,andcomplywiththeprovisionsoftheCodeforArchitecturalDesignofArchivesCenters(JGJ25).档案库房如无特殊保护，一般不 宜设置在地下或顶层，地处湿润 地区的还不宜设置在首层。档案 库房不得毗邻水房、食堂（厨 房）、变配电室、锅炉房、车库 等存在安全隐患的场所。Ifthereisnospecialprotectionforanarchiveswarehouse,itisgenerallyinappropriatetosetitundergroundoronthetopfloor,anditisinappropriatetosetitonthefirstfloorinwetareas.Anarchiveswarehouseshallnotbeadjacenttothewaterroom,canteen(kitchen),transformeranddistributionroom,boilerroom,garageandotherplaceswithsecurityrisks.第十八条档案阅览用房、 库房、业务和技术用房建筑设计 宜符合档案馆建筑设计规范(JGJ 25)规定。Article 18 Thearchitecturaldesignofarchivesreadingrooms,warehouses,businessandtechnicalroomsshallcomplywiththeprovisionsoftheCodeforArchitecturalDesignofArchivesCenters(JGJ25).档案库房内不得设置其他用房和 明火设施，不应设置除消防以外 的给水点，其他给水排水管道不 应穿越库房。Inanarchiveswarehouse,otherroomsandopenfirefacilitiesshallnotbesetup,watersupplypointsotherthanfireprotectionfacilitiesshallnotbesetup,andotherwatersupplyanddrainagepipesshallnotpassthroughthewarehouse.第十九条档案阅览用房、 业务和技术用房应当安装视频监 控等设施设备。Article 19 Anarchivesreadingroomandbusinessandtechnicalroomsshallbeequippedwithvideosurveillancefacilitiesandequipment.档案库房应当安装防盗门窗、视 频监控、防光窗帘等设施设备， 可以选择智能门禁识别、自动报 警、出入口控制、电子巡查等安 全防范系统。Anarchiveswarehouseshallbeequippedwithanti-theftdoorsandwindows,videoSUrVe川ance,anti-lightcurtainsandotherfacilitiesandequipment,andintelligentaccesscontrolidentification,automaticalarm,accesscontrol,electronicinspectionandothersecuritysystemsmaybechosen.第二十条档案办公用房、 阅览用房、业务和技术用房均应 当配备消防设施并按照规定通过 验收。Article 20 Archivesofficerooms,readingrooms,businessandtechnicalroomsshallbeequippedwithfirefightingfacilitiesandpassacceptanceinaccordancewiththeprovisions.档案库房应当配备消防系统和火 灾自动报警设备。根据档案重要 程度和载体类型的不同，选择采 用洁净气体、高压细水雾等灭火 效率高且对档案无二次损害的灭 火设备。Anarchiveswarehouseshallbeequippedwithfirecontrolsystemsandautomaticfirealarmdevices.Accordingtotheimportanceofthearchivesandthetypeofcarrier,thefireextinguishingequipmentwithhighfireextinguishingefficiencyandwithoutsecondarydamagetoarchivessuchascleangasand第二十一条档案库房应当 根据需要配备符合国家规定的档 案装具，可以参照档案装具 （DA/T 6）、直列式档案密集 架（DA/T 7）、档案密集架 智能管理系统技术要求（DA/T 65）等。high-pressurewatermistshallbeselected.Article 21 Archiveswarehousesshall,asneeded,beequippedwitharchivescontainersincompliancewiththerulesofthestate,andbyreferencetotheArchivesFittings(DAT6)jtheIn-lineHigh-densityArchivesShelve(DAT7),andtheTechnicalRequirementsforIntelligentManagementSystemofHigh-densityArchivesShelve(DAT65)jetc.档案库房配备的装具应当与档案 库楼面均布活荷载标准值相匹 配。档案库楼面均布活荷载标准 值不应小于5kNm2,采用密集架 时不应小于12kNm2oThecontainersavailableinthearchiveswarehouseshallmatchthestandardvalueoftheuniformliveloaddistributedonthefloorofthearchiveswarehouse.Thestandardvalueoftheuniformliveloadonthefloorofthearchiveswarehouseshallnotbelessthan5kNm2,andshallnotbelessthan12kNm2whenthehigh-densityarchivesshelveisused.第二十二条档案库房应当 配备温湿度监测调控系统。档案 库房不宜采用水、汽为热媒的采 暖系统，确需采用时，应当采取 有效措施，严防漏水、漏汽，且 采暖系统不应有过热现象。Article 22 Archiveswarehousesshallbeequippedwithtemperatureandhumiditymonitoringandcontrolsystems.Theheatin