文件档案管理制度

上海纽约大学教育发展基金会文件档案管理制度
NYU Shanghai Education Development Foundation Procedure for Records and Archives Management

第一章 总则
Chapter I General Provisions

第一条 为加强上海纽约大学教育发展基金会（下称“基金会”）的档案资料管理工作，促进档案管理工作为基金会各项工作服务，根据《中华人民共和国档案法》、《中华人民共和国档案法实施办法》、《上海市档案条例》、《各级各类档案馆收集档案范围的规定》、《基金会管理条例》、《机关文件材料归档范围和文书档案保管期限规定》、《会计档案管理办法》，结合本基金会工作的实际，制定本办法。
Article 1 In order to improve the document management system of the Foundation and to make document management policy better serve the Foundation’s operations, the Procedure for Records and Archives Management by NYU Shanghai Education Development Foundation (hereinafter referred to as the “Procedure”) are formulated by the NYU Shanghai Education Development Foundation (hereinafter referred to as the “Foundation”) on the basis of the practical work of the Foundation and in accordance with applicable Chinese laws and regulations, including Archives Law of the People's Republic of China, Measures for Implementing the Archives Law of the People’s Republic of China, Regulations of Shanghai Municipality on Archives, Provisions on the Range of Archives Collected by Archival Facilities at All Levels and of All Classes, Regulations on the Administration of Foundations, Regulations for Institutions on Filling Scope for Documents and Materials and Retention Periods for Archived Documentation, and Accounting Archives Management Measures.

第二条 本办法所称的档案，是指基金会在业务和管理活动中直接形成的对国家、社会和基金会具有保存价值的各种文字、图表、音像、出版等形式的历史记录。档案的利用，是指对档案的阅览、复制和摘录。
Article 2 For the purpose of the Procedure, "archives" refer to historical records in various forms, including writings in different languages, pictures, diagrams, audio-visual, publications and so on, whose preservation is of value to the People’s Republic of China, the Foundation and the society and which have been or are being directly formed by the Foundation during its operational activities. The use of archives refers to accessing, replicating and excerpting archives.

第三条 基金会秘书处为本会档案资料具体管理部门，负责本办法实施的监督、指导和执行情况的检查。
Article 3 The Foundation’s Secretariat is the Foundation’s archival administration department responsible for supervising and instructing the implementation of the Procedure.

第四条 基金会指定专人负责档案的收集、立卷、归档、保管、查阅和销毁等档案管理工作。短期保存资料及利用率高的资料保存在相关部门的指定地点，有序存放，方便查找，严防毁损、散失和泄密。
Article 4 The Foundation will designate specific staffers for the collection, filing, archiving, use, storage and destruction of records. Short-term records and frequently-used records shall be preserved at a location designated by the Foundation and filed in a sensible order to provide easy access for retrieval and to prevent damage, lost or improper disclosure of confidential information.

第五条 基金会工作人员应了解业务、掌握文件材料的归档范围，并保证经办文件的完整性，认真执行归档制度；工作变动或因故离职时，应将经办的文件材料向接办人员交接清楚，不得擅自带走或销毁。任何非正常情况下对基金会文件的移除，修改或销毁行为，一旦得知，必须立即向基金会秘书处汇报。
Article 5 The Foundation staff should be familiar with the Foundation’s operations and the filing scope, and should strictly operate under the Procedure to ensure the completeness of the records in its custody. When leaving the position for cause or due to relocation, a staffer shall turn over all work-related documents to his or her successor with clear instructions, and shall not destroy or take away any document without official authorization. Any removal, amendment and destruction of records under abnormal circumstances shall be promptly reported to the Foundation’s Secretariat upon discovery.

第六条 会计档案按规定由基金会财务部门独立归档保管，会计档案管理办法另见《上海纽约大学教育发展基金会会计档案管理制度》。
Article 6 Financial records shall be archived and preserved independently and separately by the Foundation’s finance department in accordance with NYU Shanghai Education Development Foundation Procedure for Accounting Archives Management.

第二章归档范围及期限
Chapter II Filing Scope and Retention Period

第七条 鉴于基金会的工作现状，需要归档的文件材料包括以下几个方面：
（一） 凡是反映基金会工作、具有法律效力及查考利用价值的文件材料（公文、传真、图表、名录、电子版资料、书信、报刊、录音、录像等）均属归档范围；
（二） 基金会章程、理事会形成的文件、决议及重要材料；
（三） 捐赠方面的文件材料：包括捐赠协议、网上捐赠确认邮件、联系函件、公益事业捐赠统一票据、感谢信、感谢卡等任何形式的鸣谢内容等；对于实物捐赠，捐赠实物清单、捐赠实物资产价值凭证、实物捐赠接收证明、实物捐赠移交证明等也应进行归档保存；
（四） 规范性文件：包括上级颁发、需要本会执行的，或由基金会制定的制度体系、会议纪要、内部发文（包含基金会负责人批示后的各项工作流程、决定等）；
（五） 证照资质类文件：基金会有效证照、证件、印章（包含盖有基金会公章及/或法人章的文件）及基金会成立、变更的申请、审批、登记等方面的基础文件材料；
（六） 基金会与上级主管部门及其他单位相关往来文件；
（七） 基金会办公电脑、硬盘及云端存储系统中与基金会有关的电子版资料、文件等；
（八） 基金会的合同协议：包括与合作单位或个人签订的关于捐赠、合作、委托、承办等事项的合同等；
（九） 基金会获得的社会荣誉资料；
（十） 项目管理文件：包括项目立项表、项目资助协议、资金转账证明及项目支出报销凭证、项目成果资料等；
（十一） 基金会对外的正式发文：包括基金会网站及社交媒体账号上发布的内容、基金会在其他媒体上发布的任何形式的信息等；
（十二） 其他有必要归档管理的资料：包括以声像形式记录下来的对基金会工作产生作用的各种资料，上级领导、名人、友人、协作单位提供和赠送的题词、书画、文献资料、有纪念意义的各种工艺制品等。
Article 7 Given the current status of the operations of the Foundation, the following records are to be archived under the Procedure :
1) All records that are legally binding and of consultative value, including but without limitation to: official documents, facsimile, diagrams, directories, electronic records, letters, newspapers, audio and/or visual recordings;
2) The Foundation’s Articles of Association, and memoranda, resolutions and any other important materials formed during the Board Meetings;
3) Documents and materials in connection with charitable donations, including but without limitation to: gift agreements, online donation confirmation emails, communicative correspondence, Unified Invoice of Donation for Public Welfare, thank-you letters, thank-you cards, and any other form of expression of appreciation; and lists of in-kind gifts, appraisal proof of in-kind gifts, proof of receipt of in-kind gifts, and proof of delivery of in-kind gifts;
4) Regulatory documents, including but without limitation to: operational instructions, meeting minutes, and internal circulations that either are issued by the Foundation’s superior organizations and followed by the Foundation, or are formulated by the Foundation (such as procedures and decisions approved by the management at the Foundation);
5) Certificates and licenses: valid licenses, certificates and seals of the Foundation (including documents chopped with the seal of the Foundation or the Foundation’s Legal Representative), and the base files for the registration and approval of the Foundation.
6) Documents transmitted between the Foundation and its superior organizations and between the Foundation and other organizations;
7) Electronic records relevant to the Foundation and stored in the Foundation’s computers, hard drives, and cloud storage systems;
8) The Foundation’s contracts and agreements, including but without limitation to: contracts and agreements signed with individuals or organizations regarding donation, cooperation, delegation, and undertaking;
9) Records with regards to social honors received by the Foundation;
10) Program records , including but without limitation to: Program Funding Application Form, Program Funding Agreement, proof of transfer of funds, program expense report, and program products;
11) The Foundation’s official publications, including but without limitation to: postings on the Foundation’s own website and social media platform, and any other information the Foundation publishes in any other form of media;
12) Other records of which filing is necessary, including but without limitation to: audio and/or visual recordings useful for the operations of the Foundation, and gifts from leaders at higher levels, celebrities, friends, partner organizations in the forms of inscriptions, paintings, calligraphies, documentation and various craftworks of memorial value;

第八条 档案的保管期限划分为永久、长期、短期三种。其中，永久档案的保管时间为50年以上；长期档案的保管时间为15年；短期档案的保管时间为5年。
Article 8 There are three retention periods: permanent, long term, and short term. The permanent period is more than fifty years, the long-term period is fifteen years, and the short-term period is five years.

第九条 档案的保管期限由秘书处依据具体情况按照以下原则确定：
（一）凡记叙和反映基金会主要工作和活动的内容，需要长远利用和查考的文件材料及图表，保管期限定为永久；
（二）凡反映基金会一般活动，在较长时间内对基金会工作有利用、查考价值的文件材料及图表，保管期限定为长期；
（三）凡在比较短的时间内对基金会工作有参考价值的文件材料及图表，保管期限定为短期；
（四）捐赠者在签订捐赠协议时若规定了对其捐赠信息的保密权限及期限，则在不违反相关法律法规及基金会宗旨的情况下，捐赠相关档案的保管将根据捐赠协议上的规定进行；
Article 9 Record retention periods shall be determined by the Foundation Secretariat in accordance with the following principles and in consideration of the specific circumstances:
1) Permanent retention period applies to documents and diagrams that describe or reflect the Foundation’s major work and activities and that may be needed at any time in the distant future;
2) Long-term retention period applies to documents and diagrams that reflect the Foundation’s regular activities and that may be needed in the relatively long term;
3) Short-term retention period applies to documents and diagrams that have value to the Foundation’s work in the relatively short term;
4) If a gift agreement provides for confidentiality and the retention period, records that are related to such agreement shall be preserved accordingly to the extent not prohibited by law or by the Foundation’s own policies.

第三章立卷归档要求
Chapter III Filing Requirements

第十条 案卷质量总的要求是：遵循文件材料的形成规律和特点，保持文件之间的有机联系，区别不同价值，便于保管和利用。
Article 10 The overall requirements for filing are the following: following the forming regularities and characteristics of the files, keeping the organic relations among the files, and differentiating the values of different files, for the convenience of use and storage.
第十一条 基金会文件实行“双套制”归档，即纸质文件归档时，在不违反法律法规的情况下，应同时归档其对应的电子文件（包括扫描件），以便利用查考。在纸质文件归档时，按照“年度-职能”的分类方案整理。
Article 11 The Foundation has a “double set” filing system. When filing paper documents for archives, the Foundation shall also file the corresponding electronic files (including scanned copies) for the convenience of information retrieval, to the extent that it does not violate the applicable law or the Foundation’s policies. Paper documents shall be filed by Year – Function.
第十二条 纸质文件通常在每个日历年的年底结束后进行归档整理。
Article 12 Generally, all paper documents within the calendar year shall be filed into archives once a year after the calendar year ends
第十三条 应根据实际工作情况，编制科学、完整、相对固定的分类方案。同级类目的分类标准应保持一致，避免项内文件重复和交叉的情况出现。
Article 13 The Foundation shall, based on the practical needs of its operations, set up a scientific, comprehensive and relatively fixed archival classification system. Classification standards should remain consistent at the same categorical level to avoid duplication and overlap of the records.
第十四条 所有归档文件材料的种类、份数，以及每份文件的页数均应齐全完整。
Article 14 A complete record shall be kept to keep track of the type, number of pages, and number of copies of each archived file.
第十五条 卷内文件材料应区别不同情况进行排列，密不可分的文件材料应依序排列在一起，即批复在前，请示在后；正件在前，附件在后；印件在前，定稿在后。
Article 15 Archived materials shall be placed in the following order: documents that are closely related shall be grouped together; application should follow approval, appendixes should follow main content, and finalized manuscript should follow the chopped documents.
第十六条 按规定的格式逐项填写文件目录，填写的字迹要清楚，卷内文件目录放在卷首。
Article 16 The file directory shall be filled out eligibly, in a specified format, and placed at the beginning of the file.
第十七条 卷内文件材料的情况说明，应逐项填写在备考表内。若无情况说明，也应将立卷人、检查人姓名和日期填上以示负责。备考表应置卷尾。
Article 17 The file note shall include the name of the person who made the filing, the name of the person who checked the filing, the date of the filing and the date of the checking; it may also contain an introduction to the content of the file. The file note shall be placed at the end of the file.
第十八条 案卷封面，填上本册内容所属时间、第几册数、共多少页数、保管期限和案卷号等。
Article 18 The cover of the file shall include information such as the filing date, volume number, total number of pages, applicable retention period and file number.
第十九条 应经常保持档案的卫生、整洁，做好防尘、防潮、防虫、防丢失等安全和保密工作，做到收实相符。
Article 19 Files shall be kept clean and neat, and measures should be taken to prevent dust, damp, insects, lost and information leakage and to maintain accurate record-keeping.

第四章电子文件管理
Chapter IV Management of Electronic Records

第二十条 办公室人员使用的电脑必须指定专门的区域及云端存储系统存放基金会相关的文件、资料，在指定存放区域里及云端存储系统中设定工作人员专用文件夹，相关工作人员将各类文件、资料在该文件夹中设定子文件夹分类存放。
Article 20 There shall be designated locations in the Foundation staff’s laptop and in the cloud storage system for the Foundation’s records, documents and materials. All records shall be categorized and stored in the designated location.
第二十一条 电子文件命名和目录格式必须规范，以便查考和计算机辅助检索。
Article 21 Electronic records shall be named and categorized in a standardized manner to ease searches in a computer-assisted retrieval system.
第二十二条 电子文件以不可擦写的电子介质存储，应有备份，分开保管。
Article 22 Electronic records shall be stored in an un-erasable electronic medium and have a backup copy kept separately in a different location.
第二十三条 定期对电子文件的技术环境和数据内容进行维护，确保其长期、有效利用。
Article 23 The technical environment and database of electronic records shall be maintained on a periodic basis to ensure long-term and effective use of such records.
第二十四条 上海纽约大学教育发展基金会的捐赠相关文件在归档的同时，电子版也将通过电子管理系统归档至纽约，纽约方面归档的文件管理与上海互相独立。
Article 24 Records related to gifts made to the Foundation, when filed at the Foundation in Shanghai, will also be filed into New York University’s archives through the e-management system. The archives management system at the Foundation in Shanghai is independent, however, from the archives management system at New York University.
第五章档案的移交、鉴定及销毁
Chapter V Transfer, Identification and Destruction of Records
第二十五条 移交、销毁档案由秘书长审批，办公室专人监交、监销。
Article 25 The destruction and transfer of files shall be approved by the Foundation’s Secretary General and implemented under the supervision of the designated staffer at the Foundation.
第二十六条 档案移交须填写《上海纽约大学教育发展基金会档案移交清册》，严防毁损、散失和泄密。
Article 26 The transfer of files must be duly recorded in the NYU Shanghai Education Development Foundation Record Transfer List in order to prevent damage, loss or improper disclosure of confidential information.
第二十七条 纸质文件移交时应当保持原卷的封装。电子文件移交时应当将电子文件及其元数据一并移交，且文件格式应当符合国家档案管理的有关规定。特殊格式的电子文件档案应当与其读取平台一并移交。
Article 27 Paper files shall be transferred in their original packages. Electronic records shall be transferred together with their metadata and in formats that comply with the Measure. Electronic records that are stored in a special format shall be transferred together with their supporting readers.
第二十八条 经基金会秘书处鉴定，没有参考、保存价值或法律意义的文件在度过保存期限后可经批准后进行销毁。销毁档案必须填写《上海纽约大学教育发展基金会档案销毁清册》。认真履行销毁手续。
Article 28 Upon the Foundation Secretariat’s assessment and approval, records that are of no further safekeeping value or legal significance may be destroyed upon expiration of the applicable retention period. The destruction of records must be duly recorded in the NYU Shanghai Education Development Foundation Record Destruction List and be diligently implemented.
第二十九条 经基金会秘书处鉴定可以销毁的基金会文件，应当按照以下程序销毁：
（一）基金会编制文件销毁清册，列明拟销毁基金会文件的名称、内容、起止年度、应保管期限、已保管期限和销毁时间等内容；
（二）基金会秘书长、档案管理人员、会计管理人员（若涉及）在文件销毁清册上签署意见；
（三）基金会文件管理负责人负责组织文件销毁工作，并与基金会文件涉及管理人员共同派员监销。监销人在文件销毁前，应当按照文件销毁清册所列内容进行清点核对；在文件销毁后，应当在销毁清册上签名或盖章。
Article 29 The destruction of Foundation records should be implemented, upon assessment and approval of the Foundation Secretariat, according to the following procedures:
1) the Foundation shall fill in the record destruction list with details of the name(s), content, start and finish years, expected and actual retention periods and date of destruction, of the files that are to be destroyed;
2) signatures of the Foundation’s Secretary General, the staff in charge of administering archives, and the accounting staff (if applicable) are required on the destruction list;
3) The staff responsible for the Foundation’s file management shall coordinate the destruction and, together with the staff in charge of administering archives, designate a staffer to supervise the destructing process; the designated staffer shall verify the content of the files to be destructed against the destruction list, and shall, upon completion of the destructing process, place his or her signature or personal seal on the destruction list.

第六章档案的借阅、利用
Chapter VI Loaning and Use of the Records

第三十条 建立和完善档案借阅流程。案卷一般仅供在上海纽约大学教育发展基金会办公室阅看，不可外借。有密级的档案调阅时均需基金会负责人批准。
Article 30 The Foundation shall establish and improve procedures for the use of archives. Archives normally shall not be loaned and may only be read in the Foundation’s office. Confidential archives of the Foundation may not be retrieved unless upon approval of the person-in-charge at the Foundation.
第三十一条 证照类电子版不可外传，但允许提供该证复印件加盖“此复印件仅用于XXX， 再次复印无效”章的电子版，该证复印件须经登记后使用，原件须经基金会秘书长签批并进行登记方可使用。
Article 31 To the extent that the electronic copies of licenses and certificates are not given to outside people, the Foundation may provide outside people with scanned copies of license and certificates, provided that the copies provided bear the stamp stating “For [specific purpose] Use; Photocopy hereof Invalid” as well as recorded with the Foundation. The original copies of licenses and certificates may not be used before such use has been approved by the Secretary General and duly recorded.

第七章附则
Chapter VII Supplementary Provisions

第三十二条 本办法以中英文两种语言书写。如中英文版本有不一致之处，以中文版本为准。
Article 32 This Procedure is made out in both Chinese and English. In the event of a conflict between the two versions, the Chinese version prevails.
第三十三条 本办法由上海纽约大学教育发展基金会秘书处负责解释。
Article 33 This Procedure shall be interpreted by the Foundation’s Secretariat.
第三十四条 本办法自理事会批准之日起生效并执行。
Article 34 This Procedure comes into effect upon approval by the Foundation’s Board of Directors.