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ICS号DLICS号：文献分类号：备案号：中华人民共和国电力行业标准PNB/T××××风力发电企业科学技术档案分类规则与归档管理规范OperationSpecificationforscientificarchivesclassificationandfilingofWindPowerPlant（征求意见稿）2011-XX-XX发布2011-XX-XX实施国家能源局发布NB/T×××前言本标准依据GB/T1.1《标准化工作导则》的要求编写。本标准由由中国电力企业联合会标准化中心提出。本标准主要编写单位：中国电力投资集团公司。本标准参加编写单位：中国电力国际有限公司、中电投东北公司、中电国际新能源公司。1NB/T×××2目次1范围···············································································································32规范性引用文件··································································································33总则···············································································································34归档要求··········································································································44.1归档职责·······································································································44.2归档范围·······································································································54.3归档时间·······································································································54.4归档份数·······································································································64.5归档文件质量··································································································65分类规则··········································································································65.1分类原则及类目设置··························································································65.2类目标识·······································································································75.3类目划分·······································································································76案卷的组织、排列及装订·······················································································76.1组卷方法·······································································································76.2案卷及卷内文件的排列·······················································································86.3案卷的装订·····································································································97档号的标识·······································································································97.1档号的构成·····································································································97.2全宗号的标识··································································································97.3目录号的标识···································································································97.4分类号的标识································································································107.5案卷号的标识································································································108档案的审核移交与验收························································································10附录A（规范性附录）分类表与档案移交签证单······························································12NB/T×××3风力发电企业科学技术档案分类规则与归档管理规范1范围本标准规定了风力发电企业科学技术档案的分类规则、分类表、档号标识及其归档、组卷要求。本标准适用于风力发电企业科学技术档案管理。2规范性引用文件下列文件对于本文件的应用是必不可少的。凡是注日期的引用文件，仅注日期的版本适用于本文件。凡是不注日期的引用文件，其昀新版本(包括所有的修改单)适用于本文件。GB/T11821照片档案管理规范GB/T11822科学技术档案案卷构成的一般要求DA/T28国家重大建设项目文件归档要求与档案整理规范3总则3.1为了建立科学、合理的风力发电企业科技档案分类方法，规范风电企业科技档案管理，特制订本标准。3.2企业应明确档案工作分管领导，设置档案归口管理部门，配备专职档案管理人员，档案管理的设备设施应满足档案管理和档案安全保管的需要。3.3企业应将档案工作纳入企业目标管理、工作计划和发展规划；纳入生产、技术管理各个环节；纳入领导和工作人员的岗位责任制。3.4档案人员应参加生产、项目招投标等重要会议，参加科研成果鉴定和基建项目竣工验收，参加合同会签与工程项目付款会签，参加重要仪器、设备的开箱验收。3.5风力发电企业科学技术档案的归档管理应包括卷内目录、案卷目录、案卷封面、档号章、竣工图章的编制与填写及竣工图归档质量和照片档案的管理。3.5.1卷内目录、案卷目录、案卷封面、档号章的填写应符合GB/T11822标准要求。3.5.2竣工图归档质量与竣工图章应按DA/T28标准执行。NB/T×××43.5.3照片档案的归档和整理的要求按照GB/T11821的规定执行。4科技文件的归档要求4.1归档职责4.1.1企业在电力生产运行、检修、经营过程中形成的文件由形成单位立卷归档。4.1.1.1生产技术管理部门负责检修规程、运行规程、系统图册等文件的收集、整理、归档。4.1.1.2发电管理部门负责运行日志、交接班记录等运行过程中形成的文件的收集、整理、归档。4.1.1.3生产技术管理部门负责设备检修维护、技术改造过程中形成的文件收集、整理、归档。4.1.1.4计划经营管理部门负责招投标文件、合同、备品备件采购计划等相关文件的收集、整理、归档。4.1.1.5生产技术管理部门负责设备材料质量监督检测文件的收集、整理、归档。4.1.1.6企业质监部门负责生产过程中形成的小型技改项目、小型基建项目、设备维修更换等文件的收集、审核、整理、归档。4.1.2企业在科学技术研究过程中形成的文件由项目负责人或科研管理部门组织立卷归档。4.1.2.1个人研发的科研项目文件及科技成果文件由研发者负责整理归档。4.1.2.2合作研发科研项目及科技成果文件由本企业主要参与研发者负责收集、整理、归档。4.1.2.3单位研发的科研项目文件及科技成果由单位负责人负责收集、整理、归档.4.1.3企业在新建、扩建、改建、技术改造、技术引进项目建设过程中形成的项目文件的归档职责如下：4.1.3.1企业相关部门负责收集、审核和整理项目工程准备阶段、工程验收阶段形成的文件，负责向档案管理部门移交归档。4.1.3.2企业签订合同约定勘察、设计、施工、监理等单位的归档内容及归档职责，审核、督查各参建单位形成的项目文件的质量，检查、指导项目文件收集、整理、归档工作。4.1.3.3勘察、设计、施工、监理等单位应将本单位形成的项目文件收集齐全、完整，按照档NB/T×××5案管理规范整理立卷后向企业档案管理部门移交归档。4.1.3.4建设工程项目实行委托制管理的，受托单位应履行合同约定内容，完成项目文件的审核及向企业整体移交归档工作。4.1.3.5建设工程项目实行总承包的，总承包单位负责收集各分包单位形成的项目文件，审核后向企业档案管理部门移交归档；各分包单位应将本单位形成的项目文件收集齐全完整，整理立卷后向总承包单位移交。4.1.3.6建设工程项目实行总承包的,设备文件及竣工图由总包单位负责收集、审核、整理归档,建设工程项目未实行总承包的,企业应约定竣工图及设备文件归档职责.4.1.3.7建设工程项目由几个单位承包的，承包单位负责收集、整理其承包项目的工程文件，及时向企业档案部门移交归档。4.1.3.8监理单位负责本单位形成的文件材料的收集、审核、整理、归档工作，依据合同要求，负责审核其他参建单位的工程项目文件的形成质量及整理情况，出具竣工文件审核报告。4.2归档范围4.2.1以风电企业在生产运行、科技研究、建设项目、设备管理等工作中形成的文字、图表、声像等不同形式的具有保存价值的全部科学技术文件为对象。4.2.2科技文件归档范围和保管期限见附录A.2。4.3归档时间4.3.1电力生产文件每年年初由文件形成单位将上年度文件整理后向档案部门移交归档。4.3.2科学技术研究文件在评