5. Compilation and execution of an inventory of personnel files - Archives of St. Petersburg

Regulatory framework establishing the obligation to keep an inventory of cases

The main document requiring companies to register documentation on personnel is the Rules approved by Order of the Ministry of Culture of Russia dated March 31, 2015 No. 526. They instruct organizations to:

1. Conduct an annual examination of the value of documents (clause 4.11 of the Rules).
2. Based on the assessment, create an inventory of personnel files and ensure their safety (clause 4.12 of the Rules).

Inventories should be compiled by all companies, regardless of whether they are sources of state archives.

What are the specifics of personnel personal files?

A personal file is a set of personnel documents, which contains such sources as:

• employment contract;
• application for a job
• employee personal statements;
• copies of personnel orders relating to this employee;
• instructions (on labor protection, job description);
• employee personal card;
• copies of diploma, certificate and other educational documents;
• copy of TIN;
• copy of SNILS;
• copy of the passport;
• autobiography;
• certification sheets;
• characteristics and recommendations.

Let's consider how to record these documents using the form from Appendix 27 to the Rules, approved by Order No. 526.

Rules for compiling case inventories for personnel

Personnel documents must be directly related to the registration and regulation of labor relations between the employee and the employer. Do not belong to this category of documentation (clause 3 of article 3 of the Federal Law of October 22, 2004 No. 125-FZ):

• orders of the manager received by the personnel service for execution, or other documents of an organizational and administrative nature;
• correspondence related to the regulation of labor relations;
• organizational and legal documentation (instructions; regulations).

All logs for registration and accounting are included in the personnel documentation and must be named in the inventory.

It is better to compile 1 inventory of personnel affairs for each year, however, if the company is small and has a small volume of document flow, it is possible to create 1 such register for several years. It is not legally regulated whether to create one inventory for all types of documents or make a separate one for each category of documentation. The organization will have to make this decision itself. For commercial companies that are not the source of the formation of state archives, it is necessary to draw up an inventory in at least 3 copies (clause 5.5 of the Rules). There is no need to register the inventory in any journal when registering; it will be registered and assigned a number when placed in the archive.

Personnel documents

Let's face it, this is a special group of cases that are included in a strictly established order in a separate archival list. These include:

• personal files and cards of former employees;
• employee lists;
• minutes of meetings of personnel commissions, etc.

The list of files for personnel (sample) looks and is filled out in exactly the same way as for papers of permanent storage, with the only difference that the sixth column is filled in (why, indicated in step No. 2 of our instructions).

This type of archival directory is filled out in the same way as those discussed above. It is signed by the compiler indicating the position, endorsed by the head of the personnel service and approved by the manager.

Using this material, you will be able to understand all the nuances of designing archival reference books, even such as an inventory of personal files for personnel.

Inventory form and procedure for filling it out

As a form for registering personnel cases, it is recommended to use the form from Appendix No. 15 to Order No. 526.

The completed inventory is signed by the employee responsible for filling it out and the archive employee. Below is a sample of filling out a list of affairs for company personnel.

What is an internal inventory of documents (cases)?

An internal inventory is usually understood as a list of documents combined into a certain category (in document science, most often called a case), through which the documents are properly indexed, classified and numbered.

Cases of permanent and temporary (over 10 years) storage periods, including personnel records, after the end of the calendar year in which they were opened, must be completed, described and prepared for transfer to the organization’s archive. Drawing up an internal inventory of documents is one of the elements of filing a case (clause 4.19 of the Rules for organizing the storage, acquisition, recording and use of documents of the Archival Fund of the Russian Federation and other archival documents in government bodies, local governments and organizations approved by order of the Ministry of Culture of Russia dated March 31 .2015 No. 526).

The internal inventory form is given in Appendix 27 to the order of the Ministry of Culture of Russia dated March 31, 2015 No. 526. You can download its form on our website.

Features of compiling an inventory of personal files of employees

If a company accumulates documentation for each employee in separate folders, it needs to ensure that the employees’ personal files are kept track of and are kept safe. The inventory is compiled according to the same rules, the only difference is that the employee’s full name is indicated as the headings of such cases. Below is a sample inventory of personnel files for specific employees.

Such forms can be organized throughout the year in the form of a journal consisting of stitched inventory sheets. In this case, all sheets of the inventory are numbered, and the bound journal is certified by the signature and seal of the responsible person.

The procedure for compiling an inventory

Personal files of employees in non-state (non-municipal) companies are classified as archival documents of private property (subparagraph 3, part 1, article 3 and subparagraph 3, part 1, article 9 of the Law “On Archival Affairs” dated October 22, 2004 No. 125-FZ) .

As for their shelf life, it is:

• at least 75 years old, if they were created before 2003 (subclause 3, clause 1, article 22.1 of law No. 125-FZ),
• at least 50 years if they were created after 2003 (subclause 3, clause 2, article 22.1 of law No. 125-FZ).

The procedure for storing archival documents must be organized in accordance with the Basic Rules for the Operation of Organizational Archives, approved by the decision of the board of the Federal Archival Agency dated 02/06/2002 (hereinafter referred to as the Archival Rules). In accordance with clause 6.4.5.1 of the specified Archive Rules, the inventory is the primary accounting document for recording personnel files, as well as for files whose storage period exceeds 10 years.

Based on the above, it is clear that such a register as an inventory for documents with a very long shelf life must be present in the file. To complete the inventory, a unified form is provided, approved by the Archival Rules (Appendices 2, 10).

Read about the storage periods for various documentation in the article “What are the storage periods for documents according to the nomenclature of files?” .

Unlike other valuable documentation (in which the inventory is usually located last on the list), in the personal file it is located at the very beginning. It lists all the documentation filed in the personal file. Thus, the following information about documents is entered into the tabular part of this register:

• serial number;
• index;
• date of compilation (or deadlines and storage period);
• title;
• sheet numbers.

In this case, the inventory usually consists of several pages, which are numbered separately from the end-to-end accounting of pages in the personal file itself. In personal files, documents such as orders/instructions, certificates, statements/petitions, extracts from orders, certificates, etc., are arranged in strict chronological order - from the earliest to the latest. First, all documentation related to hiring is filed, and at the very end, everything related to dismissal is filed.

For forms and types of orders for personnel, please follow the link.

The inventory must be signed by the compiler (usually the same employee who maintains the personal file) with a mandatory decoding of his position and full name. The date of compilation must be indicated - it is entered upon completion of filling out the personal file.

In the guide to personnel issues from ConsultantPlus you will find samples of the preparation of personnel documents. If you do not have access to the K+ system, get a trial demo access for free.

Coordination and approval of the inventory in a commercial company

In most companies, since they do not participate in the formation of the state archive, inventories of personnel files are approved only by an expert commission specially created for this purpose. She evaluates the inventory after conducting an examination of the value of the documents. In very small organizations, year-end inventories can be immediately submitted to the director for signature.

As a result, 3 copies approved by the manager are distributed:

• one to the department responsible for compilation;
• one is placed directly into the first case;
• the latter remains with the archive worker for current work.

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5.1. Systematization of cases in the inventory

An inventory of cases is an archival reference book, which is a systematic list of case titles and is intended to disclose the composition, content, and accounting of cases.
The inventory reflects the system of organizing documents of the archival fund and consolidates the systematization of affairs within the fund. An inventory of personnel files, depending on the number of cases or the period of time for which the inventory is compiled, can be compiled for individual types of personnel documents or for the entire complex of documents.

To systematize cases in the inventory, various schemes are used. The most acceptable schemes are: chronological-nominal, when the basis for the arrangement of cases is the year, within a year by type of document, or nominal-chronological, when cases are first arranged by type of document, within by year. The nominal-chronological scheme is usually used in large organizations with a large number of employees. When systematizing forensic investigative cases and medical histories, it is possible to use a scheme in which cases are arranged thematically or subject-wise, internally according to chronology or alphabet.

An approximate layout of documents inside the annual section of the inventory may look like this:

– orders for personnel or other administrative documents replacing them;

– lists, books, personnel records cards;

- Personal things;

– contracts (employment agreements) that are not included in personal files;

– personal cards T-2;

– personal accounts or payslips;

– protocols and reports on accidents;

– lists of workers in production with hazardous working conditions;

– report cards, work orders for workers in hazardous professions;

– protocols of certification and qualification commissions and documents for them;

– house books;

– unclaimed work books;

– documents on the awarding of government and departmental awards and the conferment of honorary titles (award files, lists, books of accounting for the issuance of awards).

Personal files and personal cards of dismissed employees are located in the inventory according to the year of dismissal of employees.

It is more expedient to include documents of the same storage period in the inventory, with the exception of cases presented in fragments.

If the fund contains documents from other organizations, they are included in a separate inventory.

Documents for permanent storage and long-term storage are included in separate inventories.

Rules for compiling an inventory of permanent storage files

In order of gross numbering, the inventory includes the titles of documents that have permanent storage periods. In addition, this may partially include matters with Fr. To carry out this work, you will need to take a list of the company’s affairs, as well as lists indicating storage periods. This will help you assess the completeness of the selection of cases, and will also serve to clarify the storage periods for documents.

The numbering of cases in the inventory has been carried out for several years. As time passes, it is permissible to include additional cases (discovered subsequently) in the annual section of the inventory, which has already been fully completed. This is done using letter numbers (for example, 27a).

Each column of the inventory is filled out based on the information contained on the cover of the cases. Each case must have its own number. If in fact you received several volumes at once, then each volume must be entered under its new number.

As a rule, the inventory of cases does not allow repetition of the same headings. First, the full version of the title is reproduced (at the top of each sheet). If the title contains repetition, then part of the title should be replaced with the phrase “The same.”

As a rule, the inventory includes several annual sections. At the end, a final entry should be made (see sample for an example).

In practice, a permanent storage inventory usually includes a preface that contains information about the main functions and structure of the company, all of which date back to the time the documents were organized. This also includes the main categories of cases included in the inventory, features of the formation of the inventory and other information. The preface must be signed by its compiler, as well as by the employee responsible for the archive.

If necessary, you can create a table of contents (usually this is done when there are a large number of divisions) or a list of abbreviations (used if the inventory used terms that go beyond commonly used words).

Enterprises that transfer their documentation to municipal or state storage must prepare four copies of an inventory of permanent storage files. For other organizations, in practice, one or two copies are enough.

The unfinished inventory, which is supposed to be continued, is not filed. Such a document is stored in a folder with ties. This storage option is especially relevant for organizations that act as sources of acquisition of the state archive.

Approval of the annual section of the inventory of permanent storage files is carried out as follows:

• the inventory is signed by its compiler and the employee responsible for the archive;
• the expert commission of the enterprise reviews the inventory (follow the link you can find a sample protocol of the meeting of the expert commission);
• organizations that are sources of formation of state or municipal archives must submit an inventory for review to the appropriate archive;
• approval by the head of the enterprise.

After the annual section of the inventory has been approved, any changes can be made only after the EPC regarding this decision has been made. In this case, we are talking about organizations that subsequently send their documents for storage to a state or municipal archive.

Sample inventory of permanent storage files

41 (forty-one) units are included in this section of the inventory. hr.,

From No. 164 to No. 192, including:

letter numbers: 165a

missing numbers: none.

AGREED

Protocol of JSC "Siam"

dated October 29, 2014 No. 3

So, now you have a sample permanent storage inventory, and we have also introduced you to the main nuances regarding the preparation of this document. In the next publication we will talk about how to organize documents by personnel.