Sample internal inventory of case documents

The essence and purpose of the document

In the activities of any subject, there is an innumerable variety of different forms, types, forms of papers, without which the implementation of this very activity is not possible.
All this documentation has to be stored, and for quite a long time. The safety of papers in most cases is entrusted to a special structural department of the enterprise - the archive. Moreover, transferring forms and forms to the archives department for safekeeping is a whole ritual, which must also be documented with the appropriate documents.

The main form that is drawn up when accepting and transmitting papers is an inventory. A special form of the list, which names all types of documents transferred from one department to another or from one official to another. The key purpose is to organize order in the recording of documentation and ensure prompt search for the necessary information.

Applicable forms

Depending on the situation, the responsible employee will have to fill out a special form. There are several of them. Thus, Order of the Ministry of Culture of Russia dated March 31, 2015 No. 526 approved the following forms of lists of cases (ML):

• permanent storage (Appendix 14);
• on personnel (Appendix 15);
• temporary (over 10 years) storage periods (Appendix 16);
• electronic documents for permanent storage (Appendix 17);
• electronic documents with temporary (over 10 years) storage periods (Appendix 18);
• structural unit (Appendix 23);
• electronic documents of the structural unit (Appendix 24).

The key requirements for filling out these types are set out in section 3.7 of the Basic Rules for the Operation of Archives of Organizations, approved by the decision of the Board of Rosarkhiv dated 02/06/2002.

Such a document is not just a folder with scattered tables and files. The form has its own individual structure:

1. Title page.
2. Content.
3. Preface.
4. List of abbreviations.
5. Pointers.

Moreover, for each type they have unified forms that differ from each other. Let's look at the features of compilation and sample documentation samples.

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The employee’s personal file, who should keep it and what it includes

Let's start with the fact that maintaining personal affairs is not at all necessary for commercial enterprises; for them it is voluntary. In contrast to state-owned enterprises, where personal affairs must be maintained without fail.

The personal file consists of the cover of the personal file and the employee’s documents, which contain information about the employee and his work activity (if we are talking about a student, then information about his training).

Since maintaining personal files is not necessary for commercial enterprises, their personnel employees can open personal files not for all employees, but only for the main part, which includes:

• managers and their deputies;
• leading specialists;
• financially responsible employees (cashiers, storekeepers, etc.);
• employees with the prospect of promotion, etc.

But in practice, it has long been proven that maintaining personal files for all employees, regardless of position, helps an enterprise systematize personnel information and obtain information about the work and documents of employees in a short time.

The procedure for creating an employee’s personal file begins at the moment the employee is hired and continues until he leaves the company. After which the personal file is placed in the archive. It is more convenient to place each employee’s personal file in a separate folder or in a separate file in a shared folder.

When creating an employee’s personal file, you should remember some points:

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• temporary storage documents should not be stored in the personal file together with documents for permanent storage;
• it is better to exclude the original documents of permanent storage from the personal file, replacing them with copies;
• each document must be submitted in one copy;
• one case should not exceed 4 cm in thickness;
• attachments to documents must be in the same folder as the documents.

Do not forget that there is a Federal Law “On Personal Data”, which prohibits the inclusion and processing of data about an employee, such as political and religious views, information about private life, without his written consent to this. And also, it is important to know that all personal information of an individual can be used only for the purposes of employment or promotion of an employee, ensuring his safety and the safety of his property.

The composition of a personal file is not regulated by law, therefore the list of documents included in a personal file is determined by the company’s personnel records management instructions.

When registering the employment of employees, HR employees include copies of documents (passport, INN, SNILS, education documents) and resume in their personal file, then all other necessary information is added to them.

Here is an approximate list of documents that should be included in the personal files of employees:

• completed company application form;
• copy of passport (page spread with personal data, registration, marital status);
• copy of TIN;
• copy of SNILS;
• a copy of the military ID (for those liable for military service);
• diploma or other educational documents;
• photography (color or black and white);
• characteristics from previous place of work;
• the employee’s application for employment (if its writing is mandatory at the enterprise);
• a copy of the employee’s hiring order;
• a copy of the employment contract and job description;
• inventory of documents in the personal file;
• other documents;
• a copy of the application/order for dismissal of the employee.

To organize information about an employee, an inventory of the personal file with a list of all documents (document number, its name) is included in the personal file.

The documents should be arranged in chronological order: the very first will be the documents accepted for accounting when hiring the employee, then the documents that appear as the employee works (orders, statements, certificates).

The identical registration of all personal files and accurate maintenance of a journal of registration of personal affairs is intended to eliminate the possibility of losing important documents.

The personal file should be formatted as follows:

• On the title page of the personal file, the employee’s full name and the start date of the personal file are written;
• if personal files are located in files in a shared folder, then it is more convenient to arrange them alphabetically to facilitate further work;
• The number of pages in the personal file should not exceed 250.

The personal affairs register is used to record the personal affairs of company employees. There is no single accounting form for keeping a journal; you can make it yourself (print a template from the Internet) or buy it in a store. The contents of the log column may also vary depending on the needs of the enterprise and its field of activity.

The journal contains information about personal files that have ever been opened in the company. The columns contain personal file numbers, date of establishment, full name of the employee and other necessary data. The closure of a personal file is accompanied by a note in the journal indicating the date and reason for closure. If you need to add additional information about an employee to your personal file, you can use the “Notes” column.

The storage of personal files should be organized, first of all, for the safety of documents containing confidential information about employees and for the convenience of searching for personal files. Therefore, for storing personal files, you should allocate a separate closet, locked with a lock.

Folders with documents should be placed vertically, with their spines facing outward. Access to the personnel file storage should be limited to HR personnel. A special journal or register helps to systematize personal affairs in the following ways:

• using numbering;
• In alphabet order;
• by structural divisions of the company.

If you have a large number of personal matters, you can store them in orders, alphabetically. Employees' personal files will be sorted by last name in alphabetical order. At the beginning of each order there must be an inventory of the personal matters contained in it.

Personal files of dismissed employees are stored in the archive, but copies of documents can be given to employees on their last day at work. Thus, the company will no longer be responsible for storing the employee’s personal data and will reduce the size of the archive. The storage period for employees' personal files usually does not exceed 75 years; for managers it can be increased.

/ “Accounting Encyclopedia “Profirosta” @2017 05/10/2017

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Inventory of permanent storage files

Such a list can be compiled in relation to securities that have a “Permanent” storage status. Inventory of permanent storage cases, sample filling differs from other forms in its structure. In the tabular part of the form there is no column “Storage period”, since it makes no sense to indicate this period.

Prepare a preface to the inventory of permanent storage cases; the sample should contain information about the main areas of activity, as well as information about the structure of the enterprise for the period of compilation of the form. Additionally, the precondition provides a brief description of the fund documentation included in this section. If there are cases that go beyond the boundaries of the period, they should also be listed in a separate order. You can also indicate in the preface whether this archival inventory contains additional information.

The preface must be signed by the responsible author. Moreover, you should not only sign, but also indicate the position of the compiler, full name, and date of registration. In addition to the compiler, the preface to the inventory of permanent storage files (example below) is signed by the head of the archive department or another responsible person (for example, the head of the archive).

The meaning of an internal inventory

A case is a set of documents that characterize a separate issue or person. A good example is the personal file of an employee. It contains all the papers relating to the employee:

• personal (copies of passport, TIN, SNILS (provided that they are needed for work);
• about education (diplomas, certificates, professional certificates (similarly, if required by work, for example for teachers);
• personnel records (employment order, employment contract, personal personnel record sheet);
• other (gratitude, certificates, recommendations).

They all need to be organized. It is important to indicate when the papers were provided and recorded, on how many sheets. They also indicate where exactly in the case they can be found.

Inventory of personal matters

Personnel records must be organized in each institution. An inventory of personal files for personnel will also have to be compiled when transferring documentation to the archives department. This list must contain the following details:

• name of the institution or its structural divisions;
• numbers of funds and case indexes;
• documentation headers;
• dates of their compilation;
• number of pages in the case;
• additional notes.

Register personal files in the OD in chronological order. If during the census a case was identified that should have been indicated earlier, then it is permissible to make an entry with the letter, for example, 100/a, but it will have to be registered at the very end of the document.

At the bottom of the OA, summary records should be recorded that reflect the total number of cases, as well as the number of the first and last case. Then the information is endorsed by the head of the organization (structural unit), the responsible executive, as well as the head of the archives department. Provide information about the responsible persons in the following format: position, signature, full name. and date.

Is it required?

The inventory can be called a fairly informative paper. It contains data on all documents provided by the employee to management since the beginning of his employment.

Papers drawn up during the work process are also reflected in it. Is it necessary to include it in the employee’s file?

Loss or damage to documents from an employee’s personal file is the responsibility of the person responsible for their safety.

The inventory allows you to keep a clear record of the papers included in the case, which is why it is characterized by such importance.

In legislative acts that apply to the territory of the Russian Federation, there is no data on the employer’s obligation to draw up an inventory of employees’ personal files.

From this we can come to the conclusion that documentation is not mandatory, but recommended. It is important to pay attention to one nuance.

There are personal files, the inventories of which must be completed. These include the following folders with documents:

• files that fall into the company’s archive for long-term (more than 10 years) or permanent storage;
• cases whose name makes it impossible to draw a conclusion about their content.

The inventory allows you to avoid the possibility of controversial situations that could lead to court.

In this regard, experts recommend not to neglect the preparation of the document.