Internal inventory of employee personal file documents: sample

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.

Main purpose

It is always drawn up in cases where a document is moved both outside the company and within it. In this case, the term should be understood not only as a list of a certain number of papers, but also as one document. It is important to understand that, in essence, any movement involves drawing up an inventory that performs several functions at once:

1. First of all, this is the main document that confirms the fact of sending and transmitting 1 or several documents from a specific sender to a specific addressee.
2. Allows you to quickly track current document flow and detect the movement of a particular paper.
3. Finally, thanks to it it is possible to draw conclusions about internal logistics - i.e. how exactly the document flow goes, in what directions, on what days, and to what points. Thanks to this, it is possible to optimize delivery processes within the company, which will save a significant amount of resources.

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.

If cases are transferred to the archive

This inventory contains more mandatory fields than the one presented above. Compiled even if only one case is archived.

Read more: Rules for archival records management

If the transferred papers are not stored indefinitely, an additional column called “Storage period” is included in the table. In accordance with the “Basic Rules for the Operation of Organizational Archives” (approved by the decision of the Board of Rosarkhiv dated 02/06/2002), urgent storage is the maintenance of objects in the archive for up to 10 years. In addition, take into account the requirements of Order of the Ministry of Culture of Russia dated March 31, 2015 N 526.

In the column “Deadline dates” the expiration dates for storage are indicated, both for securities subject to indefinite storage and for urgent ones. It is filled out on the basis of regulations. If necessary, the column “Date of document” is added, and this does not mean the date of preparation, but the day of registration.

If files are archived electronically, an inventory will also be required. Registration takes place with a note about their volume. This parameter is measured in megabytes.

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.

Inventory of documents sample 2021

The preparation of the letterhead is at the discretion of the company. Usually it is developed in the company's accounting policy, and its sample is approved for all cases of transfer of documents.

A standard form template includes the following sections:

1. Addressee's name – i.e. a company, a representative of a government body or a private person to whose address a set of documents is transferred.
2. The name of the organization that transfers the documents.
3. Date of preparation.
4. A table with the inventory itself, which indicates:

• serial number;
• full title of the document;
• number of copies;
• number of sheets.

1. Next, a line is usually written about how many sheets of documents were transferred.
2. This is followed by the signature of the person responsible for the transfer, as well as a note on acceptance of the documents indicating the full name, position of the accepting employee and the date of acceptance.

If necessary, you can also additionally write in what form the documents are being transferred - original or copy (certified or not certified).

The document is drawn up in 2 copies - one remains with the sender, and the other is transferred to the addressee. If necessary, you can make 1 more copy, which will be transferred for safekeeping to the administration, accounting department and other interested employees.

NOTE. The number of sheets in the table is indicated immediately for all copies of documents - i.e. common to each document. All lines that are left empty in the table are crossed out with a pen.

An option for compiling in a specialized program is shown in the video:

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.

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).

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.

Read also

08.01.2021

Results

An internal inventory is, in most cases, a necessary element of internal corporate document flow, since errors and inaccuracies are unacceptable when working with personnel documentation. The structure of the internal inventory of documents is quite simple and at the same time effective.

You can familiarize yourself with the specifics of other types of inventories in the articles:

• “Procedure for filling out the inventory list (form)”;
• “Unified form No. INV-1—form and sample”;
• “We are preparing an inventory of documents for the tax office - sample”;
• “New inventory: inspections have only just started accepting all electronic documents.”

You can find more complete information on the topic in ConsultantPlus. Free trial access to the system for 2 days.

Download sample forms:

Sample list of documents provided (word) - for transfer to another organization

Delivery inventory form (word) - for filing in the archives

Inventory of documents for permanent storage (Sample word) - for papers with a permanent shelf life

Internal inventory (word) - for transfer within one company

Main varieties

Different companies have their own forms and approved samples of document inventories, which are compiled according to uniform rules. Depending on the purpose of documents, several groups are distinguished:

1. Internal - for transferring a set of papers within one enterprise, department, branch or between different branches, structural divisions of a large company.
2. Inventory for the transfer of documents to third-party companies - these templates can be developed taking into account other considerations, depending on what additional information should be provided to counterparties, representatives of the tax service, and other government departments.

The most extensive classification is related to what documents are described for transfer to another company or for internal use. For example:

1. Inventory of the certification case.
2. Inventory of primary accounting documents.
3. Personal files of employees and many others.

Finally, a separate category is the delivery inventory of cases, a sample of which is given in the corresponding section. This document is drawn up in cases where papers are submitted to the archives.