Sample of filling out an internal inventory of case documents in 2021 and 2021

HR records management

Alexey Borisov

Leading expert on labor relations

Current as of October 15, 2020

A list of documents in the employee’s personal file - you will find a sample of it in this article - is a list of all materials that are stored in the personal file. Maintaining an inventory for a number of organizations is provided for by archival rules. In this article we will look at why such an inventory is needed and by what rules it is compiled.

Why do you need an inventory?

This simple paper allows you to immediately record all the documents provided by the employee upon employment. Subsequently, it records all newly received papers in the personal file, the facts of seizure of documents for any needs and their return.

The blame for the loss or damage of the papers contained in the inventory is shifted to the shoulders of the employee responsible for storing personal files, which is a good reason to approach the preparation of the inventory very carefully, taking into account the fact that in practice there have been precedents for going to court regarding documents lost by the company.

What personal files should an inventory be compiled for?

The law does not require an internal inventory of documents stored in the personal files of employees. However, there are some cases to which an inventory must be attached (as reflected in the relevant legislative regulations). These include

those folders that are transferred to the enterprise archive for permanent or long-term storage (over 10 years),
as well as those that have a simple heading “personal file” (that is, it is not clear from them exactly what documents and in what quantity they contain).

Categories

Any document in an organization goes through a long journey from creation to archiving. One of the functions of the archive is accounting - systematization of files, creation of a scientific reference apparatus and archival accounting documents. It is at the stage of recording archival documents that case inventories are created. We will tell you what types of inventories can be compiled in an organization and how to prepare them correctly.

NORMATIVE BASE

■ Clauses 3.6, 3.10, 4.11, 4.31, 4.32, 4.34, 5.5 of the Rules for organizing the storage, acquisition, recording and use of documents of the Archive Fund of the Russian Federation and other archival documents in government bodies, local governments and organizations (approved by order of the Ministry of Culture) are devoted to Russia dated March 31, 2015 No. 526; hereinafter referred to as the Rules 2015).

The 2015 rules contain 7 inventory forms:

• inventory of permanent storage files (Appendix 14);

• inventory of personnel files (Appendix 15);

• inventory of files with temporary (over 10 years) storage periods (Appendix 16);

• inventory of electronic files, permanent storage documents (Appendix 17);

• inventory of electronic files, documents with temporary (over 10 years) storage periods (Appendix 18);

• inventory of the affairs of the structural unit (Appendix 23);

• inventory of electronic files, documents of a structural unit (Appendix 24).

Section 3.7 of the Basic Rules for the Operation of Organizational Archives is devoted to the compilation and execution of case inventories (approved by the decision of the Board of Rosarkhiv dated 02/06/2002; hereinafter referred to as the Basic Rules). It describes in detail how to fill out the inventory columns, how to register a case, etc.

The basic rules contain 4 forms of inventories:

• form of the annual section of the summary inventory of permanent storage cases (Appendix 1);

• form of the annual section of the summary inventory of temporary (over 10 years) storage cases (Appendix 2);

• form of the annual section of the summary list of personnel affairs (Appendix 3);

• form of inventory of files of permanent, temporary (over 10 years) storage and personnel of a structural unit of the organization (Appendix 12).

The classification of case inventories based on the 2015 Rules and the Basic Rules is presented in the diagram.

LIST OF PERMANENT STORAGE CASES

Such an inventory is compiled only in relation to cases that, according to the lists, have a “permanent” shelf life. These include, for example, agreements on the establishment of a company, amendments and additions to them (Article 51 of the List of standard administrative archival documents generated in the process of activities of state bodies, local governments and organizations, indicating storage periods [1]).

In the table for the inventory of permanent storage files, there is no column “Storage period”, since all files have the same storage period.

The form for the inventory of permanent storage cases is given in Appendix 14 to the 2015 Rules (Example 1, Example 2).

2 The stamp is affixed if the organization is the source of acquisition of the state or municipal archive.

3 The stamp is affixed if the organization is the source of acquisition of the state or municipal archive.

LIST OF TEMPORARY (OVER 10 YEARS) STORAGE CASES

If there are quite a lot of such documents in the organization, then an inventory of cases is compiled for them annually (of course, if the case is closed and transferred to the archive). If there are few such cases (4–5 per year), then an inventory can be compiled over several years.

The form for the inventory of temporary (over 10 years) storage cases is given in Appendix 16 to the 2015 Rules (Example 3).

WE COMPLETE A LIST OF CASES WITH DOCUMENTS ON PERSONNEL

Documents on personnel are allocated to a special group, systematized separately and included in a separate inventory (clause 5.4.4.1 of the Basic Rules, clause 5.5 of the 2015 Rules).

It is best to keep an inventory of personnel files by year - archivists do not like it when they collect files for several years in one inventory. This makes it difficult to find documents and creates confusion if the structure of the organization has changed; in addition, the gross numbering in the inventory may be violated. Within each year, personnel files are traditionally systematized by structural divisions that generated personnel documents.

The headings of cases in the annual section of the summary inventory of personnel cases are systematized on a nominal basis, taking into account the following sequence (clause 3.7.23 of the Basic Rules):

• orders (instructions) regarding personnel (hiring, dismissal, transfer);

• lists of personnel (for example, lists of employees; lists of workers engaged in work with hazardous working conditions; lists of war veterans, etc.);

• personal cards of dismissed employees (unified form No. T-2; a separate inventory is drawn up if there is no inventory of personal files). The files are compiled according to the year of dismissal and alphabetically by the last names of the employees;

• personal files of dismissed employees. The files are compiled according to the year of dismissal and alphabetically by the last names of the employees;

• personal accounts;

• unclaimed work books (in the absence of a separate inventory);

• accident reports;

• personnel document logs.

If an organization generates a large volume of some of these types of documents, independent annual sections of the inventory can be created for them (clause 3.7.23 of the Basic Rules).

The form of the annual section of the summary list of personnel affairs is given in Appendix 15 to the 2015 Rules (Example 4).

Next, we will tell you how to create an inventory of personal accounts, personnel files (orders (instructions) for personnel), personal files of dismissed employees.

■ Personal accounts. Personal accounts of workers and employees based on wages are grouped into separate files and arranged in them alphabetically by last name. When transferred from the accounting department to the organization's archives, an inventory of these matters can be compiled separately. To list personal accounts, you can use the form given in Appendix 15 to the 2015 Rules (Example 5).

However, with a small number of cases, personal accounts can be included in the summary list of personnel cases together with other types of personnel documents (orders, personal files of dismissed employees, etc.) (see Example 4).

■ Orders (instructions) regarding personnel. Orders (instructions) for personnel are formed into separate files according to the nomenclature of files, in accordance with the established storage periods. With large volumes of such documents, it is advisable to group orders for personnel relating to various aspects of the organization’s activities (hiring, dismissal and relocation of employees, business trips, etc.) into separate cases (clause 3.5.5 of the Basic Rules).

The procedure for entering cases into the inventory is not established by the Basic Rules. They can be arranged in the inventory, for example, according to the degree of legal significance: first orders, then instructions.

An example of preparing a list of cases with orders for personnel is given in Example 6.

■ Personal files of dismissed employees. A separate inventory of personal files is compiled when there is a large rotation of employees: if you have about 30–50 people who quit in 2021, then it is better to create a separate inventory in alphabetical order (Example 7).

DESCRIPTION OF ELECTRONIC DOCUMENTS

Many specialists who work with documents have a very vague understanding of the inventory of electronic files. If you had to deal with this, then first of all you need to refer to the 2015 Rules.

4Form of inventory of electronic files, documents of permanent storage.

5Form of inventory of electronic files, documents with temporary (over 10 years) storage periods.

Particular attention should be paid to whether all documents can be stored electronically. It may be worth bringing this issue up for discussion by an expert commission and inviting the head of the organization to participate in it.

The form of inventory of electronic files and documents is given in Example 8.

6The stamp is affixed if the organization is the source of acquisition of the state or municipal archive.

If you do not write electronic files to disk, but store them on your local computer, then you should make an inventory of the directory and indicate in the inventory in the “Volume” column the size of the folder, and in the “Note” column - the contents of the folder and the path to it.

DESCRIPTION OF SPECIFIC TYPES OF DOCUMENTS

Cases consisting of documents specific only to a given organization (judicial, investigative cases, scientific reports on topics, project documentation, documents on the implementation of a government order/assignment, etc.) are included in a separate inventory (clause 3.7.1 of the Main rules).

To compile an inventory, you can use the inventory form from Appendices 14 and 16 to the 2015 Rules (Example 9).

SUMMARY LIST OF THE ORGANIZATION'S AFFAIRS

In the structural divisions of the organization, inventories of the files of structural divisions are compiled: permanent, temporary (over 10 years) storage, by personnel (Appendices 23, 24 to the Rules of 2015), on the basis of which annual sections of the corresponding consolidated inventories of cases, documents are compiled in the archive of the organization (Appendices 14–18 to the 2015 Rules). Inventories of the files of structural units, together with files of permanent storage and personnel, are transferred to the specialist responsible for the archive.

Often in departments there is absolutely no time to do this, so the employee responsible for the archive has to get involved in compiling inventories of the affairs of structural divisions and directly indicate which documents and files need to be included in the inventory. But even this is not enough: he has to directly participate in the search for documents related to the case and its completion.

According to clause 3.7.6 of the Basic Rules, the annual section of the summary inventory of permanent storage cases includes the headings of permanent storage files that were postponed during the year in the activities of structural units, and the headings of cases formed from documents separated from files with temporary storage periods that had about, and only after checking them with the consolidated nomenclature for the same year and checking the correctness of the formation and execution of cases. If necessary, case headings are clarified, cases are expanded and reformatted if it is discovered that the case has been formed incorrectly.

FILLING IN THE CASES TABLE

■ “P/n No.” The numbering order of cases in the inventory is gross. This means that the completed inventory of cases should include no more than 9999 storage units (clause 3.10 of the 2015 Rules).

■ “Case index (Case number).” Each case is entered into the inventory under an independent serial number. If the case consists of several volumes (parts), then each volume (part) is entered into the inventory under an independent number. This also applies to case annexes compiled into separate volumes.

For example: 02-03 – Orders, instructions on admission, transfer, relocation, dismissal, where 02 is the index of the structural unit, 03 is the serial number of the case.

■ “Title of the case (volume, part).” Headings of cases are entered into the inventory in accordance with the accepted systematization scheme based on the nomenclature of cases.

The “Case Title” column of the inventory is filled out in strict accordance with the information included on the cover of the case.

If you need to include several cases in a row with the same headings in the inventory, the title of the first case is written in full, and all other similar cases are indicated with the words “The same”, while other information about the cases is entered into the inventory in full. On each new sheet of the inventory, the title is reproduced in full.

Multi-volume files are entered into the inventory in the order of volume numbers. In this case, the inventory indicates the title of only the first volume, and the titles of all other volumes, if they are placed on the same page, are indicated by the words “The same.” If the title of a multi-volume case moves to the next sheet, then the title of the case must be repeated in full. When adding the last volume to the inventory, the word “Last” is added after the volume number (Example 10).

■ “Deadline dates.” The deadlines for cases containing organizational, administrative, creative and other documentation (protocols, transcripts, letters, reports, etc.), for which precise dating is important, as well as cases consisting of several volumes (parts), are the deadlines dates of case documents, that is, dates of registration (drawing) of the earliest and latest documents included in the case (clause 3.6.18 of the Basic Rules). Deadline dates are not set for annual, quarterly reports and other documents whose title contains the phrase “for ... year.”

■ “Shelf life.” The storage periods for cases are transferred to the inventory from the nomenclature of cases. They are established according to standard and departmental lists. If the storage period for documents that are included in the nomenclature of files is not regulated by these lists, it is established by the EPC of the relevant archival institution upon submission of the archive and the CEC (EC) of the organization (clause 3.4.9 of the Basic Rules).

■ “Number of sheets.” The number of sheets in the case corresponds to the number indicated in the certifying sheet of the case.

■ “Note.” In this column, notes are made about the receipt of cases, the characteristics of their physical condition, the transfer of cases to other structural units with reference to the relevant act, the availability of copies, etc., for example: “Due to production needs, “Annual accounting report and explanatory note to him” for 2006–2007 remain in the accounting and control department, since these documents are necessary for conducting a comparative analysis. In addition, no audit of financial and economic activities was carried out for the specified period.”

WE COMPLETE A LIST OF CASES (BASED ON THE EXAMPLE OF A LIST OF CASES FOR PERMANENT STORAGE)

■ Title page. The title page of the completed inventory of permanent storage records indicates:

• name of the fund;

• fund number;

• inventory number;

• the title of the inventory, which includes an indication of the category of documents (permanent, temporary storage, personnel, etc.) contained in the files, the titles of which are included in the inventory;

• deadlines for cases included in the inventory.

Before the name of the fund on the title page, space is left for writing the full name of the state archive in which the organization’s affairs will be permanently stored (clause 3.7.18 of the Basic Rules).

The form of the title page of the inventory of permanent storage files is given in Appendix 14 to the Basic Rules (Example 11).

■ Preface (addition to the preface). A preface is drawn up for the first annual section of the summary inventory of permanent storage cases (clause 3.7.10 of the Basic Rules). In subsequent inventories, an addition to the preface is compiled. If a preface was not drawn up when opening the inventory, then it must be drawn up when the inventory is closed.

The preface usually consists of two parts: historical and historiographical.

The historical part contains information:

• on the history of the organization: date of formation, information about changes in the name of the organization;

• about the main activities and structure of the organization for the period covered by the inventory.

In the historiographical part:

• a brief description of the content and completeness of the fund documents included in the section is given;

• indicates the presence of cases that go beyond the chronological boundaries of the fund;

• the most typical groups of cases are noted both in terms of types of documents and content;

• a brief description of the information contained in the inventory about subordinate or superior organizations is given;

• highlights the features of the formation, description and systematization of case headings, the availability of reference apparatus for the section, the basic principles of its compilation and the procedure for using it.

It is necessary to compose a preface and an addition to it.

The more detailed you describe everything that was found out during scientific and technical processing, the easier it will be to work with archival documents. Record everything: which units transferred cases, which ones did not and why; how the structure of the organization changed over the chronological period that you describe, and what were the movements of documents in connection with this; what cases were not opened and why.

You should also describe the physical state of affairs, possible errors in binding and options for correcting them; reasons for exceeding the volume of one volume (more than 250 pages or thickness more than 4 cm).

The preface is signed by the compiler, indicating the position and date of compilation, as well as the head of the organization’s archive (the person responsible for the archive).

If the person responsible for the archive changes, he will have complete information about the organization’s documentary fund (Example 12).

■ Table of contents. A table of contents must be compiled for the completed inventory (clause 3.7.19 of the Basic Rules). The table of contents is compiled for the annual section of the inventory, if it contains subsections, other smaller groups of cases, and a reference apparatus for the section. The table of contents includes:

• preface;

• list of abbreviations (compiled if necessary);

• names of all subsections and smaller groups of cases included in the section;

• signs (if any) (clause 3.7.12 of the Basic Rules).

Let's give an example of a table of contents.

■ Index. The index of words is compiled for the completed inventory of cases (clause 3.7.19 of the Basic Rules). The index to the inventory of permanent storage cases may look like this:

■ List of abbreviated words. It is also compiled for the completed inventory (clause 3.7.19 of the Basic Rules).

■ Final entry. A final record is compiled for the inventory, which records the number of cases included in the inventory, contains the signatures of the inventory compilers, and also

stamps of the approving structures (municipal or state archive and EC of the organization) (Example 13).

■ Certification sheet. The last sheet of the inventory is the document certifying the case. The certifying sheet records the number of sheets in the inventory; it is not numbered.

The form of the case certification sheet is given in Appendix 8 to the 2015 Rules (Example 14).

REGISTER OF ITEMS

Inventories of cases are subject to accounting and are entered into the register of inventories. The inventory register is a mandatory archival document (clause 6.4.6 of the Basic Rules, clause 3.6 of the 2015 Rules).

The register of inventories is maintained in the archives of the organization if there are two or more inventories. All types of inventories compiled in the organization, including an inventory of electronic documents, are entered into the register.

Inventories are entered into the register of inventories in the chronological sequence of their receipt, under the corresponding serial numbers. If the organization has not previously maintained a register of inventories, then it must be compiled and the inventories must be entered there for all years of the organization’s operation, starting with the earliest inventory.

The register of inventories records the main data on the composition of each inventory received in the archive of the organization: fund number, inventory number, number of cases described in it, number of sheets in the inventory and its copies.

The inventory register form is given in Appendix 19 to the 2015 Rules (Example 15).

APPROVAL OF DESCRIPTIONS AT THE MEETING OF THE EXPERT COMMISSION

The expert commission (EC) is an advisory body under the head of the organization. It is created by order of the manager.

EC meetings are documented in minutes. The protocol is signed by the chairman and secretary of the commission. Decisions of the EC come into force after approval by the head of the organization (clause 2.2.6 of the Basic Rules) (Example 16).

Based on the results of the EC meeting, if the list of cases is agreed upon, at the end of its annual section a stamp of approval is placed indicating the number of the EC protocol and the date of the meeting at which it was considered (clause 3.7.14 of the Basic Rules).

If the organization is the source of acquisition of the state archive, then the annual sections of the inventory of the organization’s affairs agreed upon at the meeting of the expert commission are sent for consideration by the archival institution. After approval of the annual section at a meeting of the EPC of the archival institution, the section is approved by the head of the organization, then the first copy of the annual section of the consolidated inventory is transferred to the state archive as a control copy, the rest remain in the organization (clause 3.7.14 of the Basic Rules).

The corresponding approval and approval stamps are drawn up at the bottom of the inventory (see Examples 1, 2, 4–9).

[1] Approved by order of the Ministry of Culture of Russia dated August 25, 2010 No. 558, as amended. dated 02/16/2016; further – List 2010.

Who should draw up the document

Maintaining personal files falls within the competence of personnel specialists, therefore compiling an inventory of the documents stored in them is also their prerogative. But in some cases (for example, in small businesses), the inventory can be drawn up by the secretary or head of the company - the main thing is that the employee has a sufficient level of qualifications to fill out the document in the correct order and in its entirety. This is especially true now that the previously approved procedure for conducting personal affairs has been canceled and employees of enterprises in this process must rely only on their experience and generally accepted practice.

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:

Conduct an annual examination of the value of documents (clause 4.11 of the Rules).
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.

How to draw up an internal inventory of personal documents

Today there is no single, unified, mandatory sample of this document. Therefore, companies can use one of two options:

each time, as needed, compose it in any form (which is inconvenient when there are a large number of personal matters),
use a template developed and approved by the organization (it must be registered in the company’s accounting policies).

The document must contain a number of information:

Business name,
position and full name of the employee whose documents are described,
list of described documents,
a complete list of papers stored in the personal file (as well as their copies).

The inventory includes not only work books, education documents and certificates of advanced training courses, but also award sheets, copies of orders and instructions concerning the employee, lists of scientific works, information about academic degrees, etc.

It is best to enter basic information into a document in the form of a table.

It should also be noted that as the personal file expands, all new papers entering it should also be recorded in the inventory, as well as those that are removed from it or, conversely, returned to it (indicating the persons and the reasons why they needed).

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:

Title page.
Content.
Preface.
List of abbreviations.
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.

How to fill out an inventory of personal documents

The document can be drawn up either by hand (using a ruler, pencil and pen) or printed on a computer (the most convenient, because you can print the required number of copies at once). It can be filled out on a blank A4 sheet or on the company’s letterhead (it doesn’t matter). Usually one copy of the document is made for each case, but if an employee asks for a copy, the employer’s representative has no right to refuse him.

The inventory may consist of one or several sheets (if there is a large number of documents). If it contains many pages, they should be numbered.

When filling out a document, you should avoid inaccuracies and errors, and even more so, entering into it deliberately unreliable or false information - if such facts are discovered, this can lead to disciplinary punishment of the responsible employee.

The document can be stored in different ways, for example, glued to the back of the title page of the personal file folder, or simply placed in a folder (if the inventory has many sheets).

How to write

Let's approach this task sequentially and fill out the form step by step.

Filling out the header

Everything here is quite simple and standard: we enter the full name of the organization in accordance with the charter and staffing table.

Filling out the main body

We assign a number and enter the names of the cases as they are called in the nomenclature of the department’s cases (index). We indicate the number of sheets (not pages!). The latest dates mean the dates of registration or compilation of the very first and last case.

Please note that the sixth column is not filled in in this case, but in the seventh you can refer to the item in the list approved by Order of the Ministry of Culture of August 25, 2010 No. 558, why this is a matter of permanent storage.

Let's sum it up

Here we indicate how many things we have done, nothing complicated.

Let's sign

The person responsible for office work in the department signs first and puts the actual date

We agree

Next, the responsible clerk goes to the head of the department, who is responsible for organizing and controlling all document flow within the enterprise. They are usually called documentation support departments or offices. There, after the head of this department is convinced that everything is in order, he agrees on the inventory and also sets the actual date.

Please note that the field for approval by the expert commission in this case was left empty. This is because there is no expert commission in this unit. If she had, there would have been details of her protocol, and the head of the office would have had to show this protocol.

We approve

After everything has been signed and agreed upon, we take it to our head (department) for signature.

In a similar way, a list of temporary storage cases is compiled, with the only difference that an additional column “Storage period” is added there, which can be different for each case (see Order of the Ministry of Culture dated August 25, 2010 No. 558).

You can download the completed sample.

Sample of compiling an inventory of documents of a personal file

The title indicates the name of the inventory and the details of the employee whose personal records are being described. It also contains the name of the employing company.

Next, a list of inventory documents is drawn up in a table:

document number in order,
then its index (or number according to the internal document flow of the enterprise),
date of preparation and signing,
title, i.e. the name of the document (this is where the original or a copy is written),
sheet numbers,
notes, which usually indicate the condition of the document, the dates and reasons for its withdrawal and return, etc. information.

Below the table, the number of documents in the personal file is indicated in words.

At the end, the inventory is certified by the personal signature of the person responsible for the maintenance and storage of the employee’s personal files (indicating his position and deciphering the autograph).

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.