Drawing up an internal inventory of case documents. Sample

Helps the employee to keep records correctly and to easily and quickly find necessary documents among others if necessary. The inventory allows you to provide information about documentation for review without the need to review the documentary units themselves each time.

The internal inventory is filled out and the information is up to date by the same employee who is responsible for or maintaining the personal files of the organization’s employees.

The inventory form is created at the same moment when the employee’s personal file is submitted for registration.

This form must be attached to your personal file. The inventory is filled in with information about documents gradually, as the specified papers are received in the employee’s personal file. The page numbering of the form differs from the page numbering of the sheets of the employee’s individual file. Usually, documents whose shelf life exceeds ten years or documents of special value are taken into account.

What papers are included in a personal file?

The employee's personal file includes everything personnel documents, which are required for hiring and in the process of working in the organization. This list includes:

A job application written by an employee.
or agreement.
Instructions that the employee is familiar with and follows. For example, job description and safety instructions during operation.
Card with personal information of the employee.
Copies of employee education documents, including diplomas, certificates, certificates of completion of advanced training courses or additional courses, and so on.
Autobiography.
and recommendations from your previous place or places of work.

How is the internal inventory completed?

The inventory format is an information table. When compiling it, be sure to fill in all the cells of the table:

The first column of the table is the serial number of the subitem.
Then the document index is specified.
Date of inclusion of the documentary item in the personal file.
The title of the document is legible and clear. If necessary, this section can briefly indicate the contents of the document.
Volume of the document in pages.
Document number in the personal file sheet numbering system. Please note that the personal file must maintain continuous numbering.
Notes – marks and comments that do not apply to other sections of the table. Among other things, in this section you can note the fact that the described document was issued to the employee, if a special column is not provided for this.

Depending on the personnel records system in the organization, additional data may be indicated in the internal inventory. For example, the date the document was issued, the full name of the owner, the date the document was returned, the signatures of the employee who included the document in the personal file, and the owner of the document. The form is signed by the personnel employee who filled it out.

The internal inventory of the case is accounting form, which includes information about all the documents it contains. It allows you to streamline the company’s internal document flow and minimize the risk of losing important papers.

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.

Purpose of the form

The number of the above documents can be in the dozens. And the sum of their sheets is even more. There is a high probability of not noticing that one page is missing. But the presence of an inventory will not allow this:

It lists all papers in the order they were received.
All pages are numbered and take their place in the general folder.
From the sheet numbers we can conclude the number of pages in each document.
If any sheet is missing, it is easy to determine.
Based on the notes, you can deduce whether it was taken for a specific purpose or simply lost.

Therefore, all files stored for longer than 10 years (or for an indefinite period), as well as those relating to personnel, must have such an insert.

Case inventory: sample compilation

The form is given in Order of the Ministry of Culture of Russia No. 526 dated March 31, 2015 (Appendix 27). It consists of a table with registration data (for each official paper), lines indicating the number of documents and lines indicating the total number of sheets in the folder.

In the tabular section you should write:

serial number (for a specific case);
registration index (for intra-company document flow in general);
date (not the issuance of the document, but its submission for inclusion in the case);
title (for example, “Copy of passport” or “Employment contract”);
number of case sheets (as a whole for the folder);
notes (for example, dates and reasons for withdrawal and return).

The form must be signed by its originator (for example, a personnel officer).

The internal inventory of case documents has a unified form, provided for by the Basic Rules for the Operation of Archives of Organizations (approved by the decision of the Board of Rosarkhiv dated 02/06/2002). Typically, such an inventory is placed in the file containing the most valuable documents when preparing it for submission to the archive. However, a personal file is an exception - an inventory of documents is carried out immediately upon its establishment and filed at the very beginning ( appendix 2). When maintaining a personal file, all documents that are filed in it are entered into the internal inventory.

Personal sheet for personnel records

A personal personnel record sheet is an accounting document that reveals information about the employee’s personal data, his work activity, incentives, etc. The content of this document, as a rule, is a “questionnaire” with a prepared place for entering answers ( Appendix 3).

The personal sheet contains a list of questions about the employee’s biographical data, education, and work performed from the beginning labor activity, marital status, stay abroad, participation in elected bodies, etc.

The personal form is filled out by hand upon employment by the employee himself in one copy without blots or corrections, signed and dated. The completeness and correctness of filling out the personal sheet is checked by a personnel service employee with entries in documents such as a passport, work book, diploma, military ID, etc.

Another type of accounting document in a personal file is a questionnaire, which may contain similar questions.

Thus, sometimes, instead of a personal personnel record sheet, a questionnaire is used, which contains basically the same columns as the personal sheet, but is filled out by the applicant before being hired and is included in the personal file only if this applicant becomes an employee of the organization. A personal file may include both a questionnaire and a personal sheet.

It is advisable that the forms of documents such as a personal personnel record sheet, a questionnaire, be approved by the employer independently, taking into account the specifics of its activities.

Maintaining a personal file

During his working life, the employee’s personal file may be supplemented with the following documents:

copies additional agreements to the employment contract (or copies thereof);

notifications about changes in conditions employment contract at the initiative of the employer;

copies of orders on transfer to another job, on promotion, application and removal of disciplinary sanctions;

copies of documents confirming changes in biographical information about the employee;

copies of explanatory notes and reports, employee statements on various issues;

certification materials (if they are carried out in relation to the employee);

results of mandatory periodic medical examinations(surveys);

documents that served as the basis for issuing an order to terminate (terminate) the employment contract;

a copy of the order to terminate the employment contract;

a copy of the work book;

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 Archival Fund are devoted to case inventories Russian Federation and other archival documents in the authorities state power, organs local government and organizations (approved by order of the Ministry of Culture of Russia dated March 31, 2015 No. 526; hereinafter referred to as the Rules 2015).

The 2015 rules contain 7 inventory forms:

Inventory of cases permanent storage(Appendix 14);

Inventory of cases by personnel (Appendix 15);

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

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

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

Inventory of affairs of a structural unit (Appendix 23);

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

■ Dedicated to the compilation and execution of case inventories section 3.7 of the Basic Rules for the Operation of Organizational Archives(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 for cases that, according to the lists, have a “permanent” shelf life. These include, for example, agreements on the creation of a company, amendments and additions to them (Article 51 of the List of standard management archival documents generated in the process of activity government agencies, local governments and organizations, indicating storage periods).

In the table for the inventory of permanent storage cases, 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 affairs are traditionally systematized according to structural divisions, who generated documents on personnel.

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 (reception, 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 workers ( 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 Acts;

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).

■ Personal accounts. Personal accounts of workers and employees according to wages are grouped into separate cases 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) for personnel. Orders (instructions) regarding personnel are formed into separate cases according to the nomenclature of cases, in accordance with established deadlines storage 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 2016, 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.

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

5 Form 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 in in electronic format. 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.

6 The 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 Basic 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 Rules 2015). 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 divisions, and the headings of cases formed from documents separated from files with temporary storage periods that were marked “ EPK”, and only after checking them with the consolidated nomenclature for the same year and checking the correctness of the formation and execution of cases. IN necessary cases case headings are clarified, cases are expanded and reformatted when 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 - index of the structural unit, 03 - 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 designated 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 installed 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 department for accounting and control, 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:

Fund name;

Fund number;

Inventory number;

The name 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;

Deadline dates 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.

To the historical part enter information:

According to 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:

Given a brief description of the content and completeness of the fund documents included in the section;

The presence of cases that go beyond the chronological boundaries of the fund is indicated;

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;

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 are covered.

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 mistakes during 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 documentary fund organizations (Example 12).

Preface;

List of abbreviations (compiled if necessary);

The 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.

■ Pointer. The index of words is compiled for the completed inventory of cases (clause 3.7.19 of the Basic Rules). An 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 mandatory document archival records (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 kept a register of inventories, then it needs to be compiled and 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 control state archive, 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).

Are you preparing documents for transfer to the archive? Find out how to correctly draw up an internal inventory of case documents, where to get standard form and what filling samples to use.

From the article you will learn:

Purpose of an internal inventory of case documents

According to current legislation, the term “case” in office work is understood as a set of documentation that addresses one issue or relates to one area of activity (GOST R 51141 - 98). The procedure for creating a case includes grouping and systematization of completed documentation in accordance with the nomenclature of cases.

The final stage of forming a case is the preparation of an internal inventory of documents, which is an accounting document containing full list official papers included in the case, indicating serial numbers, identifiers, headings and dates, as well as numbering of sheets of the case. It is needed in order to classify and index documentation and provide it with numbering.

According to clause 3.6.17 of the Basic Rules for the Operation of Archives of Organizations (developed by VNIIDAD, approved by the Board of Rosarkhiv on 02/06/2002), an internal inventory is necessary:

to record documentation of permanent and temporary storage (more than 10 years), if it is stored due to its special value (personal, investigative, court files);

to record cases of permanent and temporary storage, which were formed on the principle of combining official papers of the same type, but their headings do not reveal their contents;

Such a list is necessary to enable interested parties (for example, when transferring papers to archival storage), compare the contents of the list and the actual availability of documentation, check its safety and correctness of execution.

The internal inventory is compiled in accordance with the standard form on a separate sheet of paper. The form is given in Appendix No. 10 to the above Rules and is used by those organizations that follow the office work standards established by Rosarkhiv.

Internal inventory of case documents: standard form

When compiling an internal inventory of case documents, it is necessary to use the form developed by VNIIDAD as a sample. This template includes the following information:

Sequence number (record number);

Index (unique object identifier);

Title ( summary official paper);

Sheet numbers (which sheets of the case file this documentation occupies).

In addition, the standard form allows the clerk to include notes for each item in the file (for example, if a copy is filed rather than the original). If necessary, the clerk can add fields to standard form, however, the above columns cannot be removed.

For registration you will need a regular white A4 sheet. Letterheads are usually not used, and that's all necessary information indicated directly on the title page.

A final entry must be made for the internal inventory. It indicates how many sheets of documentation are included in the file and how many sheets the list itself occupies.

Sample internal inventory of personal file documents

Internal list of documents a personal file is essentially an insert in a folder with an employee’s dossier. It provides a list of all documentation collected for the employee in individually. This list, like a personal file, is filled out continuously throughout the entire period of employment of this employee.

For all papers included in the folder, indicate the date and number, title, and sheet number. A note is also required indicating whether the dossier is an original or a copy. This list is certified by the signature of the compiler. IN mandatory indicate the date of compilation.

If an employee is dismissed, his personal file is sent to the archive for storage. A letter of resignation (or any other document indicating the reason for dismissal), as well as the corresponding order from the manager, is filed in the folder.