A personal file is a set of documents containing the most complete information about the employee and his work activities.
At the same time, labor legislation does not regulate the composition of a personal file; the legislation does not provide for any requirements for filling out a personal file. Moreover, maintaining an employee’s personal file is not mandatory. Keep personal files of current employees only in the HR department.
Transfer the files of resigned employees to the archives. The procedure for creating a personal file is indicated below in the text. In accordance with paragraph 3.6.4 of the Rules, approved by the decision of the Rosarkhiv board of February 6, 2002, file the documents of your personal file with four punctures in a hard cardboard cover (binder) or bind them in such a way that you can read the text of all documents, including including date, visa and resolution.
Before filing (binding), remove staples from all documents. At the beginning of the case, attach the forms for the internal inventory of the documents of the case, and at the end – the forms of the sheets certifying the case. Keep the personal files of employees for 75 years, and keep the personal files of managers, members of the governing, executive, and control bodies of the organization, employees with state and other titles and awards, forever.
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Thus, having considered your questions, we can answer:
- Is it possible to archive the LD in this form? — the detailed procedure for creating a personal file is indicated below in the text.
- Is it necessary to flash the LDs of fired employees? – yes, necessarily (clause 3.6.4 of the Rules, approved by the decision of the Rosarkhiv board of February 6, 2002).
- We are specifically interested in the issue of registration, and in the event of any external inspections, our responsibility for this registration and storage – for violation of the rules of storage, acquisition, accounting or use of archival documents, administrative liability is provided (Article 13.20 of the Code of Administrative Offenses of the Russian Federation) .
Penalties – warning or administrative fine in the amount of:
- from 100 to 300 rubles. for citizens;
- from 300 to 500 rub. for officials (for example, the head of an organization).
More details in the System materials:
- Answer: How to register an employee’s personal file
Formation of a personal file
In the book you will find instructions on personnel records management that will make your work easier; document details.
You will also learn how to restore personnel records after its predecessors; learn everything about the archive of personnel documents: from the formation of files to the destruction of documents.
Let’s consider an examination of the value of documents, tell you what to do with old documents and how to quickly establish personnel records, or 20 regulations that every personnel officer must know.
Create a personal file in a separate folder for each employee. This is a convenient form of systematizing personal data. As a rule, in organizations personal files are opened for managers, specialists, and financially responsible employees.
The procedure for creating personal files of employees is approved by the head of the human resources department (if there is no such department, by the head of the organization). This procedure can be prescribed in an order, instruction or special instruction. As a rule, the following documents are included in a personal file:
- internal inventory of case documents;
- personal sheet for personnel records;
- addition to the personal personnel record sheet;
- job application;
- a copy of an identity document;
- a copy of the state pension insurance certificate;
- copy of TIN;
- job description;
- copies of education documents;
- references and letters of recommendation;
- employee personal statements;
- employment contract;
- copies of personnel orders relating to this employee;
- certification sheets;
- reviews of officials about the employee;
- health certificates;
- document certifying the file (drawn up when submitting the personal file to the archive).
Location of documents in the personal file
Initially, a personal file includes documents accompanying the hiring procedure, since it is opened immediately after the issuance of an order to hire an employee. In the course of work, the personal file is replenished with other documents. The last, final document in the personal file folder will be a copy of the order to terminate the employment contract. This procedure follows from clauses 3.5.3 and 3.6.18 of the Rules, approved by the decision of the Rosarkhiv board of February 6, 2002
Documents are located in the personal file in chronological order as they are received (clause 3.5.5 of the Rules approved by the decision of the Rosarkhiv board of February 6, 2002).
From the book you will learn how to formalize dismissal due to loss of trust if the term of the employment contract ends.
We will consider in detail when it is possible to fire an employee on sick leave, and how to fire an employee for non-compliance with professional standards.
Let’s look at how to formalize the dismissal of a disabled employee, how to formalize early dismissal due to layoffs.
Storing personal files
Keep personal files of only working employees in the HR department. Transfer the files of resigned employees to the archives for storage. Sew personal documents with four pins into a hard cardboard cover (binder) or bind them in such a way that you can read the text of all documents, including dates, visas and resolutions. Before filing (binding), remove staples from all documents. This procedure follows from paragraph 3.6.4 of the Rules, approved by the decision of the Rosarkhiv board of February 6, 2002
At the beginning of the case, file the forms for the internal inventory of the documents of the case, and at the end – the forms of the sheets certifying the case (clause 3.6.7 of the Rules, approved by the decision of the Rosarkhiv board of February 6, 2002).
Keep the personal files of employees for 75 years, keep the personal files of managers, members of the governing, executive, control bodies of the organization, employees with state and other titles and awards – permanently (Article 656 of the list approved by order of the Ministry of Culture of Russia dated August 25, 2021 No. 558). Audit of personal files
To systematize data and check the availability of personal files and the correctness of their execution, they can be audited annually. Document the results of such a check in an act (for example, you can take the form given in Appendix 56 to the order of the Federal Customs Service of the Russian Federation dated October 18, 2004 No. 160 as a sample). Place notes on the verification of your personal file in the addition to your personal personnel record sheet.
Deputy Director of the Department of Education and Human Resources of the Russian Ministry of Health
Documents required for storage
Legislation obliges all employers to ensure the storage of archival documents that are generated in the course of their activities (clause 1 of Article 17 of the Law of October 22, 2004 No. 125-FZ). The personnel department of an organization is, as a rule, responsible for storing documents on personnel.
Document storage periods
The periods during which documents on personnel must be stored are indicated in the list approved by order of the Ministry of Culture of Russia dated August 25, 2021 No. 558. The beginning of the storage period for documents is considered to be January 1 of the year following the year in which they were compiled (paragraph 4 of clause 1.4 of the list approved by order of the Ministry of Culture of Russia dated August 25, 2021 No. 558).
Read more about the dismissal here:
Thus, orders for hiring, transfer, dismissal and other orders for personnel must be kept for at least 75 years. An exception to this rule is orders for granting vacations, sending on business trips in Russia (as well as other documents about business trips: assignments, reports, etc.), as well as orders for penalties. They only need to be stored for five years.
Employment contracts, personal cards and personal files of employees must also be kept for 75 years, and personal files of managers – permanently. The staffing table is also required to be maintained at all times.
Workplace certification materials should be stored for 45 years, and in difficult, harmful or dangerous working conditions – 75 years.
Keep the labor regulations even after replacing them with new ones. Shelf life is one year. A one-year shelf life is also established for vacation schedules.
The period during which it is necessary to store documents confirming that the employee received education at the expense of the organization is determined by the requirements of tax legislation. The fact is that paragraph 3 of Article 264 of the Tax Code of the Russian Federation establishes that in order to write off these costs to reduce taxable profit, the organization must keep all documents confirming training (agreement with an educational institution, an order from the head to send an employee for training, an act of provision of services, a diploma , certificate, certificate, etc.). Their storage period is limited to the duration of the training contract and one year of the employee’s work, but not less than four years.
Document storage conditions
To store documents, the organization needs to equip special premises (safes or cabinets). Recommendations for the construction of such storage facilities are given in the Rules approved by the decision of the Rosarkhiv board of February 6, 2002, and the Rules approved by order of the Ministry of Culture of Russia dated January 18, 2007 No. 19. It is not necessary for commercial organizations to comply with all the requirements for the equipment of special premises for storing documents (paragraph 3 of the introduction to the Rules, approved by the decision of the Rosarkhiv board of February 6, 2002, clause 1.1 of the Rules, approved by order of the Ministry of Culture of Russia dated January 18, 2007 No. 19) .
If an organization stores documents in electronic form, then it is necessary to ensure a storage mode that prevents loss, destruction or distortion of information. In addition, during the storage of such documents, it is necessary to rewrite them onto new media (as the previous media becomes obsolete). This is stated in paragraph 18.104.22.168 of the Rules, approved by the decision of the Rosarkhiv board of February 6, 2002
In order to ensure effective storage of documents (both in paper and electronic form), an organization can create its own archive (clause 1.1.2 of the Rules approved by the decision of the Rosarkhiv board of February 6, 2002). Documents with an expired storage period can be destroyed (clause 2.3.2 of the Rules, approved by the decision of the Rosarkhiv board of February 6, 2002).
Responsibility for violations committed when working with archival documents
For violation of the rules of storage, acquisition, accounting or use of archival documents, administrative liability is provided (Article 13.20 of the Code of Administrative Offenses of the Russian Federation).
Penalties – warning or administrative fine in the amount of:
from 100 to 300 rub. for citizens;
from 300 to 500 rub. for officials (for example, the head of an organization).
Deputy Director of the Department of Education and Human Resources of the Russian Ministry of Health
Regulatory framework: Decision of the Federal Archive of February 6, 2002
Federal Archive Service of Russia
ALL-RUSSIAN RESEARCH INSTITUTE OF DOCUMENTATION AND ARCHIVING
Basic rules for the work of archives of organizations
decision of the Board of Rosarkhiv
2. Examination of the value of documents
3.6. Requirements for registration of cases accepted into the archive
3.6.1. The registration of cases is carried out by employees of the documentation support service of the organization’s management or other structural units whose responsibilities include the establishment and formation of files, with methodological assistance and under the control of the organization’s archive.
3.6.2. Depending on the storage period, full or partial registration of cases is carried out.
3.6.3. Cases of permanent, temporary (over 10 years) storage and personnel records are subject to full registration.
Complete registration of cases includes:
file filing or binding;
numbering of case sheets;
drawing up a certification sheet;
drawing up, if necessary, an internal inventory of documents;
introducing the necessary clarifications into the details of the cover of the case (clarification of the name of the organization, the registration index of the case, the deadlines of the case, the title of the case).
Cases of temporary (up to 10 years inclusive) storage are subject to partial registration: it is allowed not to systematize the documents in the case, not to number the sheets of the case, not to draw up certification notes.
3.6.4. The documents making up the cases are filed with 4 pins in a hard cardboard cover or bound, taking into account the possibility of free reading of the text of all documents, dates, visas and resolutions on them. When preparing files for filing (binding), metal fasteners (pins, paper clips) are removed from the documents.
3.6.5. Permanent files consisting of highly valuable documents or non-format documents are stored in closed, rigid, three-flap folders with drawstrings or in boxes.
3.6.6. If there are unclaimed personal documents in the file (identity cards, work records, military IDs), these documents are placed in an envelope, which is filed in the file. If there are a large number of such documents, the latter are removed from the files and a separate inventory is drawn up for them.
3.6.7. At the end of each case, a blank form of the certifying sheet is filed, and at the beginning of the case (to record especially valuable documents) – a form for the internal inventory of the case documents.
3.6.8. In order to ensure safety and consolidate the order of arrangement of documents included in the case, all sheets of this case (except for the certification sheet and internal inventory) are numbered in Arabic numerals, gross numbering in the upper right corner of the sheet with a simple pencil or numberer. Sheets of the internal inventory of case documents are numbered separately.
3.6.9. Sheets of cases consisting of several volumes or parts are numbered for each volume or for each part separately.
3.6.10. Photographs, drawings, diagrams and other illustrative documents representing an independent sheet in the file are numbered on the reverse side in the upper margin of the sheet.
3.6.11. The folded sheet (A3, A2 format) is unfolded and numbered on the right side of the top margin of the sheet. In this case, a sheet of any format, hemmed at one edge, is numbered as one sheet; a sheet folded and hemmed in the middle is subject to re-stitching and is numbered as one sheet.
3.6.12. A sheet with firmly pasted documents (photos, clippings, extracts, etc.) is numbered as one sheet. If other documents are glued to the document at one edge (text inserts, translations, clippings, etc.), then each document is numbered separately.
3.6.13. Envelopes with attachments filed in the case are numbered; in this case, the envelope itself is numbered first, and then each attachment in the envelope is numbered with a subsequent number.
3.6.14. Documents filed in the case with their own numbering of sheets (including printed publications) can be numbered in the general order or retain their own numbering if it corresponds to the order of the sheets in the case.
3.6.15. If a large number of errors are detected in the numbering of the case sheets, they are renumbered. When renumbering sheets, the old numbers are crossed out and the new sheet number is placed next to it; at the end of the case, a new certification sheet is drawn up, while the old certification sheet is crossed out, but remains in the file.
If there are individual errors in the numbering of sheets in files when preparing them by the organization’s archive for transfer to state storage, it is allowed, in agreement with the state archive, to use lettered sheet numbers.
3.6.16. The certification sheet is drawn up in the file on a separate sheet, in books – on the reverse side of the last blank sheet, in card files – on a separate blank sheet of card format.
The case certification sheet is drawn up in the prescribed form (Appendix 9), which indicates in numbers and in words the number of numbered sheets of the case, the number of sheets of the internal inventory, and specifies the specifics of the numbering of case numbers (presence of lettered case numbers, missing numbers, sheet numbers with pasted photographs, numbers of large-format sheets, envelopes with attachments and the number of sheets enclosed in them), and also indicates the presence in the file of printed copies of brochures with the number of sheets in them, if they were not noted in the general gross numbering in the file.
The document certifying the case is signed by its compiler. All subsequent changes in the composition and state of the case (damage, replacement of original documents) are noted in the certification sheet with reference to the relevant act.
It is prohibited to place the certification sheet on the cover of the case or the blank back of the last document. If the case is filed or bound without a form of the certification sheet, it is pasted behind the top of the sheet on the inside cover of the case.
3.6.17. An internal inventory of case documents is compiled to record documents of permanent and temporary (over 10 years) storage, the recording of which is caused by the specifics of this documentation (especially valuable, personal, judicial, investigative cases, etc.), as well as to record cases of permanent and temporary ( over 10 years) storage, formed according to types of documents, the headings of which do not reveal the specific content of the document.
The internal inventory is compiled on a separate sheet according to the established form (Appendix 10), which contains information about the serial numbers of the case documents, their indexes, dates, headings and sheet numbers of the case. A final record is drawn up for the internal inventory, which indicates in numbers and in words the number of documents included in it and the number of sheets of the internal inventory.
The internal inventory is signed by its compiler. If the case is bound or filed without an internal inventory of documents form, then the inventory drawn up in the prescribed form is glued to the inside of the front cover of the case.
Changes in the composition of case documents (withdrawals, inclusions of documents, replacement with copies, etc.) are reflected in the “Notes” column with links to the relevant acts. If necessary, a new final entry for the internal inventory and a certification note of the case are drawn up.
3.6.18. The cover of the case for permanent, temporary (over 10 years) storage and for personnel is drawn up and executed in the prescribed form (Appendix 11), which indicates the name of the organization, structural unit, case index, archive code of the case, number of the case (volume, part) according to annual section of the summary list of cases, title of the case.
On the cover of permanent storage files, space is provided for the name of the state archive into which the organization’s files will be accepted, designation of the codes of the state archive and organization.
When the name of an organization (structural unit) changes during the period covered by the case documents, or when the case is transferred to another organization (to another structural unit), the new name of this organization or the legal successor organization is indicated on the cover of the case, and the previous name of the organization (structural unit) is enclosed in parentheses.
The title of the case on the cover of the case is transferred from the nomenclature of the organization’s cases, agreed upon with the expert review commission of the relevant archival institution. If necessary, clarifications are included in the title (numbers of orders, protocols, etc.).
In cases where the case consists of several volumes (parts), the general title of the case and the title of each volume (part) are placed on the cover of each volume (part).
The headings of cases containing copies of documents indicate their copy number. The authenticity of the case documents is not stated in the title.
On the cover of the case, the extreme dates of the case are indicated in Arabic numerals – the year(s) of establishment and completion of the case.
If the case includes documents (appendices, etc.), the dates of which go beyond the deadlines of the case, then under the dates of the case, on a new line, an entry is made about this: “the case contains documents for. year(s)”. Case dates may not appear on the cover of files containing annual plans and reports, as they are reflected in the case titles.
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) ), the deadlines for the case documents are indicated, i.e. dates of registration (drafting) of the earliest and latest documents included in the case.
If the case is a journal for recording orders, instructions, etc., then the date of the case will be the exact calendar dates of the first and last entries in the journal.
The deadlines for a case containing minutes of meetings are the dates of approval (for documents that are approved) or the drawing up of the first and last minutes constituting the case.
The deadlines for a personal file are the dates of signing the order for the hiring and dismissal of the person for whom this file was opened.
Mandatory details for the cover of the case are the number of sheets in the case, which is affixed on the basis of the certification inscription of the case, and the storage period for the case (on permanent storage cases it is written: “Keep permanently”).