According to the “Basic Rules for the Operation of Archives of Organizations”, approved. By the Board of Rosarkhiv dated 02/06/2002, all files of permanent or temporary storage (more than 10 pages) are subject to full registration. This means that the case needs to be hemmed or bound, and also numbered. Then you need to prepare a certification sheet and, if necessary, an internal inventory of the attached documents. The same norm is stipulated in the Rules of Archival Affairs, approved. Ministry of Culture (Order No. 526 of January 31, 2015). For your information, it is these two normative acts that should be relied upon when preparing cases for their subsequent transfer for archiving.
It follows that the preparation of a certification sheet is a mandatory requirement for the complete registration of the case, which is transferred for archival preservation of at least 10 pages. This is an important document that contains mandatory information about the number of numbered sheets of the case, internal inventory, and other nuances of numbering.
The compilation and preparation of the certification sheet is carried out for the most part using the norms and regulations determined by the Rules, approved. By Order of the Ministry of Culture of the Russian Federation No. 526 of March 31, 2015.
Format, form of certification sheet
So, before transferring the case for preservation, it must be formalized in the generally established manner. To do this, you will need, among other things, to fill out a certification sheet, indicating the number of sheets of the case, their actual physical condition and the nuances of numbering. It should be noted that we are talking about cases that are executed on paper.
A standard one-page form is provided for the certification sheet. One of its later versions is presented in Appendix No. 9 of the Rules, approved. Rosarkhiv, and the second – Appendix No. 8 of the Rules, approved. Ministry of Culture of the Russian Federation. Both options are almost identical and require entering the same data.
Unlike the first, the second form, introduced by order of the Ministry of Culture of the Russian Federation (Appendix No. 8), is supplemented with one more line. It needs to detail the filed and numbered sheets, i.e. indicate the numbers of the first and last sheet. Otherwise, both the form and the procedure for filling out the form for 2020 have not undergone any changes and remain the same.
| Form of certification sheet | Who approved the form, where can it be found? |
| Adj. No. 8 to Order of the Ministry of Culture of the Russian Federation No. 526 of January 31, 2015 | |
| Adj. No. 9 to the Rules, approved. By decision of the Board of Rosarkhiv dated 02/06/2002 |
It is believed that the Rules, which are approved by the Federal Archive, are more of a methodological nature, and the Rules, approved. Order No. 526 of the Ministry of Culture of the Russian Federation is normative. For practical purposes, the latter document has dominant meaning. Accordingly, the form of the certification sheet introduced by a more current order of the Ministry of Culture will be considered below.
Certification sheet in the accounting document system
Modern office work is a separate area of activity devoted to documentation issues, as well as the organization of work with documentation. One of the most important areas of office work
formation of cases is considered. The term “case” refers to documents combined into a set based on the principle of belonging to one area of work. A case brings together documentation related to the same issue. For example, these could be personnel, reporting or financial documents.
The safety of the most important official papers, as well as the speed of their retrieval during subsequent work, depends on the correct distribution of documentation into files. Of great importance when creating cases is the systematization and arrangement of documents within the case, i.e. the principle of its formation.
The inventory belongs to the category of accounting documents and is, in fact, a kind of table of contents, a list. The inventory indicates their serial numbers, identification indexes, names, dates of registration, page numbers. The need and rules for compiling inventories are determined by internal regulations: Instructions for office work
, as well as special provisions and instructions.
The document certifying the case can also be considered an accounting document. It contains information about the peculiarities of the content of the case in the archive of the institution and the specifics of its formation. It is used to keep track of the total number of case sheets. In addition, it records the peculiarities of their numbering.
Contents of the certification sheet drawn up for the case: what should be filled out
To prepare the certification sheet, it is recommended to use a separate sheet of paper in A 4 format (210 x 297 mm), which can be hemmed after filling.
Its standard form includes standard document details, as well as information related to the case filed for archival storage. The structure of the form provides for entering the following information:
- No., title, date of compilation;
- position held, handwritten signature of the compiler with subsequent transcript;
- total number of case sheets;
- lettered and missing sheet numbers, if available;
- number of internal inventory sheets;
- information about the actual physical state of the case, indicating the number of sheets.
The completed case must have a template composition, noted above by the above-mentioned regulations. In particular, the cover, title, internal inventory, attached, filed documents, certification sheet.
As established, such cases should include no more than 250 pages with a thickness of up to 4 cm. A copy of each document for one specific year is attached to them. An exception may be judicial, transitional or personal cases that are conducted throughout the entire period of the employee’s working life.
Applications, if available, are attached to the documents. If one application includes more than 250 sheets, it is prepared in a separate volume, about which a corresponding note is made in the document.
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Why is a personal file kept?
The management of personal files of employees is entrusted to the personnel department specialists at the enterprise.
Employees' personal files are essentially a binder of copies and originals of documents, orders, statements and other similar forms submitted by the employee.
The file with the case opens after issuing an order to hire an employee and closes after issuing an order to dismiss.
In the process of making decisions on personnel management, relevant specialists need to obtain information about a specific employee. In this case, the employee’s personal file is considered the most complete source. After all, it contains objective information.
Also, personal files of employees make it possible to provide information about employees in the shortest possible time upon incoming requests from outside.
Important! However, personnel officers should not forget about the protection of personal data, and that the employee must give written consent to the disclosure of such information. Therefore, employees’ personal files must be stored in a place where fixed access to them is organized. And in electronic form, various methods of appropriate protection are used.
How to properly prepare a certification sheet
When registering, you should take into account the norms of clause 3.6.16 of the Rules, approved. Rosarkhiv. They, as well as the procedure introduced by the Ministry of Culture, established that the certification sheet should be drawn up on a separate sheet if we are talking about a file or file cabinet. If it is drawn up for a book, then it is drawn up on the back of the last blank sheet of the book. When filling out the form, it is recommended to take into account the following explanations:
- The document number is determined according to the nomenclature of cases.
- The number of pages of the case is written down on the certification sheet, first in numbers and then in words. The internal inventory is not taken into account.
- Letter numbers are numbers with a letter that are used when one or a number of pages are omitted (for example, 1a, 19b). To avoid renumbering anything, the omitted pages are assigned numbers with letters.
- In the absence of data, when there are, for example, omitted or lettered pages, dashes are placed in the empty lines.
- The number of sheets of the internal inventory is also written down sequentially, first in numbers and then in words.
- By the features of the physical state of the case, which must be indicated in the table, we mean the distinctive specific features characteristic of it. They can be: damaged, hard-to-read pages, the presence of pasted-on photos, envelopes with contents, large-scale sheets, etc. If these are absent, the table is crossed out with the letter Z.
- The position of the responsible compiler and his handwritten signature with a transcript are indicated in the usual manner.
Often, after the case has been processed and submitted for preservation, changes are made to its composition. This happens for various reasons: when documents are damaged or when it is necessary to replace the original document with a photocopy.
Whatever changes are made to the composition of the case, they always need to be recorded. This is usually done with the help of an act where they are noted. Next, a corresponding note is made on the certification sheet with a reference to this act, certified by the signature of the responsible authorized archive employee.
Formation of personal files of employees
Formation of cases is the grouping of executed documents into a case in accordance with the nomenclature of cases and their systematization within the case.
The HR department employee forms the files.
Rules for forming cases
Documents are placed in the case in strict accordance with the nomenclature of cases approved by the company. When forming cases, you need to follow several rules:
- Only executed documents on which the work has been completed are placed in the file. It is prohibited to file documents that have not been executed or that must be returned to the file;
- Only the original documents are filed, and for outgoing documents - their second copies, certified by the signature of an authorized employee;
- drafts and versions of documents that are not signed or approved by the manager are prohibited from being filed;
- documents placed in the file must have registration numbers, internal page numbering, information about the performers, their signatures;
- the type of document and its content must correspond to the title of the case according to the nomenclature to which this document relates;
- documents within the case are arranged in chronological or numerical sequence;
- only one copy of the document is included in the file;
- documents with different retention periods are formed into separate files;
- documents on one issue are placed in one file;
- documents of permanent and temporary storage are grouped into separate files;
- documents executed within one calendar year are combined into the case. The exception is transitional, judicial and personal cases;
- the file should not contain more than 250 sheets. If the number of documents on one issue exceeds 250 sheets, the case is divided into volumes.
Filing of cases is a complex of works on the technical processing of cases: drawing up an internal inventory and certification, filing (binding) of the case, designing the cover.
Depending on the storage period, cases are subject to full or partial registration.
Cases of temporary (up to 10 years inclusive) storage are partially completed:
- they are not filed, but stored in binders;
- It is allowed not to number the sheets and not to file the sheet - the witness of the case.
Permanent and long-term (over 10 years) storage records require full registration. When fully completed, it is necessary to file or bind the files into a hard cover, number the sheets in the file, draw up a certification note and an internal list of documents.
To bind a case, four punctures must be made in the documents placed in it. The holes are pierced with an awl, a hand drill or a special hole punch. The documents are then stitched with strong thread and placed in a hard cover.
The text of the document cannot be stitched. If the text is very close to the edge of the sheet and can be damaged during filing, glue a strip of strong paper to the sheet, and use it to file the document.
The sheets in the file are numbered in pencil in the upper right corner. All sheets must be numbered, except for the internal inventory sheets and the sheet with the certification inscription. The internal inventory sheets are numbered separately. To correct a numbering error, just cross out the old number and put the new one next to it.
If a missing number is detected, you need to put an additional one next to it (it’s called a letter number). It consists of the number of the previous sheet and a letter, for example: 12a, 12b. Information about all changes in numbering is entered into the sheet - the witness of the case. The total number of sheets in the case is indicated on the cover.
The cover of the case is designed like this:
- in the top field indicate the full name of the company (if there is an official abbreviated name, it is placed in brackets) and the name of the structural unit;
- then write the serial number of the case according to the inventory (archive code);
- The case index and document storage period are transferred to the cover from the case nomenclature. The shelf life is indicated in the lower right corner of the cover. On files with a permanent shelf life they write: “keep permanently”;
- The dates of the case are also indicated in the lower right corner of the cover. They usually coincide with the deadlines for the case documents. For example, the dates of a case containing administrative documents (orders, instructions, etc.) are considered to be the date (day, month, year of registration or compilation) of the earliest document and the date of the latest document included in the case. The dates of the personal file are the date of signing the order to hire and the date of signing the order to dismiss the employee.
If documents contain confidential information, the cover must be marked “For Official Use,” “Secret,” or “Confidential.”
The internal inventory contains information about the titles of the documents that are placed in the file and the numbers of the sheets on which each document is located.
When compiling an inventory, the following rules must be observed:
- the headings of cases are entered into the inventory, strictly adhering to the systematization established in the nomenclature of cases;
- each case is assigned an independent number, and if it consists of several volumes, then each volume is assigned a separate number;
- the information in the inventory columns must exactly match the information on the cover of the case;
- When adding cases with the same headings to the inventory, only the title of the first case is written in full, and the rest are designated with the words “same.” Other information about these cases is given in full;
- In the “Note” column, notes are made about the acceptance of cases, their transfer to other departments, etc.
Based on the internal inventory, an annual section of the consolidated inventory of the company’s affairs is compiled. Usually, its preparation is carried out by the archive of the organization under the direct methodological guidance of the archival institution.
Here is a sample of filling out the internal inventory:
At the end of each case, a certification inscription is made on a separate sheet (sheet - the witness of the case). It takes into account the number of sheets of the case and records information about all changes in the composition and status of the case (for example, the addition of new documents).
The compiler must sign it, indicate his position and the date of compilation.
Here is an example of the design of a sheet - a witness of the case:
Storage organization
Personnel documents filed in files must be stored in specially equipped rooms with constant temperature conditions and a sufficient number of storage spaces (locked cabinets, safes).
To work with documents, normal conditions must be created in the storage room: the room is equipped with desks, chairs, and table lamps. Access to storage areas must not be obstructed by furniture.
Only HR department employees responsible for storing documents and the head of the HR department can have access to the storage facility. During the working day, the keys to cabinets and safes are kept by the employee responsible for storage. At the end of the working day, he is obliged to hand them over to the security officer on duty against signature.
To speed up the search for documents, it is advisable to arrange files, strictly observing the order of the indexes provided for in the nomenclature of cases. Indexes can be written on the spines of case covers. A copy of the list of cases must be placed on the inside of the cabinet (safe) door.
The procedure for working with documents in storage can be specified in special instructions. It defines:
- how, for what period and at what time (days of the week, hours) documents can be issued;
- where to work with them;
- how to copy them;
- how to make statements, etc.
The instructions are developed by the HR department, and are certified by its boss and the head of the company.
Example 1. Sample of filling out the form of the certification sheet
The sample certification sheet in question was compiled by clerk B.L. Raznichenko. The form contains the following information:
- Certification sheet number (“15/2020”).
- The total number of filed and numbered sheets (indicated in numbers “50” and in words “fifty”), as well as:
- present letter numbers of sheets (“11a” and “14a”);
- No. of sheets that are missing (“35” and “40”);
- internal inventory sheets (indicated in numbers “2” and in words “two”);
- Folded plan diagram in A3 format, 5 pages.
The certification sheet is dated 08/09/2020 and signed personally by the clerk B. L. Raznichenko. The data used in the proposed sample is conditional. A form has been taken to fill out, approved. Order of the Ministry of Culture of the Russian Federation No. 526 (see form No. 1 presented in the table above). The information included in it is highlighted in yellow.
Other requirements for registration of cases transferred for archival storage
Turning again to the methodological basis of the Rosarkhiv Rules, special attention should be paid to some features of the complete registration of permanent (temporary) storage files. This point is important especially in terms of systematization, processing, and grouping of documentation. It is self-evident that the correct approach to this stage of the procedure and compliance with the general requirements for registration simplifies the entire process of preparing cases for their subsequent transfer for storage.
As a standard, documents attached to the case are simply bound or filed in a hard cardboard cover (for 4 protocols). In this case, all pins and other metal fasteners are removed. Unclaimed labor, military IDs, etc. documents are placed in an envelope, and it is filed with the file. If there are many such unclaimed documents, then they are drawn up as an inventory autonomously. Next, in order of priority, at the end of the case being drawn up, a blank certifying sheet is filed, and at the beginning - an internal inventory form, which is also used to record valuable documentation.
Particular attention should be paid to the peculiarities of the numbering of attached documents, which are described in detail in clause 3.6 of the Rules, approved. Rosarkhiv. This point is really important, since the correct arrangement of pages determines the accurate, adequate and complete execution of the entire file, including the certification sheet.
So, according to the requirements of the Federal Archive, all sheets are subject to gross numbering, which is typical, in Arabic numerals. But it does not affect the witness’s form, and the inventory is numbered separately, in a separate order. Volumes and parts are also numbered separately, and on illustrative materials (photos, diagrams, etc.) page numbers are placed at the top, on the reverse side of the sheet.
Each folded sheet (in relation to A3 and A2 formats) is numbered in unfolded form in the upper margin on the right. The sheet on which photos, clippings and other documentation are closely glued should be numbered as one sheet. If documents are glued to the sheet with one edge, then everything must be numbered separately.
And one more nuance that should be taken into account. Envelopes with contents are also numbered separately: first the envelope itself, and then, in turn, all the attachments. Periodicals are often included in the case. As a rule, such documents, especially printed publications, have their own numbering. If it “fits” into the arrangement of sheets, then it is allowed to be saved. If not, then in this publication (another document) numbers are given in the general order.
Common mistakes when preparing a certification sheet
Error 1. You cannot place a properly executed certification sheet on the front main side of the cover of the bound case. It is also prohibited to attach it to the last document in the file, even to its reverse part, which has nothing on it.
In practice, two methods of placing a certification sheet are used, which are recognized as correct. First: it is drawn up separately, on a separate sheet and filed at the end of the case. Second: in finished form, glue the upper part of the certification sheet to the back side of the top cover. The last option is used when the case has been filed or bound without a certification sheet.
Error 2. A certification sheet for temporary storage matters is not required. As a rule, such cases are not numbered or stitched together. They are usually filed in folders and left in this form for temporary storage in the organization. After expiration of the storage period, they are destroyed.
Important! Temporary storage of a file means a period of storage of up to 10 years.
Answers to frequently asked questions
Question No. 1: What to do if, when preparing a case for submission for storage, many errors are found in the numbering of sheets?
Clause 3.6.15 of the Rosarkhiv Rules states that in such situations they are renumbered. How does this happen? The previous (old) numbers are simply crossed out and new ones are written in their place. What is important is that when renumbering, another certification sheet is drawn up, but the old one is not withdrawn - it is simply crossed out and left on file.
If there are not many errors, then, according to the Rules, when preparing a file for submission to the state archives, it is allowed to use lettered sheet numbers. But such use must be previously agreed upon with the state archive itself.
Question No. 2: How to correctly calculate the total number of stitched, numbered sheets of the case?
When counting, you should add the letters and take into account the missing sheets. So, for example, there are only 100 sheets in the file. In addition to them, there is one omitted sheet (“51”) and two lettered ones (21a and 21b). The calculation is made as follows: 100 + 2 – 1 = 101. In total, the total number of sheets in the file is 101.
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registration and clarification of the details of the case cover; systematization of case documents in accordance with the requirements of Chapter 11 of these Instructions.
187. To take into account the number of sheets in the file, record the features of their numbering and physical condition, a certification inscription is drawn up. The certification note is drawn up on a separate document certifying the case in the form according to Appendix 14 and is placed at the end of the case (volume, part). If the case is filed (bound) without a certification sheet, the certification sheet drawn up in the prescribed form is glued to the inside cover of the case. I want to draw the moderator's attention to this message because:
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183. Complete registration of the case includes: filing or binding of the case; numbering of sheets in the file; drawing up an internal inventory of case documents (in cases specified in paragraph 186 of these Instructions); drawing up a document certifying the case; registration and clarification of the details of the case cover; systematization of case documents in accordance with the requirements of Chapter 11 of these Instructions. 185. The sheets in the file, except for the document certifying the case and the internal inventory sheets, are numbered in the upper right corner with Arabic numerals in black graphite pencil. The use of ink and colored pencils for numbering sheets is not permitted. Sheets of the internal inventory of case documents are numbered separately. The sheets of each volume of the case are numbered separately. 187. To take into account the number of sheets in the file, record the features of their numbering and physical condition, a certification inscription is drawn up. The certification note is drawn up on a separate document certifying the case in the form according to Appendix 14 and is placed at the end of the case (volume, part). If the case is filed (bound) without a certification sheet, the certification sheet drawn up in the prescribed form is glued to the inside cover of the case. The certification inscription in numbers and in words indicates the number of numbered sheets, the number of sheets of the internal inventory (if any), the presence of lettered and missing sheet numbers, the numbers of sheets with pasted photographs and documents (except for personal files), the numbers of envelopes with attachments and the number of items enclosed in of them sheets. The number of sheets of the internal inventory is indicated in the certification after the total number of sheets of the case through the “+” (plus) sign. The certification is signed by the originator indicating the position, the transcript of the signature and the date of preparation. When renumbering sheets, at the end of the case, a new certification inscription is drawn up, the old inscription is crossed out, but remains in the case.
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, are numbered in the upper right corner with Arabic numerals using a black graphite pencil. The use of ink and colored pencils for numbering sheets is not permitted. Sheets of the internal inventory of case documents are numbered separately. The sheets of each volume of the case are numbered separately. I want to draw the moderator's attention to this message because:
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, are numbered in the upper right corner with Arabic numerals using a black graphite pencil. The use of ink and colored pencils for numbering sheets is not permitted. Sheets of the internal inventory of case documents are numbered separately. The sheets of each volume of the case are numbered separately. I want to draw the moderator's attention to this message because:
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