What to do with an employee’s personal file after dismissal - retention periods

Procedure for conducting personal affairs

A personal file (PD) is a set of documents relating to one employee and containing information about his labor (official) activities and length of service.

In budgetary organizations, as a rule, records are maintained for all employees. However, it is possible to conduct them selectively, for example, only for management personnel, financially responsible persons, etc. By maintaining we mean:

• timely entry of records of all changes: personal and biographical information, job position, etc.;
• inclusion of incoming materials and their withdrawal;
• issuance of case materials, certification of copies;
• maintaining an internal inventory;
• periodic checking of the state of affairs;
• closing and preparation for transfer to the archive, etc.

The procedure for maintaining and the list of documents attached to the LD is approved by local regulations.

How long are they stored?

Specific storage periods for documents generated during the functioning of business entities are described in detail in the List of standard management archival documents (Appendix to Order of the Ministry of Culture of the Russian Federation dated August 25, 2010 No. 558).

So, in accordance with paragraphs. 656 clause 8.1 of subsection 8 of section II of the regulatory document mentioned above, the storage periods for employees’ personal files can be divided into two groups:

1. Personal files that are stored on a permanent basis.

This includes personal files of company managers, members of executive, control and governing bodies of organizations, persons who are representatives of the government of the Russian Federation, including constituent entities, employees who have received government titles, awards, bonuses, etc.

1. Personal files that are kept for at least 75 years.

This deadline is established for the personal files of all other personnel not included in the first group. This also includes state civil and municipal employees.

Reference. In the case of conducting personal affairs of employees by commercial organizations, they are also subject to the obligations for storing documents about employees established by the above-mentioned Order.

Additionally, it should be noted that documents that are not included in the folder with the employee’s personal file must be stored in accordance with the deadlines provided for by Order of the Ministry of Labor of the Russian Federation No. 558 for the corresponding categories of documents.

Who has access to personal files

All cases contain personal data (PD), and compliance with the requirements for their protection is the direct responsibility of employers (Chapter 14 of the Labor Code of the Russian Federation, Federal Law No. 152 of June 27, 2006). The list of persons with access to personal data is approved by order of the head. At the same time, persons who have access to PD are obliged not to disclose to third parties or distribute this data without the consent of the PD subject, unless otherwise provided by federal law.

The head of the organization, by order, appoints those responsible for maintaining and storing personal records (usually the head of the personnel department and his subordinates), and also approves the list of persons who have access to them (this information can also be fixed in the Instructions for maintaining personal files). This list usually includes:

• the head of the organization and his staff deputies;
• head and employees of the HR department;
• head and employees of the legal service;
• accounting employees who calculate wages and make tax and other deductions;
• heads of structural units (in relation to subordinate employees);
• other responsible employees approved by order.

Representatives of third-party organizations can access LD only with the permission of the head of the organization upon an official written request.

How an employee’s personal file is formed

Decree of the President of the Russian Federation No. 640 regulates the procedure for collecting information about personnel. The documentation required by the employer includes:

• Questionnaire, resume, characteristics and personal sheet for personnel records.
• Copies of passport, educational documents (diplomas, certificates), TIN, insurance certificate, documents on marital status.
• Information from certification.
• Labor contract.
• Employer orders (on appointment, transfer to another position or place of work, vacations and business trips).

The personal file of a dismissed employee, formed according to the dossier principle, remains in the organization’s personnel service until the end of the calendar year. Within 3 years from the date of dismissal, documents undergo archival and technical processing and are transferred to the company archive.

Storage of personal files of dismissed employees in the archive is carried out in the presence of an annual inventory. An authorized personnel specialist compiles a list of employees dismissed in a particular year. The year of termination of the employment relationship is indicated on the cover of the case.

Storing personal files of employees in the HR department

The HR department should keep records of only working employees. They are placed in a specially designated place, excluding access to them by third parties, as well as the possibility of their theft or loss. These must be specially equipped locked safes (metal cabinets) or rooms.

At the storage location, files are arranged in a vertical position by serial numbers, in alphabetical order, by structural divisions, etc. A list of LDs located in it is placed in the storage facility.

All cases are subject to accounting and are recorded in a separate journal. The form of the journal has not been approved, so it can be developed independently, in terms of functionality for a specific organization.

Every day at the end of the working day, HR employees check the availability of cases in the storage room. Then the cabinets (safes) or rooms are closed and sealed. If the absence of LD is detected by the responsible employee, measures are taken to return it or search for it.

Features of drawing up a certification sheet

The certification sheet confirms the completeness of the file transferred to the archive, as well as the condition of the documents transferred in it. There is no approved form; it is drawn up in any form with the following details:

• case number;
• number of sheets in the case;
• description of the physical condition of individual sheets in the file.

In practice, the form is used according to Appendix 8 to Order of the Ministry of Culture of Russia dated March 31, 2015 No. 526.

Retention period for personal files of dismissed employees

The question often arises, how long are employee personal files kept? LD are long-term storage documents (cases opened after 2003 are stored for 50 years; earlier - 75 years (Article 22.1 of the Federal Law of October 22, 2004 No. 125)), therefore, in the event of an employee’s dismissal, they are subject to careful verification and closure. To do this, all documents in the case are verified, the inventory is closed, a certification sheet is inserted at the end of the case, and then the case is stitched with 4 punctures.

How long is an employee’s personal file kept after dismissal? Archiving of personal files of dismissed employees occurs three years after its closure (for municipal and civil servants this period is 10 years). The records of dismissed employees must be kept separately from the records of existing employees. If the organization has a room for storing archival files, then they are temporarily moved there. If there is no specially equipped room, then they are located either on a separate shelf in the storage room or in another safe.

Rules for using archival information

Civil servants, legal entities and individuals are responsible for ensuring the safety of information about former personnel during regulated periods. Citizens and company representatives can submit requests and appeals for access to the archive of personal files of dismissed workers.

HR specialists provide free copies and certificates of documents related to social and pension issues, benefits and compensation. The data can be used as evidence. After use, the seized documents must be returned to the owner or possessor.

Archival information can be transmitted in the form of electronic documents. In some cases, specialists from libraries, museums, scientific organizations, and government agencies publish reference and information publications.

Responsibility for dissemination of personal data

When working with PD, you must remember that this is simultaneously working with PD, which, in turn, relates to confidential information and has restrictions on its collection, processing, storage and distribution.

For violation of the provisions of the legislation on the protection of personal data, disciplinary, material, civil, administrative and criminal liability is provided (Article 90 of the Labor Code of the Russian Federation, Federal Law No. 152 of July 27, 2006).

In addition, as of July 1, 2017, changes to the Code of Administrative Offenses of the Russian Federation came into force (Federal Law No. 13 dated February 7, 2017), which mainly affected Art. 13.11. This Federal Law expanded the list of grounds on which an employer can be held accountable and increased the amount of fines for violations in the field of ensuring personal data protection.

What is a personal matter?

The personal file for any employee is presented in the form of a folder where the entire package of documents and information about the employee is collected. All positions held by the employee while working at the enterprise are indicated there. This set of documents is prepared individually for each employee. Taking into account Federal Law No. 79-FZ and Presidential Decree No. 609, all personal files for civil servants and other categories of workers can be processed at the request of the employer. As experience shows, every enterprise keeps records of personal files, as this helps to systematize the work of the personnel department and organizations.

Design rules

The procedure for creating and storing personal files may differ in different organizations. This is due to the fact that such features are developed separately by each company, after which the necessary information is enshrined in internal regulations. The procedure for creating an employee’s personal file has the following nuances:

• This document is opened from the moment the citizen is hired to work for the company;
• closes only after his dismissal;
• A folder or file is taken separately for each employee;
• Usually the originals of different documents are not used, so only copies are used, so that a situation does not arise when the original is lost, which is difficult to restore;
• only one copy of any official paper is attached;
• documents of temporary and permanent storage are not kept together;
• the thickness of the folder should not exceed 4 cm;
• Attachments to them are also stored along with the documents.

All personal files in the company must be compiled in the same way. Additionally, it is recommended to keep a special journal. It takes into account all such cases, which will prevent the loss of documentation.

Accounting and data recording

The accounting procedure must be carried out in accordance with the regulatory act in the labor sphere. Naturally, all changes must be registered in the personnel department and in a certain order. To make it convenient to keep such records, create a special journal. At the time of registration, the following data can be entered: registration number, full name of the employee, date of registration, note of deregistration.

The moment of registration is the date of recording in the registration book. In office work, it is possible to make changes to folders with personal files. Such changes must be recorded at the time of marriage, change of place of residence and upon transfer to another place of work.

In order for changes to be made, the employee must contact the personnel department himself, after which the head of the archive gives the command to enter the data. Data entry should follow the following algorithm:

1. The employee must write a statement requesting changes to the documentation. Data can be entered under certain circumstances and their actual confirmation.
2. Next, an order is issued that innovations must be included in the accounting documentation.
3. The order is recorded in the journal.
4. All information is recorded directly.

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Thus, we can conclude that the registration of documents, their storage and disposal of personal data are regulated by law.

Document storage

At the level of regulations, the required composition of documents in a personal file is not indicated.

This is also important to know:
In what cases is the day of dismissal considered a working day?

A strictly approved list is regulated only for employees of public services.

Each enterprise can use this list in its work, and depending on the direction of the enterprise’s activity, determine the need to include a particular document in its personal file.

List of required copies of documents:

• passport (page with photo, registration, marital status);
• diploma, certificate of advanced training;
• SNILS, INN;
• military ID;
• employment history.

Also involved in the matter:

• certificates of passing a medical examination and no criminal record;
• a specialist’s personal application for employment;
• autobiography, employment contract;
• documentation of past certification;
• photographs of workers.

If necessary, the list is subject to adjustment.

Without the personal consent of the employee, it is prohibited to include information about the worker’s personal life, his religious and political views.

Who do they file personal files against?

This question can be answered unequivocally only in relation to civil servants: for all, as required by law.

Since maintaining personal files is not necessary for private entrepreneurs, they themselves can decide which employees to keep this documentation for, and which ones can do without such detailed personnel records. Some managers who practice this system prefer to keep personal records for all personnel in order to systematize data for each employee. But some, in order to save time, organize the management of personal files only for certain categories of employees.

This is also important to know:
How is the procedure for voluntarily dismissal carried out?

Personal files are usually opened for employees of what positions:

• management;
• deputy managers at various levels;
• key specialists;
• employees bearing financial responsibility;
• personnel reserve, etc.

FOR YOUR INFORMATION! It is advisable to open a personal file for such employees, regardless of the form and time of his employment - he works part-time or at his main job, under a fixed-term employment contract or on a permanent basis.

Less often, positions are provided with personal records for which educational, qualification or other special requirements are not provided, for example, cleaner, watchman, janitor, etc.

Additional questions

Can the shelf life of employees be reduced?

The storage period for the personal files of dismissed employees is 50 years. In this case, all changes must be taken into account and entered into folders. There is a special certification sheet, which is located at the end and an inventory sheet at the beginning. The title page indicates the closing date of the case and the period of its storage.

If the employee left original documents, then each such document is placed in a separate envelope and also attached to the file. Each envelope has its own numbering, which is also very important for proper paperwork.

What to do with the files of employees who have been fired

How is the personal files of dismissed employees properly archived? If a person quits, then his file is retrieved and filed. A certification sheet is drawn up, which contains all the information about the number of sheets and numbering. Data on damaged documents can be entered into this sheet if new ones were attached instead. The certification sheet is glued to the inside of the cover, and the HR employee must sign it. On the last day of his work, the employee has the right to ask for copies of all necessary papers.

conclusions

When dismissing an employee, there are certain rules that must be followed:

1. The case must be closed on the day the employment relationship was terminated.
2. The employee's file must be transferred to the archive three years after its completion.
3. The personnel officer is responsible for storage.

Documents of dismissed employees (all folders and papers) must be stored in a separate room that is inaccessible to third parties. All papers are placed in a safe to prevent loss or theft. A former employee has the right to send a request to the company to provide him with all documents. If the organization has already gotten rid of them by that time, then the manager will be punished under Art. 13.20 Code of Administrative Offenses of the Russian Federation.

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