Company File Nomenclature
The file nomenclature is a mandatory systematic list of file titles formed in the company’s record keeping, indicating the retention periods of the files (paragraph nineteen of point 2 of section I of the Rules for the Organization of Record Keeping and Archival Storage of Documents in State Bodies, Local Self-Government Bodies, Enterprises, Institutions, and Organizations, approved by the order of the Ministry of Justice of Ukraine dated June 18, 2015, No. 1000/5 (rada.gov.ua) (hereinafter – Rules No. 1000/5).
The obligation to develop a file nomenclature and ensure the preservation of documents is also stipulated in the second paragraph of Article 32 of the Law “On the National Archival Fund and Archival Institutions” (rada.gov.ua):
“Citizen associations and religious organizations, as well as enterprises, institutions, and organizations based on private ownership, have the right to create archival units for the permanent or temporary storage of documents that do not belong to the state, territorial communities, to transfer documents of the National Archival Fund for storage to state and other archival institutions. These legal entities are obliged to ensure the preservation of documents accumulated during their activities until the examination of their value is conducted in the manner established by this Law, and within a year from the date of registration of these legal entities in the manner prescribed by law, to agree on their file nomenclature with one of the state archival institutions or the archival department of the city council.”
The file nomenclature is intended to establish in the company:
- a unified procedure for forming files for documents created in electronic and paper forms;
- ensuring the accounting of documents;
- operational search for documents by their content and type;
- determining the retention periods of files.
The file nomenclature is the basis for compiling descriptions of files with permanent and long-term (over 10 years) retention periods, particularly on personnel issues, as well as for accounting for files with temporary (up to 10 years inclusive) retention periods.
There are the following types of file nomenclatures:
- standard;
- exemplary;
- individual (so-called consolidated) file nomenclature of the company;
- file nomenclature of the company’s structural unit.
Standard and exemplary file nomenclatures are normative-methodical manuals usually developed by large companies and corporations for their network of enterprises, institutions, and organizations (hereinafter – enterprise) to facilitate the preparation of individual file nomenclatures by the respective enterprises.
Standard file nomenclatures are mandatory, while exemplary ones are advisory.
The difference between these types of file nomenclatures is that:
- the standard file nomenclature establishes a typical composition of files with a unified indexing system for each file for enterprises homogeneous in terms of activity and structure;
- the exemplary file nomenclature establishes an exemplary composition of files formed in the record keeping of enterprises homogeneous in terms of activity but different in structure. When preparing an individual file nomenclature based on the exemplary one, it is allowed to clarify and detail the file titles.
ALGORITHM FOR PREPARING THE FILE NOMENCLATURE
STAGE 1 Study of the content of national regulatory legal acts on record keeping, standard and sectoral lists with document retention periods, as well as the composition and content of the documentation fund created in the company’s activities.
STAGE 2 Development of the file nomenclature project by the record keeping service with the participation of an employee of the company’s archival unit.
STAGE 3 Coordination of the content of the file nomenclature sections with the relevant structural units of the company and revision of the project based on received comments and suggestions.
STAGE 4 Signing of the final version of the file nomenclature by the head of the record keeping service (or the person responsible for organizing record keeping in the company) and the head of the archive (or the person responsible for the company’s archive).
STAGE 5 Approval at the meeting of the company’s expert commission (hereinafter – EC).
STAGE 6 Coordination with the expert-review commission (hereinafter – ERC) of the state archive or the EC of the archival department of the district state administration or city council.
STAGE 7 Approval by the company’s head by affixing the appropriate “Approval Stamp.”
STAGE 8 Entry into force from January 1 of each new record keeping year.
STAGE 9 Notification of the company’s structural units.
STAGE 10 Closing of the file nomenclature at the end of the record keeping year by filling out the final record.
DEVELOPMENT OF THE FILE NOMENCLATURE
The company’s file nomenclature is developed by its record keeping service (general department, record keeping department, office) or the person responsible for organizing record keeping in the company.
When developing the file nomenclature, one should be guided by chapter 1 of section IV of Rules No. 1000/5, which defines the requirements for compiling the file nomenclature.
To determine the titles (headings) of files and document retention periods, the List of Standard Documents Created in the Activities of State Bodies and Local Self-Government Bodies, Other Legal Entities, with Indication of Document Retention Periods, approved by the order of the Ministry of Justice of Ukraine dated April 12, 2012, No. 578/5 (rada.gov.ua) (hereinafter – List No. 578/5), should be applied.
List No. 578/5 includes standard documents created during the documentation of general management functions performed by companies regardless of their functional and target purpose, level and scale of activity, form of ownership, as well as documentation created as a result of the production and scientific-technical activities of companies.
Rules No. 1000/5 and List No. 578/5 are regulatory legal acts mandatory for all companies.
To determine the titles (headings) of files and retention periods for special (non-standard) types of documentation, sectoral lists of documents should be applied.
A sectoral list is a list of types of documents (files) created during the documentation of the core activities of companies in a specific sector, with normative retention periods established (paragraph one of point 2 of section 1 of the Procedure for Preparing Sectoral Lists of Documents with Indication of Their Retention Periods, approved by the order of the Ministry of Justice of Ukraine dated April 23, 2018, No. 1244/5) (rada.gov.ua).
PRINCIPLES OF BUILDING THE FILE NOMENCLATURE
When compiling the company’s file nomenclature, a structural or functional principle of its construction is used.
The structural principle is used in companies with a clearly defined structure. The sections of the consolidated file nomenclature built on the structural principle are the names of structural units, for example:
01 Record Keeping and Control Department
02 Organizational Department
03 Planning and Economic Department
04 Financial Department
05 Marketing and Sales Department
06 Information Technology Department
07 Human Resources Department
08 Legal Department
09 Administrative Department
10 Transport Department
In this case, the first section is usually the record keeping service, followed by all other structural units according to the company’s staffing schedule.
The functional principle of building a consolidated file nomenclature is applied in non-structural, usually small, companies. The sections of such a file nomenclature reflect the functions and (or) areas of activity of this company, for example:
01 Management
02 Planning and Forecasting
03 Marketing and Advertising
04 Organization of Production Activities
05 Accounting and Reporting
06 Personnel Work and Military Accounting
07 Information Support
08 Material and Technical Supply
09 Administrative and Economic Services
10 Archive
FORMATTING THE FILE NOMENCLATURE
Structure of the file nomenclature text
The text of the file nomenclature is formatted as a table with five mandatory columns (Appendix 1):
1 ― File Index
2 ― File Title (volume, part)
3 ― Number of Files (volumes, parts)
4 ― File Retention Period (volume, part) and List Article Numbers
5 ― Notes
In the first column, the file index is indicated, which consists of the index of the company’s structural unit and the serial number of the file, for example: 01-07, where 01 is the index of the record keeping and control department; 07 is the file number according to the numbering order within this department.
In the second column, the file title is provided. It should reflect the types of documents stored in the respective file and reveal their content. The main part of the title is a brief description of the issue for which the file is created. Titles in the file nomenclature should be short, clear, and extremely precise. The file title is presented in a specific sequence in the following form: type of documents – author (correspondent) – description of the issue – period of document creation. For example: “Orders of the company’s board chairman on administrative and economic issues for 2024,” “Minutes of the company’s supervisory board meetings for 2024.”
In some cases, the sequence of presenting the title elements may be slightly changed. This primarily concerns information about authors and correspondents, for example: “Reports on personnel work and military accounting submitted by the HR department to the company’s management.” However, the type of documents (orders, minutes, acts, reports, etc.) is always indicated at the beginning of the title. Information about the document’s copy status can be indicated only at the end of the title, for example: “Regulations on the Planning and Economic Department (copy),” “Job descriptions of the Information Technology Department employees (copies).”
In the titles of files containing various types of documents on one issue, the generalized term “documents” is used, and the main types of documents grouped in the file are indicated in parentheses, for example: “Documents (agenda, invitation
In the titles of files containing various types of documents on one issue, the generalized term “documents” is used, and the main types of documents grouped in the file are indicated in parentheses, for example: “Documents (agenda, invitation mailing list, attendance list, letters) on the organization and holding of general meetings of company members.”
In the titles of files containing correspondence, the correspondent and the issue for which the file is created must be indicated, for example: “Correspondence with the National Bank of Ukraine on the main (core) issues of the company’s activities.”
If the file groups planning or reporting documentation, the title must indicate the period (month, quarter, year) for which the document was created, for example: “Company activity plan for 2025,” “Report on the activities of the company’s management bodies for 2024,” etc. The title of the file containing planning and reporting documentation may indicate the number or conditional designation (code, cipher) of the form of the respective document, for example: “Quarterly labor reports (form No. 1-PV (quarterly)).”
The third column is filled out at the end of the record keeping year when it is known how many files were created in the past record keeping year. This data is also reflected in the final record, which must be completed after the end of the record keeping year.
In the fourth column, the retention periods of the files and references to the articles of the relevant list, on the basis of which these periods are determined, are indicated. In some cases, if it is planned to form a file with documents with different temporary retention periods, the maximum retention period is established (for example, a file with documents with retention periods of 3 and 5 years should have a retention period of 5 years).
For documents not provided for in List No. 578/5 or the sectoral list, retention periods are established based on their examination by the company’s EC in agreement with the ERC of the relevant state archive. In this case, a note is made in the fifth column:
“Retention period established by ERC _____________, protocol dated ____№.” (name of the state archive)
If the retention period is marked “ERC,” it means that the documents of this category may have cultural and practical significance and are subject to permanent storage. This issue is resolved in agreement with the ERC of the relevant state archive after the end of the record keeping year.
When forming a file with documents marked “For official use” (regardless of their content), the retention period of the file is not established, and the fourth column is marked “EC.” At the end of the record keeping year, this file is reviewed by the company’s EC and the retention period is determined. If necessary, the EC may decide to reformat the documents of such a file. In this case, documents with a permanent retention period should be grouped into a separate file, which will receive an independent title and will be additionally included in the file nomenclature.
For files containing copy documents, the retention period is not established, as these documents are not transferred for storage, and the fourth column indicates: “Until no longer needed” or “Until replaced by new ones.”
In the fifth column of the consolidated file nomenclature, notes are made about the creation of files, their transfer to the archive, transitional files, persons responsible for maintaining this file, etc.
FORMATTING THE FINAL RECORD
At the end of the record keeping year, the consolidated file nomenclature of the company and the file nomenclatures of all its structural units must be closed with a final record, which indicates the categories and the number of files actually created during the year (Appendix 2).
We have prepared it for you:
Preparation of the nomenclature of cases (Appendix N. 1)
Finalization of the final record (Appendix 2)
Fill out the form and we will send it to you
The final records of the file nomenclatures of structural units are signed by the employees responsible for organizing record keeping in their units and the final data is transferred to the record keeping service. The head of the record keeping service (or the person responsible for organizing record keeping in the company) consolidates all the data, signs the final record of the consolidated file nomenclature, and informs the head of the archival unit (or the person responsible for the company’s archive) about the actual presence of files created during the year.
Annually (at the end of each record keeping year), the consolidated file nomenclature of the company and the file nomenclatures of its structural units are reviewed and updated. After making changes and additions, they are reprinted. The file nomenclatures of structural units are signed by the heads of these units, and the consolidated file nomenclature is approved by the head of the company. They come into force on January 1 of the new year.
Once every five years or in the event of significant changes in the structure or areas of activity of the company, the consolidated file nomenclature is subject to re-compilation and re-approval with the relevant state archive according to the algorithm outlined above.
If the company implements an electronic document management system (hereinafter – EDMS), the consolidated file nomenclature is formed by the EDMS in an automated mode based on the file nomenclatures of the company’s structural units in electronic form.
The consolidated file nomenclature is stored and used by the EDMS to automate the processes of forming documents into electronic files.
More detailed information on filling out the sections of the file nomenclature, formulating specific file titles, determining the appropriate retention periods, counting the created files, and formatting the annual final record can be found in the Webinar “Company File Nomenclature” or by ordering a personal consultation.