Where to start a HR audit of a company. Providing leaves to employees

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To ensure that the inspection does not take you by surprise, you need to clearly know what documents the State Labor Inspectorate and the Pension Fund of the Russian Federation can check, and also have them available. Since the grounds for ordering inspections tax authorities different ( scheduled inspection compliance with the provisions of labor legislation, verification of facts of industrial accidents, appeals from trade union bodies, employees about violations of the law, information received from law enforcement agencies), then the list of documents checked may vary significantly. To avoid problems, businesses should also conduct their own HR audit.

The Labor Inspectorate is the main body responsible for ensuring compliance with the protection of labor rights and freedoms, including the right to safe working conditions and ensuring that employers comply with legislation and other regulations.

The labor inspectorate is the main body tasked with enforcing the protection of labor rights and freedoms, including the right to safe working conditions and ensuring that employers comply with legislation and other regulations.

In connection with the assigned tasks, the main powers have been determined. The Federal Labor Inspectorate carries out inspections, surveys, issues mandatory orders to eliminate violations, draws up protocols on administrative offenses within the limits of its powers, prepares other materials (documents) on bringing the perpetrators to justice in accordance with federal laws and other regulatory legal acts of the Russian Federation, etc. .

If inspectors reveal violations in the organization, the manager, Chief Accountant and head of the HR department. If an official has already been punished for a similar administrative offense, he may be disqualified for a period of one to three years in accordance with Art. 5.27 Code of Administrative Offenses of the Russian Federation. In addition, sanctions may also be imposed on a legal entity. Refusal and opposition to the inspection is punishable in accordance with the sanctions provided for in Art. 19.4 Code of Administrative Offenses of the Russian Federation. Violation of labor legislation may also lead to suspension of the organization’s activities for up to 90 days.

Penalties: administrative liability of the employer

An employer may incur administrative liability in the following cases:

obstruction of the activities of state labor inspectors, in particular failure to comply with the orders they impose, the use of threats of violence or violent actions against the inspectors themselves (Article 363 of the Labor Code of the Russian Federation). Based on Art. 19.4 of the Code of Administrative Offenses of the Russian Federation, disobedience to a lawful order or requirement of an official of a body exercising state control, as well as obstruction of the implementation of this official official duties entails a warning or the imposition of an administrative fine on officials;
violation of the procedure established by law for the collection, storage, use or dissemination of information about citizens (personal data). In relation to these violations, a sanction is provided in the form of a warning or the imposition of an administrative fine on officials;
failure to take, by decision of the body that examined the case of an administrative offense, measures to eliminate the causes and conditions that contributed to the commission of an administrative offense. Here, a measure such as an administrative fine applies to officials;
failure to submit or untimely submission to a state body of information that is provided by law and necessary for this body to carry out its legal activities, as well as the transfer to officials and inspectors of information in incomplete or distorted form. In this case, the administrative fine applies not only to officials, but also to legal entities.

Checking the company: necessary grounds

The grounds for ordering inspections by the inspectorate may be:

work plans to monitor compliance with labor legislation;
facts of industrial accidents;
appeals from trade union bodies, employees or other persons about violations of labor legislation, other issues within the competence of the federal labor inspectorate;
information received from law enforcement agencies.

A planned audit is carried out no more than once every two years. If the company is a small enterprise, auditors do not have the right to audit its activities for 3 years from the date. Typically, an inspection is reported one or two days before it begins, except in cases where this information, in the opinion of the inspectorate, could damage the results of the audit and allow the company to quickly hide it. Also, a planned inspection can be comprehensive, when a certain area of the organization’s activities related to compliance with the Labor Code of the Russian Federation is subjected to in-depth study.

You should pay attention to verification issues. Inspectors cannot go beyond them. For example, if the topic of the check is accrual and issuance wages, then check documents related to issues of dismissal of employees, controllers.

In this regard, first of all, it is necessary to determine the entire list of documents that can be checked. There is no single general list of documents that every organization must have. Various legal acts contain references to the need to maintain certain journals, orders and other documents. In this regard, and depending on the industry to which the enterprise belongs, it is necessary to draw up a list of documents that, in accordance with legal acts, must be in the organization.

Audit of an organization: what documents can be checked

Documents can be divided into the following types:

Individual local regulations (see Table 1);
Mandatory local acts of the organization (see Table 2);
Local regulations approved taking into account the opinion of the trade union committee (see Table 3).

Table 1

Individual local regulations

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table 2

Mandatory local acts of the organization

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Table 3

Local regulations approved taking into account the opinion of the trade union committee

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Systematization of information: how to organize document flow

Upon statements by employees about violation of their rights (disciplinary action, illegal dismissal), the following documents may also be requested:

collective agreement financial liability(Article 245 of the Labor Code of the Russian Federation);
agreements on full individual financial liability (Article 244 of the Labor Code of the Russian Federation);
regulation on the protection of trade secrets;
regulations on adaptation of workers;
regulations on the order of passage probationary period;
regulations on certification of employees.

Special attention should be paid to systematizing information on personnel records . For this purpose, it is recommended that institutions and organizations keep the following logs:

In our case:

issue log work records. The need to maintain it is dictated by the employee’s right to request documents related to work, as well as the obligation to issue a work book on the day the employee is dismissed. In the event of a controversial situation, the employer will be able to confirm the issue of the work book to the employee;
journal of employment contracts. Particularly useful in case large quantity employees hired, as well as when concluding fixed-term employment contracts, so that their expiration dates can be tracked. This is necessary in connection with the requirement established by Art. 79 of the Labor Code of the Russian Federation, according to which the employee must be notified of the termination of a fixed-term employment contract due to the expiration of its validity period at least three times in advance. calendar days before dismissal. Otherwise, the condition on the fixed-term nature of the employment contract loses force and the employment contract is considered concluded for an indefinite period (Article 58 of the Labor Code of the Russian Federation);
log of orders for personnel. Required for accurate accounting of serial numbers of personnel orders. Depending on the number of employees of the company, you can keep one journal for all orders (reception, transfer, dismissal, etc.) or register each type of order in a separate journal;
log of familiarization with local regulations. The need to maintain it follows from Art. 68 of the Labor Code of the Russian Federation, according to which the employer must familiarize the employee with local regulations against signature when hiring him, even before signing the employment contract;
safety briefing log in accordance with Section 10 of the Labor Code of the Russian Federation;
log of employees completing mandatory medical examination in accordance with Art. 69 Labor Code of the Russian Federation.

After the documents have been verified, the quality of the existing documents is checked in terms of legal requirements.

Thus, auditors will check the organization’s maintenance of primary documentation on personnel records, accounting for the use of working time and settlements with personnel for wages. Wherein the necessary papers must comply with the unified forms approved by Decree of the State Statistics Committee of Russia dated April 6, 2001 No. 26 (personal cards of employees, personnel orders (on hiring, on transfer, on vacations, on dismissal, on business trips, on promotions, etc.), staffing table, time sheets, pay and pay slips, etc.).

It should be noted that the company may not have some of the above documents, for example, job descriptions, A job responsibilities may be included in the provisions of the employment contract.

You can also highlight some specifics of maintaining individual documents. So, if the organization has employees with irregular working hours, then a list of positions of such employees should be compiled. If the employment contract contains a provision for employees to observe trade secrets, then there must be a provision for the protection of such secrets. At the same time, the list of information that constitutes a trade secret must be clearly defined, and employees must be familiarized with this information upon signature. Internal labor regulations are a mandatory document, but they can be an annex to the collective agreement

The vacation schedule is drawn up two weeks before the new calendar year. All employees of the organization must be familiar with it. It often happens that employees do not actually rest as scheduled due to various circumstances, however, the schedule on paper remains unchanged, and workers are marked with working days on the time sheet. These violations can also be detected by inspectors. In this regard, if the schedule does not coincide with the actual vacation of employees, it is advisable to take applications from employees to make changes to the schedule and the circumstances of the postponement of vacation and make changes to the schedule. The employee must also be notified of the start time of the vacation, against signature, no later than two weeks before it begins. Leave must be granted in accordance with the order. It would be a good idea to get confirmation from your part-time worker that he went on vacation from his main job.

It is quite common for inspectors to require that each page of the employment contract contain the signatures of the employee and the employer. In practice this is not often done. It is convenient for the employer that the employment contract is simply sealed with a paper clip. The sheets of such an agreement can be easily replaced. An agreement that is not signed on every sheet, of course, will be recognized as properly concluded, because the legislation does not contain a requirement for each sheet of the agreement to be signed by both parties. At the same time, the established practice of signing civil contracts indicates the advisability of such document execution. This practice is often transferred to labor relations.

It should be noted that violations of the law are related specifically to payments (failure to provide additional payments in connection with work on weekends and holidays, non-payment of bonuses, compensation payments).

At some companies, employees are given time off for overtime, rather than monetary remuneration, which is a violation of the requirements of Art. 54, 55, 88, 89 and 90 of the Labor Code of the Russian Federation and can also be checked by inspectors.

In case of applications to the labor inspectorate about delays in wages or incorrect calculation of payments, the inspectors will definitely ask you to submit orders, extracts from your personal account, payment documents that will allow them to determine the timing of settlements upon dismissal or vacation. Remember that the organization is obliged to pay the employee on the day of dismissal, and during vacation -. If for any reason the deadlines prescribed by law are violated, employees will have to be paid with interest in an amount not less than 1/300 of the refinancing rate of the Central Bank of the Russian Federation for each day of delay in accordance with Art. 236 Labor Code of the Russian Federation. For violation of payment deadlines - as a preventative measure for relapse - auditors can fine the head of the company or chief accountant in the amount of 1,000 to 5,000 rubles. (Article 5.27 of the Code of Administrative Offenses of the Russian Federation).

The issue of workplace certification may attract the attention of inspectors if an accident is detected at the enterprise. All workplaces available in the organization are subject to certification of workplaces for working conditions. It involves assessing workplaces based on hygiene indicators, injury safety and the provision of workers with personal protective equipment. This certification must be carried out at least once every five years. Workplace certification documents are stored in the organization for 45 years. For each workplace a workplace certification card must be drawn up.

The content of local regulations on labor rights and responsibilities should be known to every employee. When considering the documentation of local regulations, you should first of all pay attention to the fact that, being a written document, the act under study has certain requirements for the form, language, style of presentation, structure and content, the presence of relevant details (date of adoption, number, name, registration, etc.), is regulated by the requirements of office work and local regulations adopted centrally by order of the enterprise (organization). The documents must be consistent with each other.

Complex inspection issues: judicial practice

It is important to maintain the confidentiality of personal data. The regulation on the confidentiality of personal data in an organization is a document that establishes the basic rules for the protection of information constituting the personal data of employees. The rules establish norms and requirements that must be followed. The need to put this document into effect follows from the content of Chapter. 14 Labor Code of the Russian Federation. This document must ensure, first of all, the protection of personal data of the organization’s employees at all stages in the process of the statutory activities of a particular organization, including non-automated ones. In the decision of the Ninth Arbitration Court of Appeal dated 06/07/2006, 06/14/2006 No. 09AP-4259/2006-AK in case No. A40-8448/06-119-84, the judges noted that the employer must create technical specifications protection of employees’ personal data from their misuse, in particular, to ensure special treatment access to the premises where the relevant information is stored, equip storage areas that exclude unauthorized access to information, etc.

Attention should also be paid to regulating the issue of various payments, including incentive and compensatory payments, established in local regulations. An example is Decision of the Supreme Arbitration Court of the Russian Federation dated January 26, 2005 No. 16141/04. According to the Supreme Arbitration Court of the Russian Federation, the legislation on taxes and fees does not define either the daily allowance rate or the procedure for their establishment in relation to the personal income tax: general order establishing such standards and limiting their size are provided only by labor legislation . According to Art. 168 of the Labor Code of the Russian Federation, in the case of being sent on a business trip, the employer is obliged to reimburse the employee for additional expenses associated with living outside the place of permanent residence (daily allowance). Currently, due to the large-scale transition of employers to a system of paying wages through bank accounts (cards), it is necessary to provide for such payment in the employment contract. Otherwise, you will have to take from all newly hired employees written agreement about transferring wages to their card account. IN Labor Code it is established that wages are paid to the employee at least every half month per day, established by rules internal labor regulations, collective agreement, .

Statistics clearly demonstrate that mistakes by employers in matters of labor protection are very common and dominate among other offenses. It should be especially noted that all of the above documents must be in order regardless of how the relationship between the employer and the employee actually developed.

Footnotes

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The State Labor Inspectorate has significant powers to verify employers' compliance with labor legislation. So what documents does the labor inspectorate check? We'll tell you in the article.

Most often, the labor inspectorate comes with inspections based on complaints. Since there is no clearly established checklist, we recommend preparing for verification of all documents related to personnel - employment contracts, various provisions (on wages, bonuses, daily routine), orders, work books, pay slips, time sheets, documents on payment and calculation of wages, labor protection, and so on.

The main issues of conducting inspections are reflected in the Labor Code of the Russian Federation in Chapter 57 “State control (supervision) and departmental control over compliance with labor legislation and other regulatory legal acts containing standards labor law(Article 353-368 of the Labor Code of the Russian Federation).”

According to the rule established by law, inspections carried out by state labor inspectors in organizations can be scheduled and unscheduled (which, in turn, are divided into documentary and on-site). The procedure for carrying out audits is determined by law. To begin verification actions, both the first and second options require reasons (reasons, cases).

Grounds for conducting an unscheduled inspection by the labor inspectorate

non-payment (delay) or incomplete payment of wages on time;
setting wages in an amount less than that provided for by labor legislation, that is, below the minimum wage;
failure by the employer to comply with the instructions of the labor inspector;
receipt of information about violations of labor legislation that resulted in a threat of harm to the life and health of workers;
employee complaint about violation of labor rights;
an employee’s request to check the labor conditions and safety at his workplace;
order of the heads of the labor inspection or Federal service on labor, published on the basis of instructions from the Government of the Russian Federation, the President of the Russian Federation or the prosecutor.

Appeals and statements that do not allow identifying the person who applied to Rostrud or its territorial body, as well as appeals and statements that do not contain information about these facts, cannot serve as the basis for an unscheduled inspection of the employer.

The employer is notified of an unscheduled inspection by an authorized official of Rostrud or its territorial body entrusted with conducting the inspection at least twenty-four hours before the start of the inspection by any available means.

An unscheduled inspection of the employer can be carried out in the form of a documentary inspection and (or) an on-site inspection.

Scheduled inspection by labor inspectorate

A scheduled inspection is possible for any organization and is performed once every three years.

To implement it, it is sufficient to have the grounds specified in the Federal Law of December 26, 2008 No. 294-FZ:

three years have passed since the day state registration employer;
a three-year period has passed since the completion of the last scheduled inspection;
the employer actually carries out his entrepreneurial activity within three years (from the date of submission of a special notice to the authorized body).

This list of grounds is closed, that is, inspectors do not have the right to name other reasons for carrying out planned inspections of compliance with labor law standards.

Examination personnel documents.
Checking the safety of work performed.

Checking personnel documents

First of all, when preparing for the inspection visit, you should check the composition of the documents. The labor inspectorate will be interested in materials related to labor relations and labor protection. It is necessary to make sure that these documents are in perfect order.

Personnel documents that will be checked:

constituent documents;
collective agreement;
all papers related to wages;
internal labor regulations;
employment contracts (Article 57 of the Labor Code of the Russian Federation establishes the essential conditions for concluding an employment contract);
staffing;
time sheets;
time sheets for employees engaged in hazardous work;
payroll sheets;
sick leave;
vacation schedule;
personal cards;
orders for appointment to a position;
work books;
a book of accounting for the movement of work books and inserts for them;
regulations on wages and bonuses;
provisions on the protection of personal data.

Resolution of the State Statistics Committee of January 5, 2004 No. 1 “On approval of unified forms of primary accounting documentation for labor accounting and payment” establishes the form of orders, personal cards, vacation schedules, staffing tables, time sheets and other documents related to personnel accounting, calculation working hours and wages. Absolutely all enterprises, regardless of their form of ownership, are required to follow this resolution. There are a number of exceptions for budgetary organizations.

Checking local internal documentation

This includes a collective agreement, internal labor regulations, regulations on wages and bonuses, regulations on the protection of personal data, and regulations on trade secrets. The listed documents must comply with the law, must not contradict each other and not worsen the position of the company’s employees in comparison with the rules of the law.

All these documents should be compared with employment contracts; they often contain different operating modes. It is also necessary to compare the staffing table, the Regulations on remuneration and bonuses with the employment contract, to exclude different systems wages and different dates for receiving salaries.

Checking the vacation schedule

You should make sure that last years All employees were sent on vacation, and vacation schedules were not violated; pay attention to how vacation pay was paid. If one of your employees was not paid the required amount, do it right now. Do not forget that it must be approved no later than two weeks before the end of the calendar year. Pay attention to whether the duration of the vacation is against the law. In cases where one of the employees went on vacation unscheduled, it is necessary to make changes according to the orders and statements of the employees.

Checking salary payments

Inspectors will certainly pay attention to how wages are paid (by law it is necessary to pay them twice a month). The internal regulations, collective and labor agreements must reflect information about the time and place of payment of wages.

The inspectors will also pay attention to the size of the salary; remember that it should not be lower than the minimum established by law.

If an employee is paid bonuses or bonuses, the organization must document this fact. You should also check whether all laid-off employees have been paid.

Verification of information related to labor protection

Every employer must provide its employees with safe working conditions. They are spelled out in labor protection documents, the presence of which is necessary in any organization. It can be various instructions, documents confirming that employees were trained in labor safety. Documents of this kind must be available, regardless of the size of the organization and the number of employees hired.

When checking the safety of work performed, inspectors look for the following conditions:

requirements related to training and instructing employees;
safety measures during work;
providing workers with protective equipment;
organizing and conducting certification of workplaces according to working conditions (now SOUT), as well as using the results of automated workplace (SOUT) for providing benefits and compensation to employees, conducting periodic medical examinations and etc.

During the audit, inspectors of the state labor inspectorate, in addition to checking the necessary documents, can inspect all premises of the enterprise, ask questions to the staff, and request missing information from responsible employees.

Check period

By general rule the period for conducting a scheduled inspection cannot be more than 20 working days; for branches the total period is no more than 60 working days. If we're talking about about small businesses, then for a small enterprise and a microenterprise this period is equal to 50 hours and 15 hours, respectively. These findings do not apply to unscheduled inspections. If necessary, the period for an on-site scheduled inspection is extended by 20 working days (but not more), about which the employer must be notified 3 days in advance.

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Personnel audit is a large-scale procedure during which all components of the personnel management process, the company’s personnel potential are assessed, and the effectiveness of the personnel management system is analyzed. One of the stages of this process is an audit of personnel records management. All HR specialists understand: personnel documents must contain perfect order. In this case, it is not scary to accept the inspection inspector, and it is easier to defend your position in a labor dispute with an employee. But not everything always works out perfectly, and how can you tell if there are actually errors in the work? This will help HR audit. Let's figure out what a personnel audit is, in what situations it is carried out, what stages it consists of and how it can be carried out on our own.

The need for this event in a company arises in the following cases:

when changing a personnel employee responsible for maintaining personnel records (upon dismissal or transfer to another position, to another division, branch);
upon delivery by the labor inspectorate of an order regarding an upcoming scheduled inspection;
when there is a threat of an audit after the dismissal of an offended employee (non-payment of wages, bonuses on time, dismissal at the initiative of the employer);
when there is a change in the leadership of the organization;
when bringing personnel documentation into compliance with current legislation after changes have occurred in it.

Certainly, HR audit can be entrusted to a provider company that provides such services. Specially trained people will conduct a comprehensive inspection using established methods and provide you with a report on the results of their work. The report will indicate the violations identified, their possible consequences and give recommendations on how to eliminate errors. However, the price for auditing HR records is quite high. In addition, not all managers agree to entrust the work with information about the company’s employees to a third party.

You can check it yourself. In this case, it is necessary to issue an order to carry out HR audit in the organization, determine goals and objectives of this event, form an appropriate commission (for example, consisting of a lawyer, deputy chief accountant, head of the personnel department), determine the timing of the audit. Let's consider the main stages of carrying out the concept of audit of personnel records management in an organization.

I. Determination of the package of necessary documents

Every employer must, using legislative framework, create local regulations for your organization. By adopting local regulations, the employer creates an internal legal framework, which reflects the working conditions created for workers in this particular organization.

First of all, you need to make a list of documents that must be in the personnel service. The mandatory nature of some documents is directly defined in the Labor Code. For example, the binding nature of employment contracts is provided for in Articles 56 and 67, work books in Article 66, internal labor regulations in Article 189, and vacation schedules in Article 123.

Many local regulations are discussed indirectly in the Labor Code (for example, staffing table mentioned in articles 15, 57 of the Labor Code of the Russian Federation). However, this does not mean that there is no need to have them in the personnel department. In addition to the Labor Code, the need for many documents is enshrined in other regulations, for example, the Book of Accounting for the movement of labor books and their inserts is mentioned in the Decree of the Government of the Russian Federation dated April 16, 2003 No. 225.

Some documents are advisory in nature, for example, unified forms of personnel orders. But, despite this, personnel documentation must be maintained precisely according to unified forms, since many of them go to the organization’s accounting department (for example, for payroll), and in this case we can already talk about the mandatory nature of these documents.

We must not forget that the employer is now obliged to familiarize employees, upon signature, with the adopted local regulations directly related to their work activities, even before signing employment contract(Articles 22, 68 of the Labor Code of the Russian Federation). Therefore, you need to develop a familiarization sheet with these documents or keep a familiarization log.

In addition to the above documentation, there are documents that become mandatory under certain conditions (see table).

Characteristics of documents required in the work of the personnel service

Mandatory documents	Comments
Internal labor regulations, regulations on the protection of personal data of employees, labor protection instructions, employment contracts	These local regulations Any employer should have them. Compiled in free form. A feature of the content of all local documents is the presence in them of conditions that cannot worsen the situation of workers in comparison with the conditions established by the Labor Code and other regulatory legal acts
Staffing table, vacation schedule, orders for core activities, orders for personnel (reception, transfer, granting leave, dismissal, sending on a business trip, employee promotion), personal card No. T-2, accounting sheet working hours	The presence of these documents is mandatory. Labor and wage accounting is based on primary accounting documentation, which is maintained according to standardized forms (except for orders for core activities). These forms are used in organizations regardless of their form of ownership
Work book, book of movement of work books and inserts for them, log of training on labor protection, log of control measures	Must be carried out using established samples

Documents that may become mandatory

List of documents	Conditions under which these documents become mandatory
Job Descriptions	If job responsibilities are not included in the content employment contract(or there is a link to the job description in the text employment contract)
Regulations on wages and material incentives	If the employment contracts do not specify the system of remuneration and material incentives (there is no need for such a document if its content is included in collective agreement or to the VTR rules)
List of positions for workers with irregular working hours	If the organization has such a mode of operation
Shift schedule	If the organization has introduced shift work
Regulations on the protection of trade secrets	If in employment contract the employee's observance of trade secrets is secured
Collective agreement	If an agreement on this is reached between the employees and the employer
Agreement on collective liability	If the organization is carrying out work in accordance with the List of Works, during the performance of which full collective (team) financial liability may be introduced
Agreement on full individual financial responsibility	If the organization employs employees and financially responsible persons

An important point personnel check There will be an audit of the registration logs. It must be taken into account that all personnel transactions must be recorded in special accounting journals (books). These include registration logs: orders for personnel, employment contracts, personal files, personal cards No. T-2, vacations, assignments on business trips, issuance of travel certificates, as well as logs: recording sick leave certificates, issuing certificates, checking the status of military records, employees undergoing mandatory medical examination, etc. In this case, you can use both approved and independently developed forms of these documents. But the design of the magazines must be uniform: the sheets are numbered, the magazine is laced, sealed with a wax seal or sealed, and certified by the head of the organization.

It is necessary to mention that employers can create other local regulatory documents, the presence of which is not enshrined in labor legislation, but they can significantly help in their work, for example, facilitate the process of adaptation of new employees (personnel regulations, certification, adaptation, etc.) .

II. Conducting document verification

After we have compiled a list of documents required for the HR department, it is necessary to reconcile what is and what should be in order to subsequently restore all the necessary personnel documents. It is convenient to summarize the reconciliation results in a table:

Document reconciliation table

Document missing	There is a document, but it requires changes and additions	The document fully complies with current legislation and does not need adjustment
Regulations on the protection of personal data of employees	Internal Labor Regulations (hereinafter referred to as Ts PVTR) (in connection with numerous amendments to the Labor Code of the Russian Federation, create a draft of a new edition of the PVTR, approve in accordance with Articles 190, 372 of the Labor Code of the Russian Federation, familiarize all employees with signature)	Staffing table
Labor safety instructions	Employment contract(please add the missing information directly into the text employment contract, and the missing conditions are determined by the appendix to employment contract or a separate agreement of the parties, formalized in writing with employees)	Vacation schedule
...	...	...

The table will clearly show which local regulations require revision, and which need to be created again. Now it is necessary not only to develop legally correct documents, but also to correctly approve and put them into effect.

Let's consider what to do in a situation where the internal labor regulations are outdated and require adjustment. There are two options:

publish a new edition of the PVTR;
create an application with additions and changes to the current edition of the PVTR.

In both cases, the approval algorithm is the same as during the initial creation and approval of this local regulatory act.

Stage 1. A draft PVTR and justification for it are drawn up, which are sent to the elected body of the primary trade union organization (if the organization does not have a trade union organization, another representative (representative body) elected from among the workers can represent the interests of all workers (Article 31 of the Labor Code of the Russian Federation)) .

Stage 2. No later than five working days, the trade union sends the employer a reasoned opinion on the project (in writing).

Stage 3a. If the representative body of workers agrees with the draft PVTR, the Rules are approved by the employer.

Stage 3b. If the representative body of employees does not agree with the draft PVTR or has proposals for its improvement, the employer considers the proposed changes. The employer can either agree with the changes, or within three days after receiving a reasoned opinion, discuss the draft PVTR with representatives of the trade union in order to come to a mutual decision. If an agreement is not reached, all disagreements are documented in a protocol and the employer can put the PVTR into effect.

Stage 4. All employees are introduced to the accepted and approved PVTR upon signature, placed in accessible places for more detailed study.

III. Checking HR documentation

So, we have determined which documents are not yet in the HR department, but they should appear, which ones should be finalized, which ones can be left unchanged. Now it is important to pay attention to the quality of documents, the correctness of their preparation from the point of view of personnel records management, and legal literacy.

When reviewing administrative documents, you need to check that orders for core activities are stored separately from orders for personnel. Also check how correctly the orders for the appointment of managers to a new position are drawn up ( general director, directors of structural divisions, chief accountant, production manager, etc.).

All personnel documents have different deadlines storage, therefore, after execution, documents must be formed into files in accordance with nomenclature of cases(within a file, documents are also systematized according to certain criteria), this allows you to store documents, ensure safety, systematization, accounting of documents, quickly find the necessary document, and quickly transfer cases to archival storage. At formation of cases you need to immediately check the correctness of the documents - the presence of an approval visa, signatures, registration numbers, the employee’s note about familiarization with the order, marks on execution.

Particular attention should be paid to the procedure for maintaining work books. First of all, you need to check the availability of a certified copy of the order for the main activity on the appointment of a person responsible for maintaining work records. When conducting an audit of work books and their inserts, you need to make sure that they are all registered in the Book of Accounting for the movement of work books and their inserts, all the books are available and all entries are made in them (based on the relevant orders). Employees’ personal cards must contain duplicate entries from work books (inserts) about hiring, transfers to another permanent job and dismissal, and next to it is the employee’s signature stating that he has read these records. Work books and their inserts must be stored together in a fireproof safe. Work with work books must be carried out in accordance with the Rules for maintaining and storing work books and the Instructions for filling out work books.

IV. HR audit and reporting

In conclusion, the commission that conducts HR audit draws up a report on the current state of personnel records, analyzes whether the objectives of the audit have been achieved, records identified deficiencies, prescribes measures to be taken, and draws conclusions.

In case of transfer of personnel records management cases from one person to another, the commission additionally draws up an act of acceptance and transfer of cases. The act records which documents were checked, what inconsistencies and shortcomings were found, and an inventory of transferred cases is compiled. Attached to the act is a list of work books (the surname, first name, patronymic of the owner is indicated, as well as the series, number of the work book and insert), a list of personal files of employees, personnel registers, etc.

Thus, we have considered the algorithm for carrying out a very important and responsible procedure HR audit. In the future, we will continue to examine many aspects related to the organization of work personnel service. In particular, we will talk in more detail about how to carry out the procedure for accepting and transferring cases and competently drawing up the corresponding act.

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Program name	Program description	Scope of the program

An audit is a procedure for an independent assessment of the activities of an organization, system, process, project or product to identify risks and occurrences. conflict situations. An audit can be internal, when it is carried out by the organization itself, and external, when third-party specialists are hired on a contractual basis to evaluate activities in a particular area of the company. Most often, the term “audit” is used in relation to checking financial statements companies, however, there are other types, for example, personnel audit. Many have heard this phrase, but they have no idea what the essence of this procedure is. Today we will talk specifically about the audit of personnel documentation, we will tell you why it is necessary, when and by whom it is carried out.

Why do you need a personnel audit?

Let’s say right away that a personnel audit is an optional event and is not carried out very often. However, we believe that such a procedure should be carried out for:

— preparation for an inspection check of compliance with the requirements of labor, archival, pension, migration legislation, etc.;

— assessing the risks associated with a specific situation (risks that may arise during an inspection by regulatory authorities, when considering a labor dispute in court, during trade union control, etc.);

— improving the professionalism of HR specialists (training based on violations);

— assessing the professionalism of employees of the HR department;

— developing an action plan to correct violations;

— optimizing the work of the personnel service (minimizing costs, building a system of holding people accountable, rewards, etc.).

In addition, the audit will help to assess and analyze the state of personnel documents when transferring documents during reorganization, change of management (including the management of the personnel service), dismissal (reception) of personnel department employees (HR).

On your own or hire a third-party company?

Let us repeat that you can conduct a personnel audit on your own, or you can use the services of third-party companies, fortunately there are a sufficient number of them and there is plenty to choose from. At the same time, a personnel audit is a very responsible matter, because it is directly related to the company’s confidential documents.

If you plan to choose an external auditor, it is important that the service is provided by qualified specialists who have been working in this field for several years. Ask how often Auditing Company provides services to check personnel records management, whether among its clients there are organizations similar to yours in the type of activity. Remember that the services of a reputable consulting company that offers an audit of personnel documentation and has professionals on its staff cannot be cheap.

The success of conducting a personnel audit by specialists from a third-party organization also depends on how the company is prepared to interact with auditors. Therefore, most often, before starting an audit, a working group, consisting of representatives of the company invited to conduct the audit and representatives of the customer company. The composition and number of invited auditors are largely determined by the timing and scope of the work to be done, but the participation of lawyers and specialists in the field of documentation support is definitely required.

If there is no desire to attract third-party specialists, and funding for this is not included, it is possible to conduct a personnel audit on your own. However, having set the appropriate task for the personnel department of the institution, it should be remembered that they are not always ready to give an objective assessment of the current situation, since they will actually check their work. Moreover, full-time employees can “turn a blind eye” to some errors, since they are the ones who will have to correct them.

We believe that if the choice is made in favor of internal audit, it is best to create a small structural subdivision for this purpose, or a commission, which must include a specialist who understands labor legislation and personnel records, but is not dependent on those persons whose work he will check, for example, a lawyer.

Regulatory framework for checking personnel documentation

To begin with, let's name the main regulations that must be followed when checking personnel documentation. The main ones are:

— Decree of the Government of the Russian Federation of April 16, 2003 N 225 “On work books” (together with the Rules for maintaining and storing work books);

— Resolution of the Ministry of Labor of the Russian Federation dated October 10, 2003 N 69 “On approval of the Instructions for filling out work books” (hereinafter referred to as the Instructions for filling out work books);

— Resolution of the State Statistics Committee of the Russian Federation dated January 5, 2004 N 1 “On approval of unified forms of primary accounting documentation for recording labor and its payment” (hereinafter referred to as Resolution N 1);

— Order of the Ministry of Culture of the Russian Federation dated August 25, 2010 N 558 “On approval of the List of standard management archival documents generated in the process of activities of state bodies, local governments and organizations, indicating storage periods”;

— Federal Law of July 27, 2006 N 152-FZ “On Personal Data”;

— GOST R 6.30-2003 “Unified documentation systems. Unified system of organizational and administrative documentation. Requirements for document preparation";

- Labor Code.

In addition, there are a sufficient number of departmental regulations that regulate office work, the procedure for conducting personal affairs, or regulate other aspects of labor relations. These acts also need to be studied and applied when inspecting personnel documentation.

What are we checking?

We will not consider how a consulting organization conducts an audit on the basis of a civil contract, but will focus on internal audit. The order in which it is carried out depends on the goals. You can check all areas of maintaining and processing personnel documents, or you can check only one area, for example, employment contracts. In any case, the first step to starting an audit will be issuing an order to conduct an audit, which appoints an inspector or creates an audit commission. The order can determine the topic of the inspection.

Let's give approximate sample order.

Municipal budgetary educational institution

"Secondary school N 72"

Order No. 42

on conducting a personnel audit

To improve the work of the HR department and minimize the risks associated with improper maintenance of personnel documentation,

I order:

1. Conduct an internal personnel audit on the topic “Registration of hiring and provision of annual paid leave” from May 28 to June 5, 2012.

2. Appoint A.G. Volkova, deputy director for educational work, as chairman of the audit commission.

3. Include in the commission:

— Deputy Director for Administrative and Economic Work O. L. Zolotov;

— teacher of Russian language and literature V.S. Paramonov;

— legal adviser Lopukhov I.R.

4. Submit a report on the inspection performed by 06/08/2012.

5. Entrust control over the execution of this order to the Deputy Director for Educational Work Volkova A.G.

Director Komova /L. V. Komova/

The following have been familiarized with the order:

Volkova A. G. 05/16/2012, Volkova

Zolotova O. L. 05/16/2012, Zolotova

Paramonova V. S. 05/16/2012, Paramonova

Lopukhov I. R. 05/16/2012, Lopukhov

If the topic of the audit has been determined, then the head of the HR department can only prepare Required documents. If the audit is carried out when there is a change in the leadership of the personnel service or when transferring cases from one specialist to another, it is necessary to determine the list of documents to be inspected.

Remember that there is a list of mandatory documents that any organization must have, regardless of its legal form and form of ownership. Such documents include:

1. Staffing table. Let’s say right away that there is only a mention of this document in the Labor Code, but there is no indication that its preparation is mandatory. Resolution No. 1 unified the form of this document - T-3. Let us note that regulatory authorities, be it the state labor inspectorate, the prosecutor's office or tax authorities, almost always request it: the structure of the institution, the wage fund, allowances and additional payments to employees are clear from the schedule.

2. Vacation schedule. The binding nature of this document is not questioned, since Art. 123 of the Labor Code of the Russian Federation directly states that annual paid vacations are provided to employees in accordance with the vacation schedule approved by the employer, taking into account the opinion of the representative body of employees at least two weeks before the new year. The form of schedule T-7 is also unified by Resolution No. 1.

3. Personal cards - forms T-2 and T-2GS (MS). They must be kept for each employee, since the employer is obliged to familiarize the employee with each entry made in the work book against signature in his personal card - in it, by virtue of clause 23 of the Rules for maintaining and storing work books, the entry made in the work book is repeated.

4. Personal matters. The obligation to maintain them is established for certain categories of workers, which include state civil servants, municipal employees, customs officials, etc.

The procedure for maintaining personal files of state civil servants is established by Decree of the President of the Russian Federation of May 30, 2005 N 609 “On approval of the Regulations on personal data of state civil servants” Russian Federation and the management of his personal business." For civil servants of a constituent entity of the Russian Federation, the procedure for maintaining a personal file is established by the regulations of that constituent entity. For example, for employees of the city of Moscow it is determined by Decree of the Mayor of Moscow dated June 15, 2011 N 44-UM, and for civil servants of St. Petersburg - by Decree of the Government of St. Petersburg dated June 30, 2008 N 773.

5. A time sheet (forms T-12, T-13) must also be in each institution, since Art. 91 of the Labor Code of the Russian Federation obliges the employer to keep records of the working time actually worked by each employee.

Note! Previously, government bodies, management of state extra-budgetary funds, management of territorial state extra-budgetary funds, local government, budgetary institutions, bodies providing cash services for budget execution budget system Russia, to record working hours, they used a time sheet in form 0504421, approved by Order of the Ministry of Finance of the Russian Federation of December 30, 2008 N 148n. However, due to the fact that it has lost force since January 1, 2011 (Order of the Ministry of Finance of the Russian Federation dated December 1, 2010 N 157n), the form from Order of the Ministry of Finance of the Russian Federation dated December 15, 2010 N 173n - 0301008 is used, and this is an exact copy of the T-13 form.

6. Work books of the established form are the main document on labor activity and the employee’s work experience. Every employer (with the exception of employers who are individuals who are not individual entrepreneurs) is required to maintain them for each employee who has worked for him for more than five days, in the case where the work for this employer is the main one for the employee (Article 66 of the Labor Code of the Russian Federation).

The work book contains information about the employee, the work he performs, transfers to another permanent job and dismissal, as well as the grounds for termination of the employment contract and information about awards for success in work. Information about penalties is not entered into the book, except in cases where disciplinary action is dismissal.

Note! Check whether a person responsible for maintaining work books has been appointed, and whether they are all registered in the book for recording the movement of work books and their inserts. In addition, look at the entries in the work books - they must be made on the basis of orders.

7. Employment contracts or service contracts. An employment contract is an agreement between an employer and an employee, according to which the employer undertakes to provide the employee with work for a specified labor function, provide working conditions, pay wages on time and in full, and the employee undertakes to personally perform the labor function determined by this agreement, comply with internal labor rules regulations in force at this employer.

8. Orders for personnel:

— about employment (forms T-1, T-1a);

— about transfer to another job (forms T-5, T-5a);

— on granting leave (forms T-6, T-6a);

— about sending on a business trip (forms T-9, T-9a);

— on incentives (forms T-11, T-11a);

— on termination (termination) of an employment contract (forms T-8, T-8a).

These unified forms must be used by all organizations operating on the territory of the Russian Federation, regardless of their form of ownership (clause 2 of Resolution No. 1).

When checking these orders, you need to make sure that there are documents that provide the basis for their issuance. Quite often they are missing - there is a reference in the order to an agreement, statement or other document, but the document itself is not there. This is a violation.

9. Orders on main activities. It is necessary to check the presence of the manager’s signatures and approval visas. Let us remind you that such orders must be kept separately from orders for personnel.

Please note that you need to not only check the availability of these documents, but also pay attention to how they are compiled. For example, due to the requirements of Art. 67 of the Labor Code of the Russian Federation, an employment contract is concluded in writing, drawn up in two copies, each of which is signed by the parties. One copy is given to the employee, the other is kept by the employer. Receipt of a copy of the employment contract by the employee must be confirmed by his signature on the copy kept by the employer. Article 57 of the Labor Code of the Russian Federation defines the conditions that must be included in the text of the employment contract.

But with a service contract everything is different. In addition to the fact that federal law defines its content, Decree of the President of the Russian Federation dated February 16, 2005 N 159 approved approximate form contract for performing the state civil service and filling a position in the state civil service. Therefore, check that contracts comply with legal requirements not only in content, but also in form. And in terms of content, we note that, for example, the most important object of verification of dismissal orders will be the indication in them of the reason and basis for dismissal. Based on Art. 84.1 of the Labor Code of the Russian Federation, they must be indicated in strict accordance with the wording of the Labor Code of the Russian Federation or other federal law and with reference to the relevant article, part of the article, paragraph of the article. When checking the content of employment contracts, pay attention to the presence of conditions that, by virtue of Art. 57 of the Labor Code of the Russian Federation are required to be included in their text.

Local regulations, books, log books

Let's start with the fact that, on the basis of Art. 8 of the Labor Code of the Russian Federation, employers, with the exception of employers - individuals who are not individual entrepreneurs, adopt local regulations containing labor law norms, within their competence in accordance with labor legislation and other normative legal acts containing labor law norms, collective agreements, agreements. The provisions of such acts should not worsen the position of the employee in comparison with what is established by labor legislation.

The following documents also need to be checked.

1. Internal labor regulations. According to Art. 189 of the Labor Code of the Russian Federation, this document regulates the procedure for hiring and dismissing employees, the basic rights, duties and responsibilities of the parties to an employment contract, working hours, rest periods, incentives and penalties applied to employees, as well as other issues of regulating labor relations with a given employer.

2. Labor protection instructions. They usually consist of labor protection requirements before starting work, during it and at the end, and also contain procedures for emergency situations. These instructions are developed based on the employee’s position, his profession or the type of work he performs, on the basis of interindustry or industry standard instructions on labor protection, inter-industry or sectoral rules on labor protection, safety requirements set out in the operational and repair documentation of equipment manufacturing organizations, technological documentation of the organization, taking into account specific production conditions based on the Methodological Recommendations.

3. Regulations on the storage and protection of personal data of employees (or another document establishing the procedure for their storage and use). The preparation of this local act is mandatory due to the requirements of Art. 87 Labor Code of the Russian Federation.

4. Regulations on remuneration or other local regulations regulating the system of remuneration in the institution and bonuses for employees. This provision is mandatory by virtue of Art. 135 of the Labor Code of the Russian Federation - remuneration systems, including tariff rates, salaries (official salaries), additional payments and allowances of a compensatory nature, including for work in conditions deviating from normal conditions, systems of additional payments and incentive allowances and bonus systems, are established by collective agreements , agreements, local regulations in accordance with labor legislation and other regulations containing labor law standards.

In addition to those mentioned, there are other necessary documents - mandatory for some organizations due to the specifics of their activities, for example, a shift schedule, a list of positions with irregular working hours, agreements on full individual liability, provisions on commercial or other secrets protected by law.

If the institution has developed other local regulations regulating some area of labor relations, we recommend checking them for the presence of conditions that worsen the position of the employee in comparison with established labor legislation, and for legal force (is it taken into account in necessary cases the opinion of the representative body of employees, whether the document is approved by the head of the institution, whether the employees are familiar with the act, etc.). It can be:

- collective agreement;

— agreement on collective financial responsibility;

— provisions on adaptation of workers;

— regulations on the procedure for passing the probationary period;

— regulations on certification of employees.

We recommend that you pay special attention to checking job descriptions. On the one hand, they are not mandatory, on the other hand, on the basis of Art. 57 of the Labor Code of the Russian Federation, a mandatory condition of an employment contract is a labor function, and it is prescribed either in the employment contract or, in order not to overload it, in the job description. Therefore, sometimes instructions are simply necessary.

Let's move on to journals, among which, as among local regulations, there are mandatory ones.

Magazine name	Normative act
Book of accounting of the movement of work books and inserts for them	Clauses 40, 41 of the Rules for maintaining and storing work books, the form is established by Appendix 3 to the Instructions for filling out work books
Receipt and expense book for accounting of work book forms and inserts in it	The same
Inspection log	Article 16 of the Federal Law of December 26, 2008 N 294-FZ “On the protection of the rights of legal entities and individual entrepreneurs in the exercise of state control (supervision) and municipal control.” The form of the journal is approved by Order of the Ministry of Economic Development of the Russian Federation dated April 30, 2009 N 141

In addition to the above-mentioned mandatory journals, the institution may maintain other journals to systematize information on personnel records, such as:

— journals of employment contracts, orders for personnel, personal files, certificates of incapacity for work;

— log of familiarization with local regulations;

— journal for issuing travel certificates and certificates.

When checking journals and books of account, pay attention to their design. All sheets of magazines must be numbered, the magazines themselves must be laced, sealed with a wax seal or sealed and certified by the head of the organization. No corrections to log books are permitted. It is also necessary to make sure that in the book for recording the movement of work books and their inserts, all columns are filled in, there are no corrections in it, this book is bound and sealed.

Note. Analysis of the document registration and systematization system is very important, since it provides information about how the document storage system is organized in the institution.

Software audit

Currently, most institutions maintain personnel documentation using specialized software products, which means that they will also have to be checked.

When inspecting, be sure to check whether the program provides the ability to maintain personnel records in accordance with the requirements current legislation(it is possible that the developers of the software product have “lost” certain necessary details), whether all unified forms are contained in the program, how often it is updated, whether all document forms are up to date.

The next important aspect that needs to be checked is the order of access to the software and (or) created personnel documentation. In this case, it is necessary to find out which of the company’s employees is involved in the processing of personnel data, and make sure that the system excludes the possibility of access to electronic forms of documents of those employees whose job responsibilities work with such data is not included.

Audit software the work of the personnel department will allow us to identify possible channels of unauthorized access or loss of personnel information, as well as assess the feasibility of using a specific software product.

So, during the audit of personnel documentation, the presence of mandatory documents, correctness of execution, as well as compliance of the content of documents with legal requirements are checked.

It is better to document the audit process itself, so that later when drawing up the final report you do not forget anything important.

Results of the audit of HR documents

The last stage of document verification will be the preparation of a report that will describe the current state of affairs, indicate problem areas and possible risks. The report also usually provides recommendations for eliminating identified violations of labor laws and shortcomings, and also informs about possible punishment if violations are not eliminated (see page 45).

In the case of an audit of personnel documentation when there is a change in the management of the personnel service or a specialist in personnel records management, in addition to the conclusion, it is necessary to draw up an act of acceptance and transfer of cases, the appendix to which will be a list of work books (indicating the full name of the owner, the series and number of the work book and inserts (if any)).

In conclusion, we note that when conducting periodic audits of personnel documentation, the employer has the opportunity to avoid sanctions from regulatory authorities - fines, suspension of the organization’s activities, and criminal liability. In addition, if the audit is carried out in-house, HR employees have the opportunity to improve their professional level by identifying and correcting their own mistakes.

And remember, proper maintenance of personnel documentation is the key to successfully resolving conflicts with employees and regulatory authorities.

Identified violations	Violated normative act	Possible punishment	Recommendations for correction
1. Staffing and wage documents
A salary range has been established in the staffing table	Articles 3, 20, 22, 132 of the Labor Code of the Russian Federation. The principle of equal pay for equal work has been violated		Develop a differentiated wage system, for example, introduce additional payments to employees who have additional qualities
2. Work records
A record of employment has been made in the “Promotion Information” section.	Clause 3.1 Instructions for filling out work books	Administrative fine from 1,000 to 50,000 rubles. or administrative suspension of the organization’s activities for up to 90 days (Article 5.27 of the Code of Administrative Offenses of the Russian Federation)	Fill out an insert in the work book and transfer to it the entries erroneously entered in the “Information about promotion” section
3. Orders to dismiss an employee
The grounds for termination do not indicate part of the article of the Labor Code	Forms T-8, T-8a, Art. 84.1 Labor Code of the Russian Federation	Administrative fine from 1,000 to 50,000 rubles. or administrative suspension of the organization’s activities for up to 90 days (Article 5.27 of the Code of Administrative Offenses of the Russian Federation)	To be specified in the future
4. Logs of registration and accounting of personnel documents
There is no log of control activities	Article 16 of Federal Law N 294-FZ	—	Design
5. Other violations
There is no check for disqualification when hiring employees for management positions	Article 32.11 of the Code of Administrative Offenses of the Russian Federation	Administrative fine up to 100,000 rubles. (Article 14.23 of the Code of Administrative Offenses of the Russian Federation)	Before concluding an employment contract with employees applying for a management position, send a request for possible disqualification individual to the Federal Tax Service, which maintains a register of disqualified persons

The reasons for initiating an audit of the work of the HR department may be different, for example, a change in personnel officer or management, preparation for an inspection of the State Tax Inspectorate. In this case, the procedure itself can be carried out either by third-party companies or specialists, or on its own. If a decision is made in favor of the second option, you need to study important issues: what materials to collect, what to check, and in general how to conduct a personnel audit. Moreover, the audit must be carried out with high quality, because the company is responsible for the mistakes of the personnel officer or clerk with money, and therefore with part of the profit.

Main questions

Conducting a personnel audit is an assessment of the activities of the entire personnel department or a specific area. Before initiating the procedure, you need to decide what kind of verification is required: comprehensive or selective.

If there are complaints about the work of a specific section of the HR department, you can limit yourself to a random check, that is, you only need to check the work of this section. If the reason for the audit is a change in management or an upcoming scheduled inspection by the state labor inspectorate, you need to check the work of the entire HR department.

You also need to figure out what to check:

correctness of record keeping;
personnel placement.

Checking the compliance of personnel placement with the needs of the company is a rather serious procedure that requires close attention. The procedure for conducting such a check is posted in a separate publication; here we will consider in detail how to check personnel documents for their compliance with the laws.

Where to begin

The starting point of a personnel audit is the issuance of an order( ). In the order
It is imperative to indicate the objectives of the audit (selective or comprehensive), the duration and composition of the commission. The commission must include:

personnel officer (and the head of the OK, if such a staff unit exists);
lawyer;
accountant;
administration representative.

After the order is executed, the audit algorithm will consist of three stages:

selection of methodological and legal documents;
checking the availability of required documents and files;
report preparation.

We select teaching materials

In order to start checking, you need to prepare regulatory framework: laws and acts regulating personnel records management (correct design personnel documents). The list must include the latest versions:

Labor Code;
Resolution of the Ministry of Culture No. 558 (on storage periods);
Government Decree No. 225 (on work books);
Resolution No. 69 (instructions for preparing work books).

This work can be entrusted to the company’s lawyer, and current versions of legal acts can be found on the ATP “Consultant+” website.

We check office documents

To record the presence and condition of documents, it is necessary to draw up a statement, in
which you will then have to methodically enter data. The title page of the statement must contain:

title (“Statement of verification of personnel documents”);
basis (order details);
composition of the commission;
audit period.

The body of the statement itself must be formatted as a table with the names of the columns:

"serial number";
"Document missing";
“There is a document, but it requires changes”;
“The document complies with the law.”

Important

Information about personal documents is entered into the statement for each employee, for example 1. Ivanov’s employment contract I.I., 2. Petrov’s employment contract P.P. etc.

The statement must include all the documents that should be in the OK files:

List of documents

employment contracts, agreements, contracts and additional agreements thereto;
work books;
staffing;
a book or journal for recording the movement of work records;
vacation schedule;
time sheet;
personal cards;
employment orders;
orders for transfers, dismissals;
orders on discipline, business trips, vacations;
orders for core activities (relating to OK);
Personal things;
employee statements (can be filed with orders);
inner order rules;
provisions: on payment, on trade secrets, on the protection of personal data;
labor protection instructions;
logs of familiarization with LNA;
collective agreement (if any);
job descriptions (if the contracts do not directly stipulate responsibilities);
a list of positions for part-time employees;
shift schedules;
agreements on financial responsibility (team, individual).

In addition to documents, OC files must contain registration logs:

forms of work books and inserts;
accounting of inspections;
employment contracts;
orders on personnel and on main activities;
statements.

Each document must be checked for compliance with the law, for example:

are they included in the contracts? prerequisites, the salary is not lower than the minimum wage, has a copy been received;
whether all personal documents and orders are signed;
are the work books filled out correctly?
Are the registration logs stitched and sealed?
Are the storage periods for documents, etc. observed?

The completed form must be signed by all members of the commission., and based on the results of its completion, a report is drawn up.

We prepare a report

The final stage of the personnel audit is the preparation of a report.. It is compiled in free form and may contain structure elements:

title and date of the document;
information about the status of personnel documents (are they in order or are there any deficiencies);
data on detected deficiencies (briefly);
recommendations indicating sanctions in case of failure to take measures (see sample here).

A copy of the statement is attached to the report.

important

If the reason for the audit was a change in personnel officer, the statement can be used as an appendix to the act of acceptance and transfer of cases, which will significantly simplify the entry into position of a new employee.

Finally advice : if it is decided to conduct such checks regularly, you can develop and approve regulations or instructions, which sets out the basic rules of how to conduct a personnel audit, the frequency of the audit and the algorithm.

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