Order personnel audit with labor protection. Internal personnel audit. Regulation on the protection of personal data of employees

- this is a check of all procedures and documents related to the movement (acceptance, transfer, vacation, etc.) of employees in the organization, for compliance with the legislation of the Russian Federation. It can have a narrow focus, in which case only the design is checked personnel documentation. Or capture the entire area of personnel management.

There are also internal and external audits. Internal, the company conducts on its own, an employee who is well acquainted with regulatory documents regarding personnel records, for example, a lawyer, can act as an inspector. This option is suitable for small companies. External audits are carried out by independent third parties and are considered more reliable and reliable.

Audit of personnel documentation

It is not a mandatory procedure, but an increasing number of companies conduct such an audit. This is due to the tightening of checks labor inspectorate and changing the rules for imposing penalties on the enterprise, in case of violations. The amount of fines has increased, so now protocols are issued for each employee.

employment of foreign workers. Registration of documents in this area, in addition to the GIT, may also be of interest to the Federal Migration Service;
conclusion of contracts with employees liability;
usage probationary period employment and its control;
the use of different modes of operation;
work of employees beyond the established working hours.

During the audit, the auditor should not only check the available documents for errors, but also assess whether the provided package is complete or whether additional documents are required. For example, the presence of local regulations for the enterprise.

Audit stages:

Setting goals and objectives. The check can be complex, when all sections are checked or thematic. At this stage, it is determined by what forces it will be carried out (internal or third-party), as well as the dates and timing of the audit. If internal control is carried out, responsible persons must be appointed by order.
Preparation of necessary documents.
Study and analysis of documents. All detected errors are fixed.

After the audit is completed, the auditor gives a written opinion on its results, the system of personnel records management at the enterprise and its compliance with the law are assessed. The conclusion must contain the following information:

information about the documents that were the subject of verification;
list of violations with comments. The auditor must refer to the regulations that have been violated;
company risks;
recommendations for troubleshooting.

HR consulting is a broader list of activities and affects all areas related to people. The purpose of the audit is to develop personnel policy tools that will allow you to effectively manage personnel in accordance with the company's strategy. During such an audit, in addition to the audit of personnel documentation, the following issues are considered:

analysis of the organization's need for personnel;
recruitment;
personnel assessment;
staff training and development;
analysis of the wage system;
staff motivation;
analysis corporate culture;
assessment of the psychological situation in the team.

The company resorts to personnel consulting in the following cases:

It is required to develop separate areas in the field of personnel management (development of a system of motivation, training, etc.);
Improvement of the current personnel policy;
Setting up personnel records and other areas of personnel policy from scratch.

During the audit, the expert analyzes the current personnel management system. The job descriptions of the employees of the personnel department are studied, and the motivation of the personnel management is determined. As a result of the audit, the auditor identifies the personnel potential of the enterprise and proposes measures to optimize human resource management technologies.

The personnel audit takes place in two stages. At the first stage, topics, tasks of verification are determined, the motives that prompted the company's management to seek help from specialists are clarified. At the same stage, the current personnel policy, a counseling program is being drawn up.

The next stage is the interaction with the employees of the organization to achieve the goals. Three spheres are created:

Development. Employees are trained in effective problem solving techniques;
Support. Conditions are created for successful staff training;
Consolidation. The transition of an artificially created process into a self-regulating one.

In their work, auditors use different methods, the most effective of them are:

coaching. Specialists pass professional education under the guidance of an expert. The essence of the method lies in the fact that for the trainee create such conditions in which he independently finds the best solution to the tasks.
NLP. The technique involves modeling situations that will affect a person through his emotional state. Only a certified expert can use this technology.
Social studies. The auditor conducts a survey (oral or written) of employees. In the course of a conversation or a questionnaire, the motivation of people, their readiness for change, the basic principles that guide them in life are clarified.
Creation of a new business process structure. The expert is developing a model of the new structure. In the course of work, current processes are optimized and new requirements are determined.

HR audit is an important tool in the development of the company. A well-structured personnel policy can improve teamwork, increase labor productivity, reduce the time to search and select employees, and reduce labor costs.

"Personnel service and personnel management of the enterprise", 2007, N 9

Internal HR audit

In the last year, there has been significant interest in conducting regular reviews of their own personnel records, both from government organizations as well as private companies. This is due to a number of factors. First, intensified in recent times attention of the state to the sphere documentation labor relations employers with employees. Scheduled and unscheduled inspections of the State Labor Inspectorate have become commonplace for many personnel services. Secondly, increasing the legal literacy of employees and their desire to defend their own rights in courts makes HR managers pay attention to maintaining the necessary documentation. It is known that the courts first of all pay attention to the formal side of the case, that is, they carefully check not only the fact of the existence of documents, but also the correctness of their content and execution. Thirdly, if the company has a good and efficient human resources service operating within the framework of the law, this is a positive signal for potential candidates and for the company's employees, which ultimately helps to increase the company's brand as an employer in the labor market.

The concept of internal personnel audit

Internal personnel audit is an activity regulated by local regulations and carried out within the audited entity by a special unit (internal personnel audit service) for independent objective verification personnel service companies.

In this definition, it is no coincidence that emphasis is placed on two important points: the independence of internal auditors and their objectivity. It seems fundamental that internal auditors should be independent of the HR department of the company and its head that they check. Only then will they be able to freely express their opinion.

In fact, the independence of the internal personnel audit service is determined by the level of its subordination in the company. It can exist as a department or department within the HR service and report directly to the HR director, or it can have the status of an independent unit reporting directly to the first person of the company. The independence of internal auditors cannot be ensured in a situation where the internal HR audit unit is subordinate to the head of the HR service (HR department, etc.).

Objectivity refers to the impartial intellectual honesty of the internal auditor, his ability to defend his opinion, independent of the opinion of superiors, and the ability to avoid conflict situations. The objectivity of the internal auditor should not be influenced by his prejudices, or by other persons, or by pressure from management.

The number of employees in this service varies and largely depends on the size of the company. In small companies of up to 500 people, one specialist can be responsible for internal personnel audit (in this case, the service as such is not created). In medium-sized companies of up to 3,000 people, three to five people may be involved in internal audit. In large companies with an extensive network of branches, there can be up to 10 people in the HR audit service.

The purpose and objectives of the internal personnel audit

The purpose of the audit is a specific task, the solution of which is aimed at the activity of the internal auditor. The purpose of internal personnel audit in each case is different. It depends on the size of the company, its organizational structure and may vary depending on management requirements. It should be recognized that the vast majority Russian companies internal HR audit units are focused on serving the needs of HR management. Firstly, they are subordinate to the HR director of the company, secondly, they work according to the plan approved by him, and, thirdly, they present the information received during the audit directly to the head of the personnel service. The latter, in turn, often perceives internal audit as an audit aimed at determining the professional suitability of personnel officers. This approach raises reasonable doubts.

It seems that the goal of an internal HR audit should ultimately be to improve the performance of the HR department and minimize the company's possible risks associated with incorrect HR documentation. Monitoring the risks that the company may be exposed to in the process of passing the inspection by government authorities and / or resolving emerging labor disputes with employees, is one of critical aspects internal personnel audit. The internal personnel audit service should strive not only to find errors in already created documents, but, first of all, to prevent them. To do this, it should, among other things, provide the necessary assistance to personnel officers, advising them at the stage of development and creation of personnel documentation on issues that arise for them. This is one of its fundamental differences from external auditors.

Based on the above goal, the following tasks can be assigned to the internal personnel audit service:

1. Verification and assessment of compliance with the law by personnel officers when preparing personnel documentation.

2. Assessment of the compliance of the actions of personnel officers with established rules and procedures.

3. Evaluation of the effectiveness of the work of the personnel service and the company's personnel document management system.

5. Providing the necessary information to the management and owners of the company on issues of interest to them.

Creation of an internal personnel audit service,

definition of its structure

It is best to start the process of creating an internal personnel audit service by defining its purpose and objectives. It is advisable already at the first stage to seriously approach the formalization of the activities of this service and develop a set of documents regulating its activities:

Regulations on the service of internal personnel audit;

Job descriptions of service employees;

Instructions on the procedure for conducting an internal personnel audit.

The Regulation on the Internal HR Audit Service is the most important document regulating the work of this structural unit. The regulation is built in accordance with the requirements of the Unified System of Organizational and Administrative Documentation and includes the following sections:

1. General Provisions.

This section contains general characteristics internal personnel audit services, its structure, subordination, a list of documents that guide the unit in its activities.

2. Goals and objectives.

This section contains a list of the main goals and objectives of the internal personnel audit service.

3. Functions.

The main functions of the unit follow from the goals and objectives set out in the previous section of the regulation.

4. Rights and obligations.

This section contains a list of the rights and obligations of the internal HR audit service within the company, necessary for the successful performance of its tasks and functions. The same section indicates the responsibility that both the unit as a whole and its head bear for non-use of rights and failure to fulfill obligations.

5. Leadership.

This section discloses the procedure for appointing and dismissing the head of the internal personnel audit service, provides requirements for the level of his qualifications, lists his rights and official duties etc.

6. Relationships.

A very important section, including detailed description the process of internal interaction of the internal personnel audit service with other structural divisions of the company, primarily with the company's personnel service and the company's legal service: on what issues, in what cases and in what order is this interaction carried out; if the interaction of employees of the service with external organizations(for example, participating in labor inspections, etc.), this process is also described in this section.

7. Organization of work.

This section describes the main points concerning the organization of its work. This section should also contain information on how the service will be reorganized, if necessary.

8. Final provisions.

The section determines the procedure for the entry into force of the provision, as well as the procedure for making changes and additions to it.

The job descriptions of service employees consist of the following typical sections:

1. General Provisions.

This section should include the following information:

Full name of the position, given in accordance with the staffing table;

To whom does the employee report?

The procedure for appointment to a position and dismissal from it (hiring and dismissal - for ordinary employees);

The procedure for substitution in case of temporary absence of an employee (including the procedure for receiving and transferring cases);

Features of the organization of work, if any (irregular working hours, flexible hours, etc.). If a this information negotiated in the employment contract, this item may be absent;

List of regulatory, methodological and other documents that guide the employee holding this position;

Qualification requirements (level of education, work experience).

2. Functions.

The section contains a list of the main activities of the employee in accordance with the activities of the internal personnel audit service.

3. Job responsibilities.

This section lists in detail the types of work that provide the functions indicated in the previous section; the nature of the actions performed is also described ("organizes", "provides", "prepares", "examines", "manages", etc.).

This section fixes the powers of an employee of the internal personnel audit service, ensuring the fulfillment of the functions and duties assigned to him.

5. Responsibility.

6. Relationships (connections by position).

The section describes how and with whom the employee interacts in all areas of his activity: from whom he receives information, in what form and within what time frame; what information, in what form, in what time frame and to whom he provides and other issues of information relations of an employee with structural divisions and other employees of the company, as well as (if necessary) with third-party organizations. This section can be arranged in tabular form as the most visual.

The instruction on the procedure for conducting an internal HR audit describes in detail the technology for conducting an internal audit (see below), and in the appendix to it are given type specimens working and reporting documents of internal auditors.

The structure of the internal HR audit service largely depends on the position of the company's management (or the management of the HR service), i.e. on what tasks it sets for this unit and how correctly it understands its role in the company.

In most companies, the internal HR audit service is centralized, i.e. the department responsible for HR audit is located in central office companies. The advantage of such a structure is the independence of service employees from the heads of regional branches and representative offices of the company and their personnel departments. However, it is also possible to build a service as a decentralized structure. In this case, the central unit takes over the development of a unified audit technology and training in working with this technology, and the audit itself is carried out by internal auditors in the field. This option attracts with the ability to quickly conduct unscheduled inspections However, this structure raises serious doubts about the independence and objectivity of local auditors.

Main areas of work and planning of personnel audit

The main areas of work of the internal personnel audit service are as follows:

Checking the compliance of the activities of personnel officers with the requirements of current legislation;

Assessment of the completeness of the composition of personnel documentation;

Evaluation of the system of registration of personnel documentation;

Assessment of the system for storing personnel documentation;

Assessment of the system for preparing cases for archival storage;

Grade software used to create personnel documentation;

Audit of local regulations;

Audit of employment contracts and civil law contracts with employees;

Audit of liability agreements;

Audit of job descriptions;

Audit of orders on personnel;

Audit of documentation on labor protection;

Audit of the procedure for maintaining work books;

Other areas relevant to the company (for example, audit of documentation for certain categories of employees, audit of documentation for training and certification of employees, etc.).

In all of the above areas, the internal personnel audit service can conduct both scheduled and unscheduled inspections. Scheduled checks are organized by the head of the service in accordance with the plan approved by the higher head. The work plan of the internal HR audit service contains a list of topics for planned audits with an indication of the period for their implementation and is developed for a year. Unscheduled inspections are carried out in the event of a change in the head of the HR department (or its regional branch) at the initiative of the company's management or its HR director, upon receipt of a signal about the illegal actions of HR employees and / or violation of internal rules, instructions, regulations.

Technology of internal personnel audit

The organization of internal audits is as follows:

1. The head of the internal HR audit service approves the audit program. The program determines the scope of the audit, the audit period, the composition of the audit team, the planned work and audit procedures that will be carried out during the audit.

2. The company's management issues an order to conduct an internal personnel audit indicating the topic of the future audit (see example 1), which is brought to the attention of the head of the personnel service (and the heads of its regional divisions, if any). The management of the personnel service, within the time specified in the order, is obliged to prepare and provide the auditors with all the necessary personnel documentation, as well as other information that is necessary for the audit.

3. The audit team analyzes the content of the submitted documents. Before the start of the audit, all members of the audit team are given special checklists with control questions that are being audited. And if necessary, they meet with employees of the personnel service, receive the necessary clarifications from them.

They record this information in working documents, the form of which is approved in the instructions on the procedure for conducting an internal personnel audit. Violations and inconsistencies identified as a result of the audit are recorded in special protocols of inconsistencies, which also record possible measures to correct and prevent such situations in the future.

Limited

responsibility "Ice"

(LLC Ice)

N------

On conducting a personnel audit

In order to improve the activities of the personnel department and minimize the possible risks of Ice LLC associated with improper maintenance of personnel records,

I order:

1. Carry out an internal personnel audit on the topic "Execution of labor contracts and civil law contracts with employees" from September 9 to 15, 2007.

2. To appoint S.V. Biryukov, Deputy Head of the Internal HR Audit Service, as the head of the audit team.

3. Include the following employees in the audit team:

information security engineer Simakov A.V.

legal adviser Efremov K.A.

E.P. Vetrov, Leading Specialist in HR Document Management

5. To impose control over the execution of this order on the head of the internal personnel audit service V. V. Rumynina.

General Director Kiripov V.P. Kiripov

Familiarized with the order:

Biryukov S.V. Biryukov

Simakov A.V. Simakov

Efremov K.A. Efremov

Romanian V.V. Romanian

4. Based on the results of the audit, the audit team draws up a report within 7 days describing the state of affairs, identified problem areas and possible risks, as well as containing recommendations for solving these problems and minimizing risks.

Before submitting the report to the management, it is discussed by the head of the audit team with the audited personnel officers. The purpose of the discussion is to make sure that the content of the report is understandable to employees and they are ready to implement the recommendations proposed by the auditors or can justify the reasons for the impossibility of implementing them.

5. The report is submitted to the company's management, which approves the recommendations of the auditors and makes decisions that contribute to the implementation of these recommendations.

Typical problems of the internal audit service

There are a number typical problems faced by internal auditors in the course of their activities:

1. Incomplete/untimely presentation of information by the auditees, their unconstructive position in the process of internal audit.

If HR officers are sure that an internal HR audit is carried out solely to find errors in their work, that their knowledge and experience are questioned by management, and the results of the audit will affect their status in the company, such a reaction is inevitable. Any verification - both external and internal - is limited by certain deadlines. Understanding this, personnel officers seek to complicate the work of internal auditors, implement the strategy of their information blockade: for various reasons and under various pretexts, they are not presented with Required documents.

Therefore, it is necessary, firstly, to inform the inspected about the purpose of conducting audit, to focus on the benefits that internal auditors' recommendations can bring to improve the work of the personnel department.

Secondly, it is of great importance that the company has a corporate culture that recognizes the “right to make mistakes” for employees, the understanding that mistakes are inevitable even at work. the best specialists. Only in this case it is possible to ensure the readiness of personnel officers to cooperate with internal auditors.

Thirdly, in internal documents companies that regulate the procedure for conducting a personnel audit should clearly fix the obligation of employees of the units being audited to provide auditors with all the requested information in full within the time limits specified in their request. On the other hand, these documents should provide for the obligation of internal auditors to coordinate with the auditees the terms of their work and the procedure for interaction during the upcoming audit.

2. Insufficient time budget for the audit.

Internal audit must be properly planned. As a rule, the head of the internal audit service draws up a plan of audits for the coming year, indicating the timing of their conduct by months. However, if there are frequent requests from HR/HR management or situations that require unscheduled reviews, the time originally allotted for a scheduled review may change significantly. In this case, it is important to be flexible in the preparation and correction of work plans for inspections, as well as to provide in advance the necessary time reserve in them in case of such requests.

3. Unpreparedness of individual leaders to perceive information about the true state of affairs.

The first persons of the HR service/HR department are not always ready to implement the recommendations proposed by the auditors and make decisions based on the results of the audit. Therefore, it is necessary already at the first stage of creating an internal personnel audit service to describe the procedure for implementing the recommendations of internal auditors made by them based on the results of the audit.

It is also advisable to fix in the internal documents of the company the responsibility of the head of the audited unit for analyzing the audit results and taking corrective / preventive actions based on the report and recommendations provided by internal auditors.

4. Lack of independence of the personnel audit service.

As already mentioned, in the vast majority of Russian companies, the internal HR audit service is either subordinate to the HR director of the company, or even exists as a structural unit within the HR service and reports to its head. Such dependence of internal auditors on the direct management of the audited personnel officers directly affects their objectivity: a dependent internal auditor will not be able to be objective. Yes, and personnel officers in this case tend to perceive internal auditors as direct representatives of their management and do not seek to build effective working relationships with them.

Who are internal auditors?

An internal auditor is a person who has the competence to conduct an internal personnel audit and has the appropriate authority to conduct an audit.

Despite the fact that internal HR audit units have been actively created in many companies over the past three years, there is currently a shortage of highly qualified specialists capable of working effectively in such services.

As a rule, when creating a department / department of internal personnel audit in a company, employees who were previously involved in maintaining personnel document management in the company are transferred to it. Practice, however, shows that specialists who have "grown up" within the company and are involved in its internal problems do not always show proper objectivity and impartiality in evaluating the work of former colleagues. On the other hand, which is very important, it is they who are more focused on providing former colleagues needed help and advice. These employees can also be quite effective in carrying out the personnel audit procedure for a branch of the company (or its other regional division).

It seems optimal to form a "mixed" division of internal personnel audit both from former employees of the personnel service, and by attracting employees from the market, primarily from consulting or law firms providing HR consulting services.

Ideally, the HR audit service should include lawyers, HR professionals, and information security professionals.

Below is an approximate list of formalized requirements for the competence and personal qualities of a candidate for the position of head of the company's internal HR audit service, as well as his rights and obligations.

Head of Internal HR Audit Service:

requirements for the position and qualifications of the employee

1. Demographic requirements:

Age: up to 55 years;

Gender: male / female.

2. Education requirements:

Higher education, legal or in the field documentation support management;

Desirable additional education in the field of personnel management and / or information technology.

3. Professional experience:

At least 3 years of experience in the Human Resources/HR Department of a company with a developed branch network, or similar experience in a consulting or law firm;

Experience in setting up / reorganizing the HR document management system in the company, experience in developing and implementing an internal HR audit methodology;

Team leadership experience.

4. Professional knowledge, skills and abilities:

Excellent knowledge labor law and regulations in the field of personnel workflow, documentation support for management and information protection;

Experienced PC user;

Knowledge of the main specialized personnel programs.

5. Personal qualities:

Communication skills, the ability to establish personal contacts;

Objectivity and purposefulness;

High efficiency;

A responsibility;

Ability to work with a large amount of information;

Ability to defend one's own opinion with reason.

Conduct an internal audit of the work of the personnel service and its regional divisions;

Inquire from the manager and HR staff necessary information and documents;

Participate in audits;

To exercise control over the implementation of the necessary corrective actions and the implementation of the recommendations made as a result of the audit;

Evaluate reports prepared by internal auditors based on the results of audits and make decisions on appeals against the actions of internal auditors;

Take part in the development normative documents regulating the activities of the internal personnel audit service;

Take part in the analysis of disputable and conflict situations arising in the course of the company's operation, including disputes with the State Labor Inspectorate;

Submit proposals to the management of the company to improve the activities of the internal personnel audit service.

7. Responsibilities:

Plan and organize the work of the internal personnel audit service;

Develop a methodology for conducting internal audits of the HR document management system;

Form working groups to conduct audits;

Collaborate with the management of the audited departments.

8. Responsibility:

For the implementation of the plan for internal personnel audit;

For organizing and conducting unscheduled inspections;

For the reliability and objectivity of the information contained in the reports and recommendations of the service;

For the organization of checks on the implementation of the necessary corrective measures and the implementation of the recommendations made as a result of the audit.

These requirements can be finalized by the personnel service, taking into account the specifics of the company and the range of tasks facing the internal personnel audit service.

Russian labor legislation has changed frequently lately, and internal auditors should be aware of all changes that are relevant to the company's activities. Therefore, it is necessary to provide them with the possibility of continuous professional development. It is advisable not only to entrust the internal audit service with the function of tracking all changes, but also to oblige its employees to bring information about them to the personnel department of the company, to conduct training activities for them.

External or internal HR audit?

HR audit is becoming a popular service, for which leading Russian and Western consulting companies are involved. The HR audit conducted by external consultants allows you to move away from established views, habits and assessments, helps you compare the work of the company's HR department with the work of similar services of competing companies, and also receive independent recommendations to improve the efficiency of the HR document management system.

On the other hand, external consultants do not always have enough time to check the implementation of the internal procedures and standards of the company's HR department, and often do not have the opportunity to do so. An independent consulting firm cannot carry out constant monitoring of the work of employees responsible for personnel document management. While a clear organization of the work of the internal personnel audit service allows you to avoid many mistakes and violations in the process of the company's personnel service and prevent some of them.

We offer you the optimal organization of the HR audit process in the company:

1. Creation of an internal HR audit unit with the help of external consultants who, at the first stage, will assist in the development of regulatory documentation and help in the selection necessary specialists, based specific tasks facing the corresponding service.

2. At the second stage, employees of the internal HR audit service, together with external consultants, identify possible risks and probable problem areas and develop a methodology for conducting an internal HR audit of the company.

3. At the third stage, the developed methodology will be tested and, if necessary, its correction will be carried out.

4. If a decentralized structure for building an internal personnel audit service is chosen, regional auditors will be trained to work using the adopted technology.

5. After the agreed time, external consultants will evaluate the activities of the internal personnel audit service.

Thus, having created an internal HR audit unit with the help of external consultants and having developed a verification technology, the company will subsequently be able to conduct a HR audit on its own, involving external experts only in cases where the professional competence of internal auditors may not be enough.

As the practice of conducting an internal audit of personnel documents in many organizations shows, such a procedure is necessary, since the state of affairs of employers is rarely completely ideal. The article will help personnel officers and lawyers to justify the risks that may arise in case of violation of the regulations and prohibitions established by the norms labor law RF.

In the Russian Federation, there are no regulatory legal acts regulating the procedure for conducting an internal personnel audit (as opposed to an accounting audit). In this regard, it is necessary to deal with some questions:

What is an internal HR audit?

This is a set of measures that includes diagnosing the legal and clerical correctness of drawing up local regulations (LNA) and the employer's personnel documents, providing recommendations and, if necessary, performing work to eliminate errors in personnel documents.

What is the purpose of an internal HR audit?

The purpose of the event is to improve the activities of the personnel service and minimize the possible risks of the employer. Monitoring the risks that an employer may be exposed to in the process of undergoing an audit by government agencies and/or resolving labor disputes with employees is one of the most important aspects of an internal HR audit.

When is an internal HR audit carried out?

When changing the employee responsible for maintaining personnel records management (hereinafter - KDP): dismissal, transfer to another position / to another unit.
Upon receipt of an order from the labor inspectorate on the upcoming scheduled inspection.
If there is a threat of verification after the dismissal of the offended employee: non-payment or late payment in time wages, bonuses, dismissal at the initiative of the employer, etc. In this case, it is recommended to conduct an unscheduled personnel audit.

NOTE

An internal personnel audit can be carried out without waiting for instructions from the supervisory authority on the upcoming scheduled audit. After the New Year holidays, a summary plan of inspections for the year is posted on the website of the Prosecutor General's Office of the Russian Federation or the prosecutor's office of the corresponding constituent entity of the Russian Federation, and a plan of inspections of subjects is posted on the website of the State Labor Inspectorate. This information will allow you to find out if the organization/individual entrepreneur falls under the test and prepare for it in advance.

What types of internal HR audit exist?

Full (for all areas of the KDP).
Selective.

During a selective audit, the following are checked:

separate sections of the KDP;
or documents on individual employees;
or all aspects of HR with a representative sample of documents.

What is the optimal time frame for an internal HR audit?

The answer depends on what kind of audit the employer wants to conduct: full or selective.

It is desirable to conduct an internal personnel audit for the last three years, since, as practice shows, tax office, FSS of Russia, PFR check the employer for the last three years of their activities.

The optimal timing complete internal personnel audit is from 7 to 14 working days; selective- 5 to 7 business days. This includes the time at which the inspection report was compiled and submitted to the employer.

NOTE

Incorrectly executed documents on personnel can subsequently cause the employer to be subject to an administrative fine.

What should be the actions of the employer after receiving the inspection report?

If numerous errors are found in the employee responsible for the KDP, it is necessary to find out why they were made and whether the employee understands what consequences this may lead to. The employer must make one of the following decisions:

send a personnel officer to study;
give a chance to correct mistakes and, within a certain time, control whether he does not allow new ones;
transfer to another job;
part with the employee.

Who should conduct an internal HR audit?

For regular a special unit can be created to conduct an internal personnel audit, or you can entrust this work to a lawyer who is on staff (only if he specializes on labor legislation, and is not primarily engaged in economic and contractual activities). If the employer decides to create an internal control service for the purpose of regular internal personnel audit, it is necessary to develop the relevant documents: regulation, order, etc.

One-time personnel audits are carried out either by a new official accepting cases, or with the involvement of external specialists.

You can conclude a contract for the provision of services with a specialist or with an organization specializing in conducting a personnel audit.

An internal HR audit should be carried out by a person with experience in the HR field and experience in passing inspections by regulatory authorities, preferably with a legal education.

How to start an internal HR audit?

It is necessary to check the presence (absence) of LNA from the employer and compliance with their regulatory requirements. Any employer, regardless of the legal form and form of ownership, must have a LNA.

RISKS ARISING IN THE ABSENCE OF ANY LNA

Regulations on wages

This document is not mandatory for the LNA of the employer. To calculate wages, it is enough to have employment contracts with employees and relevant orders (on hiring, transferring to another job, etc.).

However, Art. 135 of the Labor Code of the Russian Federation establishes a requirement according to which wage systems for a given employer are established either by collective agreements, agreements, or LNA.

Consequently, the remuneration system (even as simple as a purely salary one) should appear in the collective agreement either in the LNA: PWTR (in the section “Remuneration of employees”) or an independent Regulation (when the remuneration system is more complex).

In the presence of bonus pay system The regulation on remuneration and bonuses for employees is a document regulating:

principles of formation of the system of remuneration;
the procedure for calculating monetary remuneration for work;
criteria and procedure for assessing work.

When it comes to remuneration of employees, attention should be paid to pay slips on wages.

The form of this document must be approved by each employer in without fail.

Extract from the Labor Code Russian Federation

Article 136. Procedure, place and terms of payment of wages

When paying wages, the employer must notify writing each employee:

1) on the components of wages due to him for the relevant period;

2) on the amounts of other amounts accrued to the employee, including monetary compensation for violation by the employer of the established deadline, respectively, for the payment of wages, vacation pay, payments upon dismissal and (or) other payments due to the employee;

3) on the amount and grounds for the deductions made;

4) on the total amount of money to be paid.

The form of the payslip is approved by the employer, taking into account the opinion of the representative body of employees in the manner prescribed by Article 372 of this Code for the adoption of local regulations.

The procedure for issuing pay slips to employees is not established by law. AT Labor Code The Russian Federation does not directly say whether the employee must sign for their receipt. However, without written evidence of the issuance of pay slips to employees, it will be difficult for the employer to prove the fulfillment of the obligation.

In the absence or non-issuance of a pay slip to the employee (as well as the absence of an order approving the form of the pay slip), the employer may be held administratively liable under Art. 5.27 of the Code of Administrative Offenses of the Russian Federation.

NOTE

The task of the person responsible for maintaining personnel records management is to be able not only to correctly draw up documents on personnel, but also to develop LNA in accordance with labor legislation.

staffing

In the event of carrying out measures to reduce the number and / or staff of employees, as well as when considering individual disputes between an employee and an employer in the event of dismissal of employees under clause 2, part 1, art. 81 of the Labor Code of the Russian Federation, one of the main documents is the staffing table - the old (before events) and the new (modified).

staffing is used to formalize the structure, staffing and staffing of the employer, must contain a list of positions of employees (Articles 15, 57 of the Labor Code of the Russian Federation). It may contain a list of structural units, professions of workers, information on the number of staff units and salaries, tariff rates and allowances. Changes to the staff list are made by order of the head of the organization or a person authorized by him.

Arbitrage practice

The employee filed a lawsuit against the employer to recognize the reduction procedure as illegal, to recover wages for the time of forced absenteeism and compensation for non-pecuniary damage. In support of the claim, she pointed out the imaginary reduction of staff. The court examined the employer's orders to change the staffing table and concluded that the reduction procedure and, accordingly, the order to amend the staffing table were illegal. Comparative analysis staffing and job responsibilities of employees of the abolished and created units showed that the functional component of the specified unit has not changed, but only its name has changed. The labor functions of the plaintiff remained the same. In view of the foregoing, the court agreed with the arguments of the employee that the reduction procedure was of a formal nature, and recognized the reduction procedure in terms of the plaintiff as illegal. In favor of the employee, underpaid wages and compensation for non-pecuniary damage were recovered.

Decision of the Leninsky District Court of Smolensk dated May 23, 2012 in case No. 2-984/12

Regulation on the protection of personal data of employees

Every employer must have documents regulating the processing of personal data, even if his staff consists of three employees.

During 2011, Roskomnadzor conducted 1,743 inspections, of which 954 were scheduled and 789 were unscheduled. In the field of personal data, the following violations of the law were most common:

failure by the operator to take measures to ensure the safety of personal data and exclude unauthorized access to them;
processing of personal data in cases not provided for by law, without the consent of the subjects;
discrepancy between the information specified in the notice on the processing of personal data and the actual activity.

Internal labor regulations

Mandatory LNA. Part 3 of Art. 189 of the Labor Code of the Russian Federation, according to which the labor schedule is determined by the rules of the internal work schedule. Consequently, lack of PWTR will be treated as labor law violation and the employer may be held administratively liable under Art. 5.27 of the Code of Administrative Offenses of the Russian Federation.

The concept of personnel audit of an enterprise

Many managers and HR workers are interested in how to properly conduct a personnel audit in an organization. This is due to the fact that the legislation does not contain either the concept of a personnel audit or the requirements for its implementation.

However, from the provisions of paragraph 3 of Art. 1 of the federal law "On Auditing ..." dated December 30, 2008 No. 307, which sets out the concept of audit financial statements, we can conclude that a personnel audit is a procedure that involves an independent verification:

activities of the personnel service of the organization;
the correctness of the preparation of personnel documents and the conclusion of employment contracts with employees;
compliance with labor protection requirements and labor legislation.

The procedure is carried out, in particular, in the course of preparing a company for an inspection by the State Labor Inspectorate or the Prosecutor's Office in order to avoid possible involvement firms and its management to administrative responsibility, provided for by various parts of Art. 5.27, 5.27.1 of the Code of Administrative Offenses of the Russian Federation. In addition, the personnel audit of the organization allows you to identify problems in the work with personnel and personnel management, as well as prevent their occurrence in the future.

It is important to note that the verification of personnel documentation, based on the content of the appendix to the order of the Ministry of Finance of the Russian Federation "On the definition of ..." dated March 9, 2017 No. 33n, is not a type of audit services. Accordingly, the requirements of Federal Law No. 307 for this species inspections are not covered, therefore, it is possible to develop the procedure for personnel audits on the ground. At the same time, the heads of organizations have a certain degree of freedom in developing the tasks, methods and plan of this procedure.

In what cases is it advisable to conduct a personnel audit of an enterprise?

The specified verification procedure can be carried out without obvious reasons, but most often the reasons for it are:

Amending labor laws. For example, this applies to cases when new laws are introduced that establish additional responsibilities, procedures, documents.
Change of the head of the personnel department or another person involved in personnel work In the organisation. In this case, it is advisable to provide the new head of the personnel department with information about what work needs to be done in the future.
The need to optimize the functioning of the personnel service, verify the correctness and effectiveness of its activities. An audit in this case is carried out if there are doubts about the correctness of the work of the personnel service. For example, it is appropriate in a situation where the organization, during the next inspection by the regulatory authorities, was held liable for violations in the field of labor legislation.
Availability of information about the upcoming inspection by the regulatory authorities. The audit is carried out in order to prevent possible fines and to prevent the issuance of instructions to the organization.
Change of the head of the company. The audit is carried out so that the new management has information about the state of affairs in the personnel service.

Tasks and methods of personnel audit

A task in the broadest sense is a problem situation with a clearly defined goal. In a narrow sense, the task is the goal that needs to be achieved.

The tasks of the personnel audit are:

Search for problems in the field of personnel management and the formation of ways to resolve them.
Formation of effective personnel methods management.
Bringing personnel records management and document flow in line with the requirements of regulatory legal acts.
Reducing staffing costs.
Identification of possible personnel risks and threats, prevention of the possibility of problems in the future.

Audit methods are a set of tools that allow you to achieve your goals. Conventionally, they can be divided into 2 groups:

Organizational, that is, aimed at developing methods to conduct an audit in the company.
Informational, allowing to obtain the information necessary for the audit.

Organizational practices include:

development of audit methods for conducting comprehensive audits;
study of legal and technological features of the construction of personnel work;
training of specialists authorized to conduct an audit.

Information methods include:

methods of monitoring personnel work and personnel processes;
diagnostic methods (testing, questioning, collection of statistical data, analysis labor processes and personnel documentation);
verification of compliance of personnel documentation with regulatory requirements established by labor legislation.

Who conducts an audit of the personnel service and is it possible to conduct it on our own?

Absence legislative regulation conducting a personnel audit gives a certain freedom in choosing the persons who have the right to carry out the procedure. What are the options in this case?

There are several of them:

Contact specialists of a third-party organization, which employs experienced and qualified auditors with experience in conducting personnel checks. This will allow an external audit.
Hire an appropriate specialist in the company’s staff (the title of the position can be chosen at the discretion of the head of the company) and conduct an audit of personnel records management on your own. In this case, the employee will audit the organization on an ongoing basis or conduct it at a certain frequency (for example, monthly or quarterly). On the one hand, this approach will provide the possibility of continuous monitoring of the state of personnel documents, personnel service, etc., on the other hand, it will entail the need to search for a competent specialist (lawyer), develop it job description, constant remuneration of his labor, provision of vacations, deductions of tax payments and insurance premiums.
Establish an audit committee within the organization. It is formed from among existing employees and may include the head of the personnel department, an accountant, a lawyer, etc.
Establish an audit department in the company. This option involves certain material costs, since you will have to not only hire employees, but also develop a regulation on the department, determine its tasks and functions. Suitable for large companies.

Thus, the management of the organization itself has the right to decide whether to conduct a personnel audit or not, and to appoint a specialist (or group of specialists) to analyze personnel activities companies.

Stages of personnel audit. How to carry out the procedure correctly?

Since the law does not provide for mandatory procedures for conducting an audit, nor a consistent plan for the process, the auditor has considerable discretion. For this reason, specialized commercial organizations offer different packages of services, depending on the requirements of the customer.

For example, an express audit is possible, which involves 2 stages:

Determination of the list of personnel documents stipulated by the legislation, and verification of their availability.
Preparation of a report that contains a list of missing personnel documents and calculates the amount of a possible fine upon verification by supervisory authorities.

However, it is better to conduct a full audit. This process includes:

Checking the availability of mandatory local acts, documents, identifying missing documentation.
Examination of all personnel documents available in the organization, verification of their compliance with the requirements of current legislation, identification of violations and errors, including in the systematization and storage of personnel documentation.
Preparation of a report on the results of the audit, which includes information about the violations committed. Also, the report may contain conclusions on the risk assessment of identified violations, recommendations for their elimination, proposals for optimizing work.
Obtaining explanations from personnel officers who are responsible for personnel document management, conducting explanatory conversations in the form of lectures, seminars.
Carrying out work to correct the identified deficiencies.

It should be understood that due to the lack of uniform requirements for personnel audit, we have outlined only an approximate plan of the procedure, which can be either supplemented or reduced. In the article, we will further describe in detail what kind of work some of these stages provide for.

Checking for mandatory documentation

This is the main stage of the audit. At the same time, it is the responsibility of the employer to ensure the availability of a certain package of personnel documents, and administrative responsibility is provided for its absence.

In particular, the organization must have the following personnel papers:

employment contracts with employees (Article 57 of the Labor Code of the Russian Federation);
internal labor regulations (Articles 189, 190 of the Labor Code of the Russian Federation);
labor protection instructions (Article 212 of the Labor Code of the Russian Federation);
regulation on wages (Article 135 of the Labor Code of the Russian Federation);
vacation schedule (Article 123 of the Labor Code of the Russian Federation);
time sheet (Art. 91, 99 of the Labor Code of the Russian Federation);
a book of accounting for the movement of work books and inserts in them (clause 40 of the rules approved by Decree of the Government of the Russian Federation of April 16, 2003 No. 225).

Upon completion of the reconciliation, a report is drawn up, which reflects which documents are present / absent, as well as recommendations for improving the personnel workflow in the organization.

Don't know your rights?

Documentation review

After reconciliation of documents, the correctness of their execution is determined. The rules are contained in various regulations, including the Labor Code of the Russian Federation. For example, content employment contract determined by the provisions of Art. 57 of the Labor Code of the Russian Federation.

In addition, the conformity of the content of the documentation with the requirements of the law is checked. For example, it may be necessary to check the compliance of the salary level of employees with the minimum wage (the salary should not be lower than the indicator established by law). Additionally, it is required to check the fact that employees are familiar with the local acts adopted in the organization. The volume of inspections is significant due to the fact that the legislation establishes many requirements for the procedure for maintaining personnel records.

Preparing of report

Final report - important document, which is compiled upon completion of the audit procedure in the organization. The form of the document at the legislative level is not approved, so it is drawn up in an arbitrary form.

In the report, the person who conducted the audit reflects all the shortcomings identified in personnel document flow. Depending on the scope of the review, it may also contain other information, such as a reflection of the identified risks and possible steps to resolve the identified problems.

As a rule, the content document is divided into 2 blocks:

in the first of them, the results of the check are signed, including the results of the verification of mandatory documents;
in the second - the results of checking documents for each of the employees, during which employment contracts, personal cards, the fact of familiarization with local acts, the content and correctness of maintaining work books are analyzed.

A separate block can contain the results of checking compliance with the rules and requirements of labor protection in the organization, as well as information on compliance with the procedure for conducting mandatory medical examinations of employees.

The report may include details such as:

name and number of the document;
information about the persons who conducted the audit;
Information about professional qualifications such persons, their education, etc.;
signatures of persons conducting the audit;
scroll possible sanctions for detected violations;
recommendations for elimination of violations.

The content of the audit plan in the personnel department, a sample provision in which it is reflected

As a rule, the audit plan is fixed in the appropriate provision, which is approved by the head of the organization (director, general director, president, etc.).

The following information is reflected in the audit regulation:

information about who and when approved the document;
Title of the document;
general provisions containing data on the tasks of the audit and the purpose of the document;
the scope of the audit;
the procedure for conducting an audit;
final provisions that determine the procedure for the entry into force of the provision and its duration.

A sample plan for conducting a personnel audit, enshrined in the regulation on the audit, can be downloaded here (an example of a plan is in section 2 "Scope of the personnel audit"):

Audit in personnel records management - an example of a report on its conduct

Report #1

On the results of the personnel audit at Romashka LLC

25.08.2018

Commission consisting of:

head of the personnel department Ivanov A. A.;

chief accountant P.P. Petrov;

head of the legal department Sidorova S.S.

made this act as follows:

In accordance with the order CEO Romashka LLC No. 1 dated August 12, 2018, in the period from August 15 to August 25, 2018, the commission conducted a personnel audit of the documentation of the personnel department of Romashka LLC.
As a result of the personnel audit, it was established that, in general, the personnel department of Romashka LLC complies with the requirements of the labor legislation of the Russian Federation.
However, the following violations were found:
- there is no register of local regulations;
- there is no local act that defines the job responsibilities of a welder at Romashka LLC;
- conditions for storing work books are not created (there are no metal cabinets);
- there is no approved vacation schedule for Romashka LLC employees for 2018.
Conclusion of the commission: it is necessary to eliminate the identified violations.
This report is made in two copies, one of which was handed over to the head of the personnel department Ivanov A.A., the other - to the director of Romashka LLC Svintsov S.S.

Commission members:

(signature) / Ivanov A. A. /

(signature) /Petrov P.P.

(signature) / Sidorov S. S. /

Thus, conducting a personnel audit is not mandatory, but recommended in different situations. For example, it is desirable in the event of the appointment of a new management of the organization, the head of the personnel department, or the inclusion of the company in the inspection plan of the State Labor Inspectorate. Conducting an audit will allow avoiding the detection of violations of personnel documentation and, therefore, bringing to administrative responsibility for their admission. A sample HR audit plan, contained in the regulation offered for download from the link above, will allow you to understand the procedure for conducting an audit and the list of documents to be analyzed.

Audit is a process independent evaluation activities of an organization, system, process, project or product to identify risks and conflict situations. The audit can be internal, when it is carried out by the organization itself, and external, when third-party specialists are involved on a contractual basis to evaluate activities in a particular area of the company. Most often, the term "audit" is used in relation to the verification of the financial statements of companies, but there are other types, for example, personnel audit. Many have heard this phrase, but they don’t know 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 needed, when and by whom it is carried out.

Why do you need a HR audit?

We must 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.;

- assessment of risks associated with a particular 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 on the committed violations);

- assessment of the professionalism of the employees of the HR department;

- development of an action plan to correct the violations committed;

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

In addition, the audit will help evaluate and analyze the state of personnel documents when transferring documents during reorganization, change of leadership (including the leadership of the personnel department), dismissal (hiring) of employees of the personnel department (HR).

Do it on your own or outsource?

We repeat that you can conduct a personnel audit on your own, or you can use the services of third-party companies, since 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 select an external auditor, it is important that the service is provided by qualified specialists who have been working in this field for more than a year. Ask how often the audit company provides services for checking personnel records management, whether there are organizations among your clients that are similar to yours in terms of activity. Remember that the services of a reputable consulting firm that offers HR audits and employs professionals cannot be cheap.

The success of an HR audit by a third-party organization also depends on how the company is prepared to interact with auditors. Therefore, most often, before the start of the 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 involve third-party specialists, and funding for this is not provided, it is possible to conduct a personnel audit on your own. However, having set the appropriate task for the employees of the personnel service 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. Furthermore, staff members may “turn a blind eye” to some mistakes, since it is they who will have to correct them.

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

Regulatory framework for checking personnel documentation

To begin with, we will 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);

- Decree of the Ministry of Labor of the Russian Federation of October 10, 2003 N 69 "On approval of the Instructions for filling out work books" (hereinafter - the Instructions for filling out work books);

- Decree of the State Statistics Committee of the Russian Federation of 01/05/2004 N 1 "On approval of unified forms of primary accounting documentation for accounting for labor and its payment" (hereinafter - Decree N 1);

- Order of the Ministry of Culture of the Russian Federation of August 25, 2010 N 558 "On approval of the List of standard administrative archival documents generated in the course of the activities of state bodies, local governments and organizations, indicating the periods of storage";

— 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. Documentation requirements";

- Labor Code.

In addition, there are a sufficient number of departmental regulations that regulate office work, the procedure for conducting personal files, 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 law 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 reference and execution of personnel documents, or you can only check one area, for example, employment contracts. In any case, the first step towards the beginning of the audit will be the issuance of an order to conduct an audit, by which an inspector is appointed or an audit commission is created. In the order, you can specify the subject of the check.

Let's bring exemplary sample order.

Municipal budgetary educational institution

"Average comprehensive school N 72"

Order N 42

on conducting a personnel audit

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

I order:

1. Carry out an internal personnel audit on the topic "Registration of employment and provision of annual paid leave" from May 28 to June 5, 2012.

2. Appoint A. G. Volkova, Deputy Director for Educational Work, as the Chairman of the Audit Commission.

3. Include in the commission:

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

- teacher of the Russian language and literature Paramonov V.S.;

- legal adviser Lopukhov I.R.

4. Submit a report on the inspection carried out before 06/08/2012.

5. The control of the execution of this order shall be entrusted to the Deputy Director for Educational Work Volkova A. G.

Director Komova /L. V. Komova /

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 subject of the audit is determined, then the head of the personnel department can only prepare the necessary documents. If the audit is carried out when changing 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 should be in any organization, regardless of its legal form and form of ownership. These documents include:

1. Staffing. Let's say right away that there is only a mention of this document in the Labor Code, but there is no indication of the obligation to draw it up. Decree N 1 unified the form of this document - T-3. Note that the regulatory authorities, whether it be the state labor inspectorate, the prosecutor's office or the tax authorities, almost always request it: the structure of the institution, the payroll fund, allowances and additional payments to employees are clear from the schedule.

2. Vacation schedule. obligatory this document not questioned, since Art. 123 of the Labor Code of the Russian Federation explicitly states that annual paid holidays 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 start of the new year. The form of the T-7 schedule 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 with each contribution made to work book the employer is obliged to familiarize the employee with the entry 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 affairs. The obligation to maintain them is established for certain categories of employees, which include state civil servants, municipal employees, employees customs authorities 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 a state civil servant of the Russian Federation and maintaining his personal file”. For civil servants of a constituent entity of the Russian Federation, the procedure for maintaining a personal file is established by the regulatory acts of this constituent entity. For example, for employees of the city of Moscow, it is determined by the Decree of the Mayor of Moscow of June 15, 2011 N 44-UM, and for civil servants of St. Petersburg - by the Decree of the Government of St. Petersburg of June 30, 2008 N 773.

5. The time sheet (forms T-12, T-13) should 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 hours actually worked by each employee.

Note! Earlier organs state power, management of state off-budget funds, departments of territorial state non-budgetary funds, local self-government, budget institutions, bodies providing cash services for the execution of budgets budget system Russia, to record working time, they used a time sheet in the 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 became invalid on January 1, 2011 (Order of the Ministry of Finance of the Russian Federation of December 1, 2010 N 157n), the form from the Order of the Ministry of Finance of the Russian Federation of December 15, 2010 N 173n - 0301008 is used, and this is an exact copy of the form T-13.

6. Employment books of the established form are the main document on labor activity and seniority of the employee. Every employer (with the exception of employers who are individuals who are not individual entrepreneurs) must keep them for each employee who has worked for him for more than five days, in the case when 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 performed by him, transfers to another permanent job and dismissal, as well as the grounds for termination of the employment contract and information on awards for success in work. Information about the penalties in the book is not entered, except in cases where disciplinary action is dismissal.

Note! Check whether the person responsible for maintaining work books has been appointed, whether they are all registered in the book of accounting for the movement of work books and inserts to them. 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 according to the stipulated labor function, ensure working conditions, pay wages in a timely manner and in full, and the employee undertakes to personally perform the labor function determined by this agreement, to comply with the rules of internal labor regulations of the employer.

8. Orders for personnel:

- on employment (forms T-1, T-1a);

- on 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);

- about promotion (forms T-11, T-11a);

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

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

When checking these orders, it is necessary to make sure that there are documents - the grounds for their publication. Quite often they are absent - there is a link in the order to an agreement, statement or other document, but it itself is not. This is a violation.

9. Orders for core activities. It is necessary to check the presence of signatures of the head, approval visas. Recall that such orders should be kept separately from orders for personnel.

Note that it is necessary not only to check the availability of these documents, but also to pay attention to how they are drawn up. For example, according 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. The 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 its content is determined by federal law, Decree of the President of the Russian Federation of February 16, 2005 N 159 approved approximate form contract for the passage of the state civil service and filling positions in the civil service. Therefore, check that the contracts comply with the requirements of the law, 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 grounds 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, focus on the presence of conditions that, by virtue of Art. 57 of the Labor Code of the Russian Federation are mandatory for inclusion in their text.

Local regulations, books, registers

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 regulatory 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, the working hours, rest periods, incentives and penalties applied to employees, as well as other issues of regulating labor relations with this employer.

2. Instructions for labor protection. They usually consist of labor protection requirements before starting work, during it and after completion, and also contain an emergency procedure. These instructions are developed based on the position of the employee, his profession or the type of work he performs, on the basis of intersectoral or sectoral standard instruction on labor protection, intersectoral or industry rules on labor protection, safety requirements set forth in the operational and repair documentation of organizations - manufacturers of equipment, technological documentation of the organization, taking into account specific production conditions based on Methodological recommendations.

3. Regulations on the storage and protection of personal data of employees (or other document establishing the procedure for their storage and use). Compilation of this local act required by the requirements of Art. 87 of the Labor Code of the Russian Federation.

4. Regulation on remuneration or other local regulatory act regulating the system of remuneration in the institution and bonuses to employees. This provision is mandatory under Art. 135 of the Labor Code of the Russian Federation - wage systems, including the size of tariff rates, salaries ( official salaries), surcharges and allowances compensatory nature, including for work in conditions that deviate from normal, systems of additional payments and bonuses of a stimulating nature and bonus systems are established by collective agreements, agreements, local regulations in accordance with labor legislation and other regulatory legal acts containing labor law norms.

In addition to those mentioned, there are other necessary documents that are 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, regulations on commercial or other secrets protected by law.

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

- collective agreement;

— agreement on collective liability;

— regulation on the adaptation of workers;

- regulation on the procedure for passing the probationary period;

- regulation on the 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 prerequisite employment contract is labor function, and it is prescribed either in the employment contract, or, in order not to load it, in the job description. Therefore, sometimes instructions are simply necessary.

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

Journal name	Normative act
Book of accounting for the movement of work books and inserts to them	Paragraphs 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
Income and expense book for accounting forms of the work book and an insert 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 legal entities and individual entrepreneurs when exercising state control (supervision) and municipal control". The form of the journal is approved by the 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 keep other journals to systematize information on personnel records, such as:

- registers of employment contracts, orders on personnel, personal files, disability sheets;

— journal of familiarization with local regulations;

— Journal of issuance of travel certificates, certificates.

When checking journals and accounting books, 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 in the logs are allowed. It is also necessary to make sure that all columns are filled in the book of accounting for the movement of work books and inserts to them, there are no corrections in it, this book is laced and sealed.

Note. The analysis of the system of registration and systematization of documents is very important, because it provides information on how the document storage system is organized in the institution.

Software audit

Currently, most institutions maintain personnel records 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 of applicable law (it is possible that the developers software product“lost” certain necessary details), whether all unified forms are contained in the program, how often it is updated, whether all forms of documents are up-to-date.

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

An audit of the software for the work of the personnel department will determine possible channels unauthorized access or loss personnel information, as well as evaluate the feasibility of using a particular software product.

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

It is better to document the audit process itself, so that later, when compiling 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. Also, the report usually provides recommendations on how to eliminate identified violations of labor laws and shortcomings, and also informs about possible punishment if violations are not eliminated (see on page 45).

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

In conclusion, we note that during the periodic audit of personnel documentation, the employer has the opportunity to avoid sanctions from regulatory authorities - fines, suspension of the organization, criminal liability. In addition, if the audit is carried out on its own, personnel workers have the opportunity to improve their professional level by detecting and correcting their own mistakes.

And remember, the correct maintenance of personnel records is the key to successful resolution of conflicts with employees and regulatory authorities.

Identified violations	Violated regulation	Possible punishment	Correction Recommendations
1. Staffing and payroll documents
Salary fork set in the staffing table	Articles 3, 20, 22, 132 of the Labor Code of the Russian Federation. Violated the principle of equal pay for equal work		Develop a differentiated remuneration system, for example, introduce additional payments to employees with additional qualities
2. Employment books
A job entry has been added to the "Incentive Details" 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)	Draw up an insert in the work book and transfer to it the entries erroneously entered in the section "Information about the promotion"
3. Orders for the dismissal of an employee
The basis for termination does not indicate part of the article of the Labor Code	Forms T-8, T-8a, Art. 84.1 of the 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)	Specify later
4. Journals of registration and accounting of personnel documents
There is no register of control measures	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 managerial position, send a request for possible disqualification individual in the Federal Tax Service, which maintains a register of disqualified persons

Order personnel audit with labor protection. Internal personnel audit. Regulation on the protection of personal data of employees

Audit of personnel documentation

RISKS ARISING IN THE ABSENCE OF ANY LNA

Regulations on wages

staffing

Regulation on the protection of personal data of employees

Internal labor regulations

Other documents

The concept of personnel audit of an enterprise

In what cases is it advisable to conduct a personnel audit of an enterprise?

Tasks and methods of personnel audit

Who conducts an audit of the personnel service and is it possible to conduct it on our own?

Stages of personnel audit. How to carry out the procedure correctly?

Checking for mandatory documentation

Documentation review

Preparing of report

The content of the audit plan in the personnel department, a sample provision in which it is reflected

Audit in personnel records management - an example of a report on its conduct

Why do you need a HR audit?

Do it on your own or outsource?

Regulatory framework for checking personnel documentation

What are we checking?

Local regulations, books, registers

Software audit

Results of the audit of HR documents