HR records management from scratch: step-by-step instructions 2022

Responsibility of the personnel officer

If the enterprise does not have personnel records or it is maintained incorrectly, you can receive a fine (Clause 1 of Article 5.27 of the Code of Administrative Offenses of the Russian Federation):

• officials and entrepreneurs - from 1 to 5 thousand rubles;
• enterprises - from 30 to 50 thousand rubles.

And illiterate drafting of an employment contract or delaying its conclusion because a template has not yet been developed can be qualified as evasion of formalizing the relationship between the employee and the organization. There is a separate penalty for this:

• officials - from 10 to 20 thousand rubles,
• entrepreneurs - from 5 to 10 thousand rubles,
• organizations - from 50 to 100 thousand rubles.

What does a step-by-step instruction on HR administration look like?

So, let’s move on to consider step-by-step instructions for HR administration from scratch. We will provide a detailed step-by-step plan that will allow you to create your own personnel service, starting with the registration of the first employee at the enterprise - the director. And therefore it is important from the very beginning of the company’s activities to streamline personnel records.

Stages of organizing personnel records at an enterprise:

1. Creation of a regulatory and information base.

To begin with, it is worth deciding which regulations will be in demand in the work of a personnel officer. Of course it is:

• Labor Code - it contains the main points on the regulation of working hours (Chapters 15–16, 22), the duration and frequency of vacations (Chapter 19), the calculation of wages (Chapter 21), and outlines the basic rights and obligations of employees and employers;
• Resolution of the State Statistics Committee dated January 5, 2004 No. 1 - all forms of primary documents required for personnel records are presented here; their use today is not mandatory, but is still desirable, since they take into account all the necessary columns and details; If desired, any user can make changes to the form data, retaining only the required details;
• government decree No. 225 dated April 16, 2003, which will help in working with work books; this document is basic for the employee, as it confirms his work experience;

ATTENTION! Electronic work books have been introduced since 2022. Read more about them in the material “How to switch to electronic work books from January 1, 2022.”

• manual on maintaining military records at enterprises, approved by the General Staff of the Russian Armed Forces on April 11, 2008 - these recommendations will help personnel employees get comfortable with the mandatory maintenance of military records of employees at enterprises;
• order of Rosstandart dated 17.10.2013 No. 1185-st, resolution of Gosstandart dated 03.03.2003 No. 65-st (this resolution is valid until 01.07.2017, from 01.07.2017 GOST R 7.0.97-2016, approved by order of Rosstandart dated 08.12.2016, applies No. 2004-st), order of the Federal Archive of December 20, 2019 No. 236 and government decree of June 15, 2009 No. 477 - these documents will help you find out what standards exist in Russian office work and archiving.

Each employee responsible for personnel records must be provided with access not only to these regulations, but also to other legislative acts that may be required in the process of work. Also, the personnel officer must monitor the latest changes and updates in regulations. To do this, it is necessary either to ensure independent monitoring of legislation or to purchase packages of access to various information databases.

In order to ensure a high level of personnel records management in enterprises with a large staff, special HR software may also be required to organize a personnel management system and maintain personnel records.

You can read about one of these programs in our article “Checking personalized accounts online (free)” .

1. Familiarization with the company's statutory documentation.

The charter must detail the conditions for hiring a director (general director, board of directors)—the executive body of the company. Also, this constituent documentation specifies the basic conditions for the duration of the manager’s work. In addition, the personnel officer must be aware of the latest changes made to the charter in case the owners of the company decide on personnel issues.

1. Applying for a manager's job.

The first employee to be registered at a newly created enterprise is, of course, the manager. Thus, on the basis of a protocol approved by the owners of the company, an order is issued indicating the date on which the manager assumes his duties. This will be the first personnel order issued at the enterprise.

How to write a job application, see here.

In the future, the personnel officer must ensure the chronological order of issued orders. When checking working conditions and personnel issues, regulatory authorities pay close attention to the numbering of orders so that there are no cases where orders are issued retroactively.

1. Drawing up a list of personnel documents that will be involved in personnel records management at the enterprise.

We list the main documents that are involved in personnel records in any enterprise with hired employees:

• rules regarding intra-organizational labor regulations;
• personnel structure of the organization;
• staffing schedule;
• vacation schedule;
• documents related to the protection of personal data of employees.

Mandatory documents also include primary accounting documents created for each employee, as well as registers such as:

• labor contracts;
• a book on recording the movement of labor books;
• a book for recording forms of work record books and the forms of these documents themselves, which are often issued at the enterprise when an employee enters his first place of work;
• work time sheet;
• personal cards of employees;
• personnel orders, which are usually stored together with the grounds for their issuance (applications, official (reports) notes, acts, etc.);
• job descriptions and other documents;
• log of inspections by regulatory authorities.

The employment contract form is available on our website - “Unified Form No. TD-1 - Employment Contract” .

The following documents may also be published:

• collective agreement;
• provisions on bonuses, certification, trade secrets, etc.

1. Approval of personnel documents and their forms by the head of the enterprise.

If there are any comments on the documentation form, the personnel officer must eliminate them and re-approve the document forms. Documents that affect not only the maintenance of personnel records, but also accounting, must also be reflected in the accounting policies of the enterprise.

All necessary information on personnel records is available on our website in the “Salaries and Personnel” .

1. Appointment of a person responsible for maintaining and recording work books.

This may be one person responsible for maintaining personnel records, or a separate employee may be designated who is responsible for storing and recording issued and received work books. A corresponding order is issued on the appointment of a responsible person.

1. Hiring employees.

This is the final stage in maintaining personnel records from scratch. Now, for each employee hired, a package of personnel documentation is created, usually including an employment contract, a hiring order, and a job description; a work book is accepted/issued, a personal card is filled out, a non-disclosure agreement of personal data and other documents are signed.

Then other personnel documents are drawn up on standardizing the working day, calculating and paying wages, accounting for vacations, processing sick leave, business trips, etc.

You can learn about the storage period for personnel documents from our article “What is the storage period for personnel documents in an organization?” .

And about the procedure for their destruction, read the article “Destruction of documents with expired storage periods (act)” .

Let's sum it up

• Setting up HR records from scratch begins with the appointment of a HR officer and the preparation of basic HR documentation.
• For each situation (hiring, dismissal, transfer, vacation, maternity leave, etc.), you need to develop a package of personnel documents in advance.
• Regulations (internal regulations, wages, bonuses, disciplinary sanctions, instruction, etc.) must be created even before a controversial issue arises with the employee.
• The name of the company, the list of authorized signatories and the timing of their appointment must be checked with the organization’s charter.
• For incorrect maintenance of personnel records, responsible persons and the company may be punished.

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Why are personnel documents needed?

The existence of personnel records documents is determined by the norms of the Labor Code of the Russian Federation. For example, Art. 56 of the Labor Code of the Russian Federation establishes the concept of an employment contract, and Art. 212 obliges the employer to create internal regulations that will regulate labor protection. Thus, the need for mandatory personnel documents follows from the norms of the Labor Code of the Russian Federation. In addition, often the preparation of correct personnel documentation allows you to reduce the amount of income tax; for example, many payments in favor of employees can be confirmed by a collective agreement.

Mandatory individual personnel documents

Individual personnel documents include:

• labor contract (form TD-1);

For information on drawing up a contract, see the material “Unified Form No. TD-1 - Employment Contract.”

• employment history;
• administrative document on hiring/dismissal (forms T-1 and T-8, respectively);

For information on using the T-1 form, see the material.

For more information about Order T-8, see the material “Unified Form No. T-8 - form and sample filling.”

• employee personal card (form T-2);

The template for this form can be found in the material “Unified Form No. T-2 - Form and Sample Filling Out”.

• order on the basis of which the employee is transferred (form T-5);

For more information about this form, see the material.

• order for vacation registration (form T-6).

The specified type of document is presented in the material.

Responsibility for the absence and improper storage of personnel documents

The following methods of punishment related to office work in the personnel sector can be distinguished:

• Disciplinary sanctions provided for in Art. 193 of the Labor Code of the Russian Federation, the maximum measure for which is dismissal.
• In accordance with the provisions of the Code of Administrative Offenses of the Russian Federation, the rules for bringing to administrative responsibility for the lack of documents are reflected in Art. 5.27, 5.27.1 Code of Administrative Offences.

Example:

An audit was carried out at Landysh LLC for 2022, during which it turned out that the company’s personnel service did not have a staffing table for the specified period. The LLC was held liable under paragraph 1 of Art. 5.27 of the Code of Administrative Offenses of the Russian Federation, according to which the following punishment is provided:

• for officials - 1,000–5,000 rubles;
• for a company - 10,000–50,000 rubles.

Besides:

• Art. 13.20 Code of Administrative Offenses punishes 300–500 rubles. officials for violating the rules for storing documents;
• Art. 5.39 imposes a fine of 1,000–3,000 rubles. against responsible persons for failure to provide the requested personnel records information to the employee, for example, for refusing to issue a copy of the work record book.

In accordance with the Criminal Code of the Russian Federation:

• Art. 137 of the Criminal Code of the Russian Federation provides for punishment in the form of a fine of up to 350,000 rubles. or corrective labor for disseminating personal information about an employee;
• Art. 183 of the Criminal Code of the Russian Federation applies measures in the event of disclosure of trade secrets.

For information on the penalties provided for by law, see the material “From 01/01/2015, fines have been established for failure to draw up an employment contract or GPA.”

Who is responsible for maintaining personnel document flow in an organization from scratch?

There is no legally required single body that would take full responsibility. In reality, responsibilities are assigned to a person or a department depending on the size of the enterprise. Let's start with an example of the most modest business - individual entrepreneur. In this case, usually the manager himself brings the selection to the place, supervises each worker and, when the time or circumstances come, calculates it. Sometimes this task may be assigned to an assistant.

And the remaining options are more typical for large organizations - from LLCs and larger. In them, responsibility may be distributed among:

• division - HR department or for an independent employee, HR officer;
• an individual employee who has a different specialty. Thus, this may be an additional burden (paid accordingly), for example, to an accountant or a lawyer;
• third party outsourcing company. There are organizations that provide temporary services. You can sign an agreement with them, according to which they will support personnel production remotely and come if necessary. But it is worth considering that there are tasks that an outsider does not have the right to do. For example, this is filling out and maintaining work books.

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