Requirements of the state labor inspectorate for personnel documentation. Composition of documents submitted for verification.

What are the types of labor inspections? Grounds for GIT inspections

GIT inspection activities can be scheduled or unscheduled.
The first of them are preventive in nature and do not depend on the actions of the employer and third parties. Previously, enterprises were inspected by inspectors no more than once every 3 years - according to the general norm of Part 2 of Art. 9 of the Law “On the Protection of Rights...” dated December 26, 2008 No. 294-FZ (hereinafter referred to as Law 294-FZ). Nowadays, the frequency of planned HIT monitoring depends on the risk category assigned to the employer. Thus, inspections of employers with a high category are carried out no more than once every 2 years, and those with a low category are not carried out at all (see paragraphs 17–24 of the Regulations on Labor Supervision, approved by Decree of the Government of the Russian Federation of September 1, 2012 No. 875).

The expiration of the specified periods from the end of the last scheduled control or registration of the enterprise in itself is already grounds for a new inspection.

Special grounds have been established for unscheduled control (Part 7, Article 360 ​​of the Labor Code of the Russian Federation):

1. Expiration of the period for eliminating violations established in the order previously issued to the employer.

2. Receipt to the inspection:

• information about violations at the enterprise that resulted in a threat to the life and health of people, non-payment of wages or payment below the minimum wage;
• information about labor relations not properly formalized;
• complaints about violation of labor rights or applications for inspection of labor protection conditions from an employee.

3. Order of the head of the inspection, issued in accordance with the instructions of the President, the Government or the requirements of the prosecutor's office.

Scheduled inspection

The superior organization checks the subordinate organization for compliance, for example, with labor laws in the course of its activities. Inspection activities regarding the institution are carried out on the basis of the approved plan. The law of the region may determine their frequency, for example, in St. Petersburg (Law of St. Petersburg dated December 23, 2016 No. 683-121) - no more than once every 3 years.

The annual plan contains the following information:

• the name of the institution to be inspected and its place of activity;
• purpose, basis of control measures;
• start and end dates;
• the name of the authority that inspects the organization.

The basis for including a subordinate institution in the annual plan may be the end of 3 years from the date of:

• state registration of a subordinate institution;
• implementation of the latest control measures.

The scheduled inspection will be notified in advance, 3 working days before it begins.

A scheduled inspection can be carried out in the form of:

• document checks;
• away

Scheduled inspection of GIT - what do inspectors check?

The purpose of scheduled inspections of any of the regulatory authorities is to find out whether business entities comply with the mandatory requirements of the law in a particular area. Accordingly, the subject of planned control of State Labor Inspectorate is compliance by employers with labor and labor protection legislation.

Also, as part of planned control, compliance with the mandatory requirements of the information specified in notifications of the commencement of certain types of activities is checked.

Let us remind you that supervisory authorities must be notified of the start of activities in some areas. Thus, Rostrud is notified of such types of activities as care with accommodation and social services without accommodation (clause 5.1 of the Rules, approved by Decree of the Government of the Russian Federation of July 16, 2009 No. 584).

Methodological recommendations (approved by order of Rostrud dated October 28, 2010 No. 455) distinguish between comprehensive and thematic inspections (subclause 2.6, clause 2). The first are aimed at checking compliance with labor legislation in general (for the main institutions of labor law).

Thematic inspections of the labor inspectorate concern individual labor law institutions, for example:

• proper registration of labor relations;
• occupational safety training;
• timeliness and completeness of payment;
• provision of compensation and guarantees, etc.

In practice, State Labor Inspectorate plans indicate in the column “Subject of inspection” a standard phrase about checking compliance with labor laws. Therefore, it is impossible to find out in advance what the labor inspectorate will check during the inspection.

Internal documentation - list

Local internal acts may include provisions on wages and bonuses, labor regulations, provisions on the protection of personal data and trade secrets, and collective agreements. In addition to the fact that all these documents must be filled out according to certain forms, there should be no discrepancies in them.

You should also check these papers for any discrepancies with employee employment contracts. Any discrepancies may be regarded as violations.

Vacation schedules

Must be updated every year and shown to employees upon signature. You need to make sure that all employees went on vacation as scheduled and received vacation pay. If one of the employees went on vacation at the wrong time, you need to make the appropriate changes.

If an employee has not gone on vacation for more than 2 years, this will be considered a gross violation of his rights.

Vacation schedules for the next year must be drawn up before December 15, that is, 2 weeks before the end of the current year.

Salary documents

According to the Labor Code of the Russian Federation, employees must receive wages 2 times a month; if wages are paid less frequently, this will be considered a violation. Also, inspectors will definitely pay attention to the amount of payments; it should not be lower than the minimum amounts specified by law. All payments to employees must be recorded: be it wages, sick leave or bonuses. The form and amount of payment in the statements should not differ from the data specified in the contract.

They can also check documents not only for working employees, but also for those who have already been dismissed or left of their own free will, so you also need to store data on calculations when dismissing employees.

Certificates and statements from employees

In addition to basic personnel documents, the employer needs to store applications and certificates received from employees. These may be statements of resignation, or granting regular and extraordinary leave. The following may also be required for verification: a certificate of pregnancy, a certificate for the labor inspectorate about the presence or absence of a criminal record.

By composition of employees

Such documents include work books and personal cards of workers. Filling out and maintaining work books is regulated by law. If the standards are violated, the employer may receive a fine.

Personal cards are also filled out according to a certain form (Form No. T-2).

Labor protection

In addition to the fact that you need to carefully prepare the documents that are checked by the labor inspectorate for personnel, you should also pay attention to the documentation on labor protection. Compliance with safety in the workplace is one of the main issues that is regulated by the State Labor Inspectorate.

If you ask the question what is checked during an unscheduled format, the most common answer will be documents related to labor safety. Among them:

1. Instructions. They are compiled according to special methodological recommendations that were developed by the Ministry of Labor of the Russian Federation. These instructions are mandatory local acts. Each employee must be familiar with these documents upon signature.
2. Documents confirming that employees have completed occupational safety training and relevant instructions.

According to Article 225 of the Labor Code of the Russian Federation, all employees and managers of enterprises must undergo training and control of knowledge on labor protection. For this purpose, the Ministry of Labor, together with the Ministry of Education, established a special procedure for training and knowledge control.

All training and instruction must be recorded in a special journal and confirmed by the signatures of the person being instructed and the instructor. The maintenance of these logs, as well as other documents that confirm the fact of briefings, is regulated by law. Failure to comply with the requirements for completing and maintaining these documents is considered a violation.

Rostrud inspection plan in 2021 - where to get it?

Information about planned inspections of Rostrud is publicly available. Thus, inspections in the regions are required to publish the plan on their official Internet portals before December 1 of the year preceding the year of inspection.

In addition, information about inspections by the labor inspectorate is included in a single consolidated plan for inspections of entrepreneurs, formed by the Prosecutor General's Office of the Russian Federation. Using the corresponding service on the authority’s website, you can find out what scheduled inspections await the enterprise this year.

IMPORTANT! If an organization is not included in the plan, although the deadline for the next inspection has approached, they cannot do this within a year. An exhaustive list of reasons for changing the plan is enshrined in clause 41 of the Administrative Regulations, approved. by order of the Ministry of Labor dated October 30, 2012 No. 354n (hereinafter referred to as the Regulations).

The plan will help determine the expected month of the inspection, but not its specific date. GIT inspectors are required to notify the employer of the start of a scheduled inspection at least 3 working days before the control event by handing him an order for the inspection (Part 12 of Article 9 of Law 294-FZ).

Where can I view the inspection plan for the current year?

Find information about upcoming inspections

and you can download
the schedule of
labor inspection inspections for 2021 on the website

Labor Inspectorate According to the plan, this year 20,044 economic entities of the Russian Federation will be subject to inspection. The graph provides information for all federal-type districts. You can view the information by selecting the appropriate tab.

In addition to the Rostrud website, you can find the necessary information on the website of the Prosecutor General's Office

.

The company is notified of the upcoming inspection three days

before
starts
.
If an unscheduled inspection
, a notification is sent
one day
before the start.

Inspecting inspectors are required to provide a list of documents

, which must be prepared before the start of testing activities.

Types of documents of interest to inspectors during routine inspection

As a rule, the State Inspectorate requires the following list of documents during scheduled inspections:

1. Documents confirming the employment relationship:

• work books and inserts;

ATTENTION! If an employee has chosen the electronic option of maintaining a work record book, the employer is no longer responsible for the safety of the paper document. For details, see the material “How to switch to electronic work books.”

• employment contracts and additional agreements.

2. Book of registration of movement of work books.

3. Receipt and expense book for accounting of work book forms.

4. Order imposing duties on maintaining work records.

5. Mandatory local regulations:

• labor regulations;
• regulation on the protection of personal data;
• regulations establishing wages, additional payments, allowances and bonuses.

6. Collective agreement (if any).

7. Mandatory personnel documents:

• staffing schedule;
• time sheet;
• personal cards;
• job descriptions;
• vacation schedule;
• shift schedule.

8. Form of pay slip.

9. Medical books.

10. Personnel administrative documents and grounds for them (memos, statements, etc.)

11. Registration and accounting journals (sick leave, employment contracts, orders, industrial accidents, etc.).

12. Instructions and other documents on labor protection (the composition depends on the area of ​​activity of the enterprise).

13. Documents related to wages (salary slips, memos, calculations, etc.).

14. Logbook of control activities.

Please note that most of the violations are related to the lack of any labor protection documents.

Stage 1. What to prepare for testing

Before the inspection, the State Tax Inspectorate sends a large list of documents that it intends to check; it contains more than 70 items. Let's divide them into blocks by topic:

1. Statutory documents.
2. Payment documents.
3. For personnel records:
   employment contracts and additional agreements;
4. staffing schedule and changes to it;
5. vacation schedules;
6. orders - hiring, dismissals, transfers, vacations;
7. personal cards;
8. work books and logs of their accounting;
9. local regulations (LNA).
10. Occupational Safety and Health (OHS):
    regulatory documents - orders, LNA, job descriptions;
11. OT instructions;
12. logs of introductory and initial briefing;
13. documents on medical examinations, training;
14. cards for issuing protective equipment, etc.
15. Documents for foreign workers.

The list is sometimes expanded during the audit if additional information is required.

Limits of unscheduled control of Rostrud

Law 294-FZ makes a reservation that verification based on the expiration of a previously issued order is limited only to confirmation of its implementation (Part 21, Article 10). However, according to the general norm of the same law, regulatory authorities are generally prohibited from going beyond the scope of the inspection (clause 3 of Article 15).

Therefore, the boundaries of an unscheduled inspection by the labor inspectorate directly depend on the basis for its conduct. Thus, in response to a complaint about non-payment of wages, the inspectorate must check the employee’s arguments and request only documents that will help to do this.

The list of documents required as part of an unscheduled inspection may differ from those indicated above. So, if it is carried out following an industrial accident, the State Inspectorate may request:

• information about the work carried out on the territory of the enterprise, civil contracts on the basis of which such work is carried out, details of contractors;
• data on the state of injuries at the enterprise;
• accident investigation acts, etc.

IMPORTANT! You can complain about certain unlawful actions of the State Tax Inspectorate (including when requesting “extra” documents) in the manner prescribed by Section V of the Regulations.

The law does not contain a list of documents that Rostrud has the right to require (for both types of inspections). The main thing is that the prohibition on requesting documents (as well as other information, samples, specimens, etc.) not related to the subject of inspection is not violated. And the decision on the relevance of certain objects to its subject is subjective and is made by the state labor inspector.

Inspection forms. Powers of the State Tax Inspectorate within the framework of documentary checks

Any inspection of GIT (both scheduled and unscheduled) can be carried out in documentary or on-site form. The form of control is indicated in the plan and the order for its implementation (for unscheduled inspections - only in the order).

IMPORTANT! The actual actions of inspectors must correspond to the inspection form. They do not have the right to come to the enterprise if the inspection is defined in the order as documentary.

The verification of documents carried out by Rostrud consists of several stages:

• The inspection sends a written request to the enterprise indicating the list of required documents.
• The employer fulfills the request within 10 working days.
• If errors, inaccuracies, or contradictions are identified in documents, the State Tax Inspectorate invites the employer to provide explanations and additional documents.
• If identified errors, inaccuracies and contradictions are not eliminated, the inspection is transformed into an on-site inspection.

How to respond to a request from the labor inspectorate?

The employer provides all documents in the form of simple copies, certified by the signature of the head of the organization or entrepreneur (or another person authorized for such actions by power of attorney), as well as a seal (if any).

The labor inspectorate has no right to demand:

• original documents and their notarized copies;
• documents that she can receive through interdepartmental cooperation.

The law does not limit the period for which the State Tax Inspectorate may require documents. The period of activity being verified is not indicated in the order for verification. Therefore, the request can be made in relation to any documents, including those relating to already dismissed employees.

It is not always possible to present documents objectively due to the fact that their storage period has expired and they have been destroyed. In such a situation, the employer should, in response to the request, explain the reason for the lack of documents. See also “Destruction of documents with expired storage periods (act)”.

Let us remind you that when destroying documents related to labor relations, you must be guided by the list approved. by order of Rosarkhiv dated December 20, 2019 No. 236.

Note! The order of the Federal Archive approved new storage periods for some documents. The order is valid from February 18, 2020. See here for details.

Failure to submit documents on time or to submit them incompletely without a good reason may result in liability for the employer under Art. 19.7 Code of Administrative Offenses of the Russian Federation.

Rights of GIT inspectors during an on-site inspection

The labor inspectorate conducts on-site inspections at the location of the enterprise. According to clause 2, part 3, art. 12 of Law 294-FZ, it is carried out if it is not possible to assess the compliance of the employer’s activities with the law using the documents.

The opinion that the State Tax Inspectorate is always obliged to start only with a documentary check is erroneous. However, if inspectors could assess the absence or presence of violations from the documents, the on-site inspection can be declared unlawful through the court. This mainly concerns unscheduled inspections based on employee complaints, that is, inspections that have a narrow subject. In annual plans, all inspections are usually defined as on-site inspections; it is impossible to challenge them on this basis.

During an on-site inspection, the inspector has the right (Article 357 of the Labor Code of the Russian Federation, Article 12 of the ILO Convention No. 81 of July 11, 1947 “On Labor Inspection...”):

• if you have an inspection order and official identification, at any time you can freely enter the territory of the enterprise and check the condition of the buildings, structures, equipment, vehicles, etc. used;
• request documents for review (and the inspector has the right to ask to make copies for them free of charge), other information;
• talk with company employees;
• issue instructions on the spot;
• prohibit the use of personal protective equipment that does not meet the standards;
• investigate industrial accidents, etc.

Obstruction of an inspection will be regarded as an administrative offense under Art. 19.4.1 Code of Administrative Offenses of the Russian Federation.

Labor inspection inspection - what to prepare for and how?

Preparation for any GIT inspection consists of:

• in familiarizing yourself with the regulations governing the conduct of inspections, understanding the rights and responsibilities of both your own and the controllers;
• determining the compliance of the enterprise’s activities with labor legislation (including studying documents for consistency with each other, the presence of errors, and compliance of their content with the law);
• prompt elimination of violations.

Since 2021, during routine control, the State Inspectorate has been using checklists (Parts 11.1–11.5 of Article 9 of Law 294-FZ). Moreover, the verification should be limited to checklist questions. However, until July 1, 2018, the sheets are used only in relation to employers with a moderate risk category, and after this date - in relation to any employers.

Answers to checklists can significantly help an employer in preparing for an audit because:

• sheets are developed for most aspects of labor relations;
• control questions are formed based on the most typical violations;
• Answering the questions clearly allows you to determine whether there are violations.

Any employer can download the sheets on the official portal of Rostrud. But we recommend using the “Electronic Inspector” service located there. You can answer control questions from all developed checklists online, and upon completion, the service gives recommendations on how to eliminate violations. The service is free, available at any time, and the fact of detection of violations will not entail any consequences for the employer.

What is checked during scheduled and unscheduled inspections?

The main powers of the State Tax Inspectorate are regulated in Article 57 of the Labor Code of the Russian Federation. There is no specific list of waste paper indicated there, therefore, in order to avoid misunderstandings, it is better to put in order all the documentation that is in any way related to labor law standards.

If you are preparing for a visit from an inspector and do not know what documents the labor inspectorate checks during a routine inspection, this paragraph will help you deal with this issue.

What exactly does the labor inspectorate check? The detailed answer is contained in this article, we recommend reading it.

By personnel

Most often, the inspection begins with familiarization with personnel documentation. Therefore, when the question arises about what documents are needed, you should prepare them first.

Basic list of HR documents:

1. Accounting reports on salaries.
2. Contracts with employees.
3. Constituent documentation.
4. Papers on labor regulations.
5. Staffing schedule.
6. Time sheets (salary, work schedule).
7. Sick leaves.
8. Worker vacation schedules.
9. Personal cards of employees.
10. Work books.
11. Labor records books.
12. Special provisions (on employee certification, on payment of bonuses, on the protection of personal data).
13. Results of medical examinations of employees.

All this documentation may not be needed, the inspector may conduct a random inspection, but it is better to be on the safe side and prepare thoroughly.

According to Resolution of the State Statistics Committee No. 1 of January 5, 2004, special forms have been developed for maintaining personnel documentation, according to which documents are filled out at all enterprises, without reference to the form of ownership.

When preparing personnel documentation, you need to take into account not only what documents the labor inspectorate checks during the inspection, but also the correctness of their completion. Failure to comply with Goskomstat Resolution No. 1 of January 5, 2004 will constitute a violation.

Results

Of course, it is not always possible to prepare for a labor inspection inspection. After all, inspectors are not even required to notify the employer in advance about some inspections (for example, based on employee complaints). It is recommended to keep personnel documents in order and periodically conduct self-checks using checklists.

Sources:

• Labor Code of the Russian Federation
• Law “On the Protection of Rights...” dated December 26, 2008 No. 294-FZ
• Decree of the Government of the Russian Federation dated July 16, 2009 No. 584
• order of Rosarkhiv dated December 20, 2019 No. 236

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Legal norms

Heads of employing organizations should understand what to prepare for during inspections by the State Labor Inspectorate (SLI), what rights and responsibilities SLI inspectors have, based on the following legislative acts:

1. Labor Code of the Russian Federation (especially articles 353 and 356).
2. Code of the Russian Federation on Administrative Offences.
3. Federal Law No. 294-FZ of December 26, 2008, taking into account the amendments made to it by Law No. 277-FZ of July 3, 2016.
4. By-laws, in particular, Decrees of the Government of the Russian Federation No. 875 of 09/01/2012, No. 177 of 02/13/2017, No. 1080 of 09/08/2017 and Order of the Ministry of Labor No. 354n of 10/30/2012.