Appointment of those responsible for maintaining certain areas of personnel records management

HR records management is a complex and multifunctional process, which is regulated by the legislation of the Russian Federation and requires proper documentation. Therefore, it is very important that this process is handled by a full-time HR specialist who has the relevant experience.

However, there are cases when an organization does not have a full-time personnel officer and accountants, secretaries, and office managers are involved in preparing personnel documents.

In a small organization, the functions of preparing personnel documents can be performed by the manager himself - in this case, additional documentation is not required, since in accordance with the organization’s charter, the manager is responsible for any aspect of the organization’s activities.

Combination and additional payment

If such an order is a way to increase an employee’s salary for an increased number of responsibilities, then indicating a specific amount in the order would be a violation.

In order to legally correctly formalize such an allowance and for an increase in the work performed, you need to sign two documents: an order of appointment plus an order to establish a personal allowance (belongs to the category of documents for personnel).

The order should not indicate the amount of the bonus, since this would constitute a disclosure of personal data (and in most cases the employee does not write consent to this when applying for a job). This is why a second document is required. After all, the order to appoint someone responsible for office work passes as an order for the main activity, and its data is available to everyone.

Order to appoint a responsible person

The appointment of responsible persons is made by orders of the employer. The form of the order to appoint a responsible person is free.

Sample order for the appointment of responsible persons

The responsibility of individuals is established by the employer for a specific area of ​​activity, within a division or the entire enterprise. For example, employees may be assigned responsibility for:

• labor protection;
• fire and electrical safety;
• safety of material assets (material liability), etc.

The employer is limited in the choice of responsible persons in areas of professional activity. This limitation is due to legal requirements. For example, the person responsible for labor protection at an enterprise may be exclusively an employee who:

• completed training in the appropriate program;
• confirmed his knowledge at a qualifying exam and received a state document (diploma);
• complies with the professional standard of a labor protection specialist.

The situation is similar with fire and electrical safety.

Material liability

Unlike other types, financial responsibility can be extended to all personnel of the enterprise. The scope of such liability is limited to the average monthly earnings of the employee or is established within the framework of the obligation to compensate for the full amount of damage caused (lost profits are not subject to recovery).

Sample form of an order to appoint a financially responsible person

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Any financial liability is established by an agreement (individually concluded with the employee or collective). The list of positions (works) of employees with whom the employer can enter into agreements on full financial liability is approved by Resolution of the Ministry of Labor dated December 31, 2002 No. 85. This list includes:

• cashiers and cash handlers;
• employees, including management personnel, carrying out depository activities, etc.

The heads of the organization and their deputies, as well as chief accountants, may bear full financial responsibility, the provisions of which may be specified in their employment contracts.

Sample order on financially responsible persons

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The employee’s financial liability means his obligation to compensate the employer for the damage that the employee caused to the organization as a result of his guilty actions (or inaction).

Material liability is assigned to the employee in full (Article 243 of the Labor Code of the Russian Federation) in the following cases:

• shortage of valuables received on the basis of a written agreement or a one-time document;
• intentional infliction of harm;
• causing harm while intoxicated;
• committing a crime or administrative offense established by a court verdict or the relevant government body;
• disclosure of confidential information;
• causing damage not during the performance of work duties (after the end of working hours).

This means that even if the employee quits or goes to prison for his guilty actions, he will still have to compensate the employer for the damage that he caused him.

Before recovering damages from a specific employee, the employer is obliged to organize and conduct an inspection in order to establish the amount of damage caused.

Should the employer create a special commission to conduct such a check? during which it is necessary to obtain written explanations from the guilty employee regarding the fact of the incident.

In case of refusal or avoidance of providing explanations, the commission must draw up a report in free form. Without these documents, recovery of damages is impossible.

How to write an order appointing a responsible person

1. Conclude a liability agreement in two copies.
2. Prepare a draft order for the appointment of responsible persons.
3. It is advisable to coordinate the draft order with lawyers.
4. Sign the order from the General Director.
5. Familiarize the employee with the order against signature.

Standard draft agreement on full individual financial liability

Download

Financial liability cannot be applied to an employee if the damage was caused due to:

• force majeure (natural acts);
• natural risk (the presence of production does not guarantee the availability of sales of finished products);
• necessity or defense (for example, having to break a table to prop up a door in case of an attack);
• improper storage conditions for property due to the fault of the employer (products were stored in a faulty refrigerator).

In addition, the employer has the right to refuse, in whole or in part, to recover damages from the guilty employee (Article 240 of the Labor Code of the Russian Federation). The procedure and conditions for refusing to recover damages must be determined by an agreement or other regulatory document of the employer, for example? Charter of the organization.

Making changes to documents

In the event of the dismissal of one employee or his replacement with another, the employer must prepare documents regarding the change of the financially responsible person.

Sample order to change the financially responsible person

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However, that's not all. When changing responsible persons, very often employers forget to draw up one important document, namely the act of acceptance and transfer of inventory items for storage. Without completing this document, if a deficiency is discovered in the future, it will be impossible to prove the guilt of the person responsible.

Form of the act of acceptance and transfer of inventory items for storage

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Source: https://clubtk.ru/forms/dokumentooborot/prikaz-o-naznachenii-otvetstvennogo-litsa

Change of employee

There are situations when an order requires changes to it. For example, an existing specialist quits, gets promoted, etc. And another person takes his place. The newcomer should be brought up to date on his responsibilities, issue a document confirming the adjustment of the order, and obtain the signature of the “fresh” employee. So the order will have legal force.

Timely adjustment of this kind of document reduces the likelihood of a manager receiving a warning or being held administratively liable in the form of a fine.

Responsibility

For violation of official duties, a HR specialist bears disciplinary liability established by the labor code in the form of a reprimand, reprimand or dismissal.

However, few people know that the personnel officer also bears additional types of responsibility in case of violation of the legislation on personal data. After all, he is in charge of the personal files of employees, containing information about their personal biography, place of registration, marital status, health status and much more.

If such data becomes public knowledge and is disclosed by him, he may incur administrative liability, and in cases where such disclosure resulted in harm to the interests of citizens, the personnel specialist may be brought to criminal liability - the maximum possible punishment will be up to 4 years in prison.

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Components of an order

The document does not have a unified form, but it must necessarily mention:

• Name of organization, details.
• Date of signing.
• City.
• For what purpose is the order issued? Free wording is implied. In the example, it sounds like “optimization of office work.” This phrase is the most common and logical in this situation.
• On what date does the employee begin performing these duties? It is understood that these are additional responsibilities and the workload of the assigned employee increases.

• What responsibilities are assigned?
• Who will perform these duties in the temporary absence of the appointed person. If there is no such employee, then they simply write that the manager will sign the corresponding instruction.
• If additional payment is required for duties, the manager refers to the internal labor regulations of the organization. It is not advisable to indicate the amount in the text.
• Who retains control over the implementation of the document’s points.

The paper is completed with the signature of the designated person, the head of the organization. We also need “autographs” of all those mentioned in the order appointing the person responsible for office work.

Regulatory regulation of document storage in an organization, by whom and how it is carried out

When considering this issue, it is advisable to turn to the legislation and understand what regulatory legal acts of the country regulate the security of documents at the enterprise.

According to the requirements of Federal Law No. 402 “On Accounting” and Federal Law No. 125 “On Archiving,” the manager must organize proper storage of accounting and tax reporting and prevent their destruction before the deadline established by law.

This leads to an established list of documents that have a minimum shelf life, which, by the way, can reach 70 years or more. Upon liquidation of an enterprise, all important papers are subject to expert evaluation and transfer to the Archival Fund of the country.

To effectively manage documents that are not state property, entrepreneurs can create their own archive. Analyzing Federal Law No. 125, it becomes clear that the creation of such a structural unit is the right, but not the obligation of the employer.

If the director of the enterprise has allocated a special room allocated for the archive, then it is imperative to include a section on its work in the Regulations on the storage of documents, because this document represents a single source of information about exactly how and for how long this or that documentation should be stored within the company.

In addition to these issues, the Regulations should regulate the following aspects:

• 
  Registration of incoming documents and their list for mandatory storage.

• Structural unit and position of persons whose functional responsibilities include working with documentation.
• Transfer of documents to the archive, the procedure for employees to handle them.

An entrepreneur is not obliged to personally handle business papers; for these purposes, he may have a clerk on his staff. However, we should not forget that responsibility lies not only with the appointed person, but also with the director of the company himself.

Before starting to analyze the order, it is worth recalling the basic concepts regarding the storage of documentation.

There are two modes for storing documents in an enterprise:

• Operational. Documentation is being processed by responsible persons or has already been processed, but not archived.
• Archival means that the enterprise has a system for storing a number of important documents inside a special room.

Any business paper has a specific purpose. For example, if this is an application for leave, then its purpose is to officially contact the employer to receive rest. however, having fulfilled its task, the document does not lose its relevance. Throwing it away as unnecessary is unacceptable, because not only the employer himself, but also regulatory or law enforcement agencies can turn to it at any time. In this regard, there is a need to establish a mechanism for effective access to each document so that, if necessary, you do not waste time searching.

So, the employer must prepare an order for storing documents in the organization, and also develop appendices to it. However, before you start creating it, it is worth considering the Regulations on the storage of documents. This will relieve the load on the order under consideration, in the text of which the entrepreneur only has to appoint responsible persons and organize the work of the expert commission.

Listing of responsibilities

The best option is when the organization has a job description for this position. In the order it is enough to provide a link to this paper, and in the instructions itself - to state all the responsibilities that the appointed employee assumes. But if there is none, then these responsibilities can be listed directly in the order (fortunately, it implies a free form of presentation).

For your information! Another option to list the employee’s responsibilities is to adopt an office work manual that specifies the employee’s functionality.

Rights and responsibilities of a personnel officer

Rights:

The list of rights of a specialist in human resources and personnel records management is specified in the job description. In accordance with the labor code, this person has all the basic rights like any other employee, such as the right to wages, vacation, various guarantees and compensation, and an 8-hour working day.

Due to the specifics of his activities, he has the right to demand from the organization’s management all local acts and other documents necessary for work. A HR employee may request from employees various personal data necessary for registration of employment, various benefits, guarantees and compensation.

Responsibilities:

In most cases, the list of responsibilities of a personnel officer can be divided into several conditional blocks:

1. Search for candidates to fill vacant positions in the organization. Including posting advertisements, conducting interviews with applicants, requesting additional information from law enforcement and other authorities. Interaction with employment centers.
2. Workers' movement. This block includes the preparation of orders for hiring, assigning additional functions to workers, dismissal, familiarization with these orders of workers and signing them by the manager.
3. Organization of various official inspections, preparation of orders to impose disciplinary sanctions, creation of commissions for drawing up acts, issuing instructions to structural units.
4. Payroll issues such as timesheets, overtime accounting.
5. Organizing the storage of personnel documents in accordance with the current nomenclature and legal requirements.
6. Making changes and preparing draft job descriptions for approval by the manager.
7. Making changes to workers' work books.

Thus, the HR specialist is responsible for a large number of important organizational and administrative documents. Upon dismissal, he is obliged to transfer to his successor all the necessary information by drawing up a special act of transfer of documents.

Structure of the act of transfer and acceptance of documents:

• Information about the parties and the fact of transfer. Example: Sidorov Petr Petrovich, HR specialist at Tyav LLC handed over, and employee Malinin Alexander Fedorovich accepted, documents on personnel records management, according to the “Personnel” section of the institution’s nomenclature.
• A detailed list of documents to be transferred is indicated, indicating the number of copies and sheets. Example: Employment orders in the amount of 99 pieces, each 1 copy, each 1 sheet.
• Puts a mark that the documents were accepted intact and there are no complaints about the quality of the specified documents.

The act is drawn up in 2 copies and signed by the parties.

• Download the document acceptance and transfer act

Use Cases

In large organizations there is also a separate order appointing someone responsible for personnel records management. This is due to the fact that there is a larger staff there, hence the volume of completed documentation for personnel. Each organization has the right to independently determine the name and number of positions. It should also be taken into account that the appointment of a person responsible for office work will be relevant in organizations with several branches. It is a mistake to believe that if there is a secretariat in the parent organization, structural divisions do not need to worry about maintaining various kinds of papers.

In order to legally establish responsibility for maintaining various types of documents in the responsibilities of the head of a specific department, there is an order to appoint someone responsible for office work, a sample of which is available for download at the top of the page.

Office work at school sample orders

In educational institutions, as a rule, there are no document management specialists. Letter from the Ministry of Education of the Russian Federation dated December 20, 2000

N 03-51/64 For the purpose of rational organization of documentation support in general educational institutions, the education system, the Ministry of Education of the Russian Federation has prepared and agreed with the Federal Archive Service of Russia "Methodological recommendations for working with documents in general educational institutions." We recommend that heads of educational institutions, territorial, municipal and regional educational authorities use these methodological recommendations in their office work. First Deputy Minister A.F. Kiselev 1.

General provisions 1.3. Direct record keeping in a general education institution is entrusted to the employee appointed responsible for record keeping, who ensures that documents are recorded and processed within the established time frame, informs management about the status of their execution, and familiarizes employees with regulatory and methodological documents on record keeping. 2.

Legal aspects

The manager is initially responsible for document flow and office work. And the appointed employee is responsible only for the process of maintaining it. That is, such aspects as staffing, payment, and the number of office management services are determined entirely by the manager. The subordinate only manages and maintains the functionality of the document flow system.

In 2020, Article 15.11 of the Code of Administrative Offenses of the Russian Federation was amended. It states that the punishment for incorrect storage of documents (and this is part of office work) will be imposed on the person responsible in the form of a fine, and in case of repeated violations - disqualification. There is the wording “official”. It can be either a manager or an employee of his organization.

If the manager has signed an order appointing someone responsible for office work and the document has legal force, then the appointed person is responsible for all violations that may be revealed during inspections.

Is it possible to do without someone responsible?

The manager, in accordance with the law, must appoint someone responsible for the conduct of labor or take this responsibility upon himself. Such requirements are specified in the Rules for maintaining work books.

Thus, the need to establish the responsible person is enshrined in law.

If it is still not assigned, then in accordance with the Code of Administrative Offenses a fine will be imposed, the amount of which will reach 50 thousand rubles. Moreover, this punishment is imposed not on the official, but directly on the organization.

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