Rostrud allowed storing copies of passports in personal files

Fine up to 50 thousand rubles for storing documents in a personal file: details

By the way, personal data is any information that directly or indirectly relates to a specific or identifiable individual (). Rostrud reminds that the processing of employee personal data can be carried out exclusively for the following purposes ():

1. assistance to employees in employment, education and career advancement;
2. ensuring the safety of property.
3. ensuring compliance with laws and other regulatory legal acts;
4. ensuring personal safety of workers;
5. control of the quantity and quality of work performed;

We provided a consent form for the processing of employee personal data in our.

In contrast to the position of Rostrud, Roskomnadzor believes that even if consent to the processing of personal data is obtained, storing, for example, copies of a passport, marriage certificate, child’s birth certificate or military ID is not legal.

Responsibility for violations

For adding documents to the personal files of employees that the employer does not have the right to keep, an administrative fine is provided under Part 1 of Article 13.11 of the Code of Administrative Offenses. Its size can reach 50 thousand rubles. The full list of possible penalties is as follows:

• warning;
• imposition of an administrative fine on citizens in the amount of 1 thousand to 3 thousand rubles;
• imposition of an administrative fine on officials - from 5 thousand to 10 thousand rubles;
• administrative fine for legal entities - from 30 thousand to 50 thousand rubles.

At the same time, the inspectors will not be interested, and therefore will not save the employer from punishment, by the fact that the employee’s consent to the processing of personal data was obtained. Judicial practice also proves this.

Source: https://m.ppt.ru/news/141379

Do not keep copies of passports and diplomas in the HR department.

The company will be fined for this

Use the information provided in employment contracts and personal cards, if necessary, ask the employee to present the necessary document and copy the necessary information from it. There are cases when Roskomnadzor and the courts recognized the processing of copies as unlawful, even if they were required by law in order, for example, to assign benefits.

This was justified by the fact that the employer processes redundant information.

In addition, copies of personal documents contain special categories of personal data, for example, information about nationality, which, as a general rule, cannot be processed (resolution of the Fifteenth Arbitration Court of Appeal dated December 17, 2013 No. 15AP-16132/13, decisions of the Federal Antimonopoly Service of the North Caucasus District dated April 21, 2014

in case No. A53-13327/2013, dated March 11, 2014

in case No. A53-10287/2013, etc.). At the same time, copies of personal documents are often required to provide the employee or his family members with guarantees and compensation, for example, benefits, vouchers, etc.

50 thousand rubles fine for a copy of a passport in a personal file. What other documents are dangerous for HR officers to keep?

Typically, companies store documents that they create themselves:

1. orders regarding hiring and other events;
2. employee profile;
3. necessarily a work book.
4. employment contract;

But even when applying for a job, the employee also brings other documents: diploma, SNILS, certificate of assignment of TIN, passport, military ID.

Is it possible to make copies of these documents and also store them in your personal file so that they are always at hand? The legislation and Rostrud clearly say: “no”. Therefore, if a personnel officer does not want to receive a fine, for example, for storing a copy of an employee’s marriage certificate, such papers must be excluded from the personal file and given to employees.

In particular, a violation of the requirements of the Federal Law of July 27, 2006 No. 152-FZ “On Personal Data” will be the storage of any document that is not directly related to the citizen’s work activity.

Rostrud for storing copies of documents in the organization

After all, the legislator has not clearly defined the list of documents permitted for storage in the organization. Therefore, in order to minimize the risk of penalties, prudent personnel officers of enterprises and institutions file employees’ personal files and store only those documents that their organizations themselves issue.

These are employment contracts, orders for employment, promotions, promotions, bonuses, other local labor acts containing a mention of the employee’s name, an employee profile, and a work book.

If an organization ignores or is negligent in complying with the requirements of the law on the protection of personal data of its employees, then both the legal entity and the specific official who committed the offense may be subject to administrative liability - from a warning to a fine.

A guilty individual may be fined in the amount of 1,000 to 3,000 rubles,

Rostrud explained how to store copies of documents in personal files

86 of the Labor Code of the Russian Federation outlines the purposes for which employers are allowed to use personal data of employees.

They are used to: ensure compliance with laws and other regulations; assistance in employment; providing education and career advancement; ensuring personal safety of workers; control the quantity and quality of work performed and ensure the safety of property. The list of purposes for which employers can use personal data of employees is closed, and copies cannot be used in any other way.

For example, a photocopier of a passport will help fill out an employee’s personal card, maybe a couple more documents, but then it is no longer needed. But many organizations keep copies of passports and other documents according to tradition, without fully understanding why they are needed.

And even after dismissal. Now an employee is fined “just like that” for storing personal data, and employers

Conclusions and recommendations

Determine the legality of your actions:

• If you collect and store copies of employee documents in personnel records, when this is not provided for by regulatory legal acts and consent, then you exceed the volume of processed personal data of the employee established by the Constitution of the Russian Federation, the Labor Code of the Russian Federation and other federal laws. There is a similar conclusion in judicial practice, in particular in the Resolutions of the Fifteenth Arbitration Court of Appeal dated March 14, 2014 No. 15AP-22502/2013 in case No. A53-12557/2013, FAS North Caucasus District dated April 21, 2014 in case No. A53-13327/ 2013. It was after these cases emerged that numerous questions began regarding the storage of copies of employee documents.
• If you have a specific purpose, it is legal to collect and store copies. Remember that storing copies of an employee’s documents is legal only if the employer has determined a specific purpose for their processing (storage), which does not allow unnecessary processing of personal data. The purpose must be stated in the consent to the processing of personal data. In the absence of such a purpose and consent, storing copies of documents, even if the employer determines the possibility, is a violation of personal data legislation.

Is it possible to keep copies of passports, diplomas, etc. in personal files? ?

The accounting department can check the employee’s TIN on the Federal Tax Service website - this is enough; the employee can (is not obligated) to indicate the TIN data in the details of the parties to the employment contract. If the employee does not allow copies to be made, then write down the details of the documents you are interested in in the employee’s T-2 card in as much detail as possible.

Draw up a report regarding the employee’s refusal to consent to storing copies of documents. And during inspections by the Federal Tax Service and the Social Insurance Fund, you will have to ask employees to bring originals to confirm the validity of payments. If there is no consent from dismissed employees to store copies of their documents, the copies should be destroyed. Moreover, since July 1, 2017, administrative fines for violations in this area have increased significantly.

The amount of fines depends on the type of offense committed. Thus, officials can be fined in the amount of 3,000 to 20,000 rubles, individual entrepreneurs - in the amount of 5,000 to 20,000 rubles, organizations - in the amount of 15,000 to 75,000 rubles.

If you decide to manage personal files of employees

The primary task of an employer who begins to compile employee documents into personal files is to develop a local regulatory act: a standard or regulation on the procedure for creating personal files. It is there that the questions of how to draw up personal files and create personnel documents in them should be addressed.

A common mistake: employers keep extra information about employees just in case. By doing this, he violates the principles of processing personal data.

For violation of the principles of processing personal data that is incompatible with the purposes of their collection, Roskomnadzor may bring the employer to administrative liability under Part 1 of Art. 13.11 Code of Administrative Offenses of the Russian Federation and issue a warning or an administrative fine:

• for citizens in the amount of 1,000 to 3,000 rubles;
• for officials - from 5,000 to 10,000 rubles;
• for legal entities - from 30,000 to 50,000 rubles.

What documents are stored in the employee’s personal file?

The procedure for maintaining and the list of documents in the employee’s personal file is approved by the employer.

Typically this list includes:

1. agreement on financial liability, etc.
2. agreement on non-disclosure of confidential information, trade secrets, etc.;
3. certificate of presence (absence) of a criminal record (if required);
4. a copy of the employment order;
5. conclusion of the medical commission (if required for the position);
6. employment contract (employer's copy);
7. copies of education documents confirming the employee’s qualifications;
8. consent to the processing of personal data;

During the work period, the dossier is replenished with:

1. additional
2. copies of documents on advanced training;
3. certification sheets, characteristics (feedback on work);
4. copies of orders on relocation, incentives, announced penalties;

How are personal files processed?

Personal files are formed and maintained, as a rule, by the personnel department. A personal file is created immediately after the registration of an employment relationship with an employee. To do this, purchase regular cardboard “Delo” folders or order special ones.

We invite you to familiarize yourself with the division of maternity capital after divorce

The start date of the personal file is the date of the hiring order, and the end date is the date of the dismissal order. The case number is initially established in the personal file register, where they are usually numbered in gross order or using indexes for different categories of workers. For ease of searching, the index and case number can be placed on the spine of the personal file folder.

Documents are placed or filed using a needle and thread in a folder in chronological order.

The personal files of employees are published in accordance with the Regulations. By virtue of GOST R 21.1101-2013, approved by Order of Rosstandart dated June 11, 2013 No. 156-st, stitching means the placement of project documentation materials on paper in bindings or in hard folders with easily removable fastenings (locks).

In any case, pages must be numbered.

According to the Recommendations, it is unacceptable to create so-called personal file orders, when several personal files are stitched into one, thereby violating the general features of forming files and the procedure for working with restricted documents.

No.

Total ___________________________________ documents. (in numbers and words)

Number of internal inventory sheets __________________________. (in numbers and words)

Name of the position of the person who compiled the internal inventory of case documents

date

At the end of the case, a certification sheet is placed. It is compiled to take into account the number of sheets in the case and the peculiarities of their numbering. The certification sheet can be drawn up in the form established by the Basic Rules for the Operation of Archives of Organizations (approved by the Decision of the Board of Rosarkhiv dated 02/06/2002).

The certification sheet is drawn up on a separate sheet, which is placed behind the last document of the case. It can also be glued to the inside cover of a case.

Is it possible to keep a copy of an employee’s passport in a personal file?

This article will help you avoid mistakes in your work. In this situation, you have all the information about employees in employment contracts and personal cards. This is quite enough. Regarding a copy of your passport, it is better not to keep it in the HR department.

Our position is confirmed by judicial practice on this issue.

Thus, the Arbitration Court of the Rostov Region in November 2013 considered in which the Office of Roskomnadzor for the Rostov Region filed claims against the branch of METRO Cash and Carry LLC, in whose personnel files it found copies of passports and military IDs, as well as photographs. The essence of the dispute In April 2013, the Office of Roskomnadzor for the Rostov region carried out a scheduled on-site inspection of the branch of METRO Cash and Carry LLC in the city.

Rostov-on-Don. During the inspection, it was revealed that the company violates the mandatory requirements in the field of processing personal data: it processes personal data that is excessive in relation to the stated purposes of their processing.

Is it necessary to remove copies of passports from employee archives?

Processing of personal data of close relatives of the employee to the extent provided for by the unified form N T-2, approved by Resolution of the State Statistics Committee of the Russian Federation dated January 05, 2004 N 1 “On approval of unified forms of primary accounting documentation for recording labor and its payment,” or in cases established by law Russian Federation (receiving alimony, obtaining access to state secrets, issuing social benefits). In other cases, obtaining the consent of the employee’s close relatives is a mandatory condition for processing their personal data. 3. Processing of special categories of employee personal data, including information about the state of health related to the issue of the employee’s ability to perform a labor function on the basis of the provisions of clause 2.3, part 2, article 10 of the Federal Law “On Personal Data” within the framework of labor legislation . 4. The content and volume of personal data processed must correspond to the stated purposes of processing. The personal data processed should not be redundant in relation to the stated purposes of their processing (Parts 2, 5, Article 5 of Law N 152-FZ). Summarizing the rules we have specified, we come to the conclusion that for the legal storage of copies of the specified in the matter of documents, the employer must ensure simultaneous compliance with the following conditions: - consent must be obtained from the employee to store his personal data specified in copies of documents, the need for processing of which is not due to the achievement of the goals named in paragraphs 2-11 of part 1 of Art. And even after dismissal. Now an employee is fined “just because” for storing personal data, and employers have begun to worry: what to do? If the organization really needs such documents, stipulate this in the LNA, obtain consent for storage, and then be prepared to explain to the inspectors what they are used for. Fines for non-compliance with the law Is it possible to keep copies of documents in the personal files of subordinates, it seems, officials answered. However, in judicial practice there are already cases where the judges considered it unnecessary for the employer to have copies. In particular, the Resolution of the Federal Antimonopoly Service of the North Caucasus District dated March 11, 2014 in case No. A53-10287/2013 stated that in order to process the personal data of employees hired, it is enough to verify the information with the originals, and there is no need to store copies of passports. Russian Federation. The obligation to obtain consent also does not apply to the processing of personal data of applicants who have submitted documents for filling vacant positions in the state civil service, since the list of documents provided is determined by the Federal Law “On the State Civil Service of the Russian Federation” and clause 7 of the Regulations on the competition for filling vacant positions positions of the state civil service of the Russian Federation, approved by Decree of the President of the Russian Federation dated 01.02.2005 N 112, and the form of the questionnaire, which requires entering the applicant’s personal data, was approved by order of the Government of the Russian Federation dated 26.05.2005 N 667-r. Maintaining a personnel reserve today by labor not regulated by law. Arbitration Court of the Rostov Region dated November 14, 2013 N A53-12557/2013, dated July 30, 2013 in case N A53-10287/2013, resolution of the Fifteenth Arbitration Court of Appeal dated March 14, 2014 N 15AP-22502/13, resolution of the Fifteenth Arbitration Court of Appeal dated 17.12.2013 N 15AP-16132/13, resolution of the Fifteenth Arbitration Court of Appeal dated 28.10.2013 N 15AP-15175/13). Since in the question you do not provide information about the purpose stated by the employer for processing personal data, assess the legality of storing each of them from the point of view From the point of view of the employer's compliance with the provisions of the legislation on the protection of personal data, it does not seem possible to us. Answer prepared by: Expert of the Legal Consulting Service GARANT Tatiana Troshina Response quality control: Reviewer of the Legal Consulting Service GARANT Victoria Komarova March 22, 2020

Info

Not all HR specialists, as well as their managers, know that there are documents and even copies of them that cannot be stored in the employee’s personal file. Some documents can result in a large fine because they contain personal data not related to the performance of official duties. What's happened? Rostrud reminded HR specialists that not all documents can be stored in employees’ personal files.

Attention

And it is not necessary to conduct personal affairs themselves: there is no such requirement in the law. But if a case is opened, it is necessary to store in it papers directly related to work activities, and not to forget about the requirements for the protection of personal data. In particular, the organization does not have the right to even store a copy of the passport.

It will be necessary to store copies of documents in personal files impersonally

Currently, such measures are mandatory only for state and municipal bodies, but next year most companies, including employers, will have to comply with depersonalization requirements. Information must be anonymized in accordance with Roskomnadzor Order No. 996 dated September 5, 2013, which recommends using the following methods:

1. mixing (rearrangement) of individual records or groups of records, which will not allow finding a connection between information and specific subjects.
2. replacing part of the information;
3. changing the composition or semantics of data;

It is planned to introduce separate punishment for failure to fulfill the obligation to anonymize personal data or failure to comply with established requirements or methods. This is provided for by other officials discussed.

If it is approved, it will be indicated that for such a violation, citizens can be fined up to 1,500 rubles, and officials - up to 6,000 rubles.

What to do with the archived personal files of dismissed employees?

You will not be able to justify the need to store copies of passports and military IDs of employees.

If the employee does not allow copies to be made, then write down the details of the documents you are interested in in the employee’s T-2 card in as much detail as possible. Draw up a report regarding the employee’s refusal to consent to storing copies of documents.

And during inspections by the Federal Tax Service and the Social Insurance Fund, you will have to ask employees to bring originals to confirm the validity of payments. If there is no consent from dismissed employees to store copies of their documents, the copies should be destroyed. Moreover, from July 1, 2020, administrative fines for violations in this area have increased significantly.

Any information directly or indirectly related to a specific individual (subject of personal data) refers to him (). At the same time, operators and other persons who have access to personal data are obliged not to disclose to third parties or distribute

What is the procedure for conducting them?

The legislation does not directly indicate that every employer must create a personal file for an employee. Therefore, the management of organizations has the right to independently resolve this issue. But, at the same time, the law obliges to issue a personal card of the T-2 form for each hired employee.

After the mandatory use of unified forms was abolished in 2013, there has been controversy over whether the card is mandatory.

But, despite the abolition of unified forms, there are instructions in the legislation that confirm that the employer is obliged to maintain a T-2 card. In particular, according to the Rules for Maintaining Work Records, the employer is obliged to enter information about work into the employee’s personal card.

Video about managing personal files of employees:

Since the law does not provide information on the procedure for maintaining an employee’s personal file, it must be established by the employer himself. This procedure must be prescribed in one or more local regulatory documents of the organization. For example, in the instructions for office work.

Instructions for maintaining personal files of employees (PD) should regulate the following issues:

• what documents are included in the LD;
• who forms the LD;
• where folders with employee IDs should be stored.

If there are no instructions for office work, then the procedure for conducting personal affairs can simply be approved by a separate order for the organization.

If the enterprise has a personnel department or a personnel officer, then it is he who is charged with the responsibility of creating the personal files of employees.

A personal file continues to be formed throughout the entire period of a person’s work in a given organization.

How to correctly extract copies of documents from an employee’s personal file?

So, if the nomenclature of your organization’s affairs does not provide for maintaining the personal files of employees, you can remove documents from the personal files that are subject to archival storage, and destroy the personal file itself. If the nomenclature provides for the management of personal files, only copies of employees’ personal documents and other documents that are risky to store in personal files should be confiscated.

About this: Personnel Affairs Magazine No. 12, December 2020. To destroy documents (Rules approved). As a result, an act is drawn up on the allocation for destruction of files that are not subject to storage (Rules approved).

is given in the Rules approved by. Document the fact of destruction of documents both in paper and electronic form in a separate act. Details in the materials of the Personnel System: 1.

Issuance of personal files of employees

The procedure for issuing personal files for temporary use must be approved by the LNA. It is necessary to fix the rules and deadlines for issuing documents to employees and third-party organizations.

Personal files for temporary use are issued only to employees who are granted this right by order of the manager. Cases are issued for the time necessary to complete a specific task. As a rule, it is limited to the working day. At the end of working hours, personnel employees are required to check the availability of folders in the storage room and take measures to return them if necessary.

Employees can familiarize themselves with the materials of their case with the permission of the head of the personnel service upon application in cases provided for by the legislation of the Russian Federation, and also request copies of any documents from it. Familiarization with the case materials is carried out in a specially equipped room under signature in the presence of a personnel employee responsible for this work.

The file is issued to third-party organizations only with the permission of the head of the organization upon receipt of an official request, which must indicate the purpose of obtaining information. If a positive decision is made on the request, an additional act is drawn up in 2 copies, which are signed by the heads of both parties and certified with seals. One copy of the act remains with the organization, the second is sent along with the case. The act indicates the period for which the personal file is issued, the purpose of its issuance, the number of sheets, etc.

It is worth noting that according to Federal Law No. 152 of July 27, 2006, personal data can be transferred to a third party only with the written consent of the employee, except in cases provided for by law.

All facts of the issuance of personal files are recorded in the appropriate journal, or a control card is created for each case, which reflects this information, and a substitute card, which is placed in place of the file.

Storing photocopies of documents in employee files

If an organization stores copies of documents for no purpose, it can be fined from 30 to 50 thousand.

Question: How to identify and destroy outdated documents Identification of documents with an expired storage period How to identify documents with an expired storage period Organizations with an expired storage period are subject to destruction (Rules approved).

rub. according to Art. 13.11 Code of Administrative Offenses of the Russian Federation. The organization will also be obliged to destroy copies (resolution of the Federal Antimonopoly Service of the North Caucasus District dated March 11, 2014 No.

in case No. A53-10287/2013, dated April 21, 2014 in case No. A53-13327/2013). 4. To avoid a fine, keep copies of documents only until you have achieved the purpose for which they were taken. Check your employees' personal files. If they contain copies of documents that you no longer need, then destroy them. For example, a copy of the child’s birth certificate remains in the file, but benefits have already been paid.

Draw up an act of destruction of the certificate and get rid of it (information from Roskomnadzor dated September 25, 2020).

Destroy future copies within 30 days from the date on which the purpose of data processing is reached. The destruction procedure is not specified anywhere, so you can set it yourself (p.

How to properly file a personal file

Business documentation should be maintained in accordance with generally accepted requirements, even if they are not enshrined in law, this increases the efficiency of its use. This responsibility is assigned by internal regulations to a specific employee, most often a representative of the enterprise’s personnel service. His responsibilities are:

• initial establishment of a personal file;
• adding new records and documents to it;
• seizure of temporary storage documents that have expired or are no longer valid;
• if necessary, certification of copies;
• internal inventory of documents included in the case;
• scheduled check of the status of personal files;
• annual familiarization of the employee with his personal file against his signature;
• storage of files;
• placing irrelevant files in the archive.

IMPORTANT! An employee conducting personal affairs must have authorized access to personal data of employees.

A personal file is a collection of a large number of documents, which dictates the necessity of some way to easily find the necessary information. It is customary to systematize information from a personal file on the title page (cover). It is convenient to use the requirements for cover design, which have remained unchanged since July 17, 1972 (GOST 17914-72):

• space is left on top for the future archival stamp;
• The full and abbreviated name of the organization is located at the top center;
• The structural unit is indicated below (you need to leave a few lines to reflect information about a possible change of department);
• case number (according to the nomenclature adopted by the company);
• last name, first name and patronymic of the employee against whom the case is being opened;
• the lower right corner carries information about the timing of the case: the opening date, that is, the day of hiring, and the closing date (dismissal order);
• The number of sheets in the file at the time of the inventory is written here;
• case retention period.

All documents that fall into that folder must be numbered and filed, and also take their place in the list of documents.

The list of documents in the personal file can be located on the inside of the cardboard cover of the folder or be filed last.

At the top of the sheet intended for this purpose, the name is written (“LIST of documents of the personal file”), then the employee’s full name is written in the nominative case. It is convenient to keep the inventory in the form of the following table.

https://www.youtube.com/watch?v=ytdevru

After the table, the number of documents and sheets included in the inventory is written in words and numbers. At the end there is the date of the inventory and the signature of the performer with a transcript.

Tags: case, document, what, personal, store

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