License to conduct personnel audit. Audit of personnel records management, audit of KDP - tariffs and prices. Assistance in conducting a personnel audit

As part of this type of work, the main local regulations of the company are checked (rules of internal work schedule, regulation on wages, regulation on the protection of personal data of employees, local acts on labor protection, availability of employment contracts, etc.) and their application.

Price - from 40 000 rub.

Conducting an audit based on a sample of personnel documents. The bases and size of the sample are determined by the results of the analysis of the client's problem. On average, in order to get acquainted with the personnel records of the organization and identify weaknesses, personnel documents relating to 20% of employees occupying various positions (from an “ordinary” employee to a manager) are checked. However, the specific sample size is always determined in interaction with the client, depending on his needs.

Examples of situations where a selective audit may be conducted:

1. It is necessary to check personnel documents related to the “high-risk zone”, that is, the area of ​​the organization’s activities where violations most often occur. Such zones can be identified after a preliminary conversation. professional auditor with a client.
   Examples of high risk areas: registration labor relations, including with foreign citizens; registration of relations with financially responsible employees; the procedure for settlements with employees, etc.
2. The local regulations of the organization are analyzed.
3. The application of local acts to selected employees is checked.
4. Other personnel documents are checked in relation to one employee or several employees (at the request of the employer), such as: employment contracts, T-2 cards, work books, personnel orders, timesheets, etc.
5. Other situations when the need of the organization is to check a separate segment of personnel records.

Price - from 95 000 rub.

It involves a comprehensive check of all personnel documents of the organization in full, as well as the system of organizing personnel document management as a whole. As a result, auditors get a complete picture of the organization's personnel records and provide detailed recommendations on how to optimize personnel records and eliminate identified violations.

In particular, during a full audit, the following documents are checked:

1. Local regulations (internal labor regulations, regulation on remuneration, regulation on the protection of personal data of employees, local acts on labor protection, availability of employment contracts, etc.).
2. Employment contracts, work books, staff list, job descriptions, personal cards of employees and other documents to be issued in relation to employees.
3. Personnel orders (instructions) (on the admission of an employee, on the transfer of an employee, on the termination of an employment contract, on sending on a business trip, etc.), as well as the grounds for orders (applications, memorandums, other documents).
4. Treaties on liability.
5. Journals and books of registrations.
6. Other personnel documents.

In the course of a full personnel audit, not only the existence of personnel documents and compliance with the rules for their preparation are checked, but also proper familiarization of employees with mandatory documents, compliance with rules for storing and accounting documents and others issues of compliance with labor laws.

Price - from 95 000 rub.(depending on the number of employees of the company that ordered the service).

Learn how to minimize the risk of being sued or fined for failing to comply with labor laws. Conduct an internal audit of HR records to get things in order and avoid GIT claims.

Job descriptions, although they are not among the unconditionally mandatory documents, are often requested when checking by GIT inspectors and are important in personnel work. Therefore, it is better to develop and print a set of job descriptions for all positions included in the staff list in several copies: for the employer, for the employee and for storage at the workplace.

Step 3. Conduct an examination of existing documents. After reconciliation, analyze the content of the documents stored in the personnel department and the correctness of their execution. Make sure that local acts, contracts and agreements do not worsen the position of employees in comparison with labor legislation. Check relevance staffing and vacation schedule, see if the signatures of employees are worth the documents with which they were supposed to be familiarized.

Pay attention to the correctness of filling out personal cards and work books of personnel, if the data is outdated, update them. Labor books received from employees should be registered, and new forms or inserts should be entered at the written request of the employee. All registration journals maintained by the personnel service must be stitched and numbered, and books on accounting for blank and completed forms of work books and inserts in them must be sealed or sealed with a wax seal. Strict reporting forms, which include both completed and not yet used work books, should be stored in places with limited access, for example, in a safe or a lockable cabinet.

Review the governing documents. Orders for personnel should be kept separately from orders for core activities. If the employer instead unified forms uses its own forms, they should be put into effect by a separate order.

Step 4. Prepare a written report on the results of the examination. List all identified errors and problems, draw conclusions about the existing risks and the state of personnel records in general. Develop a list of recommendations to address these risks. For convenience, the results of the examination can be divided into two blocks. In the first, describe the results of the audit of mandatory documentation. In the second - the result of checking documents for each employee separately. For example, is he familiar with local regulations and orders, whether the employment contract is in order, whether the entries in the work book and personal card are correctly drawn up, etc.

Step 5. Develop and approve the missing documents. Issue a separate order: appoint responsible officials, set clear development deadlines. This will make it easier to control the process.

Unfortunately, even in successful enterprises, an audit of personnel documents often reveals annoying errors. The most common shortcoming, for which many employers have already paid fines, is a careless policy regarding personal data and the lack of written consent to their processing.

10 other bugs and problems

• The vacation schedule is incorrectly drawn up or does not exist at all.
• Responsible officials not checked for disqualification.
• Incorrectly filled work books of employees - there are no records of transfers, employment records were entered late, information about the owners was not updated, links to articles were incorrectly affixed Labor Code RF.
• Employment contracts are filled out incorrectly - the passport data of the employee and the TIN of the employer are missing, they are not registered mandatory conditions, the exact dates of payment of salaries are not indicated.
• Job descriptions mentioned in labor contracts have not been developed.
• There are no documents confirming the fact that employees are familiar with local regulations, orders and agreements that are directly related to their work.
• Timesheets and registration journals/books are not maintained.
• Personal cards are incomplete, missing or contain outdated data.
• Not all local acts from the mandatory list have been developed.
• The staffing table was not approved or outdated.

Ask any expert, consultant, specialist or head of human resources "What is HR Audit"... and you will hear a lot of opinions on this subject. You will come across both a narrow interpretation (for example, that this is an audit of personnel workflow), a functional interpretation (for example, that this is an audit human resources, but simply the assessment of personnel according to certain competencies, criteria, etc.), and a systemic understanding, which we also adhere to. This is what our article will be about.

HR audit (KA) is comprehensive assessment human resources (HR) and the system of work with them in terms of their compliance with the goals and strategy of the company, as well as identifying the causes (with an assessment of their impact and significance) of problems in the functioning of the company, with subsequent recommendations on bringing the human resource management system and / or human resources in line with business needs. The subject of QA are all components of the human resource management system (see figure)

Underhuman resource management (HRM) is understood as a specialized area of ​​activity in the company's management system, within which the personnel is considered as a strategic resource of the company, which must be formed, developed and maintained in order to achieve the company's strategic goals.

It is advisable to conduct a personnel audit if necessary:

• analyze the feasibility of investing in the HRM system and personnel
• analyze the alignment of the HRM system with the business/strategy of the company, compare the actual state of the HRM system with the required/ideal state
• receive expert assessment, an "outside view" of the HRM system
• receive an assessment of problem areas and recommendations for their resolution, improve the HRM system
• evaluate the effectiveness of the use of HR
• evaluate the effectiveness of the HRM service and the qualifications of its employees
• compare with competitors (evaluate the advantages and disadvantages)

What does a HR audit consist of?

1. Analysis of the human resource management system (HR system)

Objective: To evaluate the HRM system for compliance with the business strategy and the needs of the organization.

• audit of the goals of the HRM system - identification of the required characteristics / parameters of human resources, assessment of their compliance with business goals.
• HRM strategy - assessment of the chosen strategy (if it is available and has a common understanding), its alignment with the company's strategy, the conditions of the external and internal environment and availability of an implementation plan and cost analysis.
• HRM policies - identifying the principles (accepted limits) of working with HR and assessing their compliance with the HRM strategy and the needs of the company.
• functions/technologies/procedures of HRM - identification of actions and methods carried out to transform the human resources in accordance with the goals, strategy and policy of HRM, their regulation. Identification of specific algorithms (operations) carried out to implement the functions and implementation of HRM technologies, assess their compliance. Performance standards and performance indicators are also defined.
• subjects of HRM - definition of departments/positions that are engaged in the implementation of the processes of the HRM system

2. Analysis of available human resources

Purpose: assessment of the compliance of the structure, quantity and quality of HR with the needs of the organization's development, identification of quantitative indicators for assessing HR

• analysis of the personnel structure - identification of categories, groups of human resources and determination of the ratios between them (including the assessment of the norms of manageability and number): absolute and relative indicators
• analysis of the qualification structure for the identified categories and groups - identification of the professional, educational structure of personnel and the level of knowledge of employees
• analysis of the level of satisfaction/motivation of personnel - determination of the level of satisfaction of employees with the organization and working conditions, management system, assessment of their merits and level of remuneration.
• analysis of personnel costs, labor indicators and productivity indicators for the purpose of comparative analysis across the industry and within the company, as well as the definition of intra-company norms and assessing the impact of all these indicators on the company's performance
• personnel assessment - in terms of knowledge of functions, procedure for performing procedures, compliance with norms and rules, compliance with standards, as well as compliance of qualifications and skills with the complexity of the work performed, assessment of development potential.

3. Analysis of the distribution of functions of the HRM system, responsibility for achieving goals and compliance with the standards of the HRM system

Purpose: to analyze the distribution of HR functions and procedures between line services and the HR service

• analysis organizational structure HR services
• definition and analysis of the functions/procedures of the HRM service
• identification and analysis of HRM functions/procedures that are implemented by line divisions
• analysis of technologies and assessment of the effectiveness of the implementation (including costs) of the functions and procedures of HRM
• assessment of the effectiveness of the HRM service and the qualifications of the service employees

The main criterion for evaluating the effectiveness of implementing improvements in the work of personnel and improving the company's management system is to improve the quality of work and increase the productivity of employees in order to increase the return on investment (profit).

It is advisable to consider the analysis of the HRM system at 3 levels :

1. corporate standards of work with personnel;

2. industry standards for working with personnel;

3. intersectoral standards of work with personnel;

Improvement of the HRM system is possible through:

1. study of HRM practices in company divisions (different business divisions) in order to identify the most effective approaches to working with personnel and disseminate the best experience (implementation of corporate standards )

2. comparative analysis of the practice of working with personnel with competitors (comparison with industry standards )

Studying the practice of working with personnel in competing companies is necessary to analyze the company's competitiveness in the labor market (competitors can offer more attractive conditions work, have higher standards of work with personnel and thereby attract better resources, as well as limit the ability of the client company in terms of attracting and retaining the staff it needs).

An analysis of Russian practice has shown that so far there are no uniform standards for working with personnel in industries. Additional research is needed to clarify the practice of working with personnel. First of all, it is necessary to study the working conditions that competitors offer to potential employees (for example, through the Salary Survey)

3. analysis and comparison with the best world / inter-industry standards of work with personnel and the organization of the HRM system to improve management efficiency in general (comparison with cross-industry standards and established HRM practices )

The presented three levels of analysis of the HRM system represent the "breadth" of the personnel audit, are separate tasks for improving the HRM system and represent the logical levels of the personnel audit.

Among the methods of conducting CA, one can single out:

The cost of each block can be estimated after determining/assessing the availability and accessibility of the necessary information, as well as the required depth and accuracy of the HR audit. It will be possible beforehanddefine after introductory meetings with the heads of the company and divisions, which will help determine the quantity and scope of documentation regulating work with personnel documentation, the depth of the required analysis and the necessary methods of personnel audit.

It is possible to conduct a personnel audit according to two different schemes:

1. full audit of the HRM system

2. pre-audit of the HRM system

1. Full audit of the HRM system

An audit of the HRM system should be carried out at 3 levels: intra-company, industry, inter-sector / world standards in order to assess the possibilities for the company to apply HR practices used by the best departments within the company, the best companies in the industry, as well as those practices that are the most effective HRM tools in the world practice.

• analysis of existing information about the HRM system, personnel and entities (divisions) that implement the functions of the system. Takes place in the form of introductory meetings with leaders who are responsible for the formation and implementation of the HRM system
• identification of sources and methods for collecting the necessary missing information
• analysis of the information received on the components and levels of personnel audit
• preparation of a report on the results of the HR audit, which will contain a complete description of the HR system, its compliance with the business / strategy of the company, the correspondence of human resources to the needs of the company, the degree of implementation of the necessary functions and an assessment of the effectiveness of the HR system. In the final part there will be conclusions and recommendations for improving and transforming the HRM system, with a prioritization of the proposed activities.

In this case, the company's savings can be achieved by limiting the number of departments studied, highlighting the most priority areas for research, from the point of view of the company's management, areas of work with personnel, and also by using, if possible, indirect methods of collecting information (survey, questioning, analysis documents).

After the assessment, selection of sources of information and methods for conducting a personnel audit, a detailed program planned actions (what? for what? when? duration? alternative methods? cost?), after which the personnel audit begins.

After each individual stage of the implementation of the HR audit program and evaluation of the information received, a decision is made on the sufficiency of the information received to make the necessary management decisions and, accordingly, on the advisability of further conducting the HR audit program.

2. Pre-audit of the HRM system

With the aim of overall assessment the need to conduct and minimize the cost of HR audit work, it is proposed to conduct a preliminary analysis of the state of the HR and test the hypothesis that “the best departments have the most efficient system of working with personnel and the best resources” (a system of work with personnel can exist and function, but at the same time not be formalized, not have common standards and, accordingly, differ from department to department.) , and vice versa.

In fact, an analysis will be carried out on the second component of the proposed HR audit model at the necessary and sufficient level to make a decision on the advisability of a deeper analysis and evaluation of the existing HRM system (this, in turn, will also avoid duplication of work in the event of a transition to a “full audit of the HRM system” scheme ) - the current assessment of employees.

In this case, the general logic of work will be as follows:

• personnel statistics analysis
• express analysis of existing personnel documentation
• collection of information on the practice of working with personnel in the unit

In order to minimize the cost of work, it is possible to evaluate the performance of departments ( economic efficiency, labor productivity), their ranking and determination of the minimum required number of units in each of the categories: "best", "average", "worst". This will achieve savings in time and money.

• analysis of the received information
• preparation of a report on the identified relationship/pattern between the performance of the unit and the quality of human resources/HR practices
• analysis of the HR system in selected departments (if a clear pattern is found between the quality of HR / HR practices and the efficiency of the department as a whole) and identifying differences in HR technologies between departments
• if necessary, assessing the work (efficiency and productivity) of employees, as well as assessing the qualifications and quality of their performance of the necessary functions.
• preparation of a report on the best HR practices identified in the best divisions; conclusions and recommendations regarding their implementation in the work of other departments of the company, as well as ways to further improve the implementation of these HR practices

if necessary, preparation of a report on problem areas in work with personnel, possible ways their decisions, identifying priority areas for personnel and organizational work and the need for a deeper analysis of the HRM system

The head of each company should sometimes have a desire to audit personnel records management in order to check the quality of personnel records and documentation, the correctness of the performance of duties. Personnel audit of organizations is a series of measures to identify errors and shortcomings in the work of the personnel service. Timely implementation allows you to avoid various problems, optimize the work of this service at the enterprise.

What is a HR audit

Under the audit of personnel records management is understood the assessment of the organizational structure of the company and the personnel management system. Such control is carried out in a complex manner and gives a huge positive effect For the company. Its implementation is connected not only with the verification and analysis of all personnel documentation. The compliance of accounting with the norms of the current legislation, relevant on the day of the audit, is checked. The work of the personnel service is evaluated using analysis economic indicators company activities.

When is an inspection necessary?

Checking should be done:

• upon dismissal of an employee responsible for maintaining personnel records management and documentation. Control will allow you to find and eliminate the mistakes made and the new employee to calmly take office;
• amendments to legislative acts. Allows you to bring the documents in line with the new standards. Changes and additions must be made immediately after their entry into force;
• change in the management of the company. Will allow the new management to make sure that there are no violations in the company, and the work of the personnel department can be carried out as it was before he took office;
• preparing for upcoming audits. Allows the management of the company to be confident in compliance with labor laws in relation to employees;
• at the request of the head of the organization, check and adjust the work of the personnel service. Allows you to identify it weak sides and identify areas for improvement.

Such verification should become permanent for the company. If it is carried out twice a year or once a quarter, then it will require less effort and time, and reduce the cost. The benefits of such an audit will be greater than from a one-time personnel audit of the organization.

Checking can be done:

• the personnel department of the company. For this, a special commission is created, which includes qualified employees with experience and knowledge of labor legislation and law, office work, work with documentation. The cost of verification is minimal;
• auditors of a third-party organization engaged in the provision of HR audit services at a professional level. The cost of their work depends on the pricing policy of the company.

Order calculation

Guest auditors

In cases where the company's management has doubts about the competence of the personnel department employees or it wants to get an expert assessment of their activities, external auditors are invited. This step will allow independent evaluation and a disinterested look at the work of the personnel service. So, it will help to improve its activity.

Auditors from the outside see even the smallest flaws in the conduct of personnel records. Employees of the company, daily engaged in routine work, may not notice their own mistakes. Invited auditors will immediately detect the shortcomings and point them out.

Invited auditors have significant experience in conducting audits, filling out documents, drawing up contracts in accordance with the law. Therefore, such control will take much less time and will be performed on high level. And yes, it will cost less.

As it becomes clear, although the cost of the work of auditors is higher, such an audit is much more efficient.

Audit Methods

There are several methods for conducting a personnel audit:

• organizational and analytical - reports, documentation and labor indicators are checked. Identified errors and their timely correction will avoid liability (from penalties to criminal ones);
• socio-psychological - various surveys and conversations with employees of the organization are used. As a result, it becomes clear how great the desire of the staff to work in the company. Become understandable relationships in the team. This method will help identify real ways motivation, find effective and simple ways to improve the performance of the work team;
• economic - a variety of indicators are compared with intra-industry and generally accepted standards. Allows you to find out the effectiveness of the work of staff.

These methods are effective and of great benefit to the organization when used in combination or on their own. They help to identify problem areas and determine the method of their elimination. Comprehensively, they affect all areas that affect the efficiency and productivity of labor, the profitability of the organization.

Assistance in conducting a personnel audit

The Azbuka Accounting company provides HR audit services in Moscow and the Moscow region.

Our advantages:

• highly qualified specialists with extensive experience in conducting personnel audits, knowledge in the field of labor legislation and law, personnel records management;
• 15 years of successful work experience;
• flexible pricing policy that allows you to offer the best value;
• Individual approach to each client.

The prices of a personnel audit are purely individual, since they depend on many factors: the size of the organization, the chosen methods of verification, the state of personnel records, etc. The cost of a personnel audit is determined during a personal meeting of an ABC Accounting specialist with a client.

Use the services of professionals with extensive experience and check the effectiveness of your HR department.