Cheat sheet on personnel document flow for the most cautious

Trends in the modern world encourage every manager to think about optimizing and automating business processes in their company. Moreover, the state also does not deprive it of “attention”: in addition to the legislative acts adopted in recent years, in 2017 the global “Strategy for the Development of the Information Society in the Russian Federation for 2017–2030” was approved, within the framework of which the “Digital Economy” program is being implemented. .

One of the activities of this program is the transition to paperless interaction between employees and employers.

In the near future, every employee will have the opportunity to sign any personnel document submitted by him or intended for him, from anywhere in the world from his gadget using an electronic signature.

In this case, before signing, multi-factor personal identification will be performed, and then secure storage of personal data will be ensured in accordance with GOST R 54989-2012/ISO/TR 18492: “Ensuring the safety of electronic documents.”

The pandemic and the experiment of the Russian Ministry of Labor are the main drivers of the transition to electronic document flow

Remote work during the pandemic has become a serious impetus for the transition to personnel electronic document management (EDF), even in those companies that had not previously thought about it. At the same time, in the spring, the second stage of the experiment of the Ministry of Labor and Social Protection of the Russian Federation on electronic personnel document management started. This experiment was the focus of many employers, as they were faced with the need to sign personnel documents with employees remotely.

From May 5, 2021, after the entry into force of Federal Law No. 122-FZ of April 24, 2021, every company has the opportunity to completely legally abandon paper documents. More than 380 companies that have applied to participate in the experiment have already taken advantage of this opportunity.

This surge of interest is explained by the fact that the state is carrying out a consistent digital transformation of all spheres of public life, including social and labor relations. The receipt of most government services has been transferred to digital format. Electronic sick leave certificates have already been implemented. From January 1, 2021, only electronic work books will be issued to employees starting work for the first time. Increasingly, when conducting inspections, regulatory authorities request documents in electronic form and do not work with paper ones. Therefore, the transition to electronic document management in the personnel sector is not a matter of the near future, but a current reality.

In addition, companies have additional motivation. Firstly, participation in the experiment will allow us to restructure the work of the personnel function and be prepared for legislative changes that are expected next year. Secondly, this is an opportunity to work closely with the working group of the Ministry of Labor and take part in the formation of legislative changes to labor legislation in the coming years. The experiment will end on March 31, 2021, and until that moment the Russian Ministry of Labor intends to summarize the results and share further plans and legislative initiatives

Is it profitable to convert HR document flow into electronic form?

Fig. 1 Benefits of electronic personnel document management
Maintaining digital document management in terms of personnel records and management makes it possible not only to control employees, but also to obtain the following benefits:

• reduction of employee labor costs;
• the ability to sign documents by employees who are not in the office;
• acceleration of the processes of approval and signing of personnel documents;
• the ability to build a process for monitoring personnel records management;
• transparency of personnel document flow;
• documentation security guarantees;
• acceleration of reporting to government authorities;
• no need to store large amounts of paper;
• reducing costs for paper and office equipment, which is considered a more environmentally friendly option;
• when using an electronic digital signature (enhanced by a certificate), reducing the risk of document forgery;
• availability of quick access to any necessary documentation;
• efficiency of reporting to government agencies.

Our company’s specialists have real experience in projects of transition to electronic personnel document management, and have also developed a number of solutions, which we will discuss below, to simplify this process.

Necessary legislative changes on KEDO

Today, there are a number of issues that are not adequately regulated by law, which is one of the stopping factors when businesses decide to switch to EDI. Let us highlight the most significant issues for business.

1. The cost of an electronic signature, which can vary from 500 to 5000 rubles. per year per employee, depending on the type. This is especially true for large companies with high staff turnover. The legislator is considering the possibility of establishing the cost of issuing an electronic signature at the level of the Government of the Russian Federation or providing a signature free of charge.

2. Lack of a ready-made, inexpensive or free solution that allows you to exchange documents with employees and sign them. The Ministry of Labor also considers the “Work in Russia” portal as a single platform for signing and storing signed documents.

3. Lack of the right to draw up a number of personnel documents in electronic form and fear of undergoing inspections by government agencies. The legislator is preparing amendments to labor legislation that will allow for the preparation of electronic personnel documents; a number of them will come into force in 2021.

In addition, the issues of storing electronic documents have not been regulated: requirements for the place where they should be stored or where they will be uploaded, as well as the storage periods for electronic documents (do they coincide with the storage periods for paper documents) - this also needs to be spelled out in legislation.

The issue of recognizing the legitimacy of a signature after converting a signed document into another format has not yet been resolved.

What internal documents are drawn up for HR EDI?

The implementation of HR EDI must be recorded in the employer’s local documentation.

First, you need to issue an internal document on personnel electronic document management, for example, a regulation on electronic document management or an addition to the collective agreement. It specifies which documents will be drawn up electronically, what type of digital signature will be used to sign, and how employees will familiarize themselves with electronic documents.

Secondly, it is necessary to develop and approve a form of agreement with employees on the use of digital signatures. This document indicates how the person signing the document is determined, as well as how digital signatures are used, what responsibilities the employee and employer have regarding maintaining the confidentiality of the signature.

How to reduce the cost of implementing EDC

The main costs when implementing EDI are the costs of two elements: the implementation of an electronic document management system and the cost of electronic signatures, as mentioned above. Let's look at how you can reduce overall costs.

The cost of implementing an EDI system can average from 2 to 10 million rubles. depending on the functionality of the system. You can save money by choosing packaged solutions with a ready-made methodology and adapting your processes to them. As a rule, a company implements a comprehensive EDI system - not only for personnel document flow, but also for accounting document flow, contract management, etc. When deciding on choosing a system, you need to agree within the company with all interested departments, and then allocate a budget for this project.

The costs of electronic signatures are currently significant. Today, the safest type of signature is an enhanced qualified electronic signature (ECES) - costs 3,000–5,000 rubles. per employee. It is clear that with a large number of employees who need such a signature, this is a rather expensive tool for the company. Therefore, the UKEP must be purchased by the company representative authorized to sign documents, and, just in case, by the person replacing him during his absence. To sign most standard personnel documents, employees can use an enhanced non-qualified electronic signature.

Preparation of organizational and administrative documents

Unified forms of some organizational and administrative documents were approved by Decree of the State Statistics Committee of Russia dated January 5, 2004 No. 1.

An organization may, at its own discretion:

• use a unified document form if this is approved by the head of the organization in the order on accounting policies;

• apply an independently developed form approved by the head (provided that it contains all the necessary details provided for in Part 2 of Article 9 of the Law of December 6, 2011 No. 402-FZ).

This procedure follows from Part 4 of Article 9 of the Law of December 6, 2011 No. 402-FZ and is confirmed by the letter of Rostrud of February 14, 2013 No. PG/1487-6-1.

Organize your work with organizational and administrative documents according to the following scheme: project preparation, approval, revision, approval, signing (approval) by the manager, transfer to responsible employees for execution. This is stated in paragraph 3.1.1 of the State Budgetary Educational Institution, approved by order of the Main Archive of the USSR dated May 25, 1988 No. 33.

Situation: which orders relate to orders for personnel, and which – to orders for core activities?

Orders for personnel include orders that document labor relations - hiring, transfer, relocation, dismissal, vacations, business trips, etc.

Documents on personnel created before 2003 are stored:

• in state bodies, local government bodies and organizations that act as sources of acquisition of state and municipal archives with archival documents - for 75 years from the date of creation with an examination of the value of the documents after the expiration of the specified storage period;

• in state and municipal archives that receive documents on the personnel of liquidated state bodies, local governments, state, municipal and non-governmental organizations - from the date of receipt until the expiration of 75 years from the date of creation with an examination of the value of the documents after the expiration of the specified storage period ;

• in other organizations - at least 75 years from the date of creation.

Documents on personnel created since 2003 are stored:

• in state bodies, local government bodies and organizations that act as sources of acquisition of state and municipal archives with archival documents - within 50 years from the date of creation, with an examination of the value of the documents after the expiration of the specified storage period;

• in state and municipal archives that receive documents on the personnel of liquidated state bodies, local governments, state, municipal and non-governmental organizations - from the date of receipt until the expiration of 50 years from the date of creation with an examination of the value of the documents after the expiration of the specified storage period ;

• in other organizations - at least 50 years from the date of creation.

These are the requirements of Article 22.1 of the Law of October 22, 2004 No. 125-FZ.

An exception is provided for orders on disciplinary sanctions, provision of regular and educational leaves, duty, short-term domestic and foreign business trips. The storage period for such documents is five years. This is stated in article 19 of the list approved by order of the Ministry of Culture of Russia dated August 25, 2010 No. 558.

Refer to the remaining orders as orders for core activities. They must be kept in the organization permanently until its liquidation. This is stated in article 19 of the list approved by order of the Ministry of Culture of Russia dated August 25, 2010 No. 558.

Where to start for companies planning to switch to EDC

I would like to highlight five key steps that companies just planning to switch to EDC need to take.

1. Accept that there will be changes and prepare for them.

2. Make a plan of which processes should be converted into electronic form first. To do this, you need to identify those processes on which the company spends the most resources and transfer them to EDI first.

3. Understand how ready the company is to switch to EDI. What does it mean? Many companies have so-called historical processes that need to be optimized. It is necessary to create a target reference process for each of them, which will be replicated across all divisions of the company. This will seriously help when setting up the functionality of the future EDI system.

4. It makes sense to familiarize yourself with the most popular systems on the market and formulate criteria and requirements that are important for your company. Compare the budget and the proposed solutions, turn to the experience of companies that have already switched to EDC.

5. Make a methodological and legal “binding” - in accordance with the requirements of the law, prepare internal documents that will protect you in the future, for example, a provision that clearly states the EDC: the procedure for exchanging documents, issuing and using electronic signatures, the systems used, the procedure for storing and destruction of documents, etc.

In general, in order to justify the costs of implementing EDI, management needs to show what the real cost of the function is now and how much it will cost after the implementation of EDI. When assessing the cost of a function, it makes sense to take into account not only the obvious costs of paper and printers, but also the time spent by all participants in the process - from employee to manager - for printing, approval, filing, logistics and storage of these documents. Quick access and ease of searching for documents in electronic form is another advantage of electronic documents.

Let’s say that the cost of maintaining the HR function today is five units, the cost of implementing an EDI system will be 20 units, but as a result of implementing the EDI function, the function will cost one unit. At the same time, the payback period for the implementation of the system will be one and a half years. It is very important for management to clearly see what savings the implementation of the EDI system will bring.

Legal regulation of requirements for information systems with electronic document management

The transfer of personnel document management into electronic form is noticeably different from the implementation of conventional electronic document management information systems (EDMS), which do not affect personnel records management.

The most important thing is that personnel EDMS are subject to Federal Law No. 152-FZ of July 27, 2006 “On Personal Data,” which establishes requirements for the personal data operator (PD) and its information systems. Detailed requirements for information systems containing personal data are specified in the document approved by Decree of the Government of the Russian Federation of November 1, 2012 N 1119 “On approval of requirements for the protection of personal data during their processing in personal data information systems” (hereinafter referred to as the Requirements). The most significant thing in this area is the legislator’s requirements for mandatory measures to protect personal data.

When reading this document, you should pay special attention to the fact that, in accordance with clause 6 of the Requirements, threats to the information security of personal data for personnel EDMS in the vast majority of organizations can be classified as threats of at least type 1 (undeclared capabilities of system software) and Type 2 (undeclared capabilities of application software).

Paragraphs 8-11 of these Requirements describe 4 levels of information system security, while for most organizations that process personal data only of their employees and do not handle personal data of third parties, the Requirements indicate the need to ensure the 2nd level of information system security.

In accordance with clause 15 of the Requirements, the organization operator of personal data, in order to achieve the 2nd level of information system security, must:

Organize a security regime for the premises in which the information system is located, preventing the possibility of uncontrolled entry or stay in these premises by persons who do not have the right to be there;

Ensure the safety of personal data carriers;

Ensure that the head of the operator approves a document defining the list of persons whose access to personal data processed in the information system is necessary for them to perform their official (labor) duties;

Ensure the use of information security tools that have been assessed for compliance with the requirements of the legislation of the Russian Federation in the field of information security, in cases where the use of such means is necessary to neutralize current threats;

Appoint an official (employee) responsible for ensuring the security of personal data in the information system;

Make sure that access to the contents of the electronic message log of the information system is available only to officials (employees) of the operator or an authorized person who needs the information contained in the specified log to perform their official (job) duties.

All personnel EDMS must undergo an audit at least once every 3 years for compliance with the requirements of Federal Law dated July 27, 2006 N 152-FZ “On Personal Data”, and this control can be carried out by the organization either independently or with the involvement of legal entities on a contractual basis. persons/individual entrepreneurs who have a license to carry out activities for the technical protection of confidential information (clause 17 of the Decree of the Government of the Russian Federation of November 1, 2012 N 1119 “On approval of requirements for the protection of personal data during their processing in personal data information systems”). Such licenses are issued by the FSB of the Russian Federation in accordance with Decree of the Government of the Russian Federation dated February 3, 2012 N 79 “On licensing activities for the technical protection of confidential information.”

Our information. The authorized federal bodies regulating activities in the field of personal data processing are:

Roskomnadzor (Federal Service for Supervision of Communications, Information Technologies and Mass Communications) - exercises control and supervision over the compliance of the processing of personal data with legal requirements.

FSTEC of Russia (Federal Service for Technical and Export Control) - establishes methods and means of protecting information in information systems within the limits of its powers.

FSB of the Russian Federation (Federal Security Service of the Russian Federation) - establishes methods and means of protecting information in information systems within the limits of its powers (regulates the scope of use of cryptographic means).

It should be taken into account that the official of the organization responsible for ensuring the security of personal data must have the appropriate qualifications, therefore, when determining the requirements for this employee, one must focus on Decree of the Government of the Russian Federation N 1119 and Order of the FSTEC of Russia dated 02.18.2013 N 21 “On approval of the composition and content of organizational and technical measures to ensure the security of personal data during their processing in personal data information systems.”

It is recommended to include in the job requirements set out in the job description relevant provisions, for example, the need to take advanced training courses on the topic “Personal Data Protection” lasting at least 72 hours at a licensed training center or have a specialized higher education in the field of information security.

Perhaps your organization has a department whose responsibilities include protecting information or protecting trade secrets. And within such a department, most likely, there is already an employee whose qualifications allow him to ensure compliance with the requirements of the Law “On Personal Data” and receive positive conclusions based on the results of inspections by regulatory authorities.

The near future: all employee data is only in digital form

In conclusion, it is important to briefly highlight the digital development plans approved at the state level, which will affect the work of both business as a whole and the human resources community in the near future. In our country there is a National Program “Digital Economy of the Russian Federation”, within the framework of which it is planned to develop digital services in all areas. This program provides for the transition from electronic work books to personal development trajectories.

What does this mean? During the student’s learning process, the profile of his competencies will be filled out: records will be made about the disciplines mastered during his studies at universities and confirmed competencies. As a result, a personal file of the future employee will be generated, which will store all the information about his professional skills. When hired, the employee provides the employer with access to his personal file, and it is supplemented with a record of the position, place of work, then a list of functions, the results of a professional assessment, etc. When moving to another place of work, the employee will provide access to his personal record to the new employer.

In this way, a complete digital trace of the employee’s professional path will be formed. According to my estimate, this project could be operational by 2025, and will begin to be actively implemented in 2021–2022. Thus, electronic digital services will become an integral part of the work of personnel services, which means that it is necessary to prepare for this today. This means HR leaders must understand that they will either prepare for the digital future or remain in the past and not be needed by employers.

Types of documents

In practice, the documents that the personnel department works with can be divided into three groups:

• organizational;

• administrative (orders on core activities and personnel, orders, instructions, decisions);

• information and reference.

The HR service carries out office work by preparing projects, coordinating and issuing organizational, administrative and information and reference documents, their registration, accounting and storage. A to-do list can be used as a tool to accomplish this task.

Organizational and administrative documents are internal documents of the organization.

Outgoing documents

When requests are received by the HR department (for example, to document information about an employee), work on them is carried out according to the following scheme:

• the contractor receives the request and prepares a draft response;

• the draft response is sent for consideration to the manager, and then for approval by interested parties;

• the performer refines the project based on comments and prepares it in its final form;

• interested parties endorse the response, and the manager signs it;

• the response is sent for sending.

The same scheme (excluding the first procedure) applies to the preparation of initiative documents - requests, notifications, requests, applications, letters of guarantee, etc.

Before sending the document you need:

• check the availability of the address (or all addresses, if this is a mailing list);

• check the availability of the required number of copies;

• specify the form of delivery (mail, e-mail, courier, etc.).

Return incomplete and incorrectly completed documents to the contractor for revision.

This procedure for processing outgoing documents is provided for in paragraph 3.1.2 of the State Budgetary Educational Institution, approved by order of the Main Archive of the USSR dated May 25, 1988 No. 33.

Work with internal documents according to the same scheme as work with outgoing documents: draft preparation, approval, revision, approval, signing (approval) by the manager. Just at the end of the procedure, do not send the document from the organization, but hand it over to the responsible employees for execution. This is stated in paragraphs 3.1.1 and 3.1.3 of the State Budgetary Educational Institution, approved by order of the Main Archive of the USSR dated May 25, 1988 No. 33.

Accounting for information and reference documents

Keep records of incoming and outgoing information and reference documentation in the personnel service in the incoming and outgoing correspondence logs. A specially authorized HR employee (secretary, clerk) can process incoming correspondence.

Documents can be received by the organization by mail, fax, e-mail, telegraph, or by courier delivery. Work with incoming documents is structured according to the following scheme:

• reception;

• sorting;

• management review;

• direction to performers.

Incoming documents

First, check the correct delivery and integrity of the packaging (if it is a postal item). Then open the envelopes and check that the attachments are complete. If any attachments should be in the inventory, but they are missing, please notify the sender. On incoming documents, indicate the date of receipt and the serial account number. Then sort the documents by executor. Documents addressed to the head of the organization or the organization itself must be transferred to the secretary of the head, who registers them. Documents addressed to structural units are collected and registered by unit secretaries.

Documents marked “personally” are not opened and are immediately transferred to the addressee.

This procedure for processing incoming documents is provided for in paragraph 3.1.1 of the State Budgetary Educational Institution, approved by order of the Main Archive of the USSR dated May 25, 1988 No. 33.

Situation: should the envelopes be destroyed or should they be filed along with the letters?

There is no need to save envelopes and file them together with letters, except in cases where:

• the attached document does not contain the sender's return address or surname;

• it is necessary to save the postmark in order to later confirm the date of receipt of the document;

• the envelope is not marked “personally”, and the enclosed document is of a personal nature;

• Received correspondence requires additional payment.

This is stated in paragraph 3.1.1.1 of the State Budgetary Educational Institution, approved by order of the Main Archive of the USSR dated May 25, 1988 No. 33.

Organization details have changed

If the name of the organization has changed, then the personnel service needs to include this in the documents. Conventionally, four stages can be distinguished.

The first stage is to conclude an additional agreement to employment contracts with employees. The name is indicated in employment contracts, so if it has changed, then this must be reflected in the employment contract (Parts 1 and 3 of Article 57 of the Labor Code of the Russian Federation).

Second , make an entry in your work books. To do this, in column 3 of the “Work Information” section, indicate the renaming entry, for example: “Limited Liability Company “Alfa” (LLC “Alfa”) was renamed to Limited Liability Company “Torgovaya” (LLC “Torgovaya”) from 09.21.2015.” . And in column 4, enter the date and number of the order (instruction) on the basis of which the organization was renamed. This is stated in paragraph 3.2 of the Instruction, approved by Resolution of the Ministry of Labor of Russia dated October 10, 2003 No. 69.

Third - add a new name to the templates (forms) of personnel documents (clause 4.7 of GOST R 6.30-2003, approved by Decree of the State Standard of Russia of March 3, 2003 No. 65-st).

And finally, fourth : update the HR service seal imprint (if available).

Proceed similarly when changing other details. For example, if the address of the organization has changed, then you will only have to conclude additional agreements to employment contracts and change the forms of personnel documents (steps 1 and 3). And if the organization’s bank details have changed, then you will only need to go through the first stage.