REGULATIONS ON THE CERTIFICATION PROCESS AT THE ENTERPRISE download a sample for free

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1. General Provisions

1.1. This Regulation on the certification process at the enterprise establishes the procedure for conducting certification of heads of subordinate separate structural divisions and other categories of employees of the Enterprise.

1.2. The heads of subordinate separate structural divisions (hereinafter referred to as managers) include the following officials: Head of the enterprise, deputy heads, chief engineer, chief accountant and head of the planning and economic unit.

1.3. Personnel certification at an enterprise is a purposeful and continuous process of determining the qualifications of an employee, his practical skills, the business qualities of a manager and establishing their compliance or non-compliance with the position held.

What it is?

In the classical sense, certification is a confirmation of qualifications, level of knowledge and skills . As a result of passing any certification, a certificate of completion with the specified results is issued.

Certification at an enterprise (private or public) is a check of employees of organizations. Such a check allows you to examine the level of knowledge and professional skills of employees.

These indicators are of great importance, since the level of professionalism of employees directly affects the competitiveness of the company , the amount of profit received and the quality of the services provided.

In the public sector, certification is carried out on the basis of the provisions established by law and makes it possible to confirm the compliance of a civil servant with the position he holds .

What is meant by the term “traditional certification”? This is a check of the level of qualifications of employees by the manager through an interview, during which the manager identifies the employee’s level of training, the degree of his involvement in the work process, awareness of current trends, etc.

Based on the results of the interview, the manager can form his own opinion about the employee’s skill level and the presence of any problems.

Certifications of this level are ongoing and occur without interruption from the work process.

The company's management decides when and how to check its subordinates. Personnel training can be assessed on the basis of reports, tests, and other qualification tests. Any inspection should be carried out after the following points have been determined:

requirements for the qualification level of employees;
assessment methods;
sequence of procedures;
consequences of certification.

If it is discovered that the employee being tested lacks the necessary skills, the employer may decide to replace this employee with a more qualified specialist . In this case, it is important to resolve the issue in strict accordance with the law to eliminate the possibility of violation of the labor rights of dismissed employees.

Watch the video about employee certification:

Rights and responsibilities of those being certified

7.1. The certified employee must:

· attend the commission meeting in person;

· notify the commission in writing, indicating specific reasons, about the impossibility of arriving at its meeting;

· conduct an independent written assessment of your professional and professional-ethical qualities;

· pass tests;

· undergo an interview at a commission meeting;

· familiarize yourself with the contents of the certification sheet;

· implement the recommendations of the commission.

7.2. The certified employee has the right:

· no later than a month before the start of the certification, obtain information about the date, time, place of its conduct, the date of submission of the necessary documents to the commission;

· no less than two weeks before the date of certification, familiarize yourself with the materials submitted to the commission and provide the commission with missing materials that, in his opinion, may affect the results of the certification;

· at least two weeks before the date of certification, familiarize yourself with the topics of the questions of the theoretical component of the tests;

· learn about the results of certification at a commission meeting;

· Receive a copy of the certification sheet;

· appeal the commission’s decision to the head of the Enterprise no later than three working days after its meeting;

· protect your rights in court.

Legislative regulation

The main legislative act regulating the relationship between the employer and his subordinates is the Labor Code . In accordance with clause 3. Part 1 Art. 81 employees may be dismissed if it is discovered that their qualifications do not correspond to the position they occupy.

You can read about dismissal for inadequacy of the position here.

In each organization, personnel certification takes into account the direction of the enterprise’s work and certain qualification requirements for employees depending on the range of their professional responsibilities.

For this reason, it is impossible to develop a unified certification system for all organizations in the country . Each enterprise independently draws up the “Regulations on Personnel Certification”, which is a local document and has legal force within the boundaries of the given enterprise.

The provision must contain the following information:

employees subject to certification;
employees not subject to certification;
timing of the procedure;
frequency of inspections;
method of informing staff;
purposes ;
types of assessment procedures;
regulations of the certification commission ;
assessment of the audit results;
preparation of final documents ;
the procedure for individually informing employees;
deadlines for execution of results ;
ways to influence personnel;
procedure for terminating (or changing) labor relations .

Here you can download a sample of the Certification Regulations with the necessary attachments.

Legal aspects of certification in an organization

Certification is a significant legal event that is aimed at maintaining the organization’s personnel policy, as well as the professional standards of employees who occupy positions with a certain specialization. The procedure for conducting employee certification is an event regulated by labor legislation, which is accompanied by the following stages:

First of all, an order must be issued indicating the positions that are subject to certification in the organization. This is a mandatory point, otherwise the certification cannot be considered legitimate, and its results cannot become the basis for the implementation of personnel policy. This order must indicate the date and timing of the certification itself.
Notifying employees that they have been included in certification activities based on the issued order. The notification must be in writing indicating the date and duration of the event. After review, the employee must sign that he was promptly notified of the upcoming certification.
The results of the certification must be certified and attached to the personal files of the employees who participated in this event. Based on the results, the manager can decide either to promote the employee in case of excellent performance, or to fire him if these certification indicators are unsatisfactory.

Goals of the procedure

Main objectives of the audit:

Assessing the professional level of employees.
Determining suitability for a position.
Identification of existing problems.
Development of a plan for employee professional development.
Identification of professionally unsuitable personnel.

Related goals aimed at assessing a specific employee:

Determination of motivation to work.
Determination of attitude towards the position held.
Assessment of career prospects for the current position.
Assessment of involvement in the team (ability to cooperate, loyal attitude towards colleagues and management).

Related goals aimed at improving the quality of work in the organization as a whole:

Improving the climate (moral, psychological).
Improving work efficiency.
Better HR management.
Increasing the level of responsibility of employees and the level of discipline.

Who is subject to verification?

Citizens holding positions in government sectors are required to be certified . These include specialists in the following areas:

electric power industry;
shunting work, train movement (in the railway sector);
ensuring navigation safety;
work at production facilities accompanied by increased danger;
work on storage and destruction of chemical weapons;
aviation;
activities related to ionizing radiation;
librarianship;
space infrastructure;
pedagogical sphere;
management of unitary enterprises.

In other cases, the management of organizations can independently decide on the advisability of conducting personnel certification .

If a positive decision is made, it is necessary to draw up a local regulatory document - “Regulations on Certification”, which will spell out the procedure for conducting an inspection and evaluating its results.

Any employee can be subject to certification - a chief accountant, an engineer and technical specialist, and a sales consultant.

There are categories of employees who are not subject to the need to undergo universal certification at the enterprise. These include:

Employees whose work experience at this enterprise is less than 1 year. These workers did not have time to fully master professional skills and acquire the required level of skills in a short period of time. For this reason, the assessment of their suitability for the position will be biased.
Pregnant women. Art. 261 determines that pregnant women can stop working only as a result of the liquidation of an enterprise or bankruptcy of an individual entrepreneur. Dismissal of a pregnant woman, even if her qualifications do not meet the declared level, is unacceptable.
Women who have children under 3 years of age. This category of employees is protected by law from the possibility of being dismissed even if they perform their direct duties poorly.

Also, the list of employees not subject to certification may include:

internal part-time workers;
employees performing duties on the basis of fixed-term contracts lasting 1-2 years;
employees who completed advanced training or retraining less than a year ago;
employees who were appointed through competition less than a year ago.

Types of certification, frequency, timing

2.1. The Company conducts regular and extraordinary certifications.

2.1.1. The next certification of employees is a mandatory planned event and is carried out periodically by categories of employees:

— At the certification commission XXX:

· heads of the XXX management staff and management of separate structural divisions - once every year;

· specialists of the XXX management apparatus – once every two years.

— At the certification commission of services (divisions) of the Chief Engineer:

· specialists of services (divisions) and key personnel.

— At the certification commission of a separate structural unit:

· heads of the management apparatus of separate structural divisions - once every year;

· specialists of the management apparatus of separate structural divisions - once every two years;

· core personnel - once every three years.

The following are not subject to further certification:

· managers who have worked in their position for less than one year;

· pregnant women;

· managers who have worked for less than one year after leaving parental leave.

2.1.2. Extraordinary certification of managers is not a mandatory planned event. It can be carried out in the following cases:

· upon expiration of the probationary period established for the manager upon hiring;

· when appointing a manager to a higher (lower) position;

· when transferring a manager to another division of the Company;

· to identify the reasons for the unsatisfactory performance of a branch or manager;

· upon a personal written application from the manager to the commission with an appropriate proposal and an indication of the specific reasons that prompted him to make this request;

· upon a justified request from the head of the Enterprise to the commission with a proposal to conduct certification of a specific manager.

Who conducts the certification?

Certification is carried out by a special commission created on the basis of an order issued by the head of the organization. The commission usually includes:

Chairman (CEO, director, manager, etc.).
Members of the commission (deputy manager, head of the human resources department, occupational safety specialist, security officer, organization lawyer, etc.).
Secretary (this could be a secretary, a clerk, etc.).
Representative of an elected body of workers (usually a trade union ).

If the enterprise is budgetary, it is necessary to comply with departmental requirements for the commission . Thus, recently, certification of teaching staff has been carried out directly on site (in schools, kindergartens, etc.). The composition of the commission is approved by the head of the educational organization.

The order approving the composition of the commission specifies the employees subject to certification, members of the commission, and the period of the audit. The basis for issuing the order is the previously approved “Regulation on Certification”.

Regulations for the work of the certification commission at the enterprise

5.1. A meeting of the commission is held subject to the participation of at least two thirds of the composition of the commission.

5.2. Decisions of the commission are made by a simple majority of votes of those present at the meeting with a casting vote.

5.3. Voting is carried out by the commission by open voting in the absence of the person being certified.

5.4. In case of equality of votes, the decision is made in favor of the person being certified.

5.5. If a commission member is absent from a meeting for valid reasons (illness, business trip, etc.), he is replaced on the basis of an order from the head of the Enterprise to assign the duties of a commission member to another official.

5.6. The decision of the commission on each certified person is documented in the minutes of the meeting, which are signed by the members of the commission present at the meeting.

5.7. When signing the minutes of the meeting, the opinion of the commission members is expressed in the words “for” or “against”.

5.8. If the person being certified fails to appear at the meeting of the commission without good reason, the certification may be carried out in his absence, which is recorded in the minutes of the meeting. The employee is notified of the results of the certification by registered mail to his home address with acknowledgment of receipt.

5.9. A certification sheet is issued for each certified person.

5.10. In addition to assessing the performance of the person being certified, the commission has the right to make recommendations to him. She can recommend that an employee who has successfully passed the certification be included in the personnel reserve, transferred to another, more responsible position, sent for training, entrusted with mentoring, training of newly hired personnel, increased wages, etc. At the same time, the commission indicates the reasons for which the relevant recommendations are put forward.

6. Stages of certification

6.1. Certification consists of 6 stages:

· assessment of the suitability of the person being certified for the position held;

· characteristics of the person being certified by his superiors;

· study by members of the commission of all materials submitted to the commission on the person being certified;

· interview at a commission meeting with the person being certified;

· decision-making by the commission based on the results of certification, drawing up recommendations;

· familiarization of the certified person with the results of certification.

6.2. 1st stage. Assessing the suitability of the person being certified for the position held.

The 1st stage, with the exception of test tests, is carried out no later than a month before the start of certification. The names of persons participating in the assessment are determined by the personnel service and are not subject to disclosure. The secretary of the commission is responsible for carrying out this stage, who personally implements this assessment, if necessary, going on business trips to the place of permanent work of the persons participating in the assessment. By agreement with the chairman of the commission, one of the members of the commission or another official of the personnel body may be sent on business trips for this purpose. Stage 1 is carried out in the following order:

· assessment of the professional and professional-ethical qualities of the person being certified by the method of a written anonymous survey of three categories of employees (bosses, experts, subordinates) of the Enterprise (division);

· self-assessment of the certified person’s professional and professional-ethical qualities;

· tests of the certified person, including theoretical and psychological testing.

6.2.1. The assessment of professional and professional-ethical qualities is carried out by a written anonymous survey of various categories of employees of the Enterprise according to developed criteria (Appendix 3 of these Regulations). Its result is formed from three components:

The first component (assessment of superiors). Supervisors (immediate and (or) 1-3 superiors) give assessments to the certified person out of 10 points, divided into 4 groups: 9-10 - high, 7-8 - promising, 4-6 - average, 1-3 - nominal (low) . The overall average score of the assessments given by the supervisors of the person being certified is calculated (the first average score).

The second component (expert assessment). Experts (3-5 people) are the most authoritative and competent employees who are connected with the person being certified by direct professional contacts, but are not in a relationship of subordination with him, and who have the necessary personal qualities. Experts, by assigning and then summing up points, thus give their generalized quantitative characteristic (assessment) of the level of professional and professional-ethical qualities of the leader (second average score).

The third component (assessment of subordinates). The assessment is derived based on a survey of employees from among subordinates (3-5) people on the same indicators that were used by the first two categories of assessors (bosses and experts).

The overall average score is calculated based on the marks given by all three categories of evaluators (superiors, experts, subordinates) and is its result.

The procedure for filling out the questionnaires takes no more than 30 minutes.

6.2.2. An independent written assessment of one’s professional and professional-ethical qualities is carried out by the person being certified by assigning points to oneself according to the same criteria as in clause 4.2.1. of these Regulations (Appendix No. 3 of these Regulations).

The results of self-assessment (the overall average score of assessments given to oneself) do not affect the final assessment of the person being certified, but are used by the commission as analytical data for comparison with the result of the assessment of superiors, experts and subordinates.

The procedure for filling out the questionnaires takes no more than 30 minutes.

6.2.3. Tests of the manager consist of a theoretical and psychological component and are carried out no later than one day before the start of the certification. The secretary of the commission is responsible for their organization and conduct.

The first component (theoretical). Theoretical tests are compiled on the basis of a general list of questions and must ensure the testing of the employee’s knowledge regarding:

· industry specifics of the Enterprise;

· rules and regulations on labor protection and environmental safety;

· fundamentals of civil, labor, tax, banking legislation;

· fundamentals of enterprise management, financial audit and planning;

· basics of marketing;

· basics of business valuation and real estate valuation.

Every year, each service prepares 20-30 questions (with short answers to them) in its area of activity for each category of those being certified and submits them to the secretary of the commission, who forms a theoretical test from them. This test contains 50 questions. The secretary of the commission introduces the subject of the test questions to the certified person at least two weeks before the date of certification. Theoretical testing, verification of its results and familiarization with them to the certified person is carried out by the secretary of the commission, or another official of the Enterprise or a member of the commission in agreement with the chairman of the commission. The number of correct answers that determine successful completion of the test cannot be less than two-thirds of the total number. The list of questions is reviewed once a year. No more than 60 minutes are allotted for answering questions.

The second component (psychological). Psychological tests are selected by a full-time (invited) psychologist, taking into account the level of development of professionally important psychological characteristics of the person being certified. Assessing the psychological competence of the person being certified should make it possible to identify motivational aspects of activity, diagnose leading modes of behavior, identify potential capabilities, evaluate the style of his cognitive activity, type of thinking, individual typological qualities, specificity of management style, ability to plan, act and monitor execution, strategies for setting and goal achievement, contraindications to activities and the type of physiological response to stress. Direct testing should be preceded by an individual conversation between the person being certified and a psychologist. The results of psychological testing are necessarily discussed by the psychologist with the person being certified. The result of the psychologist’s work is a written report on the results of psychological testing and interviews with the person being certified. If necessary, a psychologist may be invited to a meeting of the commission as an expert. The entire procedure should not take more than 120 minutes.

6.3. 2nd stage. The characteristics of the person being certified by his superiors are drawn up in the form of a written report assessing the activities of the person being certified and submitted to the secretary of the commission no later than a month before the date of certification (Appendix No. 4 of these Regulations). The officials specified in the certification schedule are responsible for its preparation. To obtain information about the work of the certified person, they can contact any structural division of the Enterprise.

This assessment report must contain objective indicators of the professional activity (work results) of the certified manager (the area of activity he heads) for the last reporting period and in the dynamics of development. A list of indicators of the professional activity of the certified person, taking into account the characteristics of the direction he heads, is developed by officials responsible for drawing up a written report-evaluation of the activities of the certified manager.

Unscheduled (extraordinary) certification

Unscheduled certifications are carried out when there is a need to assess the professional level of employees before the next scheduled inspection. Such a need may arise for the following reasons:

repeated performance by an employee of his professional duties in an improper manner ;
systematic receipt of complaints against the employee both from colleagues and from third parties (clients, customers);
accidents at work.

In such situations, the management of the enterprise may decide to order an extraordinary inspection . If an accident occurs at work, several employees involved in the work may be subject to inspection at once.

An extraordinary inspection is carried out on the same basis as a scheduled inspection. The procedure for assessing the level of an employee must be carried out in strict accordance with the provisions of labor legislation , with the norms of the local act - “Regulations on Certification”.

If the commission decides that an employee cannot hold his position due to improper performance of his duties, disciplinary measures are taken (Article 192 of the Labor Code of the Russian Federation):

comment;
rebuke;
dismissal for appropriate reasons.

Procedure

Employees need to know how certification is carried out to be sure that their rights are not violated . Let's look at the procedure step by step.

Dates

The regulation, signed by the head of the enterprise, clearly states the frequency of inspections of this kind. For example, certification is carried out once every three years, once every 4 years. Acceptable inspection range: 1-5 years.

In addition to the frequency of inspections, their duration is also established. The beginning of the procedure is the date of publication of the order, signed by the head of the enterprise, on conducting an inspection and approving the composition of the certification commission. The end of the audit is the date of drawing up the final report on the results.

Each organization itself sets the timing of such procedures, depending on the number of employees, the composition of the commission, and the level of qualification requirements.

The optimal period, which is usually used in practice, is 3-6 months . As a rule, during this period of time it is possible to fully conduct certification of employees at any enterprise.

For organizations with a very large number of employees, it is recommended to carry out certifications in stages to meet the deadline of 3-6 months.

You can break down the certification by year, taking into account the frequency of inspections. Every year, for a set period of time (3-6 months), a portion of the personnel will be checked.

Preparation

Preparation for certification begins with the issuance of an order that approves the position. The regulations indicate all the nuances of the procedure, assessment methods, necessary documents, and deadlines.

Based on the existing situation, a certification order is issued . The order notes that a certification commission will be formed to carry out the inspection, and its composition will be determined.

Example of an order:

Notification to employees

Timely notification of employees is the employer’s responsibility , which is enshrined in the inspection regulations. Notification must be subject to the following conditions:

providing information about the timing of the inspection (minimum one month);
provision of certification schedules (at least one month);
familiarization with the characteristics presented for the employee. Compiled by the immediate supervisor (at least a week in advance).

Based on the results of the inspection, the employee has the right to receive for review copies of documents containing information about the number of points he scored and recommendations.

Example notification:

Main stages

Main stages of certification:

Preparation of the necessary materials (forms for the certification commission, in which points will be assigned to the employee, assessment sheets for colleagues, assessment sheets for immediate supervisors, self-assessment sheets).
Grade . An assessment is made of the employee’s qualifications, the degree of respect for him in the team, and his immediate supervisor’s satisfaction with his work. The assessment is aimed at identifying the feasibility of an employee’s position in a position and determining the prospects for his further development.
Registration of decisions made. Based on the results of employee certification, personnel decisions are made. For example, promotion or demotion, transfer to another department, salary increase or decrease, dismissal, etc. The decision is formalized as an order and handed over to the employee for review.

Questions for certification

The main document on the basis of which the professional level of an employee is assessed is his job description , otherwise - the professional standard. These documents always provide a complete list of qualification requirements for the employee.

The job description, as a rule, contains references to regulations at the federal level and to local regulations (internal documents of the organization).

Certification questions, which the employee will need to answer during the inspection, are drawn up based on the content of the job description. Questions can be formulated in the form of tests, questionnaires, etc.

Map and protocols

Attestation card is a document that is drawn up based on the results of an audit and contains information about the employee’s compliance/non-compliance with the position held.

The map contains the following information:

Full name of the employee, year of birth, marital status.
Position of the employee (in accordance with the staffing table).
Name of the structural unit.
The name of the educational institution from which the employee graduated (indicating the specialty and period of study).
Experience in the organization (general).
Seniority in position.
Information about taking advanced training and retraining courses.
Information about the availability of awards.
Information about penalties, if any.
Certification score determined from assessment sheets.
Comments and suggestions made by members of the commission.
Comments and suggestions expressed by the employee himself.
Evaluation of the employee by the commission (number of votes for and against).
Commission recommendations.
Signatures of the chairman, secretary, members of the commission.

Example of an attestation sheet:

Also, based on the results, a protocol is drawn up, which indicates:

Date and document number.
Information about the composition of the commission (full name and position of chairman, secretary, members of the commission).
Information on the consideration of materials obtained as a result of employee evaluation.
Conclusions drawn from the results of the materials received.
Signatures of the chairman, secretary, members of the commission.

Conclusion

The inspection regulations must clearly specify the list of documents that are drawn up based on the results of the certification.

Based on the study of the submitted materials, the commission fills out employee certification cards and draws up minutes of the meeting . These documents indicate the decision made regarding the employee by the members of the commission as a result of the vote. Based on this decision, recommendations are formed.

The commission’s decision may sound like “suitability for the position held.” In this case, the employee is assigned the right to continue working with the possibility of advancement up the career ladder.

In case of “inconsistency with the position held,” the employee is transferred to a lower position, demoted in rank, fired, etc.

There is also the wording “ conditional compliance with the position held .” In this case, the employee demonstrated that he has the required level of qualifications, although there are a number of problems that require improvement.

The commission formulates recommendations regarding such employees and sets a deadline for conducting extraordinary certification in order to verify the employee’s compliance with the established recommendations.

Based on the results of the general certification of employees, the commission draws up a report, which indicates the results of the audit: how many employees meet the positions and how many do not. The report is submitted for consideration to the head of the organization.

The manager organizes activities aimed at eliminating problems identified during the inspection and carrying out personnel changes if necessary (assigning ranks and qualifications, promotions, demotions, transfers to other structural units, dismissals, incentives, etc.).

employee review form.

Rights and responsibilities of officials participating in certification

3.1. The following officials of the structural unit participate in the preparation of meetings and implementation of decisions of the commission.

3.1.1. Rights and responsibilities of the director of XXX.

Must:

· annually approve the composition of the commission, the list of managers subject to certification, the schedule for certification of managers;

· make decisions regarding each certified manager based on the certification results.

Has the right to:

· make changes to these Regulations;

· make changes to the composition of the commission, the list of managers subject to certification, and the schedule for certification of managers.

3.1.2. Rights and obligations of deputy directors, heads of structural divisions of the Enterprise, supervising the work of those being certified, or being managers for them.

These officials are obliged to:

· get acquainted with the composition of the commission approved by the director of XXX, the lists of managers subject to certification, the schedule for certification of managers;

· personally participate in the assessment of the professional and professional-ethical qualities of the certified manager using the method of a written anonymous survey;

· take direct part in preparing a list of questions for the theoretical component of tests;

· no later than a month before the date of certification, provide the commission with a written report assessing the activities of the certified manager, indicating specific results and indicators of his work;

· at the oral request of officials taking part in the preparation of a written report-evaluation of the activities of the certified manager, provide them with objective information about his work in his area of activity;

· represent the certified manager at the commission meeting;

· participate in the work of the commission as its members or experts;

· participate in the implementation of the commission’s conclusions and recommendations for each certified manager.

These officials have the right:

· propose changes to these Regulations;

· propose changes to the composition of the commission, the list of managers subject to certification, and the schedule for certification of managers.

3.1.3. Rights and responsibilities of the Deputy Director for Human Resources.

Must:

· form and approve the composition of the commission from the director of XXX;

· draw up and approve with the director of XXX lists of managers subject to certification and the schedule for its implementation;

· exercise control over the preparation of documents necessary for the work of the commission;

· present to the director XXX the results of the manager’s certification;

· implement and monitor the findings and recommendations of the commission;

· organize explanatory work among managers about the tasks of certification and the procedure for its implementation.

Has the right to:

· involve any employee of XXX in the work of certifying the manager, and, in agreement with the director, third-party specialists and experts;

· submit proposals for changes to these Regulations to the director of XXX.

3.1.4. The rights and responsibilities of officials of certification commissions of separate structural divisions are similar.

Employee portfolio

Portfolio is a collection of systematized information that indicates the level of qualification of a specialist , his professional development in the course of his work activity and the presence of achievements.

A portfolio is a folder with files. Each file contains information about professional achievements (certificates, awards, diplomas, letters, testimonials, etc.).

All information must be documented and dated.

The documents for the portfolio may also include a review of the work of the person being certified, which is compiled by the manager and contains the following information:

Employee's full name. Position of the employee (in accordance with the staffing table).
Name of the structural unit.
Length in position.
Level of professional competence.
Attitude to work.
Performing skills, organizational skills, etc.
Leader's conclusions.