Types of git checks. Rating of violations of labor laws according to GIT inspections. Grounds for inspection by the labor inspectorate

All checks that may occur in the life of an organization are regulated by the Federal Law “On the protection of the rights of legal entities and individual entrepreneurs in the implementation of state control(supervision) and municipal control.” The federal law has changed the provisions that relate to the procedure for conducting inspections of the State Tax Inspectorate.

The most significant can be considered the transition to a risk-based approach, when the regularity of scheduled inspections will depend on the risk category assigned to the company. A total of five categories have been identified; the frequency of inspections ranges from once every two years for the high-risk category, to once every six years for those classified as moderate risk. Organizations that are lucky enough to fall into the low-risk category will not be audited.

The second important innovation is the limitation of the list of documents by which the inspector has the right to check the employer. List of legal acts containing mandatory requirements, compliance with which is assessed when carrying out activities for federal state supervision of compliance labor legislation and other regulatory legal acts containing norms labor law, approved by Order of Rostrud dated December 30, 2016 No. 538. The list is posted on the Rostrud website. It is quite voluminous, there are a lot of documents. Nevertheless, this innovation is more of a plus than a minus: if the inspector begins to demand something that goes beyond the scope of the listed documents, the head of the organization can protest this requirement. In addition, the presence of such a list allows the personnel officer to check himself and prepare for the audit in advance.

And the third change approved by the Law is checklists. Checklists (checklists) for the implementation of federal state supervision over compliance with labor legislation and other regulatory legal acts containing labor law norms are approved by Order of the Federal Service for Labor and Employment of November 10, 2017 No. 655. The State Labor Inspectorate, in an effort to reduce labor costs , developed an online questionnaire that initial stage allows you to identify violators. The service officially launched on January 1, 2018, and now you can test yourself.

In general, when interacting with the State Tax Inspectorate, an employer should rely on several basic documents:

Is everything going according to plan, or what kind of test awaits you?

Depending on the goals, the state labor inspectorate conducts scheduled and unscheduled inspections.

The schedule of scheduled inspections is approved on the eve of the New Year jointly by the prosecutor’s office and the State Inspectorate. The schedule is posted on the departments’ websites and can be viewed at any time. The State Inspectorate is obliged to additionally notify the employer of its visit three days in advance. Previously, notifications were sent by regular mail, but now they are most often sent by email.

The employer must learn about an unscheduled inspection visit no later than 24 hours in advance. In some cases, the Labor Code of the Russian Federation allows not to coordinate the departure of inspectors with the prosecutor's office and not to warn the organization being inspected (Article of the Labor Code of the Russian Federation). This applies to inspections initiated based on employee complaints, for example, non-payment or incomplete payment wages. This assumption echoes Federal Law, which tightened penalties for violations in the field of wages.

The State Duma is currently considering a draft of another law, which will give the right to unscheduled inspections on issues related to the execution of employment contracts when civil contracts have been concluded instead of labor contracts.

Types of unscheduled inspections:

1. Documentary checks are most often carried out based on an employee’s complaint. GIT does not go to the site, but requests certain documents, the organization provides them in the form of certified copies.

Important! The inspector does not have the right to request documents that he can obtain independently through other state or municipal control bodies.

1. On-site inspections are carried out in cases where it is impossible to verify compliance with labor law only through documents, for example, to assess the real condition of the territory, buildings, equipment, and the presence of personal protective equipment.
2. Comprehensive inspections are the worst for HR officers, because the State Labor Inspectorate inspects everything: compliance with labor laws, local regulations, personnel documentation and occupational safety measures.
3. Targeted checks. The reason for them is complaints from workers about violations of their labor rights. It’s easy to leave a request now: the Onlineinspektsiya.rf portal provides an online form through which you can report the problem directly. A targeted inspection is carried out strictly within the scope of the complaint; the inspector cannot request information on other issues.
4. Thematic checks. The reason for such a visit is also a complaint from an employee, but there are differences. If the author of the appeal does not want the employer to know his name, he has the right to indicate this (Article of the Labor Code of the Russian Federation). In this case, the GIT inspector checks the facts of violation of labor legislation not for a specific person, but examines the problem area as a whole for the organization or division.

Let's remember our responsibilities, don't forget our rights

When arriving at the employer’s office, the inspector must present an identification card and an order indicating the basis for the inspection.

What can an inspector study? We will tell you more about the objects of inspections and the most common violations in the following material. Here we will only list the main objects that may be of interest to the inspector. These are local regulations (Internal Rules labor regulations, instructions on labor protection, Regulations on the protection of personal data, etc.), personnel documents (personal files, work books, orders, etc.), accounting documents that relate to payments and deductions from the employee’s wages, as well as documentation related to the special assessment of working conditions.

Important! The inspector has the right to demand only documents related to the subject of the inspection, for example, on the issues specified in the employee’s complaint.

The employer must provide the inspector with all requested documents and not interfere with their examination. Responsibilities of the employer during inspection (Federal Law of December 26, 2008 No. 294-FZ):

• organizations are obliged to ensure the presence of managers, other officials or authorized representatives of legal entities; individual entrepreneurs are required to be present in person or ensure the presence of authorized representatives;
• organizations (their managers, other officials or authorized representatives), individual entrepreneurs (their authorized representatives) who violated the Federal Law, unreasonably interfered with or evaded inspections, did not comply with the instructions of state control (supervision) bodies within the prescribed period, are liable in in accordance with the legislation of the Russian Federation.

A visit by representatives of state control is an unpleasant event, and employers often forget that they also have rights (Federal Law No. 294-FZ of December 26, 2008):

• be present during the inspection;
• give explanations on inspection issues;
• receive inspection information from the state control body;
• get acquainted with the results of the inspection;
• indicate in the inspection report your agreement or disagreement with the results of the inspection - this must be done immediately after the inspection is completed;
• appeal against the actions (inaction) of officials of control bodies that resulted in a violation of the rights of the employer - you can complain to a superior inspector or in court;
• demand compensation for damage caused during the inspection.

Based on the results of the inspection, the head of the organization will receive on receipt:

1. Checking act. This document is not subject to appeal, however, in case of disagreement, the employer can raise its objections within 15 days.
2. Protocol on administrative violation. It also cannot be appealed, but errors in its preparation will allow the employer to cancel the decision to impose an administrative penalty. If the head of the organization does not agree with the violations indicated in the protocol, he has the right to give explanations and comments in order to subsequently appeal the decision to impose an administrative penalty.
3. Order to eliminate violations. For each point of the order there must be links to specific articles and paragraphs of regulatory legal acts whose requirements have been violated. Subject to mandatory execution. The order can be appealed within 15 days to a higher official of the State Tax Inspectorate or within 10 days in court.
4. Resolution on imposing an administrative penalty. It is compiled by the state labor inspector based on the protocol compiled and other materials of the case. Term - no later than 1 year from the moment when the offense was discovered (for ongoing offenses) or committed.

Do not forget that sometimes the State Labor Inspectorate goes beyond its competence and begins to check third-party problems: issues that constitute the content of labor disputes (for example, about involving an employee in disciplinary liability), issues of discrimination, compensation moral damage etc. This means that employers have the right to challenge the decisions of the State Tax Inspectorate. And today in judicial practice There are many cases where courts overturn the results of an inspection because inspectors have exceeded their powers.

What does the labor inspectorate check when scheduled inspection, we will describe in detail in this material, and also explain how the GIT inspection plan is formed, where to read it and what powers the inspectors have.

Regulatory regulation of scheduled inspections of the labor inspectorate

The legal basis for conducting inspections by the State Labor Inspectorate is contained in the following regulations:

• convention International organization Labor “On Labor Inspection...” dated July 11, 1947 No. 81 (hereinafter referred to as the ILO Convention);
• Chapter 57 of the Labor Code of the Russian Federation (hereinafter referred to as the Labor Code of the Russian Federation);
• Law “On the Protection of Rights...” dated December 26, 2008 No. 294-FZ (hereinafter referred to as Law 294-FZ);
• Regulations on supervision of compliance with labor legislation, approved. Decree of the Government of the Russian Federation dated September 1, 2012 No. 875 (hereinafter referred to as the Regulations);
• Administrative regulations for the performance by the State Labor Inspectorate of the function of supervising compliance with labor legislation, approved. by order of the Ministry of Labor dated October 30, 2012 No. 354n (hereinafter referred to as the Regulations);
• Methodological recommendations for planning GIT in the constituent entities of the Russian Federation of activities to supervise compliance with labor legislation, approved. by order of Rostrud dated October 28, 2010 No. 455 (hereinafter referred to as the Methodological Recommendations).

What does the State Tax Inspectorate check during a routine inspection?

The supervisory activities of the labor inspectorate are aimed at detecting any violations of labor legislation and bringing those responsible for them to justice. For this purpose, the law specifically provides for such a form of supervision as conducting scheduled and unscheduled inspections (Article 356 of the Labor Code of the Russian Federation).

Methodological recommendations (subclause 2.6, clause 2) highlight comprehensive and thematic scheduled inspections of GIT. The subject of the first is compliance with labor legislation in general (for the main institutions of labor law). Thematic checks may concern a specific aspect labor relations, For example:

• their proper registration;
• wages;
• concluding a collective agreement;
• working time and rest time;
• providing guarantees and compensation;
• provision of personal protective equipment;
• registration and investigation of industrial accidents;
• respect for women's labor rights, etc.

In practice, the plans indicate “compliance with labor and labor protection legislation” as the purpose of the inspection. It is hardly possible to predict in advance what exactly inspectors will be interested in.

The State Tax Inspectorate also has the right to verify compliance with orders to eliminate violations and take measures to prevent them, issued based on the results of previously conducted inspections.

The employer's compliance with the terms of local regulations (LNA), collective and labor agreements is not directly included in the subject of GIT inspections. But the obligation to fulfill them is established in Part 2 of Art. 22 Labor Code of the Russian Federation. Therefore, checks are carried out in this part as well.

How to find out when there will be a scheduled GIT inspection in 2018?

How to find out when the labor inspectorate will check? You can do this in 2 ways:

• Firstly, labor inspectorates in the constituent entities of the Russian Federation are required to publish plans on the official website on the Internet (Part 5, Article 9 of Law 294-FZ). Typically the plan is posted as an Excel file. Among other information, the month the inspection began is indicated. The placement period is until December 1 of the year preceding the year of inspection (clause 40 of the Regulations).
• Secondly, before December 31 of each year, information about inspections for the next year is included in a single consolidated plan for inspections of business entities (Part 7, Article 9 of Law 294-FZ).

On the website of the Prosecutor General's Office of the Russian Federation there is a service that allows you to find out whether there are inspections planned for an enterprise (and not only from the State Tax Inspectorate). To do this, it is enough to enter at least the TIN of the organization or entrepreneur. The result will show:

• inspection bodies;
• subject of inspection;
• month the inspection began;
• period of verification activities.

It is impossible to know the specific start date of the inspection in advance. However, according to Part 12 of Art. 9 of Law 294-FZ, the enterprise is notified of the start of control measures no later than 3 working days before the start by sending a copy of the relevant order.

Frequency of planned control by labor inspectorate

Previously, GIT inspections were carried out no more often than once every 3 years. Since February 2017, a risk-based approach has been applied to labor supervision (clause 17 of the Regulations). Inspection plans for 2018 were developed taking this approach into account.

The essence of the approach is that all organizations and entrepreneurs are assigned a certain risk category. The procedure for its assignment is regulated by the Rules, approved. Decree of the Government of the Russian Federation dated August 17, 2016 No. 806. Depending on the risk category, the frequency of inspections is established:

• high - once every 2 years;
• significant - once every 3 years;
• average - once every 5 years;
• moderate - once every 6 years.

IMPORTANT! Scheduled inspections of low-risk enterprises are not carried out. If a risk category has not been assigned, the enterprise is considered to have low risk.

Information about companies with the first two risk categories is published on the official website of the Federal Service for Labor and Employment. In addition, any enterprise can find out its risk category by written request to the State Labor Inspectorate. The response is sent within 15 working days from the date of receipt of the request. It is possible to submit an application to change the risk category.

For enterprises operating in the fields of healthcare, electricity, education and some others, special inspection periods are established, regardless of the risk category (see Part 9, Article 26.1 of Law 294-FZ; List approved by Decree of the Government of the Russian Federation dated November 23. 2009 No. 944). They can be checked even more often than once every 2 years.

Principles for forming a GIT inspection plan

An exhaustive list of grounds for conducting scheduled inspections by the labor inspectorate is established in Part 8 of Art. 9 of Law 294-FZ. They are the expiration of the above deadlines from the date:

• Registration of an organization or entrepreneur.
• The end of the previous scheduled inspection.
• Start of running a certain type of enterprise entrepreneurial activity.

In the event of unfounded inspections, the following consequences simultaneously occur:

• their results are invalid;
• guilty officials are subject to administrative liability under Art. 19.6.1 Code of Administrative Offenses of the Russian Federation.

In accordance with Art. 26.1 of Law 294-FZ, scheduled inspections are not carried out in relation to small businesses until the end of 2018. There are 2 exceptions:

1. Companies for which special inspection periods have been established (we mentioned them earlier).
2. Enterprises that, based on the results of a previous scheduled inspection carried out over the previous 3 years, were held administratively liable for gross violations legislation or suffered punishment in the form of suspension/revocation of a license, disqualification, or suspension of activities.

Small businesses unreasonably included in the inspection plan have the right to apply for exclusion from this plan.

Let us note that the presence of grounds for a scheduled inspection does not mean that the company will certainly be included in the plan. And if it is not included in the approved plan, then its inclusion there in the future is not allowed. The exhaustive grounds for adjusting the plan are contained in clause 41 of the Regulations. They only concern exclusions from the plan and changes in information about those being audited.

Powers of inspectors during inspections

The rights of state labor inspectors are enshrined in Art. 357 Labor Code of the Russian Federation. So, as part of the check they can:

• at any time of the day, freely visit the territory of any employers (including individuals);
• request documents, explanations and other information from employers;
• select samples of processed and used substances and materials for analysis, etc.

In addition, on the basis of Art. 12 of the ILO Convention, GIT inspectors can ask questions directly to the enterprise personnel.

At the same time, inspectors must strictly comply with the requirements of the law (Article 358 of the Labor Code of the Russian Federation). The employer needs to examine what responsibilities and limitations are imposed on inspectors. In case of violations, their actions should be appealed. Thus, inspectors can enter the employer’s territory only upon presentation of their official identification and an inspection order (clause 47 of the Regulations).

Restrictions for inspectors are set in Art. 15 of Law 294-FZ. For example, it is prohibited:

• carry out an inspection in the absence of the head of the enterprise, entrepreneur, other official or their authorized representatives;
• request information not related to the subject of the inspection;
• disseminate information obtained during the inspection that constitutes a secret protected by law;
• offer to pay for control activities;
• require information before the inspection begins, etc.

Unreasonably obstructing inspectors or evading an inspection threatens the employer with fines under Part 1 of Art. 19.4 and/or art. 19.7 Code of Administrative Offenses of the Russian Federation.

What documents may the State Tax Inspectorate require?

Representatives of the labor inspectorate have the right to demand from the employer any documents related to the subject of the inspection. Among them:

1. Charter of the organization, certificates of registration and registration with the tax office, regulations on the branch, etc.
2. Personnel documents: labor and collective agreements, work books, orders, staffing tables, time sheets, etc.
3. Local regulations: on wages, on personal data, business trips, internal labor regulations, on labor protection, etc.
4. Accounting documents relating to the calculation and payment of wages: pay slips, personal accounts, pay slips, etc.
5. Logs of safety briefings, accident records, etc.

IMPORTANT! Inspectors do not have the right to request information that they can obtain as part of interdepartmental interaction: information from the Unified State Register of Legal Entities, Unified State Register of Individual Entrepreneurs, Unified State Register of Entities, data on the status of settlements for insurance premiums, etc. (Clause 8 of Article 15 of Law No. 294-FZ, p. 51.1 of the Regulations).

The law does not establish restrictions on the period for which the inspection is carried out. However, it is possible that the storage period for the documents has expired and they have been destroyed. Then the employer may not provide these documents by sending written explanations about the reasons for their absence. Please note that the storage periods for personnel documents and other documents related to labor relations are established in the list approved. by order of the Ministry of Culture dated August 25, 2010 No. 558.

Planned control activities of the State Labor Inspectorate are aimed at identifying and suppressing violations of labor legislation and bringing those responsible to justice. The audit can be devoted to both general institutions of labor law and specific ones. It is impossible to know in advance which documents the supervisory authority will be interested in. The employer is recommended to review the inspection plan annually to meet inspectors fully prepared.

During almost any inspection, State Labor Inspectorate inspectors can detect certain violations of labor legislation committed by employers. Read this article about what points you should pay particular attention to when preparing for an inspection.

You will learn:

• What types of GIT inspections exist;
• What documents need to be prepared for the GIT inspection;
• The most common violations identified by labor inspectors during inspections.

Labor legislation provides for the following types of inspections:

• scheduled inspection of GIT;
• unscheduled inspection of GIT.

Both scheduled and unscheduled inspections of GIT can be documentary or on-site.

To ensure that the scheduled inspection of the State Tax Inspectorate in 2015 does not come as a surprise to you, we recommend that you study the plan for inspections of the State Information Inspectorate in 2015.

At the same time, we warn you that even if, after studying the State Labor Inspectorate inspection plan, you did not find your company on the list, this does not mean that labor inspectors will not visit you this year. An unscheduled GIT inspection may be carried out against the employer. Most often, the basis for an unscheduled inspection of the State Labor Inspectorate is an employee’s appeal to the labor inspectorate regarding a violation of his rights by the employer.

We believe that the inspection of the State Tax Inspectorate in 2015 can be concentrated on inspection of the procedure for carrying out special assessment work places.

GIT inspection is usually carried out in two directions:

• personnel documents are checked (that is, documents related to the registration and termination of employment relationships, the procedure for paying wages, registration of business trips and vacations, local regulations, etc.);
• labor inspectors check documents and labor protection conditions.

Procedure for payment of wages

Almost every GIT inspection pays attention to the procedure for paying wages. Let us note that the reason for an unscheduled inspection is most often complaints from employees about untimely payment of wages.

The most common offense identified by labor inspectors is failure to pay employees wages on time.

We remind you that wages are paid at least every half month (Part 6 of Article 136 of the Labor Code of the Russian Federation). Paying wages once a month is one of the most common offenses.

The days of salary payment must be specified in three documents (Part 6 of Article 136 of the Labor Code of the Russian Federation):

• in the employment contract;
• in internal labor regulations;
• in the collective agreement (if the organization has one).

These documents must state specific dates for payment of salaries, not a period of time.

Quite often, labor inspectors identify violations of payment of wages upon dismissal. Remember that the employer must make the final payment to the employee upon dismissal on the last day of work (Part 4 of Article 84.1 of the Labor Code of the Russian Federation).

If the employer for some reason does not pay the employee’s wages on time, labor inspectors check whether the interest provided for in Art. 236 Labor Code of the Russian Federation.

Violations of the procedure for drawing up and concluding employment contracts

Employment contracts are checked by every inspection of the State Labor Inspectorate and very often reveals violations related to their execution. The main violations are:

1. Employers still often ignore the obligation to conclude employment contracts in writing;

2. A copy of the employment contract is not issued to the employee.

Let us note that what is important for the labor inspectorate is not the fact of issuing an employment contract, but the documentary evidence of this fact.

We remind you that the employee’s receipt of a copy of the employment contract must be confirmed by the employee’s signature on the copy of the employment contract kept by the employer (Article 67 of the Labor Code of the Russian Federation). Therefore, on a copy of the employer’s employment contract, the employee must write “Received a copy of the employment contract”, date and sign.

3. Quite often, an employment contract does not contain everything prerequisites, established by Art. 57 Labor Code of the Russian Federation. The employer does not have the right, at its discretion, not to include in the employment contract any conditions that are mandatory. If for some reason, when drawing up an employment contract, its text does not reflect all the mandatory conditions, it is necessary to conclude additional agreement to the employment contract.

Internal labor regulations

One of the most common offenses recorded by labor inspectors is the lack of internal labor regulations (hereinafter referred to as ILR) in the company.

PVTR is a mandatory local act that every employer must have, including individual entrepreneur. All employees upon hiring must be familiar with these Rules on signature.

Please note that in this case, too, it is important for the labor inspectorate to provide documentary evidence of the fact that the employee has become familiar with the PVTR. Therefore, the employer must either have a logbook for familiarizing employees with local regulations, or a special familiarization sheet can be made for the PVTR, in which the employee will put his signature.

Violations related to the provision of vacations

One of the common violations is the absence of a vacation schedule in the organization, which is mandatory for both the employer and the employee.

The employee must be notified of the start time of the vacation against receipt no later than two weeks before it begins. The employer often does not have confirmation of such notice.

Often employers violate payment deadlines for upcoming vacations. Let us recall that Art. 136 of the Labor Code of the Russian Federation stipulates that payment for vacation is made no later than three days before its start.

Violation of the procedure for applying disciplinary sanctions

Labor inspectors carefully check the procedure for applying disciplinary sanctions by employers. Often, the imposition of a disciplinary sanction that is unfair in the employee’s opinion is the basis for an unscheduled inspection of the State Labor Inspectorate.

Here are the main points that an employer should remember when bringing an employee to disciplinary liability:

• an employee can be brought to disciplinary liability only no later than one month from the date of discovery of the offense (Part 3 of Article 193 of the Labor Code of the Russian Federation);
• before applying a disciplinary sanction, a written explanation must be requested from the employee;
• labor legislation provides the employee with two working days to prepare a written explanation and the employer does not have the right to reduce this period. Bringing an employee to disciplinary liability before the expiration of this period is a violation of labor legislation;
• if the employee refuses to write an explanation, the employer must draw up a corresponding act.

Violations of the rules for issuing work books

A fairly common violation identified by GIT inspectors is the failure to issue a work book to employees upon dismissal. We remind you that on the day of termination of the employment contract (the last day of work of the employee), the employer is obliged to issue the employee a work book and make payments to him (Part 4 of Article 84.1 of the Labor Code of the Russian Federation).

If an employee for some reason refuses to receive a work book, a corresponding act must be drawn up. In addition to drawing up the act, the employee should be notified of the need to appear for a work book or agree to have it sent by mail. And from the date of sending such a notification, the employer is released from liability for the delay in issuing the work book (Part 6, Article 84.1 of the Labor Code of the Russian Federation).

Violations in the field of labor protection

Many organizations do not pay due attention to compliance with labor protection requirements, and, as a result, the majority of violations identified as a result of inspections are associated with violations of these very rules.

The most common violations:

• the organization does not have logs for registering labor safety instructions;
• heads of organizations do not undergo mandatory training on labor protection;
• there are no instructions on labor protection;
• no special assessment of working conditions is carried out;
• workers are not provided with personal protective equipment.

What do labor inspectors check most often?

According to information compiled by Rostrud, the largest number were the following checks:

• wages - 42.9%;
• employment contract - 30.0%;
• training and instructing workers on labor protection - 20.2%;
• conducting a special assessment of working conditions (certification of workplaces based on working conditions) - 16.9%;
• providing workers with personal protective equipment and collective protection - 13.5%;
• working time and rest time - 13.8%;
• carrying out medical examinations workers - 9.8%;
• guarantees and compensations - 9.6%;
• material liability of the parties to the employment contract - 8.5%;
• labor discipline and work routine - 8.0%;
• compliance with the established procedure for investigation, registration and recording of industrial accidents - 6.0%;
• sanitary, medical and preventive services for workers - 4.7%;
• regulation of the labor of women and persons with family responsibilities - 4.0%;
• collective agreements and agreements - 4.2%;
• targeted use of funds for labor protection measures - 4.0%;
• features of labor regulation of other categories of workers - 3.3%;
• provision of workers employed in hazardous and (or) hazardous conditions labor, therapeutic and preventive nutrition, milk or other equivalent food products - 3,0%;
• labor regulation of workers under the age of eighteen - 2.2%.

Government inspections of companies various forms property for compliance of their activities with labor law standards, are enshrined in the legislation of the Russian Federation in the field of supervision. For similar actions government agencies there are appropriate grounds, regulations and procedures. The main goal labor inspection inspections are monitoring compliance by officials, entrepreneurs and organizations with the norms and requirements of labor legislation (Articles 353 and 356 of the Labor Code of the Russian Federation).

Conducting inspections of organizations by labor inspectorates (territorial divisions of Rostrud) is regulated Labor Code of the Russian Federation, Federal Law No. 294 “On the protection of the rights of legal entities and individual entrepreneurs in the exercise of state and municipal control”, Decree of the Government of the Russian Federation No. 875, which established the Regulations on supervision in the field of labor legislation and other regulations. There are also laws regulating such inspections at the regional and local levels.

Labor inspection inspections are a difficult period in the life of any enterprise, a huge physical and moral burden on management, financial and personnel services.

Therefore, it is so important to know the characteristic features of such events and be prepared for them in advance.

Reasons for conducting inspections

Inspections carried out by state labor inspectors in organizations may be planned and unscheduled(which, in turn, are divided into documentary and visiting). Implementation procedure audits are strictly defined by law. To begin verification actions, both the first and second options require reasons (reasons, cases).

Scheduled inspection is possible for any organization and is performed once every three years.

To implement it, it is enough to have even one grounds, from called Law No. 294-FZ:

• three years have passed since the day state registration employer;
• a three-year period has passed since the completion of the last scheduled inspection;
• the employer actually carries out its business activities for three years (from the date of submission of a special notice to the authorized body).

This list of grounds is closed, that is, inspectors do not have the right to name other reasons for carrying out planned inspections of compliance with labor law standards.

For unscheduled inspection a certain reason is needed, coming, as a rule, from the employees of the enterprise and signaling various kinds of violations (part 7 of article 360 ​​of the Labor Code of the Russian Federation):

• the employee’s application to the labor inspectorate about violation of his labor rights by the employer;
• receipt of a request for an audit of working conditions at the workplace from an employee of an organization;
• receiving applications from individuals, organizations, employers, government bodies, and the media about cases of violation of labor law standards. These actions must pose a threat to the life and health of employees;
• completion of the period for the employer to correct violations as ordered by the labor inspectorate;
• issuance of an order (instruction) of the head of the state labor inspection unit to carry out an unscheduled inspection at the request of the prosecutor, instructions of the President or the Government.

Useful information for the manager about this procedure

Anonymous requests labor inspectorate, like other government bodies, are not considered. In the Russian Federation, this rule is enshrined at the legislative level. The employee’s application to the labor inspectorate must indicate his basic information: full name, address and telephone number.

If complaint filed by an employee against the employer, then the latter, as a rule, wants to have information on whose behalf the fact of violations was reported. However, an employee can keep personal information secret (by making sure to mention this in the application), then inspectors must act strictly confidentially (Article 358 of the Labor Code of the Russian Federation).

The law does not provide for mandatory employer notifications on unscheduled inspections. If a warning about the start date of the inspection is not capable of affecting the quality of the inspection as a whole, then the labor inspector can warn the employer no later than one day before the inspectors arrive at the enterprise, which most often happens in practice.

If there is not a comprehensive, but a thematic inspection of compliance with the requirements of labor legislation, then inspectors in their actions do not have the right to go beyond the designated issues, require information outside the subject of the audit. So, if the topic of the inspection is documents on labor protection, then the inspectors cannot touch upon the issues of the activities of the personnel service.

During the audit inspectors state labor inspectorate, in addition to checking necessary documents, can inspect all premises of the enterprise, ask questions to staff, and request missing information from responsible employees.

At identifying violations Administrative liability (fine) can be imposed not only on the head of the organization, but also on its individual employees, for example, the head of the personnel department, an accountant. However, ordinary employees cannot be fined.

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Documentation for inspection by the inspectorate

There is no officially approved composition and order of documents that need to be checked by the inspectorate. It doesn’t matter what type of inspections are carried out in organizations - scheduled or unscheduled, labor inspection has the right to request any documents related to the activities of the organization in the field of labor. Especially if we're talking about about comprehensive checks. Both original documents for inspection and confirmation that workers have been familiar with them (signatures in logs) are presented. It is permissible to make copies and extracts from the received originals.

The entire array of inspected documents can be divided into three large groups:

• HR documents: and Memorandum of association, collective agreement, with inserts, personal cards of employees, various job descriptions(for example, etc.) and numerous personnel orders (on dismissal, on transfer, on vacation, on incentives, on business trips, etc.), sick leave, and relevant notices, regulations on remuneration and bonuses, journals and books of accounting and familiarization (book of accounting for the movement of work books and inserts, journal of familiarization with local regulations, etc.).
• Accounting documents: numerous documents related to wages - pay slips, personal accounts of employees, etc.
• Documents on labor protection: regulations on personal data, instructions related to labor protection, regulations on certification, documents on training and medical examinations of citizens, a safety briefing log, relevant orders (instructions) of the employer, etc.

Conducting audits in accounting and human resources departments

Accounting and HR departments – key areas audit actions of authorized bodies. It is in these places in the enterprise that the bulk of the necessary documentation is concentrated.

The accounting department checks the compliance of the enterprise's remuneration system with current legislation and determines whether the economic rights of workers have been violated. Inspectors may request: pay slips, employee pay slips, employee personal accounts, cash register, check books.

Frequent violations This area of ​​work may include:

• ignoring notifications to employees about wages using pay slips;
• Not correct design payrolls;
• lack of employee signatures on documents, errors in employee personal accounts, etc.

Subject of inspection in the HR department are: constituent documents organizations, collective and labor agreements, work books and their inserts, documents on leave and payment of wages, local acts of the organization, documents related to labor protection, orders and instructions of the employer, notices and notifications, statements and certificates, journals and accounting books with signatures of employees familiar with the rules and events.

Personnel orders are being studied: orders for hiring, transfer, vacation, dismissal, business trip, promotion, according to forms approved by the State Statistics Committee of the Russian Federation in 2004. Also, auditors may be interested in orders on disciplinary sanctions, O overtime work, about suspension from work, about temporary transfer due to production needs, etc.

Local regulations must have a form and content in strict accordance with the law, must not allow contradictions with each other, as well as with employment contracts and staffing schedules (different work schedules, various systems wages, etc.).

Frequent documentary violations in HR department:

Based on the results of a scheduled inspection a special act is drawn up, and if there were violations - the appropriate protocol. The employer is issued an order to eliminate them within a certain period.

If this is not followed, then administrative liability comes into force in relation to the manager on the basis of the Code of Administrative Offenses. The inspection of an enterprise by the labor inspectorate can be appealed either to the chief state labor inspector of the Russian Federation, or by filing.

Period of scheduled inspections

Scheduled inspection of the labor supervisory authority inspects three-year period of activity of the enterprise. At the same time, currently on the website of the Prosecutor General’s Office of the Russian Federation you can find out about the schedule of planned inspections of organizations for a certain year. Such a plan must be posted on the website until the end of the next year before the test.

Rostrud must three days before the start notify the organization about carrying out a scheduled inspection on its territory. Conducting an inspection that is not included in the general annual schedule is prohibited, and its results are canceled.

Despite the fact that scheduled inspections are supposed to be carried out no more than once every three years, there are some consequences from this rule: exceptions. Regarding educational medical organizations and social enterprises, inspection activities are carried out twice or more within three years.

An unscheduled inspection can be carried out at any time. The dates of inspections are recorded in the control log.

By general rule deadline a scheduled inspection cannot last more than 20 working days; for branches the total period is no more than 60 working days. However, if we are talking about small businesses, then for a small enterprise and a microenterprise this period is equal to 50 hours and 15 hours, respectively. These findings do not apply to unscheduled inspections. If necessary, the period for an on-site scheduled inspection is extended by 20 working days (but not more), about which the employer must be notified 3 days in advance.

How to properly prepare for the test

Inspection of an organization by the labor inspectorate is a large-scale undertaking for which it is impossible to prepare at once. Therefore, it is recommended that periodic internal audit of enterprise documentation so that there is complete readiness even for an unscheduled audit.

Better format correctly documents immediately, “after the fact”, without postponing “for later”, and also tidy them up periodically, check for compliance with labor laws. The employer must have all mandatory labor documents available and properly executed.

First of all, labor inspectorate specialists pay attention to the presence and correct execution of various title documents in the organization. All standard instructions and orders must be drawn up using special forms; Employees’ statements and receipts must be signed by them; magazines - have hard covers, be bound and with page numbering, indicating the total number of sheets, signatures of responsible persons and the seal of the organization.

Also, when conducting any type of inspection, in order to avoid a fine, maximum attention should be paid to preparation of missing documents. These often turn out to be local regulations that small firms like to ignore. Not only their presence is checked, but also the design structure and compliance with them in practice.

Every employer must provide its employees safe conditions labor. They are spelled out in labor protection documents, the presence of which is necessary in any organization. These could be various instructions, documents confirming that employees were trained in labor safety. Documents of this kind must be available, regardless of the size of the organization and the number of employees hired.

For the convenience of the HR department, it is recommended place separately a list of special categories of workers: minors, those employed in hazardous work, employees with developmental disabilities, foreign citizens, etc. In case of inspections, the labor inspectorate pays increased attention to compliance with their labor rights.

For information on the rules and features of inspections by the labor inspectorate, see the following video lecture:

Inspections of labor inspectors, who carry out federal state supervision of compliance with labor legislation, affect all employers - both organizations (regardless of their organizational and legal forms and forms of ownership) and individuals.

An entrepreneur can try to find out in advance what the State Labor Inspectorate checks during an unscheduled inspection, but, as a rule, the subject of the inspection is not only general compliance with the requirements of labor legislation and other regulatory legal acts containing labor law norms, but also compliance with orders to eliminate those identified during previous inspections violations, as well as monitoring the implementation of measures to prevent violations of labor law and to protect the labor rights of citizens.

What's new?

By the end of July 2019, State Duma deputies promise to consider a bill that will clarify the timing of inspections of legal entities that have branches, representative offices and separate structural units. The authors of the initiative propose to supplement Part 4 of Article 13 of the Federal Law of December 26, 2008 No. 294-FZ “On the protection of the rights of legal entities and individual entrepreneurs in the exercise of state control (supervision) and municipal control” with the rule that the total period of a scheduled inspection cannot exceed 60 working days within three years.

Let us note that a similar norm in relation to certain types of state and municipal control was introduced in the legislation back in 2011. But due to the vagueness of the wording, the situation when a company with separate divisions in different regions is checked several times and beyond the established period of 60 days has not changed. Most often, Rosselkhoznadzor, Rospotrebnadzor, and the Ministry of Emergency Situations violate the rule; sometimes Rostrud delays the deadlines, the State Duma found out.

In order to reduce the administrative burden on organizations that have branches in various constituent entities of the Russian Federation, Law No. 294-FZ proposes to clearly indicate the time frame for inspection by the labor inspectorate: in the new version, they cannot exceed 60 working days, regardless of the presence of separate divisions. And this norm will apply to all types of municipal and state planning control without exception.

Types of checks

By their nature, inspections by the state labor inspectorate are divided into scheduled and unscheduled.

Scheduled inspection

A scheduled inspection can be carried out after three years from the date of:

• state registration legal entity;
• completion of the last scheduled inspection of a legal entity;
• the beginning of a legal entity carrying out entrepreneurial activities related to the performance of work or the provision of services that require notification of the commencement of such activities. In particular, we are talking about hotel and household services, services Catering, retail and wholesale trade, some types of services for the transportation of passengers and goods. A detailed list of these activities can be found in approved by the Government RF List of works and services (Resolution of the Government of the Russian Federation dated July 16, 2009 No. 584).

In addition, the Government has established a list of organizations in respect of which inspections can be carried out more often than once every three years. These include companies operating in the field of healthcare, education, social sphere, the field of heat supply, electric power, energy saving and increasing energy efficiency.

Until December 31 federal authorities executive authorities authorized to exercise control draw up a plan for conducting scheduled inspections on next year and post it on their official websites on the Internet. You can find lists of checks at the following addresses: http://git78.rostrud.ru/plan/, https://proverki.gov.ru, http://plan.genproc.gov.ru/. This is the only reliable way to find out about the labor inspection inspection and slowly prepare for it.

If your company is included in the audit plan, the first thing you need to check is whether this inclusion is legal.

In accordance with Article 26.1, from 01.01.2016 to 31.12.2018, scheduled inspections are not carried out in relation to legal entities, individual entrepreneurs classified as small and medium-sized businesses by Article 4 of the Federal Law of 07.24.2007 No. 209-FZ “On the development of small and medium-sized businesses” medium-sized enterprises in the Russian Federation." In connection with the adoption of Federal Law No. 480-FZ of December 25, 2018, the moratorium on inspections was extended until December 31, 2020, although there are some peculiarities. In particular, inspections organized by supervisory authorities that have switched to risk-based control are not prohibited.

The exceptions remain the same: companies operating in the field of healthcare, education, social services, heat supply, electricity, energy saving and increasing energy efficiency.

In addition, supervisory holidays do not apply to organizations that have committed gross violations or lost their licenses within three years before the scheduled inspections.

The company has the right to submit to the state control body an application for exclusion from the annual plan for conducting scheduled inspections if it believes that the inspection is included in the plan in violation of the provisions of this article. The procedure for submitting and considering such an application is determined by Decree of the Government of the Russian Federation dated November 26, 2015 No. 1268.

Unscheduled inspection

An unscheduled inspection by the labor inspectorate is a way for the control authorities to “put out the fire”, to quickly respond to a problem, to a violation of the law. Therefore, supervisory holidays do not apply to unscheduled inspections.

An unscheduled inspection is carried out:

• if the deadline for the organization to comply with a previously issued order to eliminate violations has expired;
• if the labor inspectorate has received relevant appeals and statements about violations by employers of the requirements of labor legislation and other regulatory legal acts containing labor law norms, including labor protection requirements, which have resulted in a threat of harm to the life and health of workers, as well as leading to non-payment or incomplete payment of wages and other payments due to employees on time, or the establishment of wages in an amount less than the amount provided for by labor legislation;
• if the labor inspectorate received:
  • an employee’s appeal or statement about the employer’s violation of labor rights;
  • an employee’s request to conduct an inspection of labor conditions and safety at his workplace in accordance with Art. 219 Labor Code of the Russian Federation;
• if the head of the labor inspection issued an order (instruction) in accordance with the instructions of the President of the Russian Federation, the Government of the Russian Federation, as well as on the basis of the request of the prosecutor to conduct such an inspection as part of supervision over the implementation of laws on materials and appeals received by the prosecutor's office.

IMPORTANT!

From 01/01/2017, when considering the specified appeals and statements, information about facts, the results of consideration of previously received similar appeals and statements, information, as well as the results of previously carried out control measures in relation to the relevant legal entities and individual entrepreneurs must be taken into account. In practice, this should mean that if there are regular complaints against the company, or if orders have already been issued or the company or manager has been held accountable, the concept of the presumption of innocence will disappear in relation to this employer. However, the mechanism has not yet been developed, and it is difficult to say now how this will happen in reality.

What does the labor inspectorate check during an unscheduled inspection? First of all, inspectors must find evidence of violations of workers’ rights or labor laws in general. In the absence of reliable information about a person who has committed a violation of labor legislation, a labor inspectorate official may conduct a preliminary check of the information received. During the preliminary inspection, measures are taken to request additional information and materials (including orally) from persons who sent applications and appeals. As part of the preliminary inspection, a legal entity or individual entrepreneur may be asked for explanations regarding the information received, but the provision of such explanations and other documents is not mandatory.

If, based on the results of a preliminary inspection, persons who have committed a violation are identified, the labor inspectorate official prepares a reasoned submission to order an unscheduled inspection. Based on the results of the preliminary inspection, measures to hold a legal entity or individual entrepreneur liable are not taken.

How to find out about an unscheduled inspection by the labor inspectorate? It is impossible to find such information on your own. But the law states that the organization must be notified of the inspection by any available means:

• about a scheduled inspection - no later than three working days before its start;
• about an unscheduled inspection - no less than 24 hours before its start.

Documentary checks

A documentary inspection can be either scheduled or unscheduled, and carried out at the location of the territorial body of the state labor inspectorate. During this inspection, the labor inspector has the right to request documents confirming labor and directly related relationships.

Moreover, if he considers that the available documents are not enough to carry out the inspection, then a reasoned request for additional information may be sent to the employing organization with a certified copy of the order (order) of the head (his deputy) of the inspection attached. In response to the letter, the employer is obliged to send the documents specified in the request in the form of certified copies or in electronic form within ten working days.

On-site inspections

During an on-site inspection, which can also be either scheduled or unscheduled, the information contained in the documents provided by the employer at the location of the employing organization is checked. It is important to note that as part of an unscheduled on-site inspection, state labor inspectors, if they have a standard official identification card, have the right to freely visit employers at any time of the day.

Preliminary notification of the employer about the Federal Labor Inspectorate conducting an unscheduled on-site inspection against him is prohibited by law in the following situations:

• when an unscheduled on-site inspection is carried out in connection with admission to state inspection labor complaints and statements about violations that resulted in a threat of harm to the life and health of workers, as well as leading to non-payment or incomplete payment of wages and other payments due to employees on time, or the establishment of wages in an amount less than the amount provided for by labor legislation ;
• when such an inspection is organized on the basis of an employee’s request or statement about the employer’s violation of his labor rights.

IMPORTANT!

From 01/01/2017, when conducting an on-site inspection, it is prohibited to require those being inspected to provide documents and information that they provided during the documentary inspection. In practice, this means that after a documentary check has been carried out, the labor inspectorate should rely on the documents provided to it previously, and not demand them again and again.

Deadline for inspection by labor inspectorate

The inspection period by the labor inspectorate should not exceed 20 working days. At the same time, for a micro-enterprise this period is set at 15 hours, and for a small enterprise - 50 hours. However, for the timing of an unscheduled inspection by the labor inspectorate, when it comes to on-site and documentary inspections, such an exception does not apply: their period is strictly limited to 20 days.

If necessary, the inspection may extend the inspection period, but by no more than 20 working days, and in relation to small enterprises and micro-enterprises - by no more than 15 hours.

If a decision to extend the inspection period is made, it must be brought to the attention of the employer at least three working days before the end of the main inspection period.

Extension of the period for unscheduled and documentary inspections is not allowed.

What does the labor inspectorate check?

What documents and for what period is the labor inspectorate entitled to check?

In Art. 357 of the Labor Code of the Russian Federation states that during inspections, state labor inspectors have the right to request from employers and their representatives and receive from them free of charge documents, explanations, and information necessary to perform control functions.

Inspectors have the right to request all mandatory personnel documents and labor protection documents. First of all, they will be checked employment contracts with employees. The correctness of their design, content, design of all changes that have occurred - all this will be carefully checked.

Personnel orders will also be checked: hiring, transfer, dismissal, vacations. All orders must have a number, a documentary basis, and an employee’s signature confirming familiarization.

The inspector will definitely request a staffing table, internal labor regulations, local regulations (for example, on financial incentives for employees), logs of familiarization with local acts, occupational safety journals, journal of accounting and movement of work books.

Moreover, the law does not limit inspectors regarding the period for inspection coverage. As for the depth of the verification, there can only be restrictions regarding the period of storage of documents. Therefore, the employer is not obliged to provide documents whose retention period has expired.

Personnel documents must be stored in the organization in accordance with the deadlines established in the “List of standard management archival documents generated in the process of activity” approved by Order of the Ministry of Culture of Russia dated August 25, 2010 No. 558 government agencies, organs local government and organizations, indicating storage periods." All organizations, regardless of their form of ownership, must comply with the deadlines specified in the List (clause 1.2 of the List, Decision of the Supreme Arbitration Court of the Russian Federation dated February 21, 2012 No. 14589/11).

Rights and obligations of the employer during an on-site inspection

The employer has the right:

• be notified in a timely manner about the upcoming inspection;
• require that inspectors show their official identification;
• receive a certified copy of the order (order) of the head (deputy) of the labor inspectorate to conduct an inspection;
• require a copy of the document agreeing to carry out the inspection with the prosecutor's office if an unscheduled on-site inspection is organized on grounds requiring such approval;
• request from officials information about the body that sent them to conduct the inspection, as well as about the experts and expert organizations participating in it;
• be present during the inspection and provide explanations on issues related to it;
• request to review administrative regulations carrying out the inspection and the procedure for its conduct;
• refuse to pay for the inspection;
• review the results of the inspection;
• provide written objections if he does not agree with the facts and conclusions set out in the inspection report (order to eliminate identified violations). Objections, together with certified copies of supporting documents, are submitted to the relevant labor inspectorate within 15 days from the date of receipt of the inspection report;
• appeal in an administrative and (or) judicial manner the actions (inaction) of officials of the body conducting the inspection, which entailed a violation of the rights of the employer;
• challenge the application of administrative punishment based on the results of the inspection.

During an on-site inspection, the employer is obliged to:

• provide for inspection documents related to the subject, goals, objectives of the inspection;
• organize the personal presence of the manager during the inspection or ensure the presence of officials or authorized representatives of the organization responsible for organizing and carrying out activities to implement mandatory requirements in the field of labor and labor protection;
• ensure unimpeded access for inspectors to the territory of the organization, buildings, structures, structures, premises used in the implementation of economic activity, to equipment and transport;
• keep a log of inspections, standard form which was approved by Order of the Ministry of Economic Development No. 141.

Result of checking

How are the results of inspections compiled if there are no violations? The law obliges inspectors, at the end of the inspection, to draw up a report in the prescribed form (approved by Order of the Ministry of Economic Development No. 141) in two copies. One of them with copies of the attachments is handed over to the authorized representatives of the employer against a personal signature confirming familiarization or refusal to familiarize themselves with the inspection report. In this case, the head (or authorized representative) of the organization has the right to reflect in the act his agreement or disagreement with the results of the inspection, as well as with the individual actions of the officials who carried out it.

In case of disagreement with the conclusions contained in the act, the employer may appeal it within 15 days. To do this, it is necessary to submit written objections to the relevant authority specified in the act.

If violations are identified during the inspection, the inspectors issue an order to the employer to eliminate them. It specifies requirements for the elimination of identified violations of labor legislation and other regulations containing labor law norms, for the restoration of violated rights of workers, for bringing those responsible for violations to justice, etc.

If the employer needs to eliminate violations, then the order must contain a reference to the paragraph, point, part and article number of the law, the provision of which was violated. If the inspector violates the procedure for issuing an order, the employer has the right to appeal it.

In addition, the employer and its officials may be held administratively liable. The decision to impose administrative liability can be appealed against the head of the inspectorate or a higher organization and in court.

Fines based on inspection results

Bringing to administrative liability is most often expressed in the imposition of a fine. Employers must remember that several violations of labor legislation identified during one inspection form independent administrative offenses (Resolution of the Presidium of the Supreme Court of the Russian Federation dated August 15, 2014 No. 60-AD14-16). This means that based on the results of one inspection, if several different violations are detected, a fine will be imposed for each.

At the same time, employers should be aware that the same violations identified during two different inspections may form a single offense, which means that in this case there should be only one fine. A similar case was examined by the Supreme Court of the Russian Federation: several employees complained to the State Labor Inspectorate about violation of their rights during layoffs. As a result of two unscheduled inspections, inspectors issued two separate decisions to prosecute an official of the employer, but the type of offense was the same. When deciding on this case, the judges emphasized that violations of the same type should be included in a single administrative offense, which means there should be one fine, not two. The fact that the fines were issued based on the results of two different inspections, and the fact that the victims were different people, the judges did not consider a fact allowing them to impose double punishment for the same violation of labor legislation (Resolution of the Armed Forces of the Russian Federation dated October 1, 2018 No. 41-AD18 -21).

To summarize, it is worth saying the following: do not consider leading personnel records management and proper registration of labor protection requirements as a secondary function in the organization’s business processes. Competent and careful adherence to the necessary procedures will protect the company both from large fines and from lawsuits and other complaints from employees.

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