Is the attestation provision mandatory? The procedure for attestation of employees

02.08.2019

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General provisions on certification of employees

Certification of employees is an effective tool in the hands of the employer, which allows him, on the basis of an assessment of the labor activity of employees (checking their business qualities, level of knowledge and skills), to determine whether employees have sufficient qualifications, as well as their suitability for the position or work performed.

The requirements for the qualifications of employees necessary to fulfill the duties assigned to them in their position are determined in the employment contract, job description and other local regulations of the employer, as well as in the Qualification directory of positions of managers, specialists and other employees, approved by the Decree of the Ministry of Labor of Russia dated August 21, 1998 No. 37, and tariff and qualification directories by industry.

Considering that, following the results of certification, the employer has the right not only to promote employees in positions and / or remuneration, but also to terminate labor relations with employees who do not correspond to their position.

Benefits of Certification

Today, the vast majority of employers do not carry out attestation of employees, finding this procedure labor-intensive and complicated for themselves, and many of those who carry out these activities are often limited only to the formal collection of papers and signatures, which ultimately does not bring proper results.

competent performance appraisal of employees not only brings benefits and gives a real return, but is also of great importance for both sides of labor relations:

For the employer, this is an opportunity to optimize the use of labor resources, assess the skill level of not only the team as a whole, but also each of the employees individually, create additional incentives for the professional growth of employees and improve their skills, form a personnel reserve of the most competent specialists and terminate employment contracts with employees who do not meet the requirements for their position;

For an employee, this is an opportunity to prove to the employer that he is a competent specialist with sufficient qualifications and a high level of professionalism, as well as to prove himself in this capacity and get a promotion.

In modern conditions, certification can also help the employer in determining the system of remuneration of employees, because it is obvious that the assignment of a category or category based on the results of certification is more objective than the implementation of these actions at the request of the immediate supervisor or the head of the organization alone.

The procedure for certification

To carry out the certification of employees, the employer must approve a local regulatory act (as an option - a regulation), which determines:

Procedure, terms and forms of attestation;

Compound attestation commission and the order of its creation;

Criteria for evaluating employees (a system for determining the employee's compliance with the position held by putting down appropriate grades and / or points; establishing the number / percentage of correct answers that determine the successful completion of the certification by the employee);

Types of decisions taken based on the results of certification and the procedure for their adoption;

Other provisions that, in the opinion of the employer, contribute to the most effective implementation of this procedure.

The employee must be familiarized with the local regulatory act that determines the procedure for attestation against signature. It should be borne in mind that in the event of a labor dispute, the employer will be required to provide evidence that the employee was made aware of the possibility of assessing the results of his work and his personal business qualities in the form of certification, and that the results of the certification may be followed by the dismissal of the employee (Definition of the Supreme Court of the Russian Federation dated June 04, 2004 No. 5-В03-82).

After the implementation of the above actions, the employer, guided by the local regulatory act, must approve the certification schedule and bring it to the attention of each certified employee no later than one month before the start of the certification. The schedule should indicate the date and time of the certification, as well as the date of submission to the certification commission of all necessary documents.

It is necessary to fix the obligation of the employee to undergo certification in the employment contract. If the employee refuses to participate in the certification, this provision of the employment contract will be not only additional evidence of the employee's misconduct, but also an additional basis for holding the employee liable.

Frequency of certification

The optimal frequency of certification is no more than once every three years. Given that this procedure is time-consuming and invariably creates a tense atmosphere in the team, setting a shorter period seems inappropriate.

The range of employees subject to and not subject to certification

When determining the circle of employees subject to and not subject to certification, it is advisable for the employer to take into account the special guarantees established for employees by regulatory legal acts. Regulations on the certification of state civil servants Russian Federation dated 01.02.2005 No. 110 (with the possibility of clarification) it was established that employees are not subject to certification:

Have worked in their position for less than one year;

Reached the age of 60 years;

Pregnant women;

Those on maternity leave and parental leave until the child reaches the age of three. Certification of these employees is possible not earlier than one year after leaving the vacation.

The composition of the certification commission

As a rule, the composition of the attestation commission is as follows: chairman, deputy chairman, secretary and members of the commission. The chairman of the commission is usually appointed the head of the organization or his deputy, and the members of the commission are the heads of various structural divisions. Recommended number of committee members: at least three, maximum limit not limited.

Employers whose activities are in many different areas or who have separate structural divisions large in terms of the number of employees, for the convenience of the attestation procedure, can create several attestation commissions (for the head unit and separate structural divisions of the organization). At the same time, in the local regulatory act regulating the certification, it is necessary to indicate the procedure in accordance with which a commission is created in a separate subdivision, the powers of officials included in it, and also regulate other issues arising in the certification process.

The composition of the attestation commission must necessarily include a representative of the elected body of the relevant primary trade union organization (if any, and except for cases when, based on the results of the attestation, the dismissal of employees is not provided for by the local normative act). If during the attestation, which served as the basis for dismissal, a representative of the elected trade union body of the relevant primary organization was not included in the attestation commission, such dismissal is illegal ("Review of the cassation and supervisory practice of the Judicial Collegium for Civil Cases of the Krasnoyarsk Regional Court for 9 months of 2009 ").

Feedback on an employee

When carrying out certification, an important stage is the preparation of reviews (characteristics) for employees, and in the best way to evaluate the activities of an employee, his immediate supervisor can. In the recall, the manager must evaluate the work activity of the employee, using the criteria and indicators established by the local regulatory act, such as:

The quality of performance by the employee of the tasks assigned to him;

Performance indicators for the period that has passed since the last certification (or for the time of work, if certification is carried out for the first time);

Professional knowledge, skills, abilities and competence;

The degree of implementation of professional experience;

Business qualities of an employee: organization, responsibility, diligence, efficiency, labor intensity and independence in decision-making;

Moral and psychological qualities of an employee: ability for self-esteem, adaptability, culture of thinking and speech;

A specific list of the most important issues in which the certified employee took part;

The presence of incentives and penalties for the employee.

The employee must be familiarized with the review against signature.

Forms of certification

1. Oral form in the form of an individual interview An individual interview is conducted by the immediate supervisor during the preparation of a review for the employee. In the course of an individual interview, the manager must clarify the goals and objectives of the employee, his attitude to the assigned work duties, as well as the presence of any problems the employee has, for the positive resolution of which requires intervention and assistance from the employer.

2. Oral form in the form of a peer interview

A collegiate interview is conducted by the attestation commission after consideration of all the submitted materials.

A collegiate interview should be conducted in a calm, non-nervous environment so that the employee has the opportunity to feel confident and worthy of participating in the dialogue.

During the collegiate interview, the members of the commission listen to the messages of the certified employee and clarify the information they are interested in. It is also allowed to invite the employee to independently evaluate his work for the period subject to certification and listen to his opinion about what the maximum result of his activity could be if he was not achieved by the employee, and what the employer can do to ensure that in the future such a result would be reached by the employee.

If the employee finds it difficult to answer some questions, you should not insist on the mandatory provision of a response to the commission.

The main tasks of the members of the commission are: to listen to the employee; assess the level of his preparedness and compliance with the position; identify the problem and its causes; draw appropriate conclusions and make the necessary decisions.

3. Written form in the form of tests to be completed by the employee

This form of certification is the most objective, since it provides an equal approach to assessing the level vocational training and knowledge of each certified worker.

At the same time, testing involves a thorough organizational preparation for it, including the formation of a list of questions and the approval of certification tests.

Also, the number (percentage) of correct answers, which determine the successful completion of the certification by the employee, must be set in advance. The questions included in the tests must correspond to the profession (specialty) and qualifications of the employee undergoing certification. Over time, which implies the development of all spheres of society, the questions in the tests should be updated.

Types of decisions based on the results of certification

Based on the results of the attestation, the commission in relation to each of the attested employees, depending on the final grades received by the employee during the attestation process, may take one of the following decisions:

The employee corresponds to the position held and is recommended for transfer in the order of promotion;

The employee corresponds to the position held and is recommended to be included in the personnel reserve to fill a vacant position in the order of promotion;

The employee corresponds to the position held;

The employee is inappropriate for the job.

It should be noted that in relation to civil servants, the law provides for another decision, such as: corresponds to the civil service position to be replaced, subject to successful completion of professional retraining or advanced training.

Inconsistency of the employee with the position

In the event that, based on the results of the attestation, the commission establishes that the employee is inconsistent with the position held or the work performed due to insufficient qualifications, the employment contract with the employee may be terminated in accordance with paragraph 3 of part one of Article 81 of the Labor Code of the Russian Federation.

The Decree of the Plenum of the Supreme Court of the Russian Federation dated March 17, 2004 No. 2 states that the conclusions of the attestation commission on the business qualities of the employee are subject to evaluation in conjunction with other evidence in the case. Thus, in order for the termination of the employment contract on this basis to be recognized as legal in the event of a lawsuit, it is necessary that the documents submitted to the certification commission contain objective and reliable information confirming the lack of qualifications of the employee and be signed by authorized persons.

These can be certificates or memos on the employee’s failure to comply with labor standards without good reason, marriage certificates, protocols on untimely or poor-quality performance of the employer’s tasks by the employee and violations and mistakes made by the employee in the course of work, etc.

The procedure for the employer, in the event that, according to the results of the attestation, the commission revealed a discrepancy between the employee for the position held or the work performed due to insufficient qualifications, should be as follows:

In accordance with Part 3 of Article 81 of the Labor Code of the Russian Federation, the employer must offer the employee another job available to the employer in the given area, both a vacant position or a job corresponding to the qualifications of the employee, and a vacant lower position or lower-paid job that the employee can perform taking into account his condition health. The employer is obliged to offer vacancies in other localities only if it is provided for by the collective agreement, agreements, labor contract.

The proposal of the employer, as well as the consent of the employee or his refusal to be transferred to another position, must be made in writing. The text of the notification of the employee about the transfer to another job due to his inconsistency with the position held may be as follows:

If the employee agrees with the transfer to another position, an additional agreement is drawn up to the employment contract and the employer issues an order to transfer the employee to another job, and appropriate entries are made in the work book and personal card of the employee form T-2.

If the employee does not agree with the transfer to another job and / or the employer has no vacancies, a decision may be made to terminate the employment contract. In this case, an appropriate order is issued and an entry is made in the work book with the following content:

It should be borne in mind that the employment contract on this basis cannot be terminated during the period of temporary disability of the employee or during his stay on vacation (part 6 of article 81 of the Labor Code of the Russian Federation), as well as with pregnant women and women with children under the age of three years, single mothers raising a child under the age of 14 (a disabled child under 18), other persons raising these children without a mother (Article 261 of the Labor Code of the Russian Federation).

If an employee who is a member of a trade union is to be dismissed on the indicated grounds, it is necessary to take into account the reasoned opinion of the elected body of the primary trade union organization in the manner prescribed by Article 373 of the Labor Code of the Russian Federation.

Thus, in the Ruling of the Moscow City Court dated March 30, 2011 in case No. 33-8582, it is indicated that it follows from the minutes of the meeting of the trade union committee that a representative was delegated to the attestation commission from the trade union committee, however, his signature is not seen from the attestation sheet. Also, the employer did not provide evidence that an additional consultation was held with the elected body of the primary trade union organization, given that the elected body of the primary trade union organization expressed disagreement with the alleged dismissal of the employee by the defendant. In connection with the above, the court decided to recognize the dismissal of the employee as illegal and reinstate him at work.

Termination of an employment contract with employees under the age of 18 is possible subject to the general procedure and only with the consent of the state labor inspectorate and the commission on minors and the protection of their rights.

Illegal actions during certification

Many employers expect to carry out certification in order to get rid of employees they do not like, regardless of the actual performance of such employees.

However, it is hardly possible to solve the problem of subjective hostility by conducting certification, since the actions of the employer in this case are illegal, it is almost impossible to hide the real motive for conducting certification, which means that the employer will not be able to avoid problems in the event of a dispute.

To influence the decision of the commission in order to underestimate the final assessment of the results of the work of an employee, not only the employer can use the administrative resource, but also a biased attitude towards the employee on the part of his immediate supervisor. To avoid this, the employee is given the right to familiarize himself with the review of the immediate supervisor, after which the employee has the right to submit to the certification commission a statement of his disagreement with the review or an explanatory note on the review. Also, the employee can submit additional information about his work to the certification commission, for example, reports on completed tasks, the final results of his activities, testimonies of other employees, and so on.

Often, before certification, an employee is deliberately given instructions that are either obviously impossible to fulfill or do not correspond to his position, profession or qualifications. In order to prevent such violations, the attestation commission must make sure that the employee has a duty and a real opportunity to perform the work assigned to him.

If such actions are not carried out or such inconsistencies are ignored by the commission, then the recognition of the employee as inappropriate for the position held is illegal.

Also quite common violations of the certification procedure are:

Carrying out certification in violation of the established frequency of its implementation;

Violation of the deadlines for warning employees about the upcoming certification;

Carrying out attestation in relation to employees who are not subject to attestation;

Preparation of a review that is biased or not supported by reliable evidence, for example, with an indication of improper performance of duties without any specification of the facts of such non-performance;

Failure to familiarize the employee with the review;

The absence in the attestation commission of specialists in the areas to which the certified workers belong;

Dismissal of employees in cases where certification was not carried out.

Certification in the absence of an employee

Employers should not conduct appraisal in the absence of the employee in cases where there is no conclusive evidence that the employee was notified of the date of the appraisal. As follows from the Ruling of the Moscow City Court dated 08/03/2010 in case No. 33-23042, when the employer carried out certification, the meeting of the certification commission scheduled for 03/03/2009 was postponed to 03/16/2009 due to the absence of the certified employee. On 03/06/2009, the employer wrote a notice addressed to the employee about the need to arrive on 03/16/2009 for certification. On March 12, 2009, the employer drew up an act stating that the employee refused to receive a notice of certification on March 16, 2009, and on the same day a meeting of the certification commission was held in the absence of the employee, at which the commission decided that the employee of the position held was not corresponds, there is no other available position corresponding to the qualifications of the employee in the institution, therefore, the employee must be dismissed from his position on the basis of paragraph 3 of part one of Article 81 of the Labor Code of the Russian Federation.

The court, due to the employer's lack of confirmation of the fact that the employee was notified of the ongoing certification, the dismissal of the employee under paragraph 3 of the first part of Article 81 of the Labor Code of the Russian Federation was declared illegal and the employee was reinstated.

Effective personnel management in any, even the smallest organization, is impossible if the manager does not learn to pay due attention to the issues of assessment and certification. What is the main essence of such personnel events?

Certification of employees is clearly described in the Labor Code

Certification is a procedure that allows you to assess how much the personality traits and potential of an employee (and hence the quality level of his work activity) correspond to the requirements of the position occupied by a particular person. The main task of this event is to optimize.

It is certification to identify potentially promising employees who are in dire need of more detailed training in their specialization. In addition, based on the results of such a check, the manager can develop an effective motivation program for the most competent (and therefore most beneficial to the enterprise) employees.

Of course, there are other, secondary tasks of such events. So, from a legal point of view, certification can serve as a reason for:

transfer of an employee to another division of the organization;
changes in the size of the employee's wages (it does not matter, up or down);
bonuses or promotions of individual valuable personnel;
displacement of an employee from his occupied (that is, downgrading or even).

Consequently, well-conducted personnel events do not just allow the manager to determine the actual potential of the organization and "feel" the existing reserves for its growth. Timely certification helps to competently manage the resources already available to the enterprise, qualitatively improving the level of work of employees through the optimal use of the capabilities of each individual person.

How is certification carried out?

Evaluation of employees can affect every employee

The described personnel activities can be carried out in any department of any organization. In other words, every employee can be subject to mandatory certification, regardless of their position.

The head of the enterprise is directly involved in scheduling such procedures. There are 4 types of certifications in total:

Next. These are mandatory events for all employees of the organization, without exception, carried out on the initiative of the organizations controlling the enterprise. An ordinary employee is required to undergo such certification once every 3 years. The person who occupies - at least once every 2 years.
At the end of the probationary period. Such procedures, as a rule, are introduced by the heads of organizations themselves in order to determine the potential of applicants applying to the company. Properly organized events allow you to “weed out” employees who do not meet the requirements for the position in advance. For other applicants, such certification is no less useful, because it is it that allows managers to develop effective measures aimed at adapting a new employee to an already established team.
On promotion. As is clear from the name of the procedure itself, it is performed when the employer has the goal of promoting a particular employee. The reason for holding such an event may be the need to motivate the employee or the desire of the manager to optimize manufacturing process. In any case, during this certification, the employee will be checked for compliance with the requirements new position. The general level of his professional training will also be assessed.
When transferred to another department. Events of this kind are mandatory only if, after the transfer of an employee to a new department, his official duties will change significantly. As with the pre-promotion review, the employee is assessed in terms of eligibility for the job.

Regardless of the type of certification, it is carried out by one of the following methods:

ranking, during which the manager makes a kind of "rating" of subordinates, based on information about their merits to the company, working potential and some other characteristics;
classification, which differs from ranking only in that employees, in accordance with their achievements and demonstrated efficiency, are distributed into status groups, the criteria for being in which are determined in advance;
rating scale, which is a flexible data analysis system, thanks to which the manager can determine how each individual employee meets the characteristics he needs in his work (while checking is carried out on all points separately);
open certification, during which the manager evaluates the very nature of the employee's performance of his work ( this method considered innovative and has been widely used only recently).

About certification stages

Certification of employees is carried out in stages

Any recruitment activity is carried out in three stages. This is preparation, the procedure itself and, finally, summing up. When it comes to attestation specifically, the steps described include:

Preparation:

development of a training program (if a personnel event of this nature will be held for the first time);
development of the certification methodology itself, taking into account the basic principles that will need to be observed during the verification;
edition of relevant normative documents(an order to hold an event, a list of members of the certification body, an audit plan indicating the specific methods used, a training program for managers and, of course, instructions for storing personal data);
procurement of materials (forms and forms) necessary for certification.

Certification:

preparation of reports by the head and the certified employee (in accordance with the rules announced in advance by the personnel service);
filling in by the head, certified, as well as other employees of the enterprise, special evaluation forms;
analysis of the obtained results;
final meeting of a specially assembled attestation commission.

Summarizing:

analysis of personnel information obtained during the verification process and development of methods for its further use;
development of recommendations for working with personnel;
fixing the results of certification.

How are test results analyzed?

The leader makes the decision

The analysis of the certification results is carried out separately according to two parameters: this is the assessment of the personnel themselves and the level of their work. In other words, it is the diagnosis of the resources (workers) actually available at the enterprise and the identification of employees who do not meet existing standards and requirements for positions held.

Naturally, carrying out this kind of analytical research is impossible without collecting and processing all the data obtained during the certification process about the people working in the company:

compiling comparison tables employee efficiency;
identifying employees who are in “risk groups” (in other words, inefficient workers who do not have the necessary professionalism);
selection of promising employees from the “growth group” (that is, people who are ready for further professional development);
preparation of recommendations on strategies for using the obtained data (at this stage it is very important and proper organization storage of personnel information).

Whatever conclusions are made by the leader himself and his managers as a result, it is the certification commission that ultimately decides the fate of each individual employee.

How certification is carried out, learn from the video consultation:

The legislation does not oblige all employers, without exception, to certify their employees - neither in the Labor Code of the Russian Federation, nor in any other regulatory legal act of an industry-wide and mandatory nature, it is established that any employer must periodically check the professional suitability of their employees.

And only for some employers, exercising certain types activities, certification of personnel in accordance with special federal laws and regulatory legal acts is mandatory. Thus, in accordance with Article 24 of the Federal Law of July 31, 1995 No. 119-FZ “On the Fundamentals public service of the Russian Federation” (Article 48 of the new Federal Law of July 27, 2004 No. 79-FZ “On the State Civil Service of the Russian Federation”, which will enter into force in February 2005) in order to determine the compliance of an employee with his position, once every 3 years, certification of state employees. The procedure and conditions for attestation of civil servants of a number of federal executive bodies are established by separate federal laws, and civil servants of state authorities of the constituent entities of the Russian Federation - by the laws of the constituent entities of the Russian Federation. Municipal employees are subject to certification in accordance with the Federal Law of January 8, 1998 No. 8-FZ “On the Basics municipal service in the Russian Federation” (as amended on July 25, 2002).

The mandatory certification is also established by special federal laws in relation to the personnel of organizations in certain industries. economic activity. This:

Employees carrying out activities related to operational dispatch control in the electric power industry;
- employees whose activities are related to the movement of trains and shunting work on public railways;
- employees responsible for ensuring the safety of navigation;
- employees of hazardous production facilities;
- workers working at facilities for the storage of chemical weapons and facilities for the destruction of chemical weapons;
- aviation personnel;
- workers performing work with sources of ionizing radiation;
- librarians;
- personnel of space infrastructure facilities;
- teaching and management staff educational institutions;
other.

In accordance with the Federal Law of November 14, 2002 No. 161-FZ “On State and Municipal Unitary Enterprises”, the head of a unitary enterprise is subject to mandatory certification.
In other cases, when the legislation does not oblige the employer to conduct certification of their employees, the latter is a voluntary matter. At the same time, it should be noted that there are no regulatory and legal obstacles to the introduction of personnel certification in organizations as such. The only thing that the employer and his personnel service must do is to fix the certification system in the relevant local regulatory act, for example, in the Regulations on the certification of the organization's personnel (hereinafter referred to as the "local Regulations on personnel certification".)

Basis for the development of a local Regulation

As a separate block of work on the organization of labor of employees, certification was introduced in 1973 - by the Decree of the Council of Ministers of the USSR dated July 26, 2004 No. 531 (as amended in 1986). The purpose of certification was proclaimed to increase the efficiency of work and responsibility of managers, engineering and technical workers and other specialists for the work assigned to them, to increase their business skills and ideological and political level.
Industry-wide or, more precisely, regulating the certification of workers in several key industries Regulation on the procedure for certification of managers, engineering and technical workers and other specialists of enterprises and organizations in industry, construction, Agriculture, Transport and Communications was approved by the Decree of the USSR State Committee for Labor and the USSR State Committee for Science and Technology dated 05.10.1973 No. 267/470. Last changes were included in it in 1986, and this moment it has not been repealed or declared invalid.

The approach to attestation of employees established by this Regulation was reproduced in later regulatory legal acts that determine the rules for attestation of employees in certain industries, including, government controlled. So in 1996, the President of the Russian Federation, by his order of March 9, 1996 No. 353, approved the Regulations on the certification of a federal civil servant. On its basis, the federal executive authorities approved their regulatory legal acts on attestation. Among the latter, we should mention the Regulations on the procedure for attestation of employees of the customs authorities of the Russian Federation, approved by order of the State Customs Committee of Russia dated October 29, 2003 No. Gosnarkokontrol of Russia dated 02.09.2003 No. 87. Both of these acts retain general rules certification of personnel, formulated in the above Regulation back in 1973, but at the same time they are still consistent with the Labor Code of the Russian Federation.

Detailed regulation of the certification procedure is inherent not only in the sphere of public administration, but also in such a branch of activity as educational activity. Certification teaching staff is carried out according to the new (compared to the Regulations of 1973) rules set forth in the Regulations on the procedure for attestation of pedagogical and executives state and municipal educational institutions, approved by order of the Ministry of Education of Russia dated June 26, 2000 No. 1908.

As for the non-budgetary sector of activity, there is no industry-wide normative legal act newer than the Regulations of 1973. To a certain extent, this is justified - the normative regulation of the rules for attesting personnel in commercial organizations will limit the freedom of the employer to independently establish methods and schemes for assessing his personnel, taking into account the specifics of the activity and the tasks being implemented. If employers need something, then the recommendations of the competent authority for attestation, for example, similar to the Temporary recommendations for attestation of civil servants, prepared in 1993 by the Ministry of Labor of Russia.
In the absence of such recommendations, the Regulations of 1973 should be taken as the basis for the development of a local Staff Regulation in a commercial organization, especially if the organization belongs to industries such as industry, construction, agriculture, transport and communications. It also applies to personnel engaged in production activities in a research and production association engaged in production activities (clause 1 of the said Regulations). If the issue of determining the procedure for certification of personnel is decided in a research institution, design, technological, design, survey organization of science or other scientific organization, then you need to be guided by the Decree of the USSR State Committee for Science and Technology dated February 17, 1986 No. 38, which approved the Regulations on the certification of employees these organizations.

The provisions of these regulatory legal acts shall be applied in correspondence with the Labor Code of the Russian Federation, according to Article 423 of which, until laws and other regulatory legal acts in force on the territory of the Russian Federation are brought into conformity with this Code, laws and other legal acts of the Russian Federation, as well as legislative acts of the former USSR that are in force on the territory of the Russian Federation within the limits and in the manner provided for by the Constitution of the Russian Federation, Resolution of the Supreme Council of the RSFSR No. 2014-I dated 12.12.1991 "On Ratification of the Agreement on the Establishment of the Commonwealth of Independent States" shall be applied insofar as they do not contradict this Code.

HR managers who have begun to develop a local Regulation on personnel certification need to know the position of the Plenum of the Supreme Court of the Russian Federation, which, in its resolution of March 17, 2004 No. 2 “On the application by the courts of the Russian Federation of the Labor Code of the Russian Federation”, indicated that certification should provided by federal law or other regulatory legal act, or in the manner prescribed in the local regulatory act of the organization. At the same time, the Ministry of Labor of Russia, in its clarifications, clarifies that the local act must take into account the rules that were established earlier by acts of the USSR.

When developing a local regulation on personnel certification, it is also desirable to take into account the recommendations given by the relevant ministries for various industries. For example, the recommendations of the Ministry of Trade of the RSFSR on the certification of trade workers are very interesting (Regulations on the procedure for attesting managers, engineers and technicians and other specialists of enterprises and organizations of state trade (letter dated 07.07.1981 No. 0213).
Since methods for assessing employees should be developed by personnel departments, taking into account the specifics of the organization's activities, the qualifications of its personnel, and other managerial factors, it would be reckless to give universal recommendations. Therefore, we will focus only on those sections (articles, paragraphs) of the local Regulations on personnel certification that have legal significance and are common to any certification procedure, regardless of how the professional suitability of employees is assessed.

Provisions of the local regulatory act on personnel certification that have legal significance
Employees subject to certification

In the local Regulations on the certification of personnel, first of all, it should be determined which personnel are subject to certification.
According to established practice, certification to determine the compliance of employees with their positions, their professional suitability is carried out in relation to such a group of employees as employees. In the theory of personnel management and labor economics, employees are understood as a social group of workers engaged mainly in mental (non-physical) labor, as a rule, exercising leadership, making and developing managerial decisions, and preparing information.

Workers - a social group of workers engaged mainly in physical labor, consisting in the creation of a material product, as well as in the technical and production support of the organization's activities - are not subject to this certification.
Which categories of employees - managers, specialists or technical performers- must be certified, the personnel department decides. So, in a number of organizations, technical performers are not included in the personnel subject to certification.
The local Regulations on personnel certification should clearly define the categories of employees subject to certification and categories not subject to certification.

From a legal point of view, certification may be recognized as unlawful:
1) employees who have worked in their position for less than 1 year;
2) pregnant women.

Employees who have worked in their position for less than 1 year are included in the exclusion group for the reason that they do not have the proper experience, and, therefore, conclusions about their business qualities are difficult to consider objective.

Pregnant women are excluded for obvious reasons, as well as from the point of view of optimizing certification - even if a discrepancy is found, they still cannot be fired, based on the prohibition established by Article 261 of the Labor Code of the Russian Federation.

The Regulations on Certification of 1973 provide for another restriction - women with children under the age of 1 year are not subject to certification. In later regulatory legal acts, the restriction on women with children is formulated differently: women with children under the age of 3 and who are on parental leave are not subject to attestation; their certification is carried out not earlier than one year after leaving the vacation. In our opinion, this category of workers should be included in the local list of workers not subject to certification, since, firstly, during parental leave, an employee may lose their qualifications and a reasonable period for its restoration is 1 year, and, secondly, secondly, the establishment of a discrepancy with the position held will still not allow termination of labor relations with the employee under subparagraph “b” of paragraph 3 of Article 81 of the Labor Code of the Russian Federation.

The above list of categories of employees not subject to certification can be expanded in the local Regulations on personnel certification. So, in order to optimize certification, it can include:

Employees working on an internal part-time basis;
- employees with whom fixed-term employment contracts are concluded for a period of up to 1 - 2 years;
- employees who have undergone advanced training or professional retraining within a year from the date of completion of advanced training or retraining;
- employees appointed to a position by competition within 1 year from the date of appointment;
other.

Another category of workers that you need to pay attention to is young professionals. It is provided for by the same Regulations of 1973, however, with the clarification that young specialists are not subject to certification during the period of compulsory work for their intended purpose after graduation. Since there is almost no such practice now, the issue of certification of yesterday's students is decided by the employer at its discretion.

Periodicity and timing of certification

According to the Regulations of 1973, attestation is carried out periodically, 1 time in 3 - 5 years. The local Regulations on personnel certification should define a specific frequency (for example, “Certification of employees is carried out once every 3 years” or “Certification is carried out once every 4 years), or the frequency of certification (for example, “Not more often than 1 time at 3 years old).

When establishing the frequency of certification, it is highly desirable to determine the start date for this period - from the moment the head of the order (instruction) issues certification or from the date specified in the order (instruction).
Then you should determine the period that is allotted for certification before establishing the results (from the beginning). This period is set by each organization independently, based on the number of staff, the composition of the certification commission and the number of these commissions, the qualification composition of those being certified, etc.
At the same time, one should proceed from the fact that only the personnel inspector is allocated 0.76 man-hours for each employee . This time does not take into account the work of the attestation commission (!), i.e. actual certification.
The optimal period is 3 - 6 months. During this period, the certification of personnel must be fully carried out. So, in trade organizations with the number of attested employees up to 50 people in the 80s, a period of up to 3 months was considered the norm. With a large number of personnel, it was permissible to conduct certification during the year.

If a very large organization, then in order to be able to meet within a reasonable time, phased certification is provided - i.e. distribution of the total number of certified by years within the established frequency.
In the event that it is difficult to determine the timing of the certification in the local Regulations on personnel certification, for example, due to the fact that the staff and its composition are constantly changing, then they can be determined in the order (instruction) on the certification. The possibility of establishing the timing of certification by order (instruction) should be recorded in the local Regulations on personnel certification.

Informing employees

The Regulation of 1973 provides for the mandatory communication to the employee at least 1 month before the start of the certification of information on the timing of the certification, the certification schedule, and at least 1 week before the certification - familiarization of the employee with the feedback submitted to him (characteristics).
This should not be forgotten, but in order not to forget, it is advisable to write it down in the local Regulations on personnel certification.
In addition, it is advisable to determine what other documents that record the passage of attestation, the employee should or can be familiarized with. Naturally, the employee should be given the opportunity to familiarize himself with the final documents for certification, up to the issuance of appropriate copies.

The nature and purpose of certification

Certification, which is carried out in deadlines, is considered the next scheduled certification. However, the personnel service may provide for the possibility of early certification. If it considers that in the future there may be a need for such certification, it is desirable to proceed from the following conditions.
Most often, the following are determined as the reasons for early certification in the inter-certification period:

A) nomination of a candidate for a higher position, if a vacant position has formed;
b) significant omissions or miscalculations in the work, or the commission of a disciplinary offense, the essence of which is the improper, poor-quality performance of official duties. Moreover, omissions in the work of the entire unit can be named as the basis for the certification of all employees of the unit;
c) the request of the employee himself, if he wants to get a higher position or declare himself as a candidate for promotion;
d) the initiative of the head of the organization or other managerial person to check the compliance of an employee hired a year ago who has not passed the next certification. That is, we are talking about an employee who at the time of the certification did not have the necessary certification experience and was not subject to certification, but the need to verify the compliance of his position remained;
e) receiving the grade “conditionally certified”.

One of the most “dangerous” is such a basis as omissions in work and miscalculations. In this regard, the personnel service should familiarize themselves with the decision of the Supreme Court of the Russian Federation dated February 15, 2001 No. GKPI 00-1464, adopted on the application to invalidate certain points of the Regulation on the certification of prosecutors. This document is not directly related to a commercial organization, but the opinion of the Supreme Court of the Russian Federation is of interest, which formulated its position as follows: since certification is carried out to determine the suitability of employees for their position, the presence of significant omissions in work may be the basis for early certification.

Taking into account possible disputes, the personnel service should carefully consider the rules for conducting early certification: the grounds for its conduct and its procedure should be described in detail in the local Regulations on personnel certification. So, it should be determined who the initiative to conduct early certification comes from, how the decision to conduct it is formalized, in what terms it is carried out, what decisions can be made based on the results of this early certification.

Regulations for the work of the attestation commission

In the local Regulations on personnel certification, the scheme of work of the certification commission should be defined in detail, namely:
1) the procedure for holding meetings of the commission;
2) rules for making decisions by the commission and their execution;
3) rules for the preparation by the commission of recommendations to employees.

In the event that these issues remain without proper regulation, then the personnel service needs to prepare for conflicts and disputes with employees.

Participation of the trade union in the certification

Part three of Article 81 of the Labor Code of the Russian Federation provides that when carrying out certification, which may serve as a basis for dismissal of employees in accordance with subparagraph "b" of paragraph 3 of Article 81 of the Code, a member of the commission from the relevant elected trade union body must be included in the certification commission.
We must not forget about this, and in the local Regulations on the certification of personnel it is necessary to determine the form of participation of a trade union representative in the certification.
The inclusion of a trade union representative in the attestation commission is mandatory only if the purpose of the attestation is only to verify the suitability of the position held and, as a result, dismissal of employees is possible. If the attestation has other goals and its results do not provide for the possibility of dismissal, then the inclusion of a trade union member in the attestation commission is not necessary (for example, if the attestation is carried out in order to form a personnel reserve, to increase wage categories, etc., that is, with private purposes).

Certification results

Often, in the local Regulations on personnel certification, assessments such as “certified”, “fit”, etc. are used to indicate the ratings of employees who have passed certification. This creativity can lead not only to internal conflicts, but also to litigation.
The generally accepted assessments of employees based on the results of certification are the assessments “corresponds to the position held” and “does not correspond to the position held”. In rare cases, a third assessment is provided - “conditionally corresponds to the position held” or “corresponds to the position held, subject to the recommendations of the attestation commission”. This intermediate assessment is very important, as it allows the personnel service to influence the employee. However, the actions of the employer when using it must be thoughtful.

Having assessed the employee as “conditionally appropriate for the position”, the employer cannot make a decision to dismiss the employee until he checks whether the employee has complied with the recommendations of the certification commission, that is, he actually re-certifies this employee, for example, in a year. Therefore, it is necessary to prescribe how the extraordinary attestation will be carried out, make a cyclic reference to the procedure for establishing the results of the next attestation and provide that the second time the attestation commission can give only two grades: corresponds or does not correspond to the position held. Otherwise, the personnel department runs the risk of evaluating one employee more than necessary.

Preparation of final certification documents

The lack of a clear list of documents generated during the certification is another common drawback of the local Regulations on personnel certification. As a result, employees do not really understand in which document the “end” is put and they appeal against all documents drawn up based on the results of certification. If the documentation is limited to certification sheets, then the actions of the personnel service to dismiss employees who do not correspond to their positions are disputed as subjective decisions. This problem is removed if the results of the certification are “reduced” into a single document, on the basis of which the head of the organization or an authorized person gives an order to the personnel service about transfers, dismissals, etc.

In order to protect themselves from adverse consequences in the event that an employee appeals against a dismissal under subparagraph “b” of paragraph 3 of Article 81 of the Labor Code of the Russian Federation, it is advisable for the personnel service to think about an extended path, which is formally correct.

Based on the decision of the certification commission, a report on the certification is prepared, in which the personnel service impartially informs the head of the organization of the results of the certification: how many employees correspond to their positions, how many do not. Next, specific proposals for employees are being prepared. On the basis of these documents, the head of the organization issues a general order (instruction) on measures following the results of certification, in which he sets the task for the personnel service to solve all the questions at once:

On transfers to higher positions within the framework of local regulation on the personnel reserve or by individual decision of the head of the organization;
on the assignment of a category;
about increasing salaries, establishing allowances;
on the change or cancellation of allowances;
on lowering the qualification category;
on employee incentives;
on consideration of the issue of transfers or dismissal of employees who do not correspond to their position.

On the basis of this order (instruction), the personnel service prepares separate and individual orders (instructions) for each item: on transfers, on promotion, etc.

Terms of use of certification results

The greatest number of disputes related to the certification arises because the local Regulations on personnel certification do not define the time frame within which the employer has the right to make a decision related to the continuation, change or termination of labor relations with employees. As a result, employees dismissed after 3-4 months after the certification results are established go to court and, by its decision, are reinstated at work.

The Regulations of 1973 established that the head of the organization, taking into account the recommendations of the certification commissions, in the prescribed manner, applies appropriate incentive measures to employees and, in appropriate cases, within a period of not more than 2 months from the date of certification, may decide to transfer an employee who is recognized by the results of certification as not corresponding position, to another job with his consent. If it is impossible to transfer an employee with his consent to another job, the head of the organization may, within the same period, in accordance with the established procedure, terminate the employment contract with him in accordance with the law. Such legislation is currently subparagraph "b" of paragraph 3 of Article 81 of the Labor Code of the Russian Federation.

These moments should be taken into account and described in detail in the local Regulations on personnel certification. In addition, it is necessary to link the period in which a decision can be made to transfer or dismiss an employee with the period of certification (for example, establish that a 2-month period is counted from the moment the head of the organization approves the results of the certification).

Measures of impact on employees

Another legal problem is that in the local Regulations on the certification of personnel, among the measures to influence employees, disciplinary sanctions are often provided.
This is unacceptable for the reason that inconsistency with the position held does not imply the employee’s fault in his lack of sufficient qualifications, and if a dispute arises and is considered in court, the employer’s actions to bring employees to disciplinary liability will be recognized as unlawful, and the provisions of the local regulatory act on personnel certification will be declared invalid on the basis of the fourth part of Article 8 of the Labor Code of the Russian Federation.

The procedure for changing and terminating labor relations based on the results of certification

The procedure for making a decision on the transfer of an employee, on changing essential conditions employment contract and dismissal should be detailed in the local Regulations on personnel certification. Otherwise, the application of the relevant articles of the Labor Code of the Russian Federation becomes difficult.

Let us consider the mechanism for making a decision to dismiss an employee who, as a result of certification, is recognized as inappropriate for the position held.

In the order (instruction), following the results of the certification, the personnel service is instructed to consider the issue of transferring an employee who is recognized as not corresponding to the position held. If there are vacant positions, then the employee, in accordance with part two of Article 81 of the Labor Code of the Russian Federation, must be offered a transfer to these positions. Moreover, the employer this case proceeds from its own assessment of the available positions - whether the employee fits these positions. Mostly lower positions are offered. If the employee refuses to transfer (and in writing) or there are no vacancies, then only in this case the employer can dismiss the employee under subparagraph “b” of paragraph 3 of Article 81 of the Labor Code of the Russian Federation.

In the local Regulations on personnel certification, it is necessary to determine not only the mechanisms for selecting positions, the transfer to which can be offered to an employee who is recognized as inappropriate for the position held, but also the time frame in which such an offer must be made to the employee, the form of the offer, the procedure for obtaining the consent or refusal of the employee from translation.

In addition, one should be prepared for how the courts will resolve labor disputes, guided by the new resolution of the Plenum of the Supreme Court of the Russian Federation “On the application by the courts of the Russian Federation of the Labor Code of the Russian Federation”. If the employee was dismissed under subparagraph "b" of paragraph 3 of Article 81 of the Labor Code of the Russian Federation, then:

1) the conclusions of the attestation commission on the business qualities of the employee will be subject to evaluation in conjunction with other evidence in the case. Knowing this, the personnel service must carefully prepare all materials for an employee who is recognized as inappropriate for the position held, including the preparation of a competent decision of the certification commission;
2) the employer is obliged to provide evidence that the employee refused to be transferred to another job or that the employer was not able (for example, due to the lack of vacancies or jobs) to transfer the employee with his consent to another job in the same organization;
3) if an employee who is a member of a trade union is dismissed, then the employer will have to submit evidence to the court that the certification commission during the certification, which served as the basis for the dismissal of the employee, included a representative from the relevant elected trade union body (part three of Article 82 of the Labor Code RF), as well as:
that the employer, in accordance with Article 373 of the Labor Code of the Russian Federation, held additional consultations with the trade union body if the latter expressed disagreement with the proposed dismissal of the employee;
that the one-month deadline for terminating the employment contract was observed, calculated from the day the employer received a reasoned opinion from the elected trade union body (Article 373 of the Labor Code of the Russian Federation).

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After the publication of the relevant documents, perhaps the most difficult part of the work begins, which falls on the shoulders of HR managers - work to clarify the goals and objectives of certification and overcome the resistance that inevitably arises among employees. First of all, it is important to understand and be able to convey well that attestation is not a punitive measure, but essential tool company development.
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When does an organization need a due diligence assessment?
Personnel appraisal and evaluation system - important element human resource management. Fundamental condition effective work assessment system is its complex nature, taking into account the diversity of tasks solved by a particular organization in common system personnel management. Today, companies use two concepts: assessment and certification of personnel. Let us give the most general definition of these concepts.

Is employee appraisal mandatory? How to organize it properly? What to include in the regulation on certification and what points to pay attention to when developing it? What are the main stages of certification?

30.06.2016

Many employers perceive the certification of employees as something formal. It is understandable: the Labor Code does not contain clear instructions on the procedure and terms for its implementation. Yes, and regulations in this area, intended for commercial organizations, have not been published lately (certification is mandatory only for employees of organizations in certain areas of activity): the legislation basically regulates the procedure for attestation of employees in the public sector. Meanwhile, the results of the appraisal can serve as a basis for dismissing an employee, therefore we recommend that you take the appraisal itself with all responsibility, since labor disputes are not uncommon and in most cases judges take the side of the employee. For information on how to properly organize certification, read this article.

CERTIFICATION: HOW MUCH IS THERE IN THIS WORD…

We will not find the definition of attestation in the Labor Code, but if we turn to dictionaries, we can say that attestation is an assessment of the business qualities and qualifications of an employee in order to establish his compliance with the position held.

The certification results will help optimize the use of labor resources, create additional incentives for the professional growth of employees, form a personnel reserve of the most competent specialists, and also dismiss employees whose qualifications do not meet the requirements for their positions.

Considering the concept of attestation, one cannot ignore the definition of an employee's qualifications, which gives Part 1 of Art. 195.1 of the Labor Code of the Russian Federation: this is the level of knowledge, skills, professional skills and work experience of the employee. The characteristic of the qualification necessary for an employee to perform a certain type of professional activity is determined by the professional standard (part 2 of article 195.1 of the Labor Code of the Russian Federation). Enough has already been developed a large number of such standards. They operate along with qualification guides(CEN and ETKS): the obligation to apply the standards has not yet been established.

However, from July 1, 2016 Art. 195.3 of the Labor Code of the Russian Federation, according to part 1 of which all employers will be required to comply with professional standards, for whose employees laws or regulatory legal acts establish special requirements. These are medical and pedagogical workers, auditors, contract service workers, etc., that is, those to whom federal laws impose qualification requirements (in particular, to their education).

Based on part 2 of this article, the characteristics of the qualifications contained in professional standards and the mandatory application of which has not been established, will be used by employers as the basis for determining the requirements for the qualifications of employees, taking into account the specifics of the labor functions performed by employees, due to the technologies used and the adopted organization of production and labor.

Thus, at present, employers use both qualification reference books and professional standards to determine the qualifications of an employee in order to establish his compliance with the position held.

Question

Is employee appraisal mandatory?

Certification may be legislative acts and be mandatory. For example, attestation is usually carried out in budgetary institutions in relation to state and municipal employees (pedagogical workers, art workers, medical workers, etc.). But for commercial organizations, so to speak, private companies, certification is optional, unless the company carries out the type of activity where the mandatory certification is established by law. For example, if an organization or individual entrepreneur performs (renders) auxiliary work (services) in the course of transportation by rail, certification of their employees is mandatory (Article 13 of the Federal Law of 10.01.2003 No. 17-FZ “On Railway Transport in the Russian Federation”). And by virtue of Art. 9 of the Federal Law of July 21, 1997 No. 116-FZ “On industrial safety hazardous production facilities” organization operating hazardous production facilities(objects where flammable, oxidizing, combustible substances are obtained, used, processed, formed, stored, transported and destroyed) should ensure the training and certification of employees.

WE DEVELOP A LOCAL ACT

Part 2 of Art. 81 of the Labor Code of the Russian Federation provides that the procedure for attestation is established by labor legislation and other regulatory legal acts, local regulations adopted taking into account the opinion of the representative body of employees.

Accordingly, if the management has decided on the need for certification of employees in the company, it is necessary to develop a local regulatory act regulating the procedure for its implementation.

Before proceeding with the development of such a local act, it is necessary to analyze the positions and work existing in the company for the mandatory certification, and if any are identified, then the provisions of the regulations governing the certification procedure for them must be taken into account. If the company does not have such positions and jobs, the employer is free to establish the certification procedure. However, we still recommend that you navigate:

to the Decree of the State Committee for Science and Technology of the USSR No. 470, the State Committee for Labor of the USSR No. 267 dated 05.10.1973 “On Approval of the Regulations on the Procedure for Certification of Managerial, Engineering and Technical Workers and Other Specialists of Enterprises and Organizations in Industry, Construction, Agriculture, Transport and Communications” (hereinafter referred to as the Decree No. 470/267);
on the Regulations on the procedure for attestation of executives, scientific, engineering and technical workers and specialists of research institutions, design, technological, design, survey and other organizations of science, approved by the Decree of the State Committee for Science and Technology of the USSR No. 38, Gosstroy of the USSR No. 20, Goskomtrud of the USSR No. 50 dated 02/17/1986.

It should be noted that the courts quite often refer to the named normative acts when considering disputes on the reinstatement of employees dismissed as a result of certification. For example, in the Ruling of the Moscow City Court dated September 10, 2015 No. 4g / 8-7875 / 2015, the panel of judges concluded that the provision on attestation of an LLC worsens the position of employees compared to Resolution No. 470/267 and cannot be applied. Since the plaintiff, in accordance with the named provision, is classified as a person not subject to certification, the certification carried out by the employer in relation to her is illegal, in connection with which the dismissal under paragraph 3 of part 1 of Art. 81 of the Labor Code of the Russian Federation.

What to include in the regulation on certification and what points to pay attention to when developing it? We present the answers in a table.


The concept of certification, its objectives and goals	The goals of certification may be to establish a system of incentives and the need for advanced training of employees, to determine the level of qualifications of employees to optimize production processes in the future or to increase those being certified in positions.
	In particular, according to Decree No. 470/267, persons who have worked in their position for less than one year, young professionals during the period of compulsory work for their intended purpose after graduation from educational institutions, pregnant women and women with children under the age of one year do not undergo the next certification
Terms of certification	The terms of certification can be set depending on the goals and objectives of its implementation, as well as on the categories of employees subject to certification. In practice, a planned (regular) certification is distinguished (a feature of such certification is that it is carried out at certain intervals (every six months, a year,
	three years, etc.)) and unscheduled (extraordinary) certification (this certification is carried out only when the fact of the need for it is revealed, for example, if problems arise in the work of a particular structural unit (manufacturing of low-quality products)). Here we also recommend that you indicate the point on the timing of the certification for certain categories of employees who did not pass it along with the rest of the employees (after parental leave, etc.), as well as the duration of its implementation
Forms of attestation	Oral - interview. It can be carried out both individually and collectively. During such an interview, the commission asks the employee questions of interest to her, invites him to evaluate his work and hears the employee's opinion on what the employer can do to improve the result of work. Written - filling out tests, questionnaires. This form of certification provides an equal approach to assessing the level of professional training and knowledge of each certified employee. Mixed - oral interview with a mandatory written response to the questions of the test or questionnaire
Composition and powers of the attestation commission	This section defines the composition of the attestation commission with the distribution of functions of its members. As a rule, the commission includes a chairman, members of the commission (including the deputy chairman), a secretary, and a representative of the trade union (if any) (part 3 of article 82 of the Labor Code of the Russian Federation). Also, the commission may include experts from among highly qualified employees with sufficient knowledge in a particular area, which allows an objective assessment of the qualifications of employees subject to certification, as well as heads of relevant departments
Criteria for evaluation	Evaluation criteria are established based on the complexity of the work performed, as well as on the duties assigned to the employee. Therefore, it is possible to determine the correspondence of an employee’s qualifications to the work performed by him only if the employee’s functions are described as clearly as possible in the employment contract (job description). If he is recognized as inappropriate for his position, and his official duties are not documented, disputes may arise. Employees subject to certification should be familiar with such criteria in advance, before certification.
The procedure for conducting certification, in particular, the procedure for notifying employees about it, holding a meeting of the certification commission, voting, keeping minutes of the meeting of the certification commission, familiarizing employees with the results of certification after a decision is made by members of the commission	The certification procedure should be described in as much detail as possible. For example, you can describe the procedure for keeping minutes of the meeting of the attestation commission, indicate the obligation to fill it out, present the form of the protocol and the procedure for its approval and familiarize employees with the results of attestation after the decision is made by the members of the commission. It would be good to fix the type of voting (open (in the presence of the person being certified) or closed (without the participation of the employee)) for making a decision, as well as provide a list of reasons that are valid and in the presence of which the certification can be postponed to another date. It is also necessary to establish a unit or person responsible for preparing materials for submission to the certification commission (this may be, for example, a legal adviser or a personnel department), whose job responsibilities include participation in the certification, and also reflect the stages of preparation for the certification: the formation of lists employees subject to certification, informing the heads of departments about the need to submit characteristics or certification sheets for employees, drawing up a schedule for certification, etc.
Certification results	In this section, it is necessary to fix the types of decisions that can be made in relation to the person being certified (for example, the employee corresponds to the position held and is recommended for transfer in order of promotion, the employee corresponds to the position held and is recommended for inclusion in the personnel reserve, the employee corresponds to the position held, the employee does not appropriate for the position). In the same section, you can specify the period during which the employer must comply with the recommendations of the certification commission

Of course, in a local act there may be other sections necessary for a particular organization. Additionally, usually by an application, forms of documents are introduced (for example, minutes of a commission meeting, an attestation sheet, etc.).

After agreeing on all sections of the regulation on the certification, it is approved by the head of the organization: either by issuing an order, or by stamping “Approved” signed by the head. Note that if the regulation is approved by an unauthorized person, then the results of the certification, even if carried out in accordance with the rules established in the organization, will be declared illegal (see, for example, the Appeal ruling of the Court of Chukotka autonomous region dated October 27, 2014 in case No. 33-173/14, 2-25/14).

Remember, the approved regulation on the certification of employees should be read under the signature. In the event of a labor dispute, the employer is obliged to provide evidence that the employee was informed about the possibility of assessing the results of his work and his personal business qualities in the form of certification and that the employee may be dismissed based on the results of the certification.

CERTIFICATION PROCEDURE

Having approved the regulation on the certification, you should not think that the work is over: it is not enough to write everything down on paper, you still need to organize the certification and conduct it. Usually certification is divided into several stages:

preparation for certification;
certification;
Summing up and taking measures based on the results of certification.

Let's consider these stages in more detail.

At the stage preparation for certification it is necessary to create an attestation commission. This is done by order, and you can issue a separate order to create a commission, or you can write it in the order to conduct certification. Let's take an example.

Mir Limited Liability Company

(Mir LLC)

01/12/2016 Nizhny Novgorod

on certification in 2016

For the purpose of an objective assessment of the professional and business qualities of employees of Mir LLC and in accordance with the regulation on certification of employees approved on March 18, 2014,

I order:

1. To conduct attestation, create an attestation commission consisting of:

Chairman of the Commission - HR Director I. I. Ivanova;
Deputy Chairman of the Commission - Chief Accountant I. A. Petrova;
commission members: senior inspector of the personnel department O. I. Sidorova;

head of the sales department I. P. Vasechkin;

secretary of the commission - office manager E. A. Smirnova.

2. Approve the schedule for the certification of employees for 2016 (attached).

3. Heads of structural divisions, by 02/08/2016, prepare and submit to the certification commission all Required documents for qualified employees.

4. HR Director I. I. Ivanova, by February 1, 2016, to familiarize the employees, in respect of whom the next certification is being carried out, with this order and the approved certification schedule.

5. I reserve control over the execution of this order.

Director Korolev P. L. Korolev

Familiarized with the order:

HR Director Ivanova, 01/12/2016 I. I. Ivanova

Chief Accountant Petrova, 01/12/2016 I. A. Petrova

At the same stage, a schedule for the certification of employees is being developed. It is necessary to indicate in it not only the full name of the employees and the names of the positions they hold, but also the date, time and place of the certification, as well as provide a list of documents required for submission to the certification commission. In addition, be sure to provide a column in the schedule for familiarizing the employee, where he will put his signature. If an employee refuses to get acquainted with the certification schedule, it is necessary to make an appropriate mark in the schedule and draw up an act confirming this.

The person responsible for the preparation for the commission of documents on certified workers, for preparatory stage draws up and collects the documents necessary for certification: reviews, characteristics, questionnaires, reports, etc.

Next stage - certification. The procedure itself takes place in a designated place. Certification must be carried out in the presence of the certified employee and his immediate supervisor. In the event that an employee fails to attend a meeting of the attestation commission without good reason or refuses to undergo an attestation, the commission may conduct an attestation in his absence.

For your information

Certification without an employee is allowed only if the employee is familiarized in writing with the date of the certification. In this case, the employer has the right to bring the employee to disciplinary liability.

During the meeting, the commission hears the immediate supervisor of the person being certified (he briefly evaluates his professional, business and personal qualities), reviews the submitted documents, asks questions to identify the level of professional knowledge, conducts a written test of the level of professional training and knowledge of each employee being certified.

Note that it is important to correctly compose written assignments or ask oral questions. For example, in the Appellate Ruling of the Krasnoyarsk Regional Court dated December 24, 2014 in case No. 33-12241, an employee dismissed for inconsistency with his position due to insufficient qualifications, confirmed by the results of the certification, was reinstated because the defendant violated the certification procedure: the questions indicated in the certification sheet, do not meet the requirements of the job description, there are no answers from the plaintiff to the questions of members of the commission.

For your information

The assessment of an employee is based on his compliance with the qualification requirements for the position held, set out in his job description, employment contract. In this case, the professional knowledge of the employee, work experience, advanced training, retraining and other objective data should be taken into account.

The results of the attestation are recorded in the attestation sheet (its form is usually approved by a local normative act), which is signed by the chairman, deputy chairman, secretary and members of the attestation commission who are present at the meeting and take part in the vote. The certified employee must be familiar with the certification sheet for signature.

Certification is accompanied by the maintenance of a protocol in which all information is entered, including the assessment of the employee's qualifications. Then the members of the commission hold a discussion and make a decision on each certified person in the manner prescribed by the regulation on certification (open or closed voting, in the presence or absence of an employee, etc.). The decision of the commission is fixed in the protocol and brought to the attention of the employees under the signature within the established time limits. After the certification procedure is completed, the relevant information is entered into the employee's personal card.

The final stage certification is the adoption by the employer of a decision, which is drawn up by order. Based on the results of the attestation, some of the attested may be encouraged or offered to be transferred to a higher position, and someone will probably be fired.

With such an order (on the results of certification) it is necessary to familiarize all interested employees.

SUMMARIZE

As you understand, personnel certification is a rather complex and multi-stage process. Therefore, the employer needs to seriously approach the creation of its own provision on the certification of employees and take into account all the nuances of the peculiarities of labor relations in the organization and the norms of the law. In addition to such a local act, in any organization that decides to conduct certification of employees, there must be an order for certification, a certification schedule, an order for approving the certification commission and a regulation on its work, minutes of the commission meeting, examination documentation various qualities employee, as well as other documents, information about which and the forms of which may be contained in the regulation on certification. If everything is done correctly, it will be difficult for the employee to challenge the inadequacy of the position held.

Introduced by Federal Law No. 122-FZ of May 2, 2015 “On Amendments to the Labor Code of the Russian Federation and Articles 11 and 73 of the Federal Law “On Education in the Russian Federation”.