HR documents: the minimum set for an employer in Kazakhstan

An entrepreneur hiring an employee for the first time usually does not know which document to start with and what a labour inspector will check. The same questions arise for a private client who needs to restore or confirm their employment rights. The absence of HR documents does not remove the employer's obligations, but it creates the risk of disputes with the employee and comments during an inspection.

From this article you will learn which set of HR documents is mandatory, how to draw up an employment contract and an order, how a fixed-term contract differs, how to keep personnel files, timesheets and schedules, what changes on dismissal and how long documents are retained.

Which HR documents every employer must have

The Labour Code of the Republic of Kazakhstan obliges an employer to keep HR documentation regardless of the form of ownership and the number of employees. The absence of mandatory documents is a violation of labour legislation and entails administrative liability under the Administrative Offences Code of the Republic of Kazakhstan. The minimum set is formed before the first employee is hired and is kept by the employer.

The basis is the internal labour regulations and the staffing table: they record the working regime, structure and headcount. A written employment contract is drawn up for each employee and an employment order is issued. Data on employment activity is kept in the unified system for recording employment contracts.

• internal labour regulations — working hours, rest, discipline;
• staffing table — structure, positions and salaries;
• employment contracts with employees — in written form;
• employment orders and personnel orders;
• working time sheet — hours actually worked;
• registers of HR documents — control over the movement of documents.

The list of mandatory documents may be clarified depending on the industry and the number of employees.

HR documents for a first hire: where an entrepreneur should start

A first hire begins with the employer's internal documents. Before the employment contract is signed, the internal labour regulations, the remuneration policy and the policy on the protection of employees' personal data are approved. These local acts are adopted under the Labour Code of the Republic of Kazakhstan and are brought to the employee's attention against signature.

Orders on personnel matters are then issued: on hiring and on appointing responsible persons. An agreement on full material liability is concluded with an employee who is materially liable. Where there are production risks, occupational health and safety documents and instructions on safe working methods are prepared.

• Internal Labour Regulations
• Remuneration Policy
• Policy on the Protection of Personal Data
• Order on hiring and appointing responsible persons
• Agreement on full material liability, if required
• Occupational health and safety instructions

How to draft an employment contract: mandatory terms under the Labour Code of the Republic of Kazakhstan

An employment contract in Kazakhstan is concluded in writing and must contain the information and terms set out in Article 28 of the Labour Code. The information covers the details of the parties: the employee's full name, IIN, identity document details, the employer's name and BIN, as well as the place of work, start date, position and structural unit if this affects the working conditions.

Mandatory terms: working time and rest regime, the amount and procedure for remuneration, the characteristics of working conditions, guarantees and compensations, the term of the contract and the ground for its fixed term. Additional terms on probation, material liability or non-disclosure are permitted if they do not worsen the employee's position.

• Details of the employee and employer with identification data
• Place of work and start date of the employment relationship
• Position, speciality, qualification and structural unit
• Term of the contract and the ground for its fixed term
• Working time and rest time regime
• Amount and procedure for remuneration, guarantees and compensations

Fixed-term employment contract: when it can be concluded and how to formalise it

A fixed-term employment contract is concluded where the relationship cannot be established for an indefinite period because of the nature of the work or the conditions in which it is performed. Article 30 of the Labour Code of the Republic of Kazakhstan provides a closed list: a definite term of at least one year, the time needed to perform specific work, replacing a temporarily absent employee, seasonal work, and the term of a permit to attract foreign labour. The contract must expressly state the ground for the fixed term and the term itself.

It is prohibited to conclude a fixed-term contract without a lawful ground. Under Article 30 of the Labour Code of the Republic of Kazakhstan, such a contract is as a general rule concluded for at least one year, and if neither party has notified the other of termination on the last working day, it is deemed extended for the same term. A contract may be extended no more than twice: if the employment continues further, it is deemed concluded for an indefinite period, and the employee can no longer be dismissed on expiry of the term. The ground must be real and supported by documents at the time of signing.

The employment order and other HR documents on hiring

The employment contract is signed before the employee is allowed to start work, and the hiring itself is formalised by an act (order) of the employer issued on the basis of the contract already concluded — Article 34 of the Labour Code of the Republic of Kazakhstan. The order states the position, structural unit, start date, type of employment contract and the remuneration terms in accordance with the contract. The details in the order must match the terms of the employment contract. The employee is made familiar with the order against signature.

At the same time, the employee is made familiar against signature with the local acts: the internal labour regulations, the remuneration policy and the occupational health and safety policy. If the work involves material liability, the relevant agreement is concluded. Familiarisation is confirmed by the employee's signature on an acknowledgement sheet or in the document itself.

• employment contract signed by the parties
• employment order
• acknowledgement sheet for the local acts
• material liability agreement, if required for the position
• details entered into electronic employee records systems
• documents confirming the employee's familiarisation with the documents against signature

HR documents do not exist for the sake of inspectors: they are what restores the working conditions, the amount of payments and the date of dismissal when a dispute arises between the parties.

Personnel files, cards and registers: how to keep internal HR documents

Personnel files are not mandatory: the Labour Code of the Republic of Kazakhstan does not require a file to be opened for every employee. The employer decides, recording this in a local act or the internal labour regulations, and describes the procedure for forming, maintaining and storing files in a separate instruction.

The employee record card is a mandatory accounting form: details of hiring, transfers and dismissal are entered on the basis of orders. A register of employment contracts and a register of personnel orders are also kept if the record-keeping system so provides. Timekeeping registers for cumulative working time accounting and holiday schedules are mandatory: the order of holidays is determined each year by a schedule approved by the employer taking into account the views of employees, and by agreement of the parties a holiday may also be granted outside the schedule.

• employee's personal record card — a mandatory form for all employers
• register of employment contracts — maintained at the employer's discretion
• log of HR orders — a records management form
• holiday schedule — approved by the employer annually, taking into account the views of employees
• personal files — maintained only where a local act provides for it
• records nomenclature — determines the retention periods and procedure for storing HR documents

Holiday schedule, timesheets and payroll documents: mandatory HR documents in practice

HR work in Kazakhstan is accompanied by documents confirming the performance of employment duties and the employer's administrative decisions. Working time is recorded using the primary accounting forms approved by the authorised body, or using forms approved by the employer itself. The timesheet reflects attendance, absences, overtime, night work and days off, and serves as the basis for calculating wages.

Holidays are formalised by a schedule and orders, and where necessary by the employee's application. The schedule is drawn up taking into account the Labour Code of the Republic of Kazakhstan on annual paid leave and is communicated to employees. HR orders record hiring, transfer, leave, incentives and termination of the contract, and are kept in the employee's file.

• Internal labour regulations and staffing schedule
• Holiday schedule and orders granting leave
• Working time records
• HR orders (hiring, transfer, termination of contract)
• Employee personal record cards and employment contracts
• Pay slips

Amendment and termination of the employment contract: which HR documents are drawn up

HR decisions to change working conditions are documented in writing so that the parties have confirmation of the arrangements. When transferring to another position or another department, an addendum to the employment contract is signed and the manager issues a transfer order; the employee's acknowledgement is confirmed by signature.

A change to the terms of the employment contract agreed by the parties for reasons connected with changes in organisational or technological working conditions is formalised by notifying the employee and then by an addendum, or by an order if the employee agrees to continue working. Combining professions and expanding the service area are formalised by an addendum stating the type and scope of the additional work.

Retention periods for HR documents: what to keep and for how long

Retention periods for HR documents are determined by the List of Standard Documents with retention periods. The employer must ensure the documents are preserved for the established periods and, once these expire, destroy them in accordance with the established procedure.

HR documents are broadly divided into two groups: long-term documents relating to the employment relationship and confirmation of the employee's rights, and temporary documents reflecting current activity. An error in determining the retention period leads either to premature destruction of documents or to an accumulation of archive material.

Long-term retention covers documents confirming the employee's length of service, working conditions and social guarantees. Their loss complicates confirmation of rights when benefits are awarded and when disputes are resolved.

• Employment contracts and addenda thereto
• HR orders (hiring, transfer, dismissal)
• Employee personal record cards and personal files
• Documents on attestation, training and professional development
• Occupational health and safety documents, including inductions and accidents
• Timesheets and payroll calculations

Typical mistakes in HR documents and their consequences

In practice, it is more often the content of documents that suffers, not their set: the internal labour regulations have not been brought to employees' attention against signature, hiring orders diverge from employment contracts, and job descriptions are not mentioned in the contract. The second group is the absence of written confirmations: familiarisation with local acts, issue of a copy of the contract, and consent to the processing of personal data are all done verbally.

Defects come to light during an inspection by the authorised labour body and in an individual labour dispute, which is first considered by the employer's conciliation commission and then by a court on unresolved issues or where its decision is not complied with: a document not signed by the employee confirms neither familiarisation nor consent to a condition. The consequences are orders to remedy violations, administrative liability under the Administrative Offences Code, and in a dispute, doubts interpreted in favour of the employee.

• The internal labour regulations are approved, but there are no employee signatures confirming familiarisation.
• The hiring order diverges from the terms of the employment contract.
• The job description is not mentioned in the contract and has not been given to the employee.
• There is no confirmation that the employee received a second copy of the employment contract.
• Changes to working conditions were made without the employee's written consent.
• Personal data is processed without formalised consent.

HR document inspection: how to prepare

An HR document inspection starts with local acts and individual employee documents. The Labour Code of the Republic of Kazakhstan treats the internal labour regulations, remuneration policies, staffing schedule, hiring orders, employment contracts and familiarisation records as mandatory. State labour control bodies and the prosecutor's office look not only at whether the papers exist, but also at whether they match the actual relationship with the employee.

An internal audit is conveniently carried out in three areas: employer documents, documents for each employee, and confirmation of familiarisation. The staffing schedule is checked against orders and contracts, retention periods, signatures and dates are verified, as are the formalisation of changes to working conditions, transfers, holidays and disciplinary sanctions. Discrepancies are recorded in a report and remedied before the inspectors arrive. Typical violations: absence of mandatory local acts, failure to familiarise employees, a mismatch between the date of the order and the date of the contract. Backdating is unacceptable; a document must reflect the actual event and date. If a violation has occurred, a current document is drawn up and, where necessary, a report on the reasons for the discrepancy. This reduces the risk of administrative liability following an inspection.

• Internal labour regulations and remuneration policies
• Staffing schedule and personnel orders
• Employment contracts and additional agreements to them
• Registers of employee familiarisation with local acts
• Personal cards and employee education documents
• Holiday schedules and timesheets

The list of mandatory HR documents depends on the number of employees and the type of activity.