Order of the Ministry of Internal Affairs of the Russian Federation of March 26, 2013 N 161
"On approval of the procedure for conducting an internal audit in the bodies, organizations and divisions of the Ministry of Internal Affairs Russian Federation"
With changes and additions from:
July 2, 2014, April 20, September 22, 2015, November 14, 2016, June 19, 2017, November 12, 2018
4. I reserve control over the implementation of this order.
______________________________
*(1) Collection of Legislation of the Russian Federation, 2011, N 49, Art. 7020; 2012, N 50, art. 6954.
Registration N 28587
The procedure for conducting an internal audit in the bodies, organizations and divisions of the Ministry of Internal Affairs of Russia has been approved.
It is about checking central office, territorial bodies, educational institutions, research, medical and sanitary and sanatorium organizations, district departments of logistics of the Ministry's system, other organizations and divisions created to fulfill the tasks and exercise the powers of the internal affairs bodies.
Grounds for verification - the need to identify the causes, nature and circumstances of a disciplinary offense committed by an employee, verify the fulfillment of restrictions, duties and prohibitions related to police service, as well as the employee's statement.
The decision to conduct an audit must be made within 2 weeks. It must be completed no later than one month.
The procedure does not apply to federal civil servants and employees of bodies, organizations and departments of the Ministry.
The order on the approval of the Instruction on the procedure for organizing and conducting internal audits in the bodies, divisions and institutions of the Ministry's system is considered to be invalid.
Order of the Ministry of Internal Affairs of the Russian Federation of March 26, 2013 N 161 "On approval of the Procedure for conducting an internal audit in bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation"
Registration N 28587
This Order shall enter into force 10 days after the date of its official publication.
This document has been modified by the following documents:
Order of the Ministry of Internal Affairs of Russia dated November 12, 2018 N 759
During execution official duties employees are responsible for the entrusted property and equipment. If, as a result of emergencies, loss or damage to company property was discovered, management initiates an internal audit.
Reasons for an internal audit
The main purpose of the event is to study the circumstances of the incident and search for the perpetrators. Based on the results, the degree of responsibility of the employee is determined:
- misconduct of a disciplinary nature;
- offense;
- crime.
This will depend on the punishment applied against him.
The appointment of an internal audit is regulated articles 192-195 of the Labor Code of the Russian Federation. You can initiate it for the following reasons:
- damage to the organization's financial assets;
- loss or damage to material and property values in work time;
- negligent performance or non-performance of official duties;
- violation of labor discipline and safety;
- declassification of information that is a trade secret.
According to regulations labor law (Art. 247 TK), the employer of the offending employee is obliged to internal audit in order to establish the guilt of a citizen and determine the amount of compensation for the harm caused.
The amount of damage is understood as the cost of damaged equipment, workplace and other physical objects. Potential profit lost as a result of production interruption due to violation is not classified as damage.
Check procedure
The work of the commission to investigate the details and circumstances of the violation occurred is documented:
- Members of the commission are approved by the order of the head. It may consist of employees of the enterprise, but it is not forbidden to involve representatives of third-party audit organizations.
- Responsible for maintaining documentation on the progress of the audit is appointed.
- An order for an official investigation is issued. All the mentioned persons must be familiarized with its content: the composition of the commission, the employee who maintains the documentation, the delinquent employee, the representative of the trade union (if any at the enterprise).
- The director or person responsible for the audit requests a written explanation from the employee about the violation.
IMPORTANT! If the perpetrator of the violation refused to provide a memorandum, an appropriate act is drawn up in the presence of two witnesses.
After documentation expert commission gets to work. Based on its results, a meeting is held where they announce:
- the reason for the violation;
- the amount of damage in monetary terms;
- list of persons responsible for damage or loss of property.
At the end of the meeting, an inspection report is drawn up, in which a decision is made to punish the offending employee.
ATTENTION! Before approving the chosen measure of punishment and the amount of damages, the director must apply to the union for approval. Without taking into account the opinion of this body, the employee will be able to appeal against the punishment in labor inspectorate and declare it invalid.
If there is no trade union in the organization, the manager can immediately issue an act.
Terms of the internal investigation
Service check must be carried out within a month from the date of issuance of the appointment order, when it is initiated by management. If the investigation was initiated on the basis of the employee's memo, the countdown starts from the moment it is received.
This period excludes the days when the offending employee was temporarily unable to work or was on vacation. Also, the period required by the commission for the preparation and announcement of the audit results is not taken into account. In any of the options, the delay cannot be more than six months.
Rules for drawing up an order
The Labor Code does not unified form order for the appointment of an internal audit. You can make it in free form or use the internal form of the enterprise.
- Full name of the enterprise with indication of its form.
- Information about the violation: short description, full name and position of the employee, date of the incident.
- The list of persons who are members of the commission, their positions, full names, goals and objectives for each.
- Full name and position of the person responsible for monitoring the execution of the order.
- Details of the document that served as the basis for issuing the order: registration number and date of compilation.
- Date of writing the order and its entry into force (if they differ).
- Signatures of all persons appearing in the order and the head.
ATTENTION! The document may be in writing or printed form but all signatures are handwritten.
Some cases that occur in the course of the activities of certain institutions and organizations attract Special attention guides.
In certain cases, a whole range of actions is required to establish the facts of what happened, the causes and possible consequences for the organization or its employees - an internal investigation.
Stages of an official investigation
Checks in the form of official investigations are appointed in cases that are quite out of the general scope of the normal labor activity. Often, these are serious misconduct of a disciplinary nature or emergency situations that occurred at work.
An official or internal investigation is carried out in order to establish the culprit or the degree of guilt of an employee of the company in what happened, the facts that served as a motive or cause, actions, consequences that led or could have led to a certain action or situation.
The conduct of the service is initiated by the desire of the leader, when he becomes aware of such circumstances, which it is not possible to draw an objective conclusion about in the usual way or from the reports of subordinates.
In cases of industrial accidents or damage to health, service checks are necessary, since this is not only a requirement of the law, but also a real necessity, since the damage caused requires punishment of the perpetrators and proportionate compensation.
An official investigation is carried out by a special group of authorized employees - a commission appointed by the management. The head of the company himself can also take part in the work of such a commission and manage it, or simply after receiving the result of the group's work, analyze it.
All actions of the commission for conducting an internal audit begin, and the commission itself is convened, after the issuance of the corresponding order. The head in the document fixes the powers of the members of the commission during an official investigation, fixes its numerical composition. An order to conduct an internal investigation, a sample of which can be downloaded on the website, describes the incident that requires an internal audit.
The results of an internal investigation may entail not only disciplinary liability to the employer, but may well serve as grounds for initiating a criminal case or filing a civil suit against the guilty person. Based on the serious consequences of such an event, it is required to carry out an internal audit of sufficient quality, fully analyzing all the causal relationships and motives of the persons who were participants in the event that required an investigation.
1. An internal audit is carried out by decision of the head of the federal body executive power in the field of internal affairs or an authorized head, if necessary, to identify the causes, nature and circumstances of a disciplinary offense committed by an employee of the internal affairs bodies, confirm the presence or absence of the circumstances provided for in Article 14 of this federal law, as well as at the request of the employee.
2. An employee of the internal affairs bodies who is directly or indirectly interested in its results cannot participate in an internal audit. In this case, he is obliged to submit to the head of the federal executive body in the field of internal affairs or the authorized head who made the decision to conduct an internal audit, a report on his release from participation in the conduct of this audit. In case of non-compliance said requirement the results of an internal audit shall be considered invalid, and the period of the audit established by paragraph 4 of this Article shall be extended by ten days.
3. When conducting an internal audit in relation to an employee of the internal affairs bodies, measures must be taken to objectively and comprehensively establish:
1) the facts and circumstances of the commission of a disciplinary offense by an employee;
2) fault of the employee;
3) the reasons and conditions that contributed to the commission of a disciplinary offense by an employee;
4) the nature and extent of the harm caused by the employee as a result of committing a disciplinary offense;
5) the presence or absence of circumstances preventing the employee from serving in the internal affairs bodies.
4. An internal audit is carried out within thirty days from the date of the decision to conduct it. By decision of the head of the federal executive body in the field of internal affairs or an authorized head, the term for conducting an internal audit may be extended, but not more than for thirty days. The term of the internal audit does not include periods of temporary disability of the employee of the internal affairs bodies, in respect of whom the internal audit is carried out, his being on vacation or on a business trip, as well as the time the employee is absent from the service for other valid reasons.
(see text in previous edition)
5. The results of an internal audit shall be submitted to the head of the federal executive body in charge of internal affairs or to the authorized head who has made the decision to conduct an internal audit, within writing in the form of a conclusion no later than three days from the date of completion of the audit. The specified conclusion is approved by the head of the federal executive body in the field of internal affairs or the authorized head who made the decision to conduct an internal audit, no later than five days from the date of submission of the conclusion.
6. An employee of the internal affairs bodies in respect of whom an internal check is carried out:
1) is obliged to give explanations in writing on the circumstances of the internal audit, if this is not related to self-incrimination;
2) has the right:
a) submit applications, petitions and other documents;
b) appeal against decisions and actions (inaction) of employees conducting an internal audit to the head of the federal executive body in the field of internal affairs or an authorized head who made a decision to conduct an internal audit;
c) get acquainted with the conclusion based on the results of an internal audit, if this does not contradict the requirements of non-disclosure of information constituting state and other legally protected
Before an employee is held liable for violation of labor standards, the employer issues an order to conduct an internal investigation. This local act the head of the organization begins to check the circumstances that may become the basis for bringing the employee to disciplinary action. Or .
The procedure for applying a disciplinary sanction is established by Art. 193 Labor Code RF. And the recovery procedure material damage- Art. 247 and 248. Based on the results of the check, an act of an internal investigation () is issued.
An example of an order for an internal investigation
Society with limited liability"Egoist"
Order No. 142 on conducting an internal investigation
May 11, 2022 Kaliningrad
In connection with the inventory carried out at Egoist LLC and the established fact of a shortage of valuables in warehouse No. 1,
I order:
- Conduct an internal investigation into the shortage of valuables in accordance with the dated 05/04/2022 in order to establish the conditions, causes, circumstances, persons responsible for causing damage and other facts.
- Establish a commission to conduct an internal investigation to establish the causes and circumstances of the shortage of inventory items in warehouse No. 1 in the following composition: chairman of the commission: head of the personnel department Pyrov Viktor Orkhovich, members of the commission: head of the security service Dimitrov Pavel Sergeevich, Chief Accountant Ivleva Inna Romanovna
- Commission to conduct an internal investigation by June 1, 2022. Responsible: Chairman of the Commission.
- I am responsible for the execution of this order.
CEO Arkhipova Arkhipova S.T.
Familiarized with the order:
Chief Accountant Ivleva Ivleva I.R.
Head of Human Resources Pyrov Pyrov V.O.
Director of security Dimitrov Dimitrov P.S.
Grounds for issuing an order to conduct an internal investigation
The reasons for issuing the order underlie the reasons for the inspection. Has the fact of violation of labor discipline or material damage to the employer become significant? Does he intend to use disciplinary action? It is necessary for persons to establish the fact and amount of damage?
Often a document includes such a column as a base. That is, some document that became the basis of the verification. This may be a memorandum, an inventory act, etc.
The head of the organization must remember that the order to conduct an internal investigation, the procedure and the final Act itself often become the subject. All labor laws must be observed. And, in fact, the order can also become evidence in the case.
The content of the order of internal investigation
The form of the order for an official investigation is not established by law and other acts of the authorities. Each employer develops its own form. Which is applied when necessary.
- name of organization (IP)
- document name: "order", number, date and place of compilation
- the basis for the investigation is a shortage, a violation of labor protection, a consumer claim, etc.
- order to investigate. It is very convenient to immediately create a Commission of Inquiry, otherwise you will have to issue a separate order
- set a deadline for the end of the audit and responsible persons
- signature of the head (authorized by a power of attorney from a legal entity)
The order to conduct an internal investigation may include the column "reason" and coordination with interested employees. By the way, if a check is scheduled for a specific employee, he must be familiar with the order to conduct an internal investigation.
