2. Present Order does not apply to federal state civil servants and employees of bodies, organizations and divisions of the Ministry of Internal Affairs of Russia.
3. An internal audit is carried out in accordance with the Federal Law of February 7, 2011 N 3-FZ "On the Police" * (2), Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies Russian Federation and amendments to certain legislative acts of the Russian Federation "* (3) , the Disciplinary Charter of the internal affairs bodies of the Russian Federation, approved by Decree of the President of the Russian Federation of October 14, 2012 N 1377 * (4) .
4. On the facts of disclosure by an employee of the internal affairs bodies of the Russian Federation * (5) of information constituting a state secret, the loss of carriers of such information, other violations of the secrecy regime in bodies, organizations and divisions of the Ministry of Internal Affairs of Russia, official investigations are carried out in the manner prescribed by the Decree of the Government of the Russian Federation dated January 5, 2004 N 3-1 "On approval of the Instructions for ensuring the regime of secrecy in the Russian Federation".
5. An internal audit is carried out by decision of the Minister of Internal Affairs of the Russian Federation * (6), Deputy Minister, head (head) of a body, organization or unit of the Ministry of Internal Affairs of Russia, deputy head (head) territorial authority Ministry of Internal Affairs of Russia at the district, interregional or regional levels, the head (head) of the structural unit of the territorial body of the Ministry of Internal Affairs of Russia at the district, regional levels, which includes a personnel unit, in relation to an employee of the internal affairs bodies * (7), subordinate to him in service.
6. Decision to conduct internal check in relation to an employee of the internal security subdivision of the internal affairs bodies (with the exception of employees of the internal security subdivisions of the operational search units and special technical measures subdivisions of the internal affairs bodies) is adopted by the Minister, the head of the Main Directorate of Internal Security of the Ministry of Internal Affairs of the Russian Federation, the deputy heads of the Main Directorate of Internal Affairs of the Ministry of Internal Affairs of Russia, and also the head (head) of the relevant territorial body of the Ministry of Internal Affairs of Russia in agreement with the Main Directorate of Security Services of the Ministry of Internal Affairs of Russia.
7. An internal security check in relation to an employee of the internal security unit of the internal affairs bodies is carried out by the GUSB of the Ministry of Internal Affairs of Russia or, on behalf of his head, by the internal security unit of the corresponding territorial body of the Ministry of Internal Affairs of Russia.
Information about changes:
12. If, based on the results of an internal audit, it is necessary to impose such a disciplinary sanction on the employee in respect of whom the internal audit was carried out, which the head (chief) specified in paragraph 5 of this Procedure * (10) does not have the right to impose, he petitions for the imposition of this disciplinary action before a higher manager (chief) in accordance with part 4 of article 51
II. Organization of an internal audit
13. The basis for conducting an internal audit is the need to identify the causes, nature and circumstances of a disciplinary offense committed by an employee, confirm the presence or absence of the circumstances provided for in Article 14 federal law dated November 30, 2011 N 342-FZ "On service in the internal affairs bodies of the Russian Federation and amendments to certain legislative acts of the Russian Federation", as well as a statement from the employee.
14. An instruction to an employee to conduct an internal audit is drawn up in the form of a resolution in a document free from text, containing information about the existence of grounds for its conduct. It is allowed to draw up a resolution on a separate sheet or on a special form indicating the registration number and date of the document to which it refers.
15. The decision to conduct an internal audit must be made no later than two weeks from the date of receipt by the relevant manager (chief) of the information that is the basis for its conduct.
16. In accordance with Part 4 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation", an internal audit is carried out within thirty days from the date of adoption decisions about its implementation. The term for conducting an internal audit by decision of the Minister of Internal Affairs of the Russian Federation or the head (chief) who made the decision to conduct an internal audit may be extended, but not more than for thirty days.
17. The term of the internal audit does not include periods of temporary disability of the employee 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 reasons. good reasons, confirmed by the relevant certificate of the personnel unit of the body, organization or unit of the Ministry of Internal Affairs of Russia.
18. If the last day of the internal audit falls on a weekend or non-working holiday, then the day of the end of the internal audit is the working day following it.
19. An employee cannot be entrusted with conducting an internal audit if there are grounds specified in Part 2 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation ".
20. If there are grounds specified in Part 2 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation", the employee who is entrusted with conducting official inspection, is obliged to submit a written report to the relevant manager (chief) on his release from participation in the performance of the internal inspection. In case of non-compliance said requirement the results of the internal audit are considered invalid, the internal audit is entrusted to another employee, and the term for its implementation is extended by ten days.
21. An internal audit in relation to an employee who has committed a disciplinary offense while on a business trip is carried out in the prescribed manner by decision of the head (chief) of the body, organization or unit of the Ministry of Internal Affairs of Russia that sent the employee on a business trip.
22. When conducting an internal audit in relation to several employees who have committed disciplinary offenses, if it is impossible to complete it on time due to temporary disability, being on vacation, a business trip, as well as absence from service for other valid reasons of one or more of them, the materials of the official absentee checks can be spun off for a separate internal check. The decision to allocate materials for an internal audit is made by the relevant head (chief) who appointed it, on the basis of a reasoned report from the employee conducting the audit. The term for conducting an internal audit on the allocated materials is calculated from the moment the main internal audit is scheduled.
23. If it is established that a disciplinary offense has been committed with the participation of employees of several bodies, organizations or divisions of the Ministry of Internal Affairs of Russia, the Deputy Minister, head (head) of a body, organization or unit of the Ministry of Internal Affairs of Russia, deputy head (head) of a territorial body of the Ministry of Internal Affairs of Russia at a district, interregional or regional levels, the head (head) of the structural unit of the territorial body of the Ministry of Internal Affairs of Russia at the district, regional levels, which includes a personnel unit that has decided to conduct an internal audit:
23.1. Immediately informs the superior manager (chief) to make a decision on conducting an internal audit in relation to these employees.
23.2. Notifies the head (chief) of the body, organization or unit of the Ministry of Internal Affairs of Russia, in which the employees who have committed a disciplinary offense are serving, of its commission.
24. When conducting an internal audit by the commission, an internal audit is appointed by issuing an order for a body, organization or unit of the Ministry of Internal Affairs of Russia.
25. An order for the appointment of an internal audit must contain: grounds for its conduct; date of appointment; composition of the audit committee.
26. The commission is formed of three or more employees. The commission for conducting an internal audit includes employees with the necessary knowledge and experience. The chairman of the commission is appointed by the relevant leader (chief) from among the leaders (chiefs) structural divisions body, organization or subdivision of the Ministry of Internal Affairs of Russia.
27. An instruction to an employee to conduct an internal audit (appointment of the chairman of the commission for an internal audit) is given (carried out) taking into account the position to be filled and the assigned special rank of the employee in respect of whom the internal audit is being carried out.
III. Powers of members of the internal audit
28. An employee (chairman and members of the commission) conducting an internal audit has the right to:
28.1. Offer employees, civil servants and employees of the system of the Ministry of Internal Affairs of Russia, who may know any information about the circumstances to be established during an internal audit, to give written explanations on them.
28.2. To go to the place of commission of a disciplinary offense to identify the circumstances of its commission.
28.3. Make proposals to the relevant manager (chief) on the temporary suspension of the employee in the prescribed manner from performance official duties at the time of the audit.
28.4. Request, in accordance with the established procedure, documents related to the subject of verification from bodies, organizations or divisions of the Ministry of Internal Affairs of Russia, send requests to other bodies, institutions and organizations.
28.5. Use in the prescribed manner operational records and information systems Ministry of Internal Affairs of Russia, educational and scientific organizations systems of the Ministry of Internal Affairs of Russia.
28.6. Get acquainted with the documents relevant to the internal audit, and, if necessary, make copies of them for inclusion in the internal audit materials.
28.7. Apply to the relevant manager (supervisor) for an inventory or audit.
28.8. Apply to the relevant manager (chief) to involve (by agreement) officials and specialists in the conduct of an internal audit on issues requiring scientific, technical and other special knowledge, and receive advice from them.
28.9. Apply to document the facts of a disciplinary offense technical means in the manner prescribed by the legislation of the Russian Federation.
28.10. Make proposals to the relevant manager (chief) on the need to provide social and psychological help the employee who is being audited.
28.11. To offer employees, in respect of whom an internal check is being carried out, to give an explanation using psychophysiological studies (surveys).
28.12. In the cases provided for in paragraph 22 of this Procedure, report in a report to the relevant manager (chief) on the need to provide materials for an internal audit.
Information about changes:
By order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722, paragraph 28 was supplemented with subparagraph 28.13
28.13. Report in a report to the relevant manager (chief) on the need to extend the period for conducting an internal audit.
29. The list of measures given in paragraph 28 of this Procedure is not exhaustive and can be supplemented by the relevant manager (chief) during an internal audit, depending on the specific situation.
30. An employee (chairman and members of the commission) conducting an internal audit must:
30.1. Respect the rights and freedoms of the employee in respect of whom the internal audit is being carried out, and other persons participating in the internal audit.
30.2. Ensure the safety and confidentiality of the materials of the internal audit, not to disclose information about the results of its conduct.
30.3. Clarify to applicants and employees subject to an internal audit their rights and provide conditions for the exercise of these rights.
30.4. Timely report to the relevant manager (chief) received applications, petitions or complaints and inform the employees who filed them about the resolution of these applications, petitions, complaints.
30.5. Report the results of the consideration of applications, petitions, complaints to the employee who filed them, personally against receipt or by sending a response to the place of residence by registered mail.
30.6. To document the date and time of the commission of a disciplinary offense, the circumstances affecting the degree and nature of the responsibility of the employee in respect of whom the internal audit is carried out, both aggravating and mitigating his guilt.
30.7. Collect documents and materials characterizing personal and business qualities an employee who has committed a disciplinary offence.
30.8. Examine the materials of previous internal checks against the employee, information about the facts of committing disciplinary offenses by him.
30.9. Invite the employee, in respect of whom an internal audit is being carried out, to give an explanation in writing(recommended example of an explanation is an appendix to this Procedure) on the merits of the issue addressed to the relevant manager (chief). If, after two working days, the specified explanation is not provided by the employee in respect of whom the internal audit is being carried out, or if he refuses to give written explanations, draw up in the prescribed manner the appropriate act signed by at least three employees.
30.10. Immediately report to the relevant manager (chief) or chairman of the commission about all the facts of interference in the conduct of an internal audit or pressure on the employees participating in its conduct.
30.11. Interview employees, civil servants and employees of the system of the Ministry of Internal Affairs of Russia, who may know any information about the circumstances to be established during an internal audit.
30.12. If, during an internal audit, signs of committing disciplinary offenses are found in the actions of other employees of a body, organization or subdivision of the Ministry of Internal Affairs of Russia, immediately report to the relevant manager (chief) about the need to conduct an internal audit in relation to such employees or to establish the presence (absence) of their guilt in within the scope of the ongoing audit.
30.13. To propose, if necessary, the implementation of preventive measures to eliminate the causes that contributed to the commission of a disciplinary offense by an employee.
30.14. Prepare a conclusion based on the results of an internal audit in writing and submit to the relevant manager (supervisor) for approval in the prescribed manner.
30.15. To acquaint the employee, in respect of whom an internal audit was carried out, in case of his application, drawn up in writing, with the conclusion on its results.
31. The relevant head (head) has the right:
31.1. Decide on the need for an internal audit commission and approve the composition of the internal audit commission.
31.2. In the cases provided for in paragraph 20 of this Procedure, release the employee who submitted the relevant report from participating in the internal audit.
31.3. Make a decision on the allocation of internal audit materials in relation to one or more employees in the cases provided for in paragraph 22 of this Procedure.
31.4. Make a decision on carrying out additional measures, in addition to those listed in paragraph 28 of this Procedure, depending on the specific situation that has developed during the internal audit.
Information about changes:
By order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722, paragraph 28 was supplemented with subparagraph 31.5
31.5. Make a decision to extend the term for conducting an internal audit in case of receipt of a report from an employee (chairman or members of the commission) conducting an internal audit, provided for in subparagraph 28.13 of this Procedure.
32. The relevant head (head) is obliged:
32.1. If necessary, take measures to provide social and psychological assistance to the employee in respect of whom an internal audit is being carried out.
32.2. Adopt a decision on the results of the inspection within the time limits established by law for an internal audit and ensure its implementation.
32.3. Make a decision to conduct an internal audit for the period of vacation, business trip, as well as temporary disability of the employee (chairman, members of the commission) conducting the internal audit.
32.4. If a report is received from an employee (chairman, members of the commission) conducting an internal audit, provided for in subparagraph 30.12 of this Procedure, decide on the appointment of an internal audit on the revealed facts of disciplinary offenses committed by employees of a body, organization or unit of the Ministry of Internal Affairs of Russia.
32.5. Consider, within a period of up to five days within the framework of the general period for conducting an internal audit, petitions and complaints filed by an employee in respect of whom an internal audit is being carried out.
32.6. Monitor the completeness and timeliness of the internal audit.
33. The employee, in respect of whom an internal audit is carried out, enjoys the rights and bears the obligations provided for by Part 6 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts Russian Federation".
IV. Registration of the results of an internal audit
34. The conclusion on the results of an internal audit is drawn up on the basis of the data available in the internal audit materials and should consist of three parts: introductory, descriptive and resolution.
35. The introductory part indicates:
35.1. Position, rank, initials, surname of the employee who conducted the internal audit, or the composition of the commission that conducted the internal audit (indicating the special rank, position, surname and initials of the chairman and members of the commission).
35.2. Position, rank, surname, name, patronymic, year of birth of the employee, in respect of whom the internal audit was carried out, as well as information about education, about the time of his service in the internal affairs bodies and in the position being filled, the number of incentives, penalties, the presence (absence) of him unresolved disciplinary sanctions.
36. The descriptive part should contain:
36.1. Grounds for conducting an audit.
36.2. Explanation of the employee in respect of which an internal audit was carried out.
36.3. The fact that an employee committed a disciplinary offense.
35.4. Circumstances and consequences of committing a disciplinary offense by an employee.
36.5. The presence or absence of the circumstances provided for by Article 14 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation".
36.6. Facts and circumstances established during the consideration of the employee's application.
36.7. Materials confirming (excluding) the guilt of the employee.
36.8. Circumstances mitigating or aggravating the responsibility of the employee.
36.9. Other facts and circumstances established in the course of an internal audit.
37. Taking into account the information presented in the descriptive part, the operative part indicates:
37.1. Conclusion on the completion of the internal audit and on the guilt (innocence) of the employee in respect of whom the internal audit was carried out.
37.2. Proposals on the application (non-application) to the employee, in respect of which an internal audit was carried out, measures of disciplinary liability, other measures of influence.
37.3. Conclusions about the causes and conditions that contributed to the commission of a disciplinary offense by an employee.
37.4. Conclusions on the presence or absence of the circumstances provided for by Article 14 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation".
37.5. Conclusions about the presence or absence of the facts and circumstances specified in the employee's statement.
37.6. Offers to transfer materials to investigating authorities of the Investigative Committee of the Russian Federation, the prosecution authorities of the Russian Federation for decision-making in statutory okay.
37.8. Proposals on measures to eliminate the identified deficiencies or proposals to terminate the internal audit due to the absence of a violation of official discipline or the circumstances provided for by Article 14 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Introduction amendments to certain legislative acts of the Russian Federation".
37.9. Recommendations on the possible refutation of false information that discredits the honor and dignity of an employee, which served as the basis for the appointment of an internal audit, and (or) applying to the court or the prosecutor's office of the Russian Federation for the protection of honor and dignity.
38. The draft conclusion based on the results of an internal audit with the attached materials is coordinated with the personnel and legal departments of the body, organization or unit of the Ministry of Internal Affairs of Russia, whose employees conducted the internal audit.
Information about changes:
By order of the Ministry of Internal Affairs of Russia dated September 22, 2015 N 903, the appendix was supplemented by clause 38.1
38.1. If in the draft conclusion based on the results of an internal audit conducted in order to identify the causes, nature and circumstances of a disciplinary offense committed by an employee, there are no proposals to apply disciplinary measures or other measures of influence to him, the draft conclusion based on the results of an internal audit is not subject to agreement with the personnel subdivision of the body, organization or subdivision of the Ministry of Internal Affairs of Russia, whose employees conducted an internal audit.
39. The conclusion on the results of an internal audit is submitted to the relevant manager (chief) no later than three days from the date of completion of the internal audit and is approved by him no later than five days from the date of its submission.
41. After approval by the relevant manager (head) of the conclusion based on the results of an internal audit, in relation to the employee who committed a disciplinary offense, the employee (commission) who conducted it prepares a draft order to impose a disciplinary sanction, which is agreed with the personnel and legal department.
42. A draft order on the imposition of a disciplinary sanction, prepared and agreed with the legal department, together with the conclusion based on the results of an internal audit, is submitted for signature to the relevant manager (chief).
43. An order to impose a disciplinary sanction in accordance with the established procedure is announced to the employee in respect of whom an internal audit has been carried out.
44. A copy of the conclusion of the internal audit is sent by the employee (chairman of the commission) who conducted it to the personnel department for attaching to the materials of the employee's personal file.
45. At the end of the internal audit, the employee (chairman of the commission) who conducted the internal audit forms a file with the materials of the internal audit, which includes:
45.1. The document (or a copy thereof) that served as the basis for the internal audit.
45.2. A copy of the order on the appointment of an internal audit (in the case of its commission).
45.3. Explanations of employees, other documents and materials (or their certified copies) obtained during the internal audit.
45.4. Conclusion based on the results of the internal audit.
45.5. Materials related to the implementation of the conclusions contained in the conclusion based on the results of an internal audit.
45.6. A copy of the response to the person whose appeal served as the basis for conducting an internal audit.
46. The file is kept in the archive of the records management and regime unit of the body, organization or unit of the Ministry of Internal Affairs of Russia for a period specified by the nomenclature in accordance with the requirements for the storage of this type of documents and is issued in the prescribed manner.
An internal investigation is an event that is carried out if an incident has occurred at the enterprise: for example, an accident or theft material assets. Consider the algorithm for conducting an internal investigation and samples of the documentation that needs to be prepared in the course of work.
Employers should conduct an internal investigation in case of violation of labor discipline and other incidents. For example, when a shortage or leakage of information constituting a trade secret is detected. Such an event is necessary to identify the perpetrators and apply disciplinary measures to them, as well as to withhold from them the losses caused to the company. Most likely, a special commission will have to investigate the facts of workers evading medical examinations, passing exams on labor protection, safety precautions and operating rules, as well as refusing to conclude an agreement on full liability employee, if it is provided for by his main labor function.
If the amount of wrongdoing is insignificant, for example, if internal reporting is missed, it is not necessary to conduct an investigation. It is enough just to take a written explanation from a person whose fault is obvious and so, and then act according to the law. But if the situation is ambiguous or the organization has suffered significant damage, it is impossible to do without the creation of a commission and an internal investigation.
Situations where an internal investigation is necessary
Below is a basic list of possible misconduct for which the employee is personally responsible:
- absenteeism or absence from work;
- appearing at work drunk, under the influence of drugs;
- causing serious material damage;
- abuse of authority.
Now consider the algorithm for conducting an internal investigation. The procedure should begin with fixing the fact of the violation.
Step 1. Fixing the violation
There is no unified document that must be drawn up upon discovery of a fact that gives rise to an internal investigation. In practice, this fact is usually fixed memo the person who discovered it. This document is drawn up on behalf of the employee to the address of his immediate superior or the head of the organization. In such a note you need to indicate:
- surname, name, patronymic and position of the employee who discovered the fact of violation;
- the circumstances under which the violation was committed or discovered;
- date and time of the event.
Upon receipt of information about the illegal actions of an employee from third parties or even directly from law enforcement reporting is not required. In addition, if the reason for initiating an internal investigation was the loss of inventory items or Money, identified by the results of the inventory, an appropriate act must be attached to the note. Based on these documents, the employer creates a commission in order to identify the culprit.
Step 2. Creation of the commission and its tasks
The expediency of all measures necessary within the framework of the event, as well as the degree of guilt of the person whose actions have become the subject of proceedings, is determined by a specially created commission.
The commission is formed by the order of the enterprise from competent employees who are not interested in the outcome of the proceedings. If the organization has special services, such as security or internal audit, then their representatives will constitute the majority of such a commission. In their absence, such functions are taken over by the personnel service.
The committee usually consists of three people. The order must indicate the names and positions of the members of the commission, the purpose and date of its creation, its validity period (it may not be limited to a specific case), as well as the powers with which it is endowed. Typically, the tasks of such a commission include the following.
- Establishing the circumstances of the incident, including time, place and method.
- Identification of property that has been or may have been damaged.
- Inspection of the scene of the incident (if necessary).
- Determination of the cost of the inflicted (or possible) damage on the fact under investigation.
- Identification of persons directly responsible for the commission of the act.
- Collecting evidence of the guilt of these persons and establishing its degree for each of them (if there are several perpetrators).
- Determining the causes and conditions conducive to committing a misdemeanor.
- Collection and storage of documentary materials of the investigation.
The competence of the commission includes the right to demand explanations from all employees suspected of misconduct.
The commission can be created even if the company has not yet suffered direct damage, but the actions of the employee could lead to such consequences. The Commission may be permanent and resume its work if necessary.
It is necessary to acquaint with the order on the organization on creation of the commission under the signature of all its members. A sample order for an internal investigation (sample) should look something like this:
Step 3 Gather information and evidence
The procedure for conducting an internal investigation in labor legislation is not directly defined, therefore, in each organization it must be regulated by the rules internal regulations and internal regulations(orders, instructions, regulations). That is, the commission can get the right to interview employees and study any accounting documents, if the management of the enterprise decides so.
Although such an event is purely internal affairs each organization and only its employees and management can take part in it, to him in help third-party specialists can be involved, if necessary, to clarify the facts related to the incident. For example, to determine the degree of intoxication and the severity of the error made by the employee when making estimates according to the estimate. This is usually necessary when the qualifications of the company's specialists are not enough to draw professional conclusions. In this case, a separate order is issued for the enterprise. Contractors can be:
- auditors;
- appraisers;
- medical workers;
- engineers;
- lawyers;
- other specialists.
In addition, as part of the investigation, you can send requests to government bodies and third parties. They are obliged to provide the necessary information, if it is not a secret. All collected materials must be attached to the case as evidence in the same way as the acts, certificates and memorandums that are compiled by members of the commission during the investigation. After all, any sample of an internal investigation in relation to an employee, especially if it concerns a shortage, can be considered as a matter of transferring data on the investigation to law enforcement agencies.
Step 4. Obtaining an explanation from the employee
Before the end of the internal investigation and the issuance of an order to apply a disciplinary sanction to the perpetrators, the employees must be asked for an explanation. This is provided for by Art. 193 of the Labor Code of the Russian Federation and confirmed by the position Supreme Court Russian Federation (clause 47 of the Resolution of the Plenum of the Supreme Court of the Russian Federation dated March 17, 2004 No. 2). The form of such an explanation can be arbitrary, since it is not regulated labor law. It is better to request an explanation in writing. This is especially necessary if the situation is of a conflict nature and the chances of getting an explanation are low. The request must be handed over to the employee against signature. If he refuses to sign, an appropriate act is drawn up. However, if the employee refuses to give explanations on the basis of Article 51 of the Constitution of the Russian Federation, which states that a person is not obliged to testify in relation to himself or his relatives, right in the text of the explanatory note, such an act may not be drawn up.
The employee has 2 working days from the receipt of the request to issue an explanatory note. If an explanation has not been provided, it is necessary to draw up another act - on the refusal to give explanations. It must be signed by the chairman of the commission and several of its members (at least 2 people). After the end of the investigation, the explanatory note itself or a document indicating that an explanation was requested from the employee may serve as the basis for the application of disciplinary measures against the guilty persons, up to and including dismissal.
Step 5. Commission meeting, consideration of circumstances
After the commission collects and summarizes all the information, it must hold a meeting. On him authorized persons will report:
- whether there was a violation (causing damage) and what it consisted of;
- the circumstances, time and place of the incident;
- the consequences of the violation and the amount of damage caused;
- reasons for the misconduct;
- the degree of guilt of each of the accused in the incident;
- mitigating and aggravating circumstances.
Step 6. Creation of an act on the conduct of an internal investigation
The results of the commission's work should be reflected in a special act summing up the results of the investigation. In particular, it should be clear from this document:
- guilty actions committed by the employee;
- circumstances of such actions;
- the type and amount of damage caused;
- degree of fault of the employee;
- possible punishment for the perpetrator;
- suggestions to prevent similar situations in the future.
The act must be signed by all members of the commission. If one of the members of the commission has a dissenting opinion about what happened, he cannot refuse to sign the act. However, he has the right to draw up a separate document outlining his position and attach it to the materials.
If, in order to establish the volume and amount of material damage caused, an inventory was carried out, its inventory should be attached to the documents of the internal investigation. Documents of third-party institutions and organizations that are relevant to the case (court decisions, acts of checking protocols, etc.) can also be attached to the act and referred to in the text.
A sample of the conclusion of an internal investigation should look like this:
The employee, in respect of whom an internal investigation was carried out, must be familiarized with all the results in relation to him under his signature. If the investigation was conducted in relation to several persons, they must be acquainted with the materials separately, taking into account the protection of personal data.
Terms of the internal investigation
Deadlines for an internal investigation Labor Code() should not exceed 1 month from the discovery of the event that caused it. Usually the deadline is written in the order itself. It should be noted that there is a statute of limitations for holding an employee liable, which does not include:
- time of illness of the employee;
- the time the employee is on vacation;
- the time required to take into account the opinion of the trade union or other representative body of workers.
In aggregate, the perpetrator can be brought to disciplinary responsibility no later than six months (and in cases related to corruption manifestations - three years). After this period, it will no longer be possible to prosecute. According to the results of an audit, audit of financial and economic activities or an audit, such a period is no more than two years from the date of commission or discovery of a misconduct. These terms do not include the period of proceedings in a criminal case (if it was opened).
The need for an internal investigation in an organization may be due to both the wishes of the employer himself and the requirements of the law. In any case, the procedure for an official investigation begins with the issuance of an appropriate order. How to make such an order, we will tell in our material. We will also give a sample of filling it out for an order on an official investigation.
How to draw up an order for an official investigation?
Recall that the employer is obliged to conduct an internal investigation, for example, in the event of accidents at work (part 2 of article 212 of the Labor Code of the Russian Federation) or to establish the amount and causes of damage caused to him by the employee (part 1 of article 247 of the Labor Code of the Russian Federation).
The organization determines the form of the order for an internal investigation independently. The purpose of this order is to initiate the internal investigation procedure. Therefore, such an order, as a rule, contains:
- substantiation of the need for an internal investigation;
- composition of the internal investigation commission (usually at least 3 members);
- terms of investigation.
The order to conduct an internal investigation is drawn up in one copy. All members of the commission must be familiarized with its contents against signature.
For an order to conduct an internal investigation, we will give a sample of its filling.
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 internal 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.
Official investigation order- an executive document by which the management of the enterprise authorizes officials to check in relation to the violations committed. This is the only legal basis for investigating incidents in the organization.
Employees appointed by order of the head conduct an investigation, identify the perpetrators and calculate the amount of damage. According to the results of the check, punishment is assigned.
When making employment contract with a new employee, the administration of the enterprise introduces a section into the agreement with official duties person, as well as with a list of violations for which legal and disciplinary liability may arise. Full list circumstances is fixed depending on the characteristics production process.
Most often, an internal investigation against an employee is carried out in connection with:
- damage to the property of the company, which is associated with material damage;
- violation of the integrity or quality of goods and other values of the enterprise used for trading activities and making a profit;
- non-observance of working hours or evasion of labor duties;
- breach of secrecy.
The list of possible violations is compiled depending on the position. For example, directors of enterprises can also be additionally responsible for negative results of the production process or a drop in profits, which is associated with the inability to organize workers in the enterprise.
An order to conduct an internal audit (a sample can be downloaded below) is being prepared in limited time. The maximum term for bringing perpetrators to justice is four months. The dismissal of an employee is not grounds for canceling the penalty.
Liability for damage to corporate property or other violations is associated with a restriction of the rights of the violator, so special attention should be paid to the procedure for organizing an internal audit.
Preparing an order to organize an internal investigation is a right, not an obligation. Therefore, the manager independently decides whether it is advisable to punish a particular person for a detected misconduct.
Labor law provides for the following procedure:
- Identification of violation. Any official of the enterprise who prepares a memorandum to the head of the company can establish the fact of misconduct. Together with the memorandum, an Act on the identified misconduct is transmitted, which is signed by at least three employees of the organization.
- Based on the message received, the head prepares and issues an Order to conduct an internal investigation. The document contains the responsible persons, the timing of the audit and a list of activities.
- During the day, a special commission is formed, which considers the circumstances of the misconduct and its consequences for the production.
- Getting an employee's explanation. The employee may refuse to give explanations. In this case, an Act is drawn up, which states that the employee does not want to justify his actions in writing or orally.
- Organization of a meeting of the commission, at which the final decision on prosecution is made. It is obligatory to take into account the views of all participants.
The finished decision is sent to the manager for review and obtaining a resolution for the implementation of the penalty.
Commission formation rules
In total, there should be at least three members of the commission who are not interested in making a specific decision on the dispute. The composition includes:
- the firm's lawyer;
- representative of the Security Council;
- accountant;
- two ordinary employees.
The boss can also be a member, but this is not a necessary condition.
Fixing the results
The decision is made in two documents. Namely:
- Conclusion of the commission meeting (contains detailed description the circumstances identified, the amount of damage caused, the perpetrators, the consequences of misconduct for the enterprise);
- Order on the application of disciplinary measures.
The first document is drawn up by a convened commission and signed by all its members. The second is prepared by the secretary of the head of the company on behalf of the head. The head signs the Order and transfers its original for registration in a special Journal. After that, the paper is sent to the personnel department for entering information into a personal file.
If the punishment is related to monetary encumbrances, then another original order is sent to the accounting department of the company.
The application of the norms of disciplinary responsibility does not exclude the additional application of administrative, criminal or civil sanctions.
As noted above, it is possible to bring the perpetrator to justice only for a limited time. Thus, the employer is authorized to issue such orders no later than four months after the misconduct.
Interestingly, the employee himself can file a complaint against the illegal actions of the management only for 30 days.
This difference is due to the fact that it is not always possible to detect violations of employees in a timely manner, and therefore it is possible to bring to responsibility even those persons with whom the contract has long been terminated.
The terms may be extended if during this period of time the potentially guilty person was on vacation or on sick leave. Inspection in absentia is not allowed.
Requirements for issuing an order
The legislation does not provide for a single form of the Order, therefore, at each enterprise, the orders of managers are prepared based on the characteristics of the conduct of labor activities. The document must include the following mandatory details:
- the legal address and the name of the company where the internal investigation is being carried out;
- Date of preparation;
- place of registration;
- date and signatures of responsible persons.
The document should include the following categories of information:
- grounds for conducting an audit (memorandum of a specific official);
- the need to convene a commission and its composition;
- a list of measures to be taken for a comprehensive study of the circumstances of the misconduct;
- rules for fixing results;
- deadlines for conducting an investigation;
- responsible person to whom control functions are delegated.
The order is subject to mandatory execution by all participants. The guilty citizen himself must read the contents of the Order under the signature, which indicates his familiarization with decision and agrees to it. At this stage, the employee may refuse to sign, about which an Act is also drawn up.
If the Order was issued in violation of the established procedure, or the penalty was imposed illegally, then the employee whose rights were violated may apply to the commission for labor disputes to cancel the punishment and organize a re-investigation. If the conflict has not been resolved within a week, then you have to deal with statement of claim to court.
