On approval of the procedure for conducting an internal audit in the bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation. An order to conduct an internal investigation in the event of a violation by an employee of labor discipline

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 drawing up an employment contract with a new employee, the administration of the enterprise introduces a section into the agreement with the official duties of the person, as well as with a list of violations for which legal and disciplinary liability may arise. A complete list of circumstances is fixed depending on the characteristics of the 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 prepared in a 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 the 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:

The conclusion of the commission meeting (contains a detailed description of the circumstances identified, the amount of damage caused, the perpetrators, the consequences of the 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 identify 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 the decision and confirms his agreement with 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 labor dispute commission to cancel the punishment and organize a re-investigation. If the conflict has not been resolved within a week, then you will have to file a claim with the court.

The form of the order is arbitrary, there is no normatively approved one. Draw up such an order if you need to additionally conduct an internal investigation to find out the reasons for the misconduct committed by the employee. In the order, indicate: information about the employee who committed the misconduct, the time and place of the misconduct, what duties were violated, the composition of the commission, the duration of the investigation and the documents being examined. Acquaint all members of the commission with the order against signature.

Limited Liability Company
«_______________»
ORDER
April 16, 2019 No. 284
Moscow

About conducting an internal investigation

Due to the absence of the cashier, full name on April 13, 2019, at the workplace during the entire work shift, on the basis of a memorandum of April 13, 2019 N 12 upon the discovery of a disciplinary offense, in order to establish the circumstances of the misconduct and comply with the requirements of current legislation

I ORDER:

1. Form a commission to conduct an internal investigation in the following composition:
Chairman of the Commission - Deputy Executive Director Full name
Commission members:
chief accountant full name
Senior cashier Full name
head of HR department
2. To establish the circumstances and reasons for committing the full name of a disciplinary offense:
to the chief accountant to request a written explanation from the cashier, full name, in the manner of part 1 of Art. 193 of the Labor Code of the Russian Federation, and then submit it for consideration by the commission no later than the next business day after receipt;
to the head of the personnel department of the full name, prepare and submit for consideration by the commission copies of the following documents: an employment contract with the full name, the job description of the cashier, the internal labor regulations of _________ LLC, the shift schedule of cashiers, the time sheet for 04/13/2019.

Note:
Here, in particular, indicate the documents proving that the employee was assigned duties, for the violation of which he can be held disciplinary liable, and he was familiarized with these duties under his signature.

3. The Commission, before 04/23/2019, conduct an internal investigation and formalize its results in an act signed by all members of the Commission.

Note:
There is no set deadline for an internal investigation, so you have the right to set it at your discretion. At the same time, please note that during this time you need to have time to request explanations from the employee, taking into account the period specified in Part 1 of Art. 193 of the Labor Code of the Russian Federation, as well as to study the materials obtained during the investigation. In addition, such a period should not go beyond the terms of the application of the penalty.

4. The chairman of the commission, full name, report the results of the investigation to the general director.
5. I entrust myself with the control over the execution of this order.

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.

An employee of any company is necessarily responsible for something. He is responsible for the computer on which he works in the office, for the assets that are stored in his warehouse, and even for information, the disclosure of which amounts to a violation of trade secrets.

And if the tangible or intangible values entrusted to him were damaged or lost, the employer has the right to find out the cause of the damage. To do this, an order is issued to conduct an internal investigation at the enterprise.

What is the document for?

When an organization discovers a shortage of assets, loss of property or documents, leakage of information, etc., during an audit or as a result of another action, it is necessary:

determine the amount of damage;
find out the cause of its occurrence;
find the person responsible, who does not have to be the employee who is responsible for the safety of the lost or damaged asset.

For this purpose a commission is appointed which should include specialists capable of assessing the damage and finding out its cause. Usually it includes a legal adviser, a security officer, an economist (or chief accountant), an engineer and other persons. The creation of this body is permitted by the Labor Code of the Russian Federation (Article 247).

The purpose of the commission is an internal investigation, which is the responsibility of the employer in accordance with the labor legislation of the Russian Federation. The fulfillment of this obligation must be carried out before a decision is made on the punishment of a particular employee.

Without this investigation, even if the employee is guilty, he will have the right to appeal against the decision to punish him in court.

The creation of a commission and the need to conduct an investigation are formalized by an order for the enterprise.

Who composes it?

This order is drawn up by the secretary or other authorized person on the basis of the decision of the head of the organization, made on the proposal of the head of the security service or the head of the department where the damage was discovered.

Key points

This document is being compiled in free form on the letterhead of the organization, which indicates its name and legal address. The text must contain the serial number of the paper, the date and place of compilation (the city is indicated) and the title "On the conduct of an official investigation."

The document begins by indicating the reason for its preparation: “In connection with ...”, “For the reason ...”, etc.

indicated the need for an investigation. For example: “Conduct an internal investigation into the fact of damage (loss, disclosure) ...”;
the next paragraph indicates commission appointment to verify the circumstances of the damage. The positions and full names of its members are listed;
the last item is appointment of a person who must ensure control for the execution of the order. This person can be either the leader himself or another person. To do this, an entry is made "Control of the execution of the order is assigned to (position, full name)".

Next, the signature of the head, its transcript and position (general director, director, etc.) are put. After that, the phrase “Familiarized with the order” is written, and each of the appointed members of the commission must sign and put a transcript of his signature.

If any violations are found in the enterprise, it may be necessary to find out the various circumstances of the misconduct and identify the perpetrators. This procedure is called an internal investigation and is regulated by the labor law.

The concept of "official investigation"

An internal investigation is a kind of set of measures taken to collect, analyze and verify information about a misconduct in order to identify the employee’s guilt, and sometimes identify the guilty person, if this is not immediately known.

According to Art. 21–22 of the Labor Code of the Russian Federation, when signing an employment contract, the parties acquire rights and obligations. The employer has the right to hold the employee liable for violations. But first it is required to establish that it was he who committed the offense and that his guilt is really present.

Common violations for which investigations are carried out:

Failure to perform a labor function;

Violation of official duties according to the instructions;

Causing material damage.

This list is not closed; in practice, any other situation may arise in which an internal investigation is required.

When the fact of a crime, for example, theft, is revealed in the event of a violation, upon completion of the official investigation, the head can additionally report it to law enforcement agencies.

Checking and studying the materials is accompanied by the execution of special documentation, so that later the employer has the opportunity to defend his case.

Official investigation under the Labor Code: algorithm

Procedure for conducting an investigation:

1. Creation of a commission and publication of an order. Usually, the commission consists of at least 3 people: for example, a lawyer, an economist and a personnel worker.

2. The direct work of the commission with the study of all aspects of the case, the collection of evidence, the questioning of witnesses, etc.

3. If the guilty employee is known, he writes an explanatory note.

4. Preparation of an act of investigation and its signing by all participants in the proceedings.

During the investigation, mandatory points are established, without which it is impossible to recover damages:

whether actual damage has been caused and to what extent,
the presence of liability under article 239 of the Labor Code of the Russian Federation,
the presence of guilty actions or inaction of the employee,
the existence of a connection between the actions (inaction) of the employee and the consequences.

In fact, an official investigation is a direct procedure for studying the case materials that prove the guilt of the offender.

Order to conduct an internal investigation: sample

There is no standard sample order for an internal investigation in relation to an employee. It is allowed to compose it in a convenient form. It must include the required items:

The name of the company and its organizational and legal form;

Brief description - "on the conduct of an official investigation";

Description of the circumstances for which it is required to conduct an internal investigation at the enterprise;

Composition of the commission;

The period of the investigation;

Head's signature;

They print an order to conduct an internal investigation on the letterhead of the company. All interested persons should familiarize themselves with it under the signature.

Sample order for official investigation

The act of conducting an internal investigation: sample

Normative acts do not establish a specific sample of an official investigation act. However, it must contain the required information:

Title, date and place of the document;

Composition of the commission;

Information about the person about whom the check was carried out;

Designation of the purpose of the investigation;

Circumstances identified during the audit;

The decision on the guilt or innocence of the employee.

Additionally, the official investigation report contains a list of documentary evidence requested and received during the investigation. At the end of the document, the signatures of the commission, the guilty person and the date of his acquaintance with the act are put.

A properly conducted investigation will allow the organization to protect its rights in the event of a possible appeal of the employee guilty of misconduct to a higher authority.

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