Request for a written explanation. What is an explanatory note from an employee? Sample notice of giving written explanations

I.A. Kossov, PhD in Law, Russian State University for the Humanities

legalization of the employee's right to an explanation
procedure for notifying an employee about providing an explanation
explanation documentation
act of non-explanation

Why does the legislator attach such importance to this document? First of all, the explanation is intended to contribute to the establishment of truth. The content of the document reflects the employee's view of what happened, his attitude to the misconduct and its consequences. If an employee pleads guilty to a committed offense, then in the explanation he has the opportunity not only to state the facts, but also to express, for example, his repentance for his deed, promise the employer not to repeat such misconduct in the future, etc. At the same time, when the employee believes that he did not commit a disciplinary offense, he also has the opportunity to explain his own arguments and provide the necessary evidence. It also happens that an analysis of the content of the explanation helps the employer not only remove claims against the employee, but also determine the true offender. Thus, the employee’s explanation contributes to an objective assessment by the employer of the current situation, allows to identify all the circumstances of the commission of a disciplinary offense and, if necessary, to choose the right measure of disciplinary action on the employee.

The obligation of the employer to require a written explanation from the employee before applying a disciplinary sanction is established by the first part of Art. 193 of the Labor Code of the Russian Federation (hereinafter referred to as the Labor Code of the Russian Federation). In the same place, the legislator established the deadlines for the employee to write and submit an explanation - two business days.

Based on the fact that the legislator allocates a strictly defined period for preparing an explanation, the employer needs to document the date when he invited the employee to provide an explanation. The legislator does not require the employer to perform such an action. However, such a document will be useful: firstly, the date indicated in it will become the starting point of the time allotted for the employee to prepare an explanation, and secondly, there will be documentary evidence that the employee was explained his right to an explanation.

The notification of the employee about the need to provide a written explanation is usually drawn up on a letterhead and signed by the representative of the employer who is entitled to apply disciplinary sanctions (most often, the head of the organization, but in some cases this can be done by another person who has been delegated such powers) .
It might look like this:
letterhead
Category III engineer
A.V. Avksentiev
About providing
written explanation

In connection with the improper performance of your labor duties, expressed in the absence of 16.01.2012 at the workplace from 13.00 to 18.00 hours, I ask you to submit until 18.00 hours on 19.01.2012 to the Directorate for Personnel Management (Plant Management, 3rd floor, room 36) a written explanation on this fact.

Director (signature) Yu.V. Mayorov

Notification received January 17, 2012
Category III Engineer (signature) A.V. Avksentiev

The question arises, what to do if the employee refused to receive such a document? How then to confirm that the demand for an explanation was brought to his attention and how to prove that it was from such and such a date that the two-day period allotted for the provision of an explanation began? The legislator does not give us an answer to this question. But, I think, in order to avoid legal problems in the future, the employer needs to take certain steps. For example, give the employee a notice not on his own, but on a commission basis (for example, in the presence of his immediate supervisor and a representative of the trade union committee or one of the employees of the organization who are not interested in the outcome of the case, if the employee is not a member of the trade union or the employer does not have a trade union organization), after reading the contents of the notice to everyone present. If the employee refuses to receive a notification, it seems necessary to draw up an act, which will be signed by those present, thereby confirming that the employer complies with the provisions of part one of Art. 193 of the Labor Code of the Russian Federation.
Labor legislation does not directly regulate in the form of which document an explanation should be drawn up. So in this case, it is necessary to apply the existing rules of office work.
Most often, the explanation takes the form explanatory note - a document explaining the causes of an event, fact, act .
In order for the employer to receive a document that is useful in terms of content, it is important that in the explanatory note the employee sets out in detail all the circumstances of his actions or inaction and indicates:

whether he himself regards his behavior as unlawful, i.e. his actions or inaction were non-fulfillment or improper fulfillment of labor duties, it is advisable for the employee to bring arguments confirming his own position;
does he admit his guilt?
what, in his opinion, was the reason (reasons) for committing a disciplinary offense?
what is his attitude to the committed misconduct and to the negative consequences that the employer had as a result?
does he have any opinion regarding his possible disciplinary action by his employer?

The explanatory note must contain such details as:
1) The name of the structural unit (the name of the structural unit in which the author of the explanatory note works is indicated).
2) Type of document ( explanatory note).
3) Addressee. Since, in accordance with the first part of Art. 193 of the Labor Code of the Russian Federation, an explanation is required by the employer, then the addressee of the explanatory note should be the official who, by virtue of the charter or other document (for example, a power of attorney), is a representative of the employer with the right to apply disciplinary sanctions. As a general rule, this is the head of the organization - director, general director, chairman of the board, etc. In the case of delegation of authority to a subordinate official (for example, the deputy head of the organization for work with personnel), the explanation is addressed to him.
4) Date (the date of the explanatory note is indicated).

5) Heading to the text (for example, About the reason for absence from work or About the reason for failure to comply with the order of the head of the Department).

6) Text. It is written in a calm and even style, without excessively bright emotional coloring (although a certain proportion of the employee’s emotions should still be present in it). The text should be distinguished by conciseness, clarity, simplicity of presentation and clarity of wording. It is necessary to avoid artistic prettiness, high-flown phrases and excessive publicism. . An important factor is the logical sequence of the text, so that the addressee of the note correctly and without problems understands what the author wanted to say.

7) Signature (issued indicating the position, personal signature and its decoding:, initials and last name of the employee).
An explanatory note might look like this:

Sales Department Director
Explanatory note Yu.V. Mayorov
17.01.2012

I am fully aware of my guilt and I assure you that such violations will never happen again in the future. However, please note that my absence from work did not have any negative consequences for our management.

Please also take into account that during the past year I was twice encouraged for high performance in work - in May I was awarded a Certificate of Honor, and in December, based on the results of the year, I was given a cash bonus.

EngineerCategory III (signature) A.V. Avksentiev

If after the expiration of the allotted time an explanation is not provided by the employee, then in accordance with the first part of Art. 193 of the Labor Code of the Russian Federation, the employer is obliged to draw up an appropriate Act.

Labor legislation does not determine which of the officials of the organization and in what terms draws up an act, and whether it is necessary to acquaint the employee with it. This is determined at the local level, taking into account the existing rules of office work.

An act is a document that is compiled by a group of people, it confirms the facts or events established by them. Therefore, it is necessary that such an act be drawn up collectively. It is advisable to involve in the procedure for compiling it the same persons who were present when the employee was notified of the need to provide an explanation, since they are aware of the fact of notification of the employee and the deadline. But at the same time, those present need to be explained that in the event of a labor dispute, they can be summoned to the jurisdictional authorities to provide explanations on issues related to this act.
The act is drawn up according to the traditional scheme for acts and may look like this:

General form
ACT

20.11.2012

On the employee's failure to provide a written explanation in connection with the commission of a disciplinary offense

Me, the head of the Personnel Department M.A. Uralova, in the presence of the head of Department No. 13 A.M. Alekseev and an economist of the II category of Department No. 10 Yu.I. Zaikova drawn up this act on the following:

01/17/2012 to the engineer of Department No. 13 P.P. Korovin in accordance with the first part of Art. 193 of the Labor Code of the Russian Federation, it was proposed to provide a written explanation before 01/19/2012 in connection with the commission of a disciplinary offense by him, expressed in absence from the workplace for five hours in a row. In due time, a written explanation of P.P. Korovin was not provided. He told those present that, allegedly, he had already orally told his colleagues about the reasons for his absence and was not going to write anything else.

This act is drawn up in two copies: the first copy - to the Personnel Department; the second copy is P.P. Korovin.

(signature) M.A. Uralova
(signature) A.M. Alekseev
(signature) Yu.I. Zaikova

A copy of the act received:
(signature) P.P. Korovin

The legislator does not provide for familiarization with the act of the employee himself. But despite this, the employer should still make such an attempt. And first of all, it is recommended to do this in order to avoid any kind of misunderstanding as much as possible to keep the employee informed about the proceedings on the disciplinary offense charged to him. And the preparation of such an act is one of the stages of this production, and the employee should be aware of this.
However, if the employee, although with a missed deadline, nevertheless provided the employer with a written explanation, what should the employer do? Should he necessarily take it into account, or is such an explanation not a legally significant document? The legislator does not give a direct answer to this question. But based on the analysis of the content of the first part of Art. 193 of the Labor Code of the Russian Federation, the following can be allowed. If the employee claims that the missed deadline was due to a good reason, then, of course, an appropriate check should be carried out. In the event that the validity of the reason for the absence is confirmed, the written explanation must be accepted by the employer as if it were provided without missing the deadline. When the missed deadline is not due to a good reason, the employer has the right not to accept the explanation. At the same time, in order to avoid possible negative legal consequences in the future, the employer is still recommended to familiarize himself with the contents of the document, since there may be important information for him that will contribute, for example, to the correct choice of a disciplinary sanction or to resolve the issue of the need to involve this employee to disciplinary action in general.

It is important to pay attention to the fact that the employee's failure to provide an explanation, even if expressed in a categorical refusal, should not be regarded as a new disciplinary offense. After all, the explanation is considered by the legislator not as an obligation of the employee, but exclusively as his right. Refusal to exercise the right does not entail the application of measures of legal responsibility. But the legislator also established certain guarantees for the employer in case the employee refuses to exercise his right to an explanation. By virtue of the second part of Art. 193 of the Labor Code of the Russian Federation, the absence of this document from the employer, confirmed by the relevant act, will not be an obstacle to the application of a disciplinary sanction to the employee.

Kuznetsova T.V. Personnel records management (traditional and automated technologies): a textbook for universities. - M.: MPEI Publishing House, 2011. S. 172.

Shugrina E.S. legal writing technique. - M .: Publishing house "Delo", 2000. S. 50.

Bykova T.A., Vyalova L.M., Sankina L.V. Office work: Textbook. - 3rd ed. perer. and additional / Under the total. ed. prof. T.V. Kuznetsova. - M.: Infra-M, 2012. S. 165.

There. pp.165-167.

Updated 02/27/2020

2018-08-23T17:09:10+03:00

How to write an explanatory note to avoid punishment. Example and sample explanatory note for any occasion. Is it possible not to write an explanatory note? We will analyze the act of refusal, as well as analyze the legal meaning, types of explanatory notes and much more.

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Why do we need an explanatory note, a sample of which is presented in the article? Today we’ll talk about how to write an explanatory note correctly, give many examples and samples for all occasions: for work, for a child in kindergarten, school, university, and so on.

In the workflow, a lot of various documents are distinguished, among them is an explanatory note. It is used to explain the causes of certain situations, actions or facts. Paper is considered by law as a form of employee self-defense. And it is on the correctness of its compilation, the logic of the presentation of the facts that the subsequent decision of the leadership depends.

Often, an explanatory note is required in the following situations:

various emergency situations affecting production;
various violations of labor discipline;
violation of production discipline;
various disciplinary offenses;
misdemeanors.

In particular, most explanatory notes are drawn up due to being late for work or absenteeism, failure to fulfill official obligations. Here is a sample letter of absence from work:

Notification of the employee to give an explanation

As already mentioned, the employer is obliged to request a written explanation from his employee before applying a disciplinary sanction (Article 193 of the Labor Code of the Russian Federation). In addition, the deadlines within which an explanation must be given are set - two working days. Based on the fact that a certain time is allotted by the legislator, the employer must document the date when he asked his employee to provide a note. There is no mandatory requirement for this, however, from a practical point of view, such a document would be useful. Firstly, this is the starting date, and secondly, documentary evidence that the rights of the employee were not violated. We give an example below to make it clear what should be indicated in it and how to write it. An explanatory note is requested on the form of a letter signed by a representative from the employer, whose competence is to issue disciplinary sanctions. As a rule, this is the leader or the person to whom these powers are delegated.

Legal meaning of explanatory notes

Article No. 193 of the Labor Code (LC) of the Russian Federation obliges the head, before making a decision on the degree of guilt and the measure of punishment of the employee, to receive his written explanations, which must certainly be taken into account in the process of an internal investigation.

The explanatory note is endowed with great legal significance, because it allows:

objectively and comprehensively assess the situation;
identify those responsible for the incident;
take measures to prevent a similar situation in the future;
exclude further labor disputes based on misrepresentation of facts;
justly punish (or cancel the punishment) the guilty.

To provide the manager with a legally valuable document, it is necessary to comply with all the rules and regulations during its execution. From a legal point of view, the note has no evidentiary force and is for informational purposes only.

When to write an explanation

There are certain deadlines for writing an explanatory note: no more than two working days from the moment of the incident. That is why the employer, when drawing up a written request for explanations, must set a date - the report will be kept from it. If an explanatory note is not written at the set time, the employer has the right to apply to the subordinate any penalties that are adequate to the misconduct and within the framework of the law.

It should be remembered that only one disciplinary punishment can be applied for one violation and no later than one month after the fact of the committed violation has been established (the fact is also established in writing, by drawing up and registering a special act).

Types of explanatory notes

Explanatory note- a document that explains the reasons for any fact (absence from the workplace, being late, violation of official duties, and so on).

The most common types:

Clarification of any provisions (reporting, etc.);
Explanation of circumstances.

Explanatory note form

An explanatory note is written by hand, the addressee will be the person who requested it. It can also be typed on a computer, according to the form that is accepted in a particular organization. The way in which the note should be made is not fixed in any way in the legislation; accordingly, the use of both handwritten and typewritten versions is allowed.

Required details

In the explanatory note, like any other document, a number of details must be indicated.

These include:

name of the organization, structural unit;
addressee, often the head of the organization;
the addresser, that is, the direct offender;
name of the document type;
registration number. Specified in the personnel department during registration;
document text;
date of writing;
compiler's signature.

When taking into account all the listed details, after writing, a document will be obtained according to the following model:

What happens if an employee refuses to write an explanatory note

The subordinate is entitled to refuse to provide explanations, and punishment and DV are not provided for this. The management has no right to force and force the subordinate to draw up a note. However, such resistance does not exempt the employee from responsibility for the "unexplained" violation.

In such a case, the manager draws up an act on the employee's refusal to provide written explanations, signed by two witnesses.

So, to request an explanatory note is the responsibility of the manager, to write or refuse to compile it is the right of the employee. Refusal can in no way be regarded as a disciplinary offense or violation of the Labor Code.

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You can refuse to draw up a document, but it is not entirely reasonable. Hiding your “head in the sand” does not solve the problem, and there is a high probability of aggravating the situation.

Proud silence in this case can be regarded as if the misconduct by the employee was committed intentionally and intentionally due to obstinacy. Explanations with attached evidence of innocence or good cause will help smooth the situation and avoid penalties.

If the relationship is strained to the limit and a conflict flared up, both parties are advised to secure their position. For the employer by compiling a written request for explanations, for the subordinate - by providing them on time, it is advisable to endorse or register a second copy and keep it for yourself.

The act of refusal

In a situation where the employee categorically refuses to write explanations, an act is drawn up based on this fact. The correct execution of this document determines the degree of its legal significance.

When drawing up the act, a special form is used, adopted by the enterprise or established by the requirements of GOST.

Certain details are required:

Name of the organization.
Correct title (type and name of the document).
Date and place of compilation.
Registration number of the document.
Signatures of the head, two members of the commission constituting the act.
Approval stamp (only if necessary).

The document must indicate the violation that the employee refused to explain and the reasons for the refusal. An employee who did not want to explain himself should familiarize himself with the act against signature.

The employee has two working days to provide a note, and only after their expiration can an act of refusal of explanations be drawn up.

An explanatory note is not a death sentence and indisputable evidence of guilt. When writing it, it is worth calling for help all kinds of gift of persuasion of one's rightness or repentance, and most likely the "storm clouds" over the workplace will safely dissipate, which is all that remains to be wished.

Where can be useful

Despite the fact that explanatory is most often used in labor relations, it may be needed in other situations. Let's consider each option in detail.

Much of the success of writing an explanatory note depends on its correct compilation, for this you need to follow a few rules:

avoid a lot of unnecessary information and lengthy narratives, the information should contain useful information that explains the situation;
do not use eloquent phrases that offend or, conversely, extol the other side that took part in the situation;
do not hide the truth and do not shift the blame on anyone, a sincere confession is more conducive to oneself;
not to allow grammatical and spelling errors and blots in the explanatory, it should be written on a clean white sheet, in neat and legible handwriting, the document should not cause irritation just by its appearance.

Such a document may be needed at the school due to the absence of the child in the classroom without prior notice, or if the parents did not attend the meeting. The document is drawn up by hand, it contains standard data: the addressee of the appeal, the date and place of writing, the data of the compiler, the explanations given and the signature.

A distinctive feature of this type of explanatory is that it is compiled not by a shirking child, but by his parents.

An example of such a document is given here:

This type of document is compiled by the student in the name of the dean of the faculty where he is studying. In the document, in addition to standard information, you must additionally indicate the number of missed school days, indicate the dates and the reason for the absence. If there is a supporting document (for example, a medical certificate), it must be attached to the explanation.

This type of explanatory note is the most common and is drawn up before the management makes a decision on a disciplinary sanction.

It can be issued as an explanation for his absence or failure to perform official duties. In the second case, the explanatory note is part of the main document.

Now consider the case where excuses are much harder to come by. Porfiry Zhuchkov forgot to turn off the lights in his office before going home. As a result, the bulb burned out.

The form of this type of document is similar, with the exception of annexes. Here are some explanations for the third point:

Zhuchkov must state the essence of his mistake and its causes.
It is recommended to mention the consequences. So the manager will see that the employee soberly assesses the situation.
The mistake should be acknowledged and the blame should not be shifted to others. But the objective circumstances, if any, can be cited.
In conclusion, it is good to note that this will not happen again.

There are situations when explanations have to be written to the police. Such a need may arise in the following cases:

Calling the outfit, which has to give written assurance that there was a reaction to the call.
Committing unlawful acts against the applicant, who explains exactly what happened.
Registration of a document by the violator, which explains where he was and what he was doing at a certain point in time.

The document contains standard information about the recipient of the explanatory note, the compiler, the essence of the document, the date of execution and signature. A sample can be viewed here.

Each reporting period, the organization must submit the necessary information to the tax service, this can happen in the following cases:

late submission of a tax return to the service;
identifying errors in the declaration when writing words or numbers;
discrepancies between the data that are available in the tax office and those submitted by the organization.

An explanatory note is attached to the corrected declaration and can be handed over in person or sent by mail. It needs to answer in detail, but not in a very large volume, the questions that the tax inspector had, for example, why this final figure was obtained, methods for calculating taxes, or for what reason errors were made.

The work of the cashier is very responsible, as it is carried out in close contact with cash. Therefore, each erroneous action must necessarily be accompanied by an explanatory and, if possible, evidence attached to it. A note is made in the following cases:

when a check is bounced for the wrong amount;
making returns on a check tape;
incorrect calculation, which resulted in a shortage or excess of cash at the cash desk;
improper management of cash documents.

The main part of the explanatory note indicates the date of the error, the incorrect amount, the difference in data, check numbers, and the reason for this action. You can also indicate whether it has been fixed and in what way. After that, confirmation checks with the signatures of the cashier, if any, are attached.

Parents usually write explanatory letters to kindergarten in cases where the child missed a few days, but not because of a sick leave, or did not visit a doctor, but was treated by parents on their own.

The note is written not in the name of the teacher, but in the name of the director of the kindergarten. It indicates the name of the child, how many days he missed, what dates they fell on, and the very reason for the absence of the child.

Explanatory note drawn up, what's next?

The employer, having received an explanatory note, puts on it the incoming registration number of the document and, without fail, the date of admission.

According to Art. 193 of the Labor Code of the Russian Federation, to which we referred at the beginning, the employee has 2 working days to write an explanatory note. If, after this time, the employee does not provide explanations, the employer has the right to draw up an appropriate act about this. In order to insure against illegal actions on the part of the employer, it is better for the employee to register his explanatory note at the office or with the secretary with an appropriate mark on the document, and then take a copy of the explanatory note with this mark. Another option: the employee can write an explanatory note in 2 copies, and one of them, after putting a mark on admission, keep it. Then no one will be able to say that the employee did not provide written explanations within the period established by law.

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Labor legislation provides that the employer in some cases demand a written explanation from the employee.

For example, the employer must request such an explanation from the employee before applying a disciplinary sanction to the employee in the form of a remark, reprimand or dismissal (part 1 of article 193 of the Labor Code of the Russian Federation).

A written explanation must also be obtained from the employee to establish the cause of the damage caused by such an employee (part 2 of article 247 of the Labor Code of the Russian Federation).

And how to draw up a requirement for the provision of a written explanation of the employee?

Sample request for a written explanation

There is no single, mandatory form according to which the requirement for the employee to provide explanations should be drawn up. Therefore, the employer draws up such a requirement in an arbitrary form. The request must indicate in connection with which written explanations are requested from the employee, as well as the period that is given to the employee to provide such explanations. For example, before applying a disciplinary sanction, an explanation by the employee must be given within two working days following the day the request was received (part 1 of article 193 of the Labor Code of the Russian Federation).

Considering that in some cases the employer is obliged to demand an explanation from the employee, non-compliance with this procedure can be regarded as a violation of labor legislation. That is why the employer must confirm the fact that explanations from the employee were requested. This can be done by familiarizing the employee with such a requirement, where the employee puts his signature. Or, if the employee refuses to sign for familiarization with the requirement, such a requirement can be sent to the employee at his place of residence, confirming the fact of sending with an inventory of the attachment and a return receipt. Another option for familiarizing an employee with a demand when he does not want to pick it up is to read aloud the demand for an explanation. At the same time, this must be done in the presence of witnesses (commission), about which an appropriate act is drawn up.

Here is a sample of its filling for the request for explanations.

21 Mar 2013 17:16

The obligation of the employer to demand a written explanation from the employee in connection with the committed disciplinary offense is determined by law as an integral part of the procedure. Why does the legislator attach such importance to this document? First of all, the explanation is intended to contribute to the establishment of truth. The content of the document reflects the employee's view of what happened, his attitude to the misconduct and its consequences. If an employee pleads guilty to a committed offense, then in the explanation he has the opportunity not only to state the facts, but also to express, for example, his repentance for his deed, promise the employer not to repeat such misconduct in the future, etc. At the same time, when an employee believes that he has not committed a disciplinary offense, he also has the opportunity to present his own arguments in the explanation and provide the necessary evidence. It also happens that an analysis of the content of the explanation helps the employer not only remove claims against the employee, but also determine the true offender. Thus, the employee’s explanation contributes to an objective assessment by the employer of the current situation, allows to identify all the circumstances of the commission of a disciplinary offense and, if necessary, to choose the right measure of disciplinary action on the employee.
The obligation of the employer to require a written explanation from the employee before applying a disciplinary sanction is established by Part 1 of Art. 193 of the Russian Federation (hereinafter referred to as the Labor Code of the Russian Federation). In the same place, the legislator established the deadlines for the employee to write and submit an explanation - two working days.
Based on the fact that the legislator allocates a strictly defined period for preparing an explanation, the employer needs to document the date when he invited the employee to provide an explanation. The legislator does not require the employer to perform such an action. However, such a document will be useful: firstly, the date indicated in it will become the starting point of the time allotted for the employee to prepare an explanation, and secondly, there will be documentary evidence that the employee was explained his right to an explanation.
The notification of the employee about the need to provide a written explanation is usually drawn up on a letterhead and signed by the representative of the employer who is entitled to apply disciplinary sanctions (most often, the head of the organization, but in some cases this can be done by another person who has been delegated such powers) .
It might look like this:

About providing
written explanation

In connection with the improper performance of your labor duties, expressed in the absence of 16.01.2012 at the workplace from 13.00 to 18.00, I ask you to submit a written explanation to the Directorate for Personnel Management (Plant Management, 3rd floor, room 36) by 18.00 on 19.01.2012 on this fact.

Director (signature) Yu.V. Mayorov

Notice received on January 17, 2012.
Category III engineer (signature) A.V. Avksentiev

The question arises: what to do if the employee refused to receive such a document? How then to confirm that the requirement to give an explanation was brought to his attention and how to prove that it was from such and such a date that the two-day period allotted for the provision of an explanation began? The legislator does not give us an answer to this question. But, I think, in order to avoid legal problems in the future, the employer needs to take certain steps. For example, to give the employee a notice not on his own, but on a commission basis (for example, in the presence of his immediate supervisor and a representative of the trade union committee or one of the employees of the organization who are not interested in the outcome of the case, if the employee is not a member of the trade union or the employer does not have a trade union organization), after reading the contents aloud notifications to all present. If the employee refuses to receive a notification, it seems necessary to draw up an act, which will be signed by those present, thereby confirming the employer's compliance with the provisions of Part 1 of Art. 193 of the Labor Code of the Russian Federation.
Labor legislation does not directly regulate in the form of which document an explanation should be drawn up. So, in this case, it is necessary to apply the existing rules of office work.
The most common explanation is in the form explanatory note- a document explaining the causes of an event, fact, act.

In order for the employer to receive a document that is useful in terms of content, it is important that in the explanatory note the employee sets out in detail all the circumstances of his actions or inaction and indicates:
- whether he himself regards his behavior as unlawful, i.e. his actions or inaction were non-fulfillment or improper fulfillment of labor duties, it is advisable for the employee to bring arguments confirming his own position;
- whether he admits his guilt;
- what, in his opinion, was the reason (reasons) for committing a disciplinary offense;
- what is his attitude to the committed misconduct and to the negative consequences that the employer had as a result;
- whether he has any opinion regarding his possible bringing by the employer to disciplinary liability.
The explanatory note must contain such details as:
1) the name of the structural unit (the name of the structural unit in which the author of the explanatory note works is indicated);
2) document type ( explanatory note);
3) addressee. Since in accordance with Part 1 of Art. 193 of the Labor Code of the Russian Federation, an explanation is required by the employer, then the addressee of the explanatory note should be the official who, by virtue of the charter or other document (for example, a power of attorney), is a representative of the employer with the right to apply disciplinary sanctions. As a general rule, this is the head of the organization - director, general director, chairman of the board, etc. In the case of delegation of authority to a subordinate official (for example, the deputy head of the organization for work with personnel), the explanation is addressed to him.
4) date (the date of preparation of the explanatory note is indicated);
5) title to the text (for example, "On the reason for absence from work" or "On the reason for non-compliance with the order of the head of the Department");
6) text. It is written in a calm and even style, without excessively bright emotional coloring (although a certain proportion of the employee’s emotions should still be present in it). The text should be distinguished by conciseness, clarity, simplicity of presentation and clarity of wording. It is necessary to avoid artistic prettiness, grandiloquence of phrases and excessive publicism. An important factor is the logical sequence of the text, so that the addressee of the note correctly and without problems understands what the author wanted to say;
7) signature (issued indicating the position, personal signature and its transcript, initials and surname of the employee).

An explanatory note might look like this:

Sales department

Director Yu.V. Mayorov

Explanatory note

17.01.2012

January 16, 2012 during the lunch break at 13:05. I went home for dinner. When I was already returning from home to work, in the courtyard of the house I met a neighbor on the entrance, who said that his son had returned from the army, and invited me to his house to celebrate the meeting. I refused, explaining to him that I had to go to work. But in the end, the neighbor persuaded me to come in for 10 minutes, and we went to his apartment. However, our celebration dragged on. I decided not to go back to work because I was drunk. I deliberately did not call for work, thinking that the call would immediately betray my absence, otherwise they might not notice it.
I am fully aware of my guilt and I assure you that such violations will never happen again in the future. However, please note that my absence from work did not have any negative consequences for our management.
Please also take into account that during the past year I was twice encouraged for high performance in work - in May I was awarded a certificate of honor, and in December, based on the results of the year, I was given a cash bonus.

If after the expiration of the allotted time an explanation is not provided by the employee, then in accordance with Part 1 of Art. 193 of the Labor Code of the Russian Federation, the employer is obliged to draw up an appropriate act.
Labor legislation does not determine which of the officials of the organization and in what terms draws up an act, and whether it is necessary to acquaint the employee with it. This is determined at the local level, taking into account the existing rules of office work.
An act is a document that is compiled by a group of people, it confirms the facts or events established by them. Therefore, it is necessary that such an act be drawn up collectively. It is advisable to involve in the procedure for its preparation the same persons who were present when the employee was notified of the need to provide an explanation, since they are aware of the fact of notification of the employee and the deadline. But at the same time, those present need to be explained that in the event of a labor dispute, they can be summoned to the jurisdictional authorities to provide explanations on issues related to this act.

The act is drawn up according to the traditional scheme for acts and may look as follows.

20.11.2012

About non-representation by the employee
written explanation in connection
with a disciplinary
misdemeanor

Me, the head of the Personnel Department M.A. Uralova, in the presence of the head of Department No. 13 A.M. Alekseev and an economist of the II category of Department N 10 Yu.I. Zaikova drawn up this act on the following:
01/17/2012 to the engineer of Department N 13 P.P. Korovin in accordance with Part 1 of Art. 193 of the Labor Code of the Russian Federation, it was proposed to submit a written explanation before 01/19/2012 in connection with the commission of a disciplinary offense by him, expressed in absence from the workplace for five hours in a row. In due time, a written explanation of P.P. Korovin was not represented. He told those present that he had allegedly told his colleagues once orally about the reasons for his absence and was not going to write anything else.

This act is drawn up in two copies:
the first copy - to the Personnel Department;
second copy - P.P. Korovin.

(signature) M.A. Uralova
(signature) A.M. Alekseev
(signature) Yu.I. Zaikova

A copy of the act was received by: (signature) P.P. Korovin

The legislator does not provide for familiarization with the act of the employee himself. But, despite this, the employer should still make such an attempt. And first of all, it is recommended to do this in order to avoid any kind of misunderstanding as much as possible to keep the employee informed about the proceedings on the disciplinary offense charged to him. And the preparation of such an act is one of the stages of this production, and the employee should be aware of this.
However, if the employee, although with a missed deadline, nevertheless provided the employer with a written explanation, what should the employer do? Should he necessarily take it into account or is such an explanation not a legally significant document? The legislator does not give a direct answer to this question. But based on the analysis of the content of Part 1 of Art. 193 of the Labor Code of the Russian Federation, the following can be allowed. If the employee claims that the missed deadline was due to a good reason, then, of course, an appropriate check should be carried out. In the event that the validity of the reason for the absence is confirmed, the written explanation must be accepted by the employer as if it were presented without missing the deadline. When the missed deadline is not due to a good reason, the employer has the right not to accept the explanation. At the same time, in order to avoid possible negative legal consequences in the future, the employer is still recommended to familiarize himself with the contents of the document, since there may be important information for him that will contribute, for example, to the correct choice of a disciplinary sanction or to resolve the issue of the need to bring this employee to disciplinary action. responsibility in general.
It is important to pay attention to the fact that the employee's failure to provide an explanation, even if expressed in a categorical refusal, should not be regarded as a new disciplinary offense. After all, the explanation is considered by the legislator not as an obligation of the employee, but exclusively as his right. Refusal to exercise the right does not entail the application of measures of legal responsibility. But the legislator also established certain guarantees for the employer in case the employee refuses to exercise his right to an explanation. By virtue of h. 2 Article. 193 of the Labor Code of the Russian Federation, the absence of this document from the employer, confirmed by the relevant act, will not be an obstacle to the application of a disciplinary sanction to the employee.

Written submission of explanations becomes mandatory only in a number of cases. The most common- when assessing the validity of the reasons disciplinary offense of an employee(violations by the employee of labor, official duties). This is required by the procedure for imposing a disciplinary sanction under Art. 193 of the Labor Code (hereinafter - the Labor Code of the Russian Federation), which can result not only in a remark or reprimand, but also in dismissal. It all depends on the circumstances in which you need to understand. The explanatory note in this case documents, conveys to the management the position of the employee, his vision of the situation, his arguments.

Document Fragment

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Labor Code of the Russian Federation. Article 193 "Procedure for the application of disciplinary sanctions"

Before applying a disciplinary sanction, the employer must request a written explanation from the employee. If, after two working days, the specified explanation is not provided by the employee, then an appropriate act is drawn up.

The employee's failure to provide an explanation is not an obstacle to the application of a disciplinary sanction.

A disciplinary sanction is applied no later than one month from the date of discovery of the misconduct, not counting the time of illness of the employee, his stay on vacation, as well as the time required to take into account the opinion of the representative body of employees.

A disciplinary sanction may not be applied later than six months from the day the misconduct was committed, and based on the results of an audit, audit of financial and economic activities or an audit, later than two years from the day it was committed. The above time limits do not include the time of criminal proceedings.

For each disciplinary offense, only one disciplinary sanction may be applied.

The order (instruction) of the employer on the application of a disciplinary sanction is announced to the employee against signature within three working days from the date of its issuance, not counting the time the employee is absent from work. If the employee refuses to familiarize himself with the specified order (instruction) against signature, then an appropriate act is drawn up.

A disciplinary sanction may be appealed by an employee to the state labor inspectorate and (or) bodies for the consideration of individual labor disputes.

But explanatory notes can also be drawn up for other reasons, although the aspect of the “need to justify” is preserved (after all, in other cases, service and memos are used). For example, in the course of investigating the circumstances of causing damage to the property of the employer and determining its amount under Art. 247 of the Labor Code of the Russian Federation.

See also a sample requirement for written explanations in the article “False documents for employment”

Requesting written explanations

So, "before applying a disciplinary sanction, the employer must request a written explanation from the employee." As you can see, the law does not specify exactly whether the demand for explanations should be oral or written. In particularly difficult cases, when both the employee and the employer are very serious and intend to go, as they say, to the bitter end, the employer must ask the employee for an explanation in writing, in order to later be able to confirm compliance with the procedure prescribed for imposing disciplinary sanctions in Article 193 of the Labor Code of the Russian Federation (Example 1). The approved form of this personnel document has never existed, therefore, in each organization it is drawn up in its own way. Even the type of document used for this is different (notification, requirement, letter, etc.), although it is more correct to call it “ requirement", because in part 1 of Art. 193 of the Labor Code of the Russian Federation states that. Notification has a different meaning - information is being given and there is no requirement to do anything. A letter is an outgoing document that is sent to a third-party organization or individual, and the employee is not such a “stranger” person.

It should be remembered that “a disciplinary sanction is applied no later than one month from the day the misconduct was discovered” (part 3 of article 193 of the Labor Code of the Russian Federation). The fact of its discovery is confirmed by an act, not a requirement. Therefore, this month should be counted from the date of discovery (which ideally should coincide with the date of drawing up the act), and not from the date of requesting written explanations.

Another period is counted from the date of the claim - 2 days to give a written explanation(see Example 3). Therefore, it is important not only to issue a claim, but also to prove that it was handed over to the employee or he refused to receive it. To do this, at the bottom of the sheet, you can immediately make the appropriate blanks (marked with numbers 1 and 2 in Example 1): if the first one is not issued (signature on receipt of the demand), then the second one is drawn up (witnesses confirm the fact that the employee refused to receive this document, this mark eliminates the need to draw up separate act for this).

Example 1

Written request for an explanation from the employee

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Example 2

The text of the demand for explanations from the employee about the reasons for absence from work and signature

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Example 3

Calculation of the period for giving a written explanation of the reasons for a disciplinary offense

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Suppose a worker negligently damaged the property of the employer on Monday 09/01/2014, there were witnesses to this and an act was drawn up on the same day. On September 2, 2014, the worker was required to give written explanations. We start counting from the next day:

09/03/2014 - 1st day,
09/04/2014 - 2nd day (when the submission of an explanatory note will still be considered timely),
On 09/05/2014, it is already possible to activate the fact of failure to provide explanations.

If the requirement to give written explanations was presented to the employee on Friday 09/05/2014, and Saturday and Sunday are his days off (that is, they are not included in the calculation of the 2-day period), then the deadline for the timely submission of an explanatory note will expire only on Tuesday 09/09/2014 .2014.

So that a conscientious employee does not get confused in the calculation of this period, it is better to immediately indicate in the requirement a specific date by which an explanatory note must be provided. Here you can add a specific unit / official to whom it should be given (see the second paragraph of the text of the requirement from Example 1). The addressee of the explanatory note (in whose name it is drawn up, for example, the general director) and the person to whom it should be given (for example, the secretary or head of personnel department) are likely to be different people.

If the employee really had good reasons for the behavior that the employer did not like, and in general they are adequate people, then you should not be afraid of an explanatory note - she will defend the "accused". Then you do not need to wait for a written request from the employer. According to his verbal wish, it is better to immediately draw up an explanatory note, attaching to it the maximum evidence of his innocence. Not only official documents will do, even a printout from a news site about interruptions in the operation of the metro line, through which a latecomer gets to work, will do. If there is a conflict between employees, then a well-written explanatory note can even “drag” the management to the side of its author.

In whose name is the explanatory note written?

To accurately answer this question, you need to look at the Internal Labor Regulations, which should be in force in every organization. Most likely, it says that the employee reports to his immediate supervisor and CEO. Then the explanatory note, in which case the employee will write in the name of either his boss or the general director.

Local regulations may establish a different hierarchy: for example, members of a working group report to the head of this group, despite the fact that they represent different divisions in it. The group leader may ask for written explanations only if the misconduct is related to the work of the group.

Thus, the security service, the corporate culture manager, the head of the personnel department are not entitled to demand explanations from employees of other departments who are not subordinate to them, unless this is expressly stated in the organization's local regulations. True, the relevant powers to these and other officials can still be delegated by the general director by order (for example, to the chairman of the commission to investigate a particular incident). See the captions in Examples 1 and 2 marked with an exclamation mark.

By hand or on a computer?

The law does not oblige to write explanatory notes by hand, they can be typed on a computer. But experienced personnel officers demand explanations from employees, written only with their own hands. In the event of a labor dispute, this will help the employer protect against misconduct by an employee who may claim that he was “forced” to sign a text already drawn up by someone.

The minimum required composition of handwritten elements, inscribed by the employee’s hand on an explanatory note, is as follows:

job title,
personal stroke and
AND ABOUT. Surname.

It is impossible to confine oneself only to a handwritten personal stroke, because some signatures are not able to be unambiguously identified by handwriting examination as belonging to a certain person. And for whole words (in positions and surnames), this can definitely be done.

Details of the explanatory note

The form of the explanatory note is relatively free. No one requires an employee to have a thorough knowledge of the standards for paperwork, and compliance with the necessary minimum is enough.

At the top, on the right side of the sheet, information is written in a column about to whom and by whom the explanatory note is addressed. The employee must indicate his structural unit, position, as well as full surname, name and patronymic. Document type name- explanatory note - written in the center, after a few lines (usually with a capital letter or only in capital letters, as shown in Example 4). Example 5 shows an outdated version, where the name of the document type is written entirely in small letters and followed by a dot, i.e. the whole "cap" as if could be read in a single sentence; such design options used to be found in applications.

Example 4

"Header" of the explanatory note

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Example 5

An outdated version of the "cap" of the explanatory note

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Please note: in Example 5, the line with writing the type of document (with a small letter and a dot) is obsolete, and everything above is quite correct. The position of the author of the explanatory note may deviate from the addressee (general director, as in Example 4), or it may go immediately on the next line (as in Example 5). The preposition "from" may or may not be present before the author's title.

The name of the document type is followed by text which is in free form. The only requirements for it:

the correctness of the wording and the use, if possible, of an official business style of presentation,
only exact dates, if necessary - time,
facts and reasons for the current situation.

Circumstances are different, and it is incorrect to demand brevity from an employee in an explanatory note. A note can take up several sheets of paper, contain direct speech and read like a good detective, or it can consist of one line. The employer has no right to limit the employee in such "creativity".

No one expects conclusions and suggestions from the employee in the explanatory, although it will not work to forbid him to include them.

The content of the explanatory note is determined only by the employee who needs to write it. The boss does not have the right to dictate the text, say phrases like “this is not the reason”, demand rewriting and influence the content of the document in other ways. In some organizations, they go even further and draw up standard texts of explanatory notes. The employee has the right to decide whether to use them or write an explanatory note on his own. It is in his interest to describe what happened in the way he thinks is right. The employer, in turn, is obliged to familiarize himself with any explanations of the employee, whether he likes them or not.

Drafting the text of an explanatory note is very often difficult. Let us repeat the main rule: events must be stated as they happened.

If the fault of the employee is obvious (he was late, was rude to the client, forgot to do something), then it is pointless to deny this and invent some kind of excuse. You have to write it as it is:

Example 6

Explanatory note text

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Example 7

Explanatory note text

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There can be many reasons for being late or absent from the workplace, and not all of them are valid. If the employee does not want to voice the true reason for his lateness, this is his right. Here the universal formulations “for family” or “for personal reasons” will help out (see Example 8). Another way out is to admit one's guilt without describing the reasons (Example 9). However, such cliches, of course, will not evoke any understanding and sympathy from the leadership.

Example 8

Explanatory note text

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Example 9

Explanatory note text

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The employee may assume that he will be “forgiven” because the reason for the misconduct is valid, and he himself has been working for a long time, this has never happened before, or for some other reason. Then he better write about it in his explanations:

Example 10

Fragment of the text of the explanatory note

It might be useful to read: