If an incident occurs at the enterprise, then in addition to recovering material damage from the guilty employee, it is necessary to conduct an inventory and an internal investigation. It is necessary to avoid unpleasant consequences in the future and to insure against such cases.
An inventory is needed to assess the damage caused, an internal investigation is needed to identify the causes of its occurrence.. The investigation is carried out in stages and at the end an act is drawn up official investigation.
An official act is a document that records certain significant facts. The types of official Acts may vary (Acceptance certificate, acceptance certificate for work performed, etc.), and in the process of work (Absence certificate from the workplace, refusal to sign, inventory, shift transfer, etc. ).
An employee who has committed an offense and whose guilt was proven during the internal investigation must write an explanatory note (its sample is located above), in which the reasons for such an act should be briefly and concisely stated.
An official investigation is a set of measures taken by the company aimed at collecting, checking and analyzing documents confirming the fact of a violation.
The chairman of the commission is appointed to conduct the investigation, and the secretary is appointed to maintain documentation.
Russian legislation allocates only 2 days for giving explanations by an employee in respect of whom an internal audit is being carried out.
The commission, in accordance with the Labor Code, must request a written explanation from the employee in connection with what happened. The secretary draws up a request in which the employee must sign. If he refuses to do this, you need to fix this fact.
If the employee refuses to give written explanations or evades the performance of duties, then an act must be drawn up in which the witnesses sign.
An internal investigation may be initiated on the basis of the following violations:
- Systematic delays.
- Premature end of the day.
- Failure professional duties(under investigation based on complaints dissatisfied customers or a memo from other employees, a sample of which can be found below).
- Violation of instructions (official) or safety regulations, including fire safety.
- Application to the subject entrepreneurial activity material damage.
- Fraudulent activities that resulted in financial losses for the company, etc.
An example of a service act
I approve:
CEO
LanyshSMI LLC
Tsvetkov V.M.
Act
Irkutsk
on allocation for destruction
documents not to be kept
Based on the List of typical managerial archival documents generated in the course of activities government agencies, bodies local government and organizations, indicating the period of storage, are selected for destruction as having no scientific and historical value and having lost practical value documents of LandyshSMI LLC.
Total 7 units. ridge For 2010-2012. Inventories of cases of permanent storage for 2010-2012 approved by personnel
agreed with the EPC of the relevant archival institution (minutes No. 9 of 12/17/2010 and minutes No. 4 of 02/08/2012)
head of business department
P.V. Lavochkin 08.04. 2017
Agreed:
EC protocol
dated April 6, 2017 No. 1
Reasons and grounds for a service act
From the point of view of the content of official acts and their purpose, there are many types of such documents: material assets, the act of writing off material values, examination of working conditions, the act of testing samples.
An official act must also be drawn up upon dismissal of an employee (who is not a materially responsible person) and transfer of cases, incl. unfinished, new employee.
The act is always drawn up by several persons (collectively) - at least 2. Often, the leader first creates a commission (by order, order), which is endowed with some powers and functions. And already this commission draws up an official act based on the results of its activities. Such a document may contain conclusions, for example, an act of an internal investigation.
The role of official acts in the process labor activity quite significant. Properly drawn up documents can be used as evidence in civil cases, are taken into account when conducting checks on a complaint in labor inspection and other authorities.
What does the Service Deed include?
In our example, the approved form of the act of destruction is used. Nevertheless, on its basis and knowledge of the nuances outlined below, you can prepare any service document for recording events or actions.
The official act can be drawn up on the official letterhead of the organization. It can be drawn up on a simple sheet of A 4 format, but contain the column: I approve, agreed (signed by the head). Certain types of acts financial matters) acquire legal force only after the certification of the signature stamp “I approve” with the seal.
The mandatory details of the official act, in addition to indicating the organization, include:
- name of the document (Act), number (if any) and date
- place of compilation
- basis (verification, fact, event, instructions from the boss, reference to the norm of the law)
- the essence of the established facts, results and conclusions, suggestions
- signatures of the parties (chairman and members of the commission or employees of the organization present at the time of drawing up the document).
When one of the mandatory members of the commission, when drawing up an official act, does not agree with any conclusions, he has the right to attach a dissenting opinion to the document as an attachment in writing.
The number of copies (when not approved by law) is determined by practical necessity.
Please note that the official act, as a rule, is not stored separately, but is attached to the materials of the case with which the recorded fact is associated.
Official investigation act
Sample act of official investigation:
(in Word, doc format)
(in Word, doc format)
An example of an official investigation report
APPROVE:
Kuvshinka LLC
CEO
Bratchikov Rodion Konstantinovich
Official investigation act
Compiled by the committee:
Chairman: Head of Personnel Department P.R. Malakhov
Commission members:
Fact of violation: failure by the administrator Sinitsina Anastasia Vladimirovna to fulfill the assigned duties to notify the migration unit of the Main Directorate of the Ministry of Internal Affairs of Russia for the Krasnodar Territory in the city of Gelendzhik about the arrival of foreign citizens at the place of temporary stay within 24 hours (violation of Article 20 federal law“On migration registration of foreign citizens and stateless persons” dated July 18, 2006 No. 109-FZ).
As a result of the internal investigation, it was revealed:
- April 18, 2017 to the hotel "Kuvshinka" at the address: Gelendzhik, st. Marine, 48, at 12 o'clock. 48 min. a citizen of the Republic of Uzbekistan Mahmud Farkhudov, born on 04/08/1972, arrived for a temporary stay.
- According to the time sheet, the register, on April 18, 2017, the administrator Sinitsina A.V. carried out its functional responsibilities from 06 o'clock 00 min. till 06 o'clock. 00 min. April 19, 2017, incl. on settling guests and providing them with hotel rooms. Sinitsina A.V. provided Uzbek citizen Farkhudov M. with room 309 on the third floor of the hotel, and also took payment and issued a receipt.
- In violation of clause 2.4 job description hotel administrator and 20 of the Federal Law "On Migration Registration of Foreign Citizens and Stateless Persons" dated July 18, 2006 No. 109-FZ arrival notification foreign citizen to the location of Sinitsina A.The. was not filled in, it was not submitted to the migration unit in the Main Directorate of the Ministry of Internal Affairs of Russia for the Krasnodar Territory in the city of Gelendzhik.
- On 05/05/2017, as a result of an inspection by the Main Directorate of the Ministry of Internal Affairs of Russia for the Krasnodar Territory in the city of Gelendzhik, an administrative protocol was drawn up in relation to Kuvshinka LLC and a decision was issued on an administrative offense under Part 4 of Art. 18.9 of the Code of Administrative Offenses of the Russian Federation. An administrative fine in the amount of 400,000 rubles was imposed.
- According to written explanations Sinitsina A.The. dated May 5, 2017, she did not send a notification to the Main Directorate of the Ministry of Internal Affairs for the Krasnodar Territory in the city of Gelendzhik due to forgetfulness.
- Previously, the employee showed diligence in work, performed duties on time. There are no outstanding charges. For violations labor discipline was not held liable. Works at Kuvshinka LLC under an employment contract as an administrator since 08/05/2015.
Having studied the materials, namely: the internal labor regulations, the job description of the hotel administrator, the materials of the case of an administrative offense, the explanations of Sinitsina A.V., the commission comes to the following conclusions:
- In the actions of Sinitsina A.The. contains the composition of a disciplinary violation, expressed in the improper performance by the employee through his fault of the labor duties assigned to him, as a result of which the employer suffered damage in the amount of 400,000 rubles.
- Engage Sinitsina A.V. to disciplinary responsibility and apply disciplinary action in the form of a reprimand.
Commission Chairman:
ETC. Malakhov
Commission members:
Labor protection specialist S.S. Vykhina
Leading Legal Counsel D.V. Fedoseeva
I am familiar with the act of internal investigation:
Sinitsina A.V.
Reasons for an internal investigation
Proceedings are held when a serious disciplinary violation committed by an employee is identified. For example, in the following cases:
- in the absence of a worker at the workplace for more than 4 hours without a good reason (i.e. absenteeism);
- when facts of causing material harm to the organization are revealed;
- if the employee abused official position etc.
During the SR, the degree of guilt of a person in what happened is established, and the circumstances that prompted him to behave in a bad way are also identified.
The rights of the employee in respect of whom the proceedings are being conducted are enshrined in the organization's instructions on conducting internal investigations. But there are general provisions arising from human and civil rights. The investigation must be objective and independent, respecting the interests of the employee being investigated. This means that the employee has the right to testify, change them, provide evidence of his innocence, and also get acquainted with all the documents regarding him that will be collected during the audit.
Deadlines for the Internal Investigation
There are no deadlines for conducting an internal investigation under the labor code. Typically, the duration of the proceedings is fixed in local acts organizations and does not exceed the terms of bringing to disciplinary responsibility under the Labor Code of the Russian Federation.
According to generally accepted practice, the period of the audit should not exceed one month. The exception is the periods when the employee is on sick leave, on vacation, on a business trip. In case of violation of the terms of the SR, the guilty employee will be automatically released from disciplinary liability.
Actions before drawing up the Act
The act of an internal investigation is drawn up in cases of damage to the employer by the actions of the employee or the detection of violations of labor discipline. Such a document must also be drawn up after the Act of absence from the workplace if you intend to dismiss the employee for absenteeism.
Conducting an internal investigation or verification is initiated by the resolution of the head - the first person of the organization. The composition of the commission is approved by order, and the period for conducting the audit is limited to 30 calendar days. Members and the chairman of the commission must familiarize themselves with the order. By the way, these should be persons not related to the incident.
The commission collects and examines the documents related to the incident, requests explanations from the employee (mandatory). In case of refusal, an appropriate Act is drawn up (similar to the Act of refusal to receive). Based on the results of the check, an official investigation report is drawn up, which is signed by all members of the commission and the employee in respect of whom it was carried out (Act on refusal to sign).
Check procedure
- The leader issues an order
To initiate a SR, the employer issues an appropriate order.
Sample order for an internal investigation:
By this order, the employer collects a commission with the participation of at least three people. Most often, it consists of employees of the security service of the enterprise, personnel officers, accountants and lawyers, members of the trade union.
2. The Commission collects information
The established commission begins to collect information to confirm the fact of misconduct by an employee of the organization. The main sources of information to detect violations are the following documents:
- service note;
- the statement of the employee himself;
- customer complaint;
- act of inventory, etc.
3. The commission requests an explanatory note from the employee
The commission, by means of a notification, is obliged to request a written explanation from the person in respect of whom an internal audit is being carried out. He must provide it within two days from the date of receipt of the notification.
If the employee does not want to explain his act or refuses to receive a notification in his hands, the members of the commission draw up an act of refusal to give explanations.
4. An act is drawn up
At the end of the event, an official investigation report is drawn up at the enterprise. It is in any form.
Example 1:
Example 2:
A sample act of an internal investigation at an enterprise must contain the following information:
- Name of the document, place and date of its compilation.
- The composition of the commission (name and position);
- Information about the person in respect of whom the investigation was carried out (name, position).
- The main part, indicating the purpose of the investigation and the circumstances that led to the violation.
- In the final part, a decision is made on the guilt / innocence of the employee. If guilt is proven, the form is determined disciplinary action.
- Application, signatures of all members of the commission.
On refusal to familiarize with the act
conducting an internal investigation
We, the undersigned, have drawn up this act to the effect that nurse ward Ivanova M.I., in respect of which an internal investigation was carried out, in our presence refused to certify with her signature the fact of familiarization with the act of an internal investigation. She gave no reason for her refusal.
Deputy Director for Medical Affairs "___" ____ 20___ ____________ Ivanov N.N.
Paramedic "___" ____ 20___ ____________ Sidorova V.V.
Senior nurse "___" ____ 20___ ____________ Petrova N.N.
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. A complete list of 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.
Order to conduct internal check(a sample can be downloaded below) is being 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.
- Formed during the day special commission, which considers the circumstances of the misconduct and its consequences for 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 illegal actions guidance 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:
- legal address and the name of the company on which 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 The to which 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 assigned 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 will have to file a claim with the court.
Order on the establishment of a commission and an internal investigation into the theft at the workplace
Samples on the topic: Order. Work
<1>According to Art. 248 of the Labor Code of the Russian Federation, an order to recover from the guilty employee the amount of damage caused, not exceeding the average monthly earnings, is made by order of the employer no later than one month from the date the employer finally establishes the amount of damage caused by the employee.
Order
A selection of the most important documents on request. Order for an internal investigation (legal acts, forms, articles, expert advice and much more).
Articles, comments, answers to questions. Order to conduct an internal investigation
(Vakhrusheva Yu.)
Forms of documents. Order to conduct an internal investigation
Form: Order on the establishment of a commission to conduct an internal investigation. Loss of trust (sample)
Order on the establishment of a commission to conduct an internal investigation. Loss of trust (sample filling) (Prepared by ConsultantPlus specialists,)
The form has been prepared using legal acts as of 21.01..
The form was developed for the Human Resources Guide. "Disciplinary sanctions. Remark, reprimand, dismissal."
investigation. Loss of trust
(sample filling)
Limited Liability Company "Art-ex"
(LLC "Art-ex")
On the establishment of a commission to conduct an internal investigation
In connection with the inventory and the revealed fact of shortage of inventory items
I ORDER
1. Create a commission to conduct an internal investigation to establish the reasons for the shortage of inventory items in the warehouse, consisting of:
The chairman of the commission - the head of the material and technical department D.A. Naganova
Commission members:
Head of Personnel Department - Yu.A. Kuprin
Head of the duty service - A.E. Potapova
Accountant - E.P. Vasilyeva.
2. Commissions before 10.03. conduct an investigation into the shortage of inventory in the warehouse. Responsible: chairman of the commission D.A. Naganov.
3. I reserve control over the execution of the order.
General Director Kharitonov M.B. Kharitonov
Familiarized with the order:
head of logistics
department Naganov D.A. Naganov
An official investigation
If an incident occurs at the enterprise, then in addition to recovering material damage from the guilty employee, it is necessary to conduct an inventory and an internal investigation. It is necessary to avoid unpleasant consequences in the future and to insure against such cases.
An inventory is needed to assess the damage caused, an internal investigation is needed to identify the causes of its occurrence. The investigation is carried out in stages and at the end an official investigation report is drawn up.
Creation of the commission
Sample order for an internal investigation
It should consist of those employees who are not associated with the incident. It usually includes specialists and management representatives. It should find a place for a lawyer, accountant, head of personnel, head of security, and so on.
The chairman of the commission is appointed to conduct the investigation, and the secretary is appointed to maintain documentation.
After an order is issued to conduct an internal investigation, all members of the commission must familiarize themselves with it and sign it.
Collection of information
To establish the degree of guilt of the employee, the connection between the incident and his behavior, the commission must collect and analyze all the data. To do this, she must interview witnesses, summarize the documents, view all the evidence.
Employee's explanation
The commission, in accordance with the Labor Code, must request a written explanation from the employee in connection with what happened. The secretary draws up a request in which the employee must sign. If he refuses to do this, you need to fix this fact.
If the employee refuses to give written explanations or evades the performance of duties, then an act must be drawn up in which the witnesses sign.
commission meeting
After all the information is collected and summarized, the commission meets and answers the following questions:
Drawing up an act
sample act
After the completion of all discussions, the commission draws up an act, from the text of which it should be clear:
All materials are filed in the “Case” folder, numbered, and an inventory of documents is compiled.
The act is certified by the signatures of all members of the commission and the guilty party. If the employee refuses to sign on the act, eyewitnesses must testify with their signatures.
The employee has the right to view all materials of the investigation and appeal them (Article 247 of the Labor Code of the Russian Federation).
Sample act of internal investigation at the enterprise download (Size: 31.0 KiB | Downloads: 307)
Outdated form or article? Please click!
About conducting an internal investigation
FEDERAL MINING AND INDUSTRIAL
SUPERVISION OF RUSSIA
About conducting an internal investigation
Based on materials submitted by the Chief Federal Inspector for the Penza Region of the Office of the Plenipotentiary Representative of the President Russian Federation in Privolzhsky federal district Fomin V.V. (letter dated April 22, 2003 N A53-21 / 384), and audit certificates of the Control and Audit Department of the Ministry of Finance of the Russian Federation in the Penza Region (acts dated May 22, 2003 and May 29, 2003)
I order:
1. Create a commission to conduct an internal investigation consisting of:
Zhulina S.A. - Head of the Department of Chemical and Petrochemical Production of the Office for Supervision in the Chemical, Petrochemical and Oil Refining Industry (Chairman of the Commission);
Komisarov V.Ya. - Chief Specialist department of lifting facilities of the Office for Boiler Supervision and Supervision of Lifting Facilities;
Timakov M.V. - chief specialist of the control and revision department of the Financial and Economic Department.
2. The Department of the Middle Volga District (Sokolov I.A.) to conduct an internal internal investigation and submit, by 15.08.2003, the necessary explanations and documents for the work of the commission.
3. Commissions to conduct an internal investigation and submit to the leadership of Gosgortekhnadzor of Russia until 05.09.2003 an act and proposals to eliminate violations in the Office of the Middle Volga District of Gosgortekhnadzor of Russia.
4. To impose control over the execution of this order on the deputy head of the Gosgortekhnadzor of Russia A.I. Subbotin.
An internal investigation is a special set of measures that are aimed at collecting, verifying and analyzing materials about a particular deviation in the work of an organization that led or could lead to material damage or damage your reputation. Let's figure out what is the procedure for conducting an internal investigation, and give samples of documents that will be needed at each stage of such an audit.
The legislator does not define the very concept of “official investigation”, however, it is accepted in business practice and is found, although not in direct form, in legislative acts. So, for example, article 247 of the Labor Code of the Russian Federation obliges the employer to conduct an inspection if he has suffered damage in order to establish its size and causes.
When an Investigation is Conducted
With any deviation from the normal order, when it is necessary to understand what happened, identify the causes, perpetrators, and determine the consequences.
As a rule, such a check is carried out in the following cases:
- inventory shortages;
- complaints from customers or staff;
- violation of the internal labor regulations, labor contract or job description;
- violations of local acts (safety regulations, fire safety etc);
- disclosure of commercial information;
- causing material damage to the organization or employees;
- receiving and giving bribes;
- other abuses.
This list is not exhaustive and may be supplemented by any employer at its discretion.
So, let's give an example of an official investigation in relation to an employee.
How to start an internal investigation
The employer has the right to create a commission with the participation of relevant specialists. For example, if we are talking about theft, the commission will most likely include a representative of the accounting department, the security service and the unit where the theft was detected. Often the committee is chaired by either a supervisor or an internal auditor.
However, there are no requirements for the composition of the commission. Any person at the choice of the head can enter it, with the exception of those involved, directly or indirectly, in the violation. The minimum size of the commission is three people.
In this case, the leader must issue an order. To do this, you will need a sample order for an internal investigation, a sample is presented below.
Order on the creation of a commission
What does the commission find out?
During the audit, the following circumstances are clarified:
- the essence of the violation;
- the amount of damage caused;
- the causes and conditions that led to the misconduct;
- the person who committed the offense;
- degree of guilt;
- mitigating and aggravating circumstances;
- measures to bring the perpetrators to justice;
- preventive actions to prevent such violations.
When the circle of potentially guilty persons is determined, and in some cases it can be quite wide, the commission collects written explanations. At the same time, explanations can be collected both from the perpetrators and from employees who, in one way or another, can explain what happened.
An explanatory note is drawn up by the employee on the basis of a notice issued by the commission. The notice describes the incident and may include a list of questions for the employee to answer. In the copy of the notification that remains in the affairs of the commission, the employee must indicate the date of receipt of the notification and sign.
The employee has the right to refuse to give explanations. In this case, it is necessary to fix this fact in the act of refusal to give explanations. It is made up of committee members.
An explanatory note is drawn up in any form by hand in the name of the head, the date is indicated and the signature is put. If the employee admits his guilt, he has the right to indicate in the explanatory note the presence of extenuating circumstances.
In addition to the explanatory note, the commission collects other documents that can shed light on the circumstances of the incident: memorandums and memos from eyewitnesses of the incident, inventory reports, opinions of auditors and independent experts, reports of measuring the readings of control and measuring equipment.
The results of the internal investigation
At the end of the investigation, the commission draws up a final document - an act that is signed by all members of the commission. You can find a sample of an internal investigation report at an enterprise below.
The perpetrators must also be familiarized with the act. If the employee refuses to confirm the fact of familiarization with his signature, this must be evidenced by the signatures of independent persons.
The employee or his representative has the right to familiarize himself with all the materials of the audit and appeal against them in case of disagreement with the results.
Based on the results of the audit, disciplinary measures may be applied. They must be included in the sample conclusion of an internal investigation.
Based on Art. 248 of the Labor Code of the Russian Federation, the recovery from the guilty employee of the amount of damage caused, not exceeding the average monthly salary, is carried out by order of the employer. The order may be made no later than one month from the date of the final determination by the institution of the amount of damage caused by the employee. If the monthly period has expired or the employee does not agree to voluntarily compensate the damage caused to the employer, and the amount to be recovered from the employee exceeds his average monthly earnings, recovery can only be carried out by the court.
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. It usually includes a legal adviser, a security officer, an economist (or Chief Accountant), engineer and others. Creation of this body is allowed Labor Code RF (Article 247).
The purpose of the commission is an internal investigation, the conduct of which is the responsibility of the employer in accordance with labor law RF. 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.
Basic provisions
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 Conducting an Internal 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 is the signature of the head, its transcript and position ( CEO, director, etc.). 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.
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