Official investigation of a civil servant. Internal audit in the organization: the powers of the employer. Information about changes

03.11.2019

In any organization, situations may arise when employees violate labor discipline and the employer is forced to apply sanctions to them - as a rule, disciplinary sanctions.

As follows from the Labor Code, disciplinary sanctions are imposed only on employees who have committed guilty acts. But sometimes it is not so easy to establish the guilt of an employee. The solution to the situation is to conduct an internal audit.

In general, internal verification is a term applied to the public service. In relation to it, the procedure for verification is determined by laws. How to do a background check on commercial organization- not established by law. Nevertheless, it is possible to carry out such a check in a commercial organization. First of all, in order to confirm the objectivity of the imposed penalty (especially if it is dismissal) and so that the employee cannot appeal the penalty.

We list some cases in which it is advisable to conduct an internal audit.

The employee has committed a disciplinary offense, that is, he did not perform or did not properly perform his labor duties. Before appointing an internal audit, it is necessary to assess the nature of the misconduct and the consequences that have occurred. And also what kind of penalty will be imposed. If the misconduct is small, and entails only a remark or reprimand - there is not much point in checking. But if the employee is threatened with dismissal, then, of course, it is worth checking.
The employee is involved in liability. However, in those cases where the theft was revealed by the inventory commission, it makes no sense to conduct an audit: this commission will establish the necessary facts anyway.
The employee has committed actions that entail the possibility of his dismissal for certain reasons (provided for in Article 81 of the Labor Code of the Russian Federation). For example, an employee serving goods and materials has committed guilty acts that lead to a loss of confidence on the part of the employer. Or an employee performing educational functions has committed an immoral act, in connection with which it is impossible to continue his work.

Internal audit tasks

Of course, the service check has its own tasks. This is the setting:

The fact that certain actions were taken.
Place, time, circumstances of the commission of these actions.
The consequences of the actions taken.
An employee who has committed certain actions;
The guilt of this employee in the committed actions;
Motives for actions, their goals and other circumstances (for example, an assessment of the personality of an employee, his business qualities).

How to start checking

First of all, it is worth noting the timing of the audit. The fact is that the conduct of the audit does not in any way suspend the course of the period for bringing to disciplinary responsibility. Therefore, you need to act only within this period. It must be remembered that, firstly, a disciplinary sanction is imposed no later than a month from the day the misconduct was discovered. Secondly, it is imposed only within six months after the commission of the offense.

In other cases, when the check is not carried out in connection with a disciplinary offense, it is advisable to start the check as early as possible from the moment the necessary information is received.

The audit must be carried out on the basis of the order of the employer. There you need to fix:

the reason for the inspection;
persons responsible for conducting the inspection (as a rule, this is a commission), the chairman of the commission;
powers of responsible persons;
the term for conducting an internal audit and the procedure for processing its results.

The employer forms the commission at its discretion. But usually it includes representatives of the personnel service, legal department, security department, financial department. The commission should not include the employee who performed the actions that initiated the audit. As well as his relatives and subordinates.

Commission work

The entire inspection must be carried out in accordance with the law, respecting the rights of man and citizen. It is not allowed to force this or that employee to give explanations, etc.

The Commission has the right:

call various workers and ask them to give explanations, including in writing;
get acquainted with all documents of the organization related to the audit, as well as attach them to the audit materials;
ask employees to provide information and documents relevant to the audit;
with the permission of the employer to use for consultations of specialists, request Required documents and information from state bodies, individuals and legal entities;
present the test results.

Formulation of test results

Based on the results of the audit, the commission draws up an act or conclusion on the results of the audit.

Carrying out an internal audit in the state civil service

The Commission has the right to formulate its proposals on bringing the perpetrators to justice.

It is worth noting that the employee in respect of whom the check is carried out also has certain rights. So, he has the right to give explanations, attach documents, ask for the removal of a member of the commission, get acquainted with the materials of the audit (upon its completion).

Familiarization with the results of the check by the employee is an important stage. Acquaintance should take place under the signature. If the employee refuses to sign, then an appropriate act is drawn up about this.

The conclusion on the results of the audit must be signed by all members of the commission, and approved by the head of the organization. All audit materials must be attached to the conclusion.

Documents related to verification may be considered confidential information. It is better to keep them in the personnel department, put a copy of the conclusion in the employee's personal file.

If the results of the inspection revealed signs of a crime or administrative violation should be reported to law enforcement.

Service check

Service check is carried out by decision of the representative of the employer or at the written request of a civil servant.

When conducting an internal audit, the following must be fully objectively and comprehensively established:

a) the fact that a civil servant has committed a disciplinary offense;

b) the fault of a civil servant;

c) the reasons and conditions that contributed to the commission of a disciplinary offense by a civil servant;

d) the nature and extent of the harm caused to civil servants as a result of a disciplinary offense;

e) the nature and extent of the harm caused to civil servants as a result of a disciplinary offense;

f) the circumstances that served as the basis for a written application of a civil servant to conduct an internal audit.

The representative of the employer, who appointed an internal audit, is obliged to control the timeliness and correctness of its conduct.

Conducting an internal audit is entrusted to the unit government agency on issues of public service and personnel with the participation of the legal (legal) unit and the elected trade union body this government agency.

A civil servant who is directly or indirectly interested in its results cannot participate in an internal audit. In these cases, he is obliged to apply to the representative of the employer who appointed the internal audit with a written application for the release of his 01 participation in this audit. If this requirement is not met, the results of the internal audit are considered invalid.

An internal audit must be completed no later than one month from the date of the decision to conduct it.

Internal audit in the organization: the powers of the employer

The results of the internal audit are communicated to the representative of the employer who appointed the internal audit in the form of a written opinion.

A civil servant in respect of whom an internal audit is being carried out may be temporarily suspended from the civil service position to be replaced for the duration of the internal audit, with the maintenance of the financial allowance for the civil service position to be replaced for this period. Temporary removal of a civil servant from the position to be replaced is carried out by the representative of the employer, who appointed an internal audit.

A civil servant in respect of whom an internal audit is carried out has the right to:

a) give oral or written explanations, submit applications, petitions and other documents;

b) appeal against the decisions and actions (inaction) of civil servants conducting an internal audit to the representative of the employer, the employer who appointed the internal audit;

c) at the end of the internal audit, familiarize themselves with the written conclusion and other materials based on the results of the internal audit, if this does not contradict the requirements of non-disclosure of information constituting state and other secrets protected by federal law.

In a written conclusion based on the results of an internal audit, the following shall be indicated:

a) facts and circumstances established as a result of an internal audit;

b) offers of acceptance to a civil servant disciplinary action or not subject to disciplinary action.

A written conclusion based on the results of an internal audit is signed by the head of the department of the state body for public service and personnel and other participants in the internal audit and is attached to the personal file of the civil servant in respect of whom the internal audit was carried out.

In accordance with this federal law, an internal audit is carried out in each case of violation of official discipline.

The decision to organize an internal audit in respect of a civil servant, regardless of whose initiative it is carried out, is taken in the form of an appropriate act (order, order). The act indicates: the facts that served as the basis for the decision to organize an internal audit; the composition of the persons conducting the inspection, indicating the positions, surnames, names and patronymics; position, surname, name and patronymic of the person in respect of whom the check was carried out; start date and timing of the audit.

The representative of the employer who appointed the internal audit, when determining the composition of the inspectors, must take into account the following circumstances:

a) the composition of the inspectors includes representatives of the subdivision of the state body for civil service and personnel issues with the participation of the legal (legal) subdivision and the elected trade union body of this state body;

b) the composition of the inspectors does not include: an employee in respect of whom materials were received that were the basis for making a decision to organize an internal audit in the state body; a relative of the person being tested; an employee directly subordinate to the person in respect of whom the audit is being carried out; other persons by decision of the head of the state body;

c) if a trade union body has not been established in a state body, then the inspection is carried out without the participation of trade union workers.

The persons conducting the check should be interested in revealing the objective truth on the facts of the check. If a person who is directly or indirectly interested in other results of the internal audit participates in the internal audit, the results of the internal audit are considered invalid, the composition of the inspectors is reorganized and a repeated audit is carried out.

An internal audit is carried out in order to:

Establishing the presence or absence of the very fact of the unlawful act of a civil servant;

Establishing the circumstances, causes and conditions of violation by the employee of the requirements of the law Russian Federation and legal acts of the state body;

Establishment of a specific person who committed an offense and other persons involved in its commission;

Establishing the guilt of an employee;

Determining the extent of damage caused to the state body in connection with the offense;

Development of proposals on measures of disciplinary or other liability of a civil servant for a violation;

Development of recommendations on the organization and conduct of measures in the state body aimed at eliminating the causes and conditions that contributed to the commission of the violation. The review must be completed within one month. The inspectors work on the control of the representative of the employer and, at the end of the audit, inform him of its results in writing. The law does not provide for the possibility of extending an internal audit.

The representative of the employer, at the suggestion of the unit conducting the internal audit, by order of the state body may temporarily (for the duration of the audit) suspend the civil servant from execution official duties. When temporarily suspending a civil servant from the performance of official duties, measures must be taken to exclude his unauthorized access to official documents and materials, computer and office equipment. At the same time, measures are taken to ensure the normal operation of the subdivision conducting an internal audit, and the impossibility of influencing its members, obstructing its work in any other way.

The removal of a civil servant for the period of an internal audit is carried out with the preservation of his monetary content.

A civil servant, in respect of whom an internal audit is carried out, is provided with guarantees of his right to an objective consideration of the circumstances of the case. A civil servant has the opportunity to actively participate in the proceedings: give oral and written explanations; provide documents and materials; Submit applications for the removal of members (or a member) included in the unit conducting an internal audit; get acquainted with the materials of the internal audit and the conclusion on its results in the part related to the committed violation; apply during an internal audit to the representative of the employer with complaints about the unlawful actions of members of the unit conducting the internal audit, stating the relevant arguments or evidence.

The internal audit is completed by the preparation of an opinion based on the materials of the internal audit, which must meet the requirements. The results of an internal audit, duly executed in the form of a written opinion, are attached to the personal file of a civil servant.

Article 52

1. An internal audit is carried out by decision of the head of the federal executive body in the field of internal affairs or an authorized head, if necessary, to identify the causes, nature and circumstances of a disciplinary offense committed by an employee of the internal affairs bodies, confirm the presence or absence of the circumstances provided for in Article 14 of this federal law, as well as at the request of the employee.

2. An employee of the internal affairs bodies who is directly or indirectly interested in its results cannot participate in an internal audit. In this case, he is obliged to submit to the head of the federal executive body in the field of internal affairs or the authorized head who made the decision to conduct an internal audit, a report on his release from participation in the conduct of this audit. If this requirement is not observed, the results of an internal audit shall be considered invalid, and the period of the audit established by Part 4 of this Article shall be extended by ten days.

3. When conducting an internal audit in relation to an employee of the internal affairs bodies, measures must be taken to objectively and comprehensively establish:

1) the facts and circumstances of the commission of a disciplinary offense by an employee;

2) fault of the employee;

3) the reasons and conditions that contributed to the commission of a disciplinary offense by an employee;

4) the nature and extent of the harm caused by the employee as a result of committing a disciplinary offense;

5) the presence or absence of circumstances preventing the employee from serving in the internal affairs bodies.

The procedure for conducting an internal audit in the bodies, organizations and divisions of the Ministry of Internal Affairs of Russia

An internal audit is carried out within thirty days from the date of the decision to conduct it. By decision of the head of the federal executive body in the field of internal affairs or an authorized head, the term for conducting an internal audit may be extended, but not more than for thirty days. The term of the internal audit does not include periods of temporary disability of the employee of the internal affairs bodies, in respect of whom the internal audit is carried out, his being on vacation or on a business trip, as well as the time the employee is absent from the service for other valid reasons.

5. The results of an internal audit shall be submitted to the head of the federal executive body in the field of internal affairs or the authorized head who made the decision to conduct an internal audit, in writing in the form of a conclusion no later than three days from the date of completion of the audit. The specified conclusion is approved by the head of the federal executive body in the field of internal affairs or the authorized head who made the decision to conduct an internal audit, no later than five days from the date of submission of the conclusion.

6. An employee of the internal affairs bodies in respect of whom an internal check is carried out:

1) is obliged to give explanations in writing on the circumstances of the internal audit, if this is not related to self-incrimination;

2) has the right:

a) submit applications, petitions and other documents;

b) appeal against decisions and actions (inaction) of employees conducting an internal audit to the head of the federal executive body in the field of internal affairs or an authorized head who made a decision to conduct an internal audit;

c) get acquainted with the conclusion based on the results of an internal audit, if this does not contradict the requirements of non-disclosure of information constituting state and other secrets protected by law;

d) demand that their explanations be verified with the help of psychophysiological studies (surveys).

7. In the conclusion based on the results of an internal audit, the following shall be indicated:

1) established facts and circumstances;

2) proposals regarding the imposition of a disciplinary sanction on an employee of the internal affairs bodies.

8. The conclusion on the results of an internal audit is signed by the persons who conducted it and approved by the head of the federal executive body in the field of internal affairs or the authorized head who made the decision to conduct an internal audit.

9. The procedure for conducting an internal audit is established by the federal executive body in charge of internal affairs.

Article 59

1. The commented article of the Federal Law establishes that an internal audit is carried out on the initiative of a representative of the employer or directly a civil servant in case of alleged disciplinary offense.

The divisions of the state body that carry out an internal audit are indicated in part 4 of the commented article. At the same time, attention should be paid to part 10, which contains a provision that makes it possible to state that the head of the civil service and personnel unit must be one of the participants in the internal audit, i.e. persons conducting it.

The circumstances to be established by the audit, as well as the rights of a civil servant during its conduct, are regulated by Parts 2 and 8. In Part 8, a civil servant is granted the right to appeal against decisions and actions (inaction) of civil servants conducting an internal audit, which can only be done in the process of conducting an audit and does not mean the right to appeal the written opinion based on its results.

2. The commented article in part 7 provides for the possibility of temporary removal of a civil servant, in respect of whom an audit is being carried out, from a substituted position. Such temporary suspension is an interim measure and is used for preventive purposes when (and if) there is a likelihood and opportunity on the part of a civil servant to prevent the establishment of circumstances subject to verification.

The considered temporary suspension does not entail negative consequences, both legal and material.

3. The terms for conducting an internal audit are established by part 6 of the commented article and cannot be violated, since they correspond with the terms for the application of disciplinary sanctions (part 4 of Art.

II. Organization of an internal audit

58), and may also lead to violations of the rights of a civil servant. For example, the next class rank is not assigned to federal civil servants, in respect of which an internal audit is carried out (clause 23 of the Regulations on the procedure for assigning and maintaining class ranks of the state civil service of the Russian Federation to federal state civil servants, approved by Decree of the President of the Russian Federation of February 1, 2005 N 113).

4. It should be especially noted that the written opinion on the results of the audit is of an informational and advisory nature, since the decision to apply a disciplinary sanction to a civil servant is taken directly by the representative of the employer.

The main goal of implementing an internal internal investigation in an organization is the need to impose on an employee when proving his guilt. Also, the investigation will protect the company from litigation at.

As a result of the procedure, all actions must be documented.

When is it held?

An internal investigation must be carried out when material damage is collected from the punished employee. Its main task is to determination of the causes of this damage. The concept of the cause will enable the employer to organize preventive measures in some areas, to stop the recurrence of similar situations in the future.

Investigation is a serious procedure that is not performed to prove minor violations.

Often it is enough to have a preventive conversation with the offender. If there are suspicions that an employee has caused major material damage or the mercenary use of official authority, strict measures must be taken.

Also, a special commission checks disciplinary violations related to evading a medical examination (by specialists in certain professions), passing exams in labor protection and safety, passing special training in working time, refusal to sign (if this is the main labor duty of a specialist).

Perpetrators and eyewitnesses of the event may be called for interrogation. The procedure is voluntary, so employees may not participate in it. They cannot be forced to undergo a polygraph test or, without their consent, to do an examination or search.

Regulation under the Labor Code of the Russian Federation

Compared to the investigation of a traffic accident, which is clearly defined in the corresponding provision, the Labor Code does not provide for an official investigation. But the imposition of disciplinary liability on an employee can be compared with the procedure for conducting an investigation in an organization. Based on Art. 189 of the Labor Code of Russia, this procedure is regulated by the labor regulations in the company, as well as by a specialized instruction or regulation.

The execution time of the check is regulated by Art. 193 TK. Based on part 3 of Art. 247 of the Labor Code, a specialist or his representative has the right to study all the materials of the investigation and appeal them if they disagree with the final conclusion.

Who is taking part?

As a rule, an internal check is carried out security Service, as well as Department internal audit . In companies with a small headcount, these issues can be dealt with personnel service . Other specialists may be involved in the investigation (including accountants, lawyers).

Be sure to take part in the work of the head of the employee in respect of which the audit is carried out. But in order to obtain objective results, it cannot be included in special commission. As a result, the commission may include specialists from the personnel and security service, including the trade union committee. It should include at least 3 people. The head of the security service should be at the head.

Procedure and timing

Legislatively, for the investigation of violations of the labor schedule, 30 days. This period is counted from the time of the decision or issue.

If the investigation is carried out according to the employee, then it must be completed within a month from the date of delivery of the document. This time does not include the duration of the employee's vacation or his illness, the period for taking into account information from the representative structure of employees (this time in total should not exceed 6 months). After 6 months from the date of the misconduct, the disciplinary sanction loses its force.

The specialist is asked for an explanation in writing, which he must draw up within 2 days after receiving the notification. In the absence of a response, an act of refusal to assist in the verification is drawn up.

After a misconduct has been identified, an order for an internal investigation is issued within 24 hours with the signature of the head. At the same time, a commission is appointed, which should include at least 3 non-interested professional workers companies. They will draw up a test report.

On the final stage verification work the head is provided with a report indicating the results obtained:

the people responsible and the nature of the damage caused;
conditions and factors that led to the violation;
recommended types of punishments and advice to avoid similar cases in the future.

You can learn more about the procedure for this procedure from the following video:

Compiled documents

An internal investigation begins with the fact that the head or any employee of the company reveals the fact of misconduct, which is recorded in the documents (memo, act on the head of the company). In accordance with this document, this procedure is assigned. The fact of conducting and the time period for obtaining such information is important, otherwise the execution of the verification may be appealed in court.

The note must be accepted for execution and registered. From the time when the date and number recorded in the workflow journal are put on it, the period of verification is counted.

Also, the basis for the investigation may be an explanatory note, a statement from a specialist, a complaint or claim from a consumer, an inventory act, an audit report, citizens' treatment of misconduct, etc.

The commission may require originals or photocopies of other documentation, which will confirm the correctness or guilt of the employee.

Test Results

In, compiled in accordance with the collected materials, there should be several parts:

the introductory part contains the fact of the misconduct, the time of its commission, the deadline for the verification and the list of members of the commission;
description - includes evidence;
summary - reflects the perpetrators, the fact that they committed an incident, the presence of previously outstanding penalties.

Also attached to the act are all the necessary documents that were used in the investigation. It is signed by the entire commission; in the office work, the act is given a serial number with the date the verification was completed. The conclusion is signed by the head and stamped.

All materials of the audit carried out are filed in the “Case” folder, an inventory of the documentation is made.

After that, the employer must decide on the imposition of a disciplinary sanction on the employee. According to the Labor Code, reprimand, remark or dismissal with relevant grounds. Allowed and warning or reprimand.

B reflects the decision to impose a penalty, indicating the perpetrators, the grounds and type of punishment. For each disciplinary violation, one penalty is made.

An internal audit is carried out by decision of the representative of the employer or by a written application of a civil servant.

When conducting an internal audit, the following must be fully, objectively and comprehensively established:

a) the fact that a civil servant has committed a disciplinary offense;

b) the fault of a civil servant;

c) the reasons and conditions that contributed to the commission of a disciplinary offense by a civil servant;

d) the nature and extent of the harm caused to civil servants as a result of a disciplinary offense;

e) the nature and extent of the harm caused to civil servants as a result of a disciplinary offense;

f) the circumstances that served as the basis for a written application of a civil servant to conduct an internal audit.

The representative of the employer, who appointed an internal audit, is obliged to control the timeliness and correctness of its conduct.

An internal audit is entrusted to a subdivision of the state body for public service and personnel issues with the participation of the legal (legal) subdivision and the elected trade union body of this state body.

A civil servant who is directly or indirectly interested in its results cannot participate in an internal audit. In these cases, he is obliged to apply to the representative of the employer who appointed the internal audit with a written application to release him from participating in this audit. If this requirement is not met, the results of the internal audit are considered invalid.

An internal audit must be completed no later than one month from the date of the decision to conduct it. The results of the internal audit are communicated to the representative of the employer who appointed the internal audit in the form of a written opinion.

A civil servant in respect of whom an internal audit is carried out has the right to:

a) give oral or written explanations, submit applications, petitions and other documents;

b) appeal against the decisions and actions (inaction) of civil servants conducting an internal audit to the representative of the employer, the employer who appointed the internal audit;

In a written conclusion based on the results of an internal audit, the following shall be indicated:

a) facts and circumstances established as a result of an internal audit;

b) proposals to accept a disciplinary sanction against a civil servant or not to apply a disciplinary sanction to him.

In accordance with this federal law, an internal audit is carried out in each case of violation of official discipline.

The representative of the employer who appointed the internal audit, when determining the composition of the inspectors, must take into account the following circumstances:

c) if a trade union body has not been established in a state body, then the inspection is carried out without the participation of trade union workers.

An internal audit is carried out in order to:

Establishing the presence or absence of the very fact of the unlawful act of a civil servant;

Establishing the circumstances, causes and conditions of violation by the employee of the requirements of the legislation of the Russian Federation and legal acts of the state body;

identification of a specific person who committed an offense and other persons involved in its commission;

Establishing the guilt of an employee;

determining the extent of damage caused to the state body in connection with the offense;

· development of proposals on measures of disciplinary or other liability of a civil servant for a violation;

The review must be completed within one month. The inspectors work on the control of the representative of the employer and, at the end of the audit, inform him of its results in writing. The law does not provide for the possibility of extending an internal audit.

The representative of the employer, at the suggestion of the unit conducting the internal audit, by order of the state body may temporarily (for the duration of the audit) remove the civil servant from the performance of official duties. When temporarily suspending a civil servant from the performance of official duties, measures must be taken to exclude his unauthorized access to official documents and materials, computer and office equipment. At the same time, measures are taken to ensure the normal operation of the subdivision conducting an internal audit, and the impossibility of influencing its members, obstructing its work in any other way.

The removal of a civil servant for the period of an internal audit is carried out with the preservation of his financial allowance.

A civil servant, in respect of whom an internal audit is carried out, is provided with guarantees of his right to an objective consideration of the circumstances of the case. A civil servant has the opportunity to actively participate in the proceedings: give oral and written explanations; provide documents and materials; submit applications for the removal of members (or a member) included in the unit conducting an internal audit; get acquainted with the materials of the internal audit and the conclusion on its results in the part related to the committed violation; apply during an internal audit to the representative of the employer with complaints about the unlawful actions of members of the unit conducting the internal audit, stating the relevant arguments or evidence.

Order of the Ministry of Internal Affairs of the Russian Federation of March 26, 2013 N 161 "On approval of the Procedure for conducting an internal audit in the bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation"

In accordance with Part 9 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On service in the internal affairs bodies of the Russian Federation and amendments to certain legislative acts Russian Federation" * (1) - I order:

1. Approve the attached Procedure for conducting an internal audit in the bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation * (2) .

2. Heads (heads) of departments of the central apparatus of the Ministry of Internal Affairs of Russia * (3). territorial bodies of the Ministry of Internal Affairs of Russia, educational institutions, research, medical and sanitary and sanatorium organizations of the system of the Ministry of Internal Affairs of Russia, district departments of logistics of the system of the Ministry of Internal Affairs of Russia, as well as other organizations and divisions created to perform the tasks and exercise the powers assigned on the internal affairs bodies of the Russian Federation, organize the study of this order and ensure the implementation of its provisions.

3. Consider invalid the order of the Ministry of Internal Affairs of Russia dated December 24, 2008 N 1140 "On approval of the Instruction on the procedure for organizing and conducting internal audits in the bodies, divisions and institutions of the system of the Ministry of Internal Affairs of the Russian Federation" * (4) .

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4. I reserve control over the implementation of this order.

Order
conducting an internal audit in the bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation

I. General provisions

1. This Procedure determines the organization of work on conducting internal audits in the units of the central office of the Ministry of Internal Affairs of Russia * (1). territorial bodies of the Ministry of Internal Affairs of Russia, educational institutions, research, medical and sanitary and sanatorium organizations of the system of the Ministry of Internal Affairs of Russia, district departments of logistics of the system of the Ministry of Internal Affairs of Russia, other organizations and divisions created to perform tasks and exercise the powers assigned to the internal affairs bodies of the Russian Federation * (2 ) .

2. This Procedure does not apply to federal state civil servants and employees of bodies, organizations and divisions of the Ministry of Internal Affairs of Russia.

3. An internal audit is carried out in accordance with the Federal Law of February 7, 2011 N 3-FZ "On the Police" * (3). Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation" * (4). The disciplinary charter of the internal affairs bodies of the Russian Federation, approved by Decree of the President of the Russian Federation of October 14, 2012 N 1377 * (5) .

4. On the facts of disclosure by an employee of the internal affairs bodies of the Russian Federation * (6) of information constituting a state secret, the loss of carriers of such information, other violations of the secrecy regime in bodies, organizations and divisions of the Ministry of Internal Affairs of Russia, official investigations are carried out in the manner prescribed by the Decree of the Government of the Russian Federation dated January 5, 2004 N 3-1 "On approval of the Instructions for ensuring the regime of secrecy in the Russian Federation."

5. An internal audit is carried out by decision of the Minister of Internal Affairs of the Russian Federation * (7). Deputy Minister, head (head) of a body, organization or unit of the Ministry of Internal Affairs of Russia, deputy head (head) of a territorial body of the Ministry of Internal Affairs of Russia at the district, interregional or regional levels, head (head) of a structural unit of a territorial body of the Ministry of Internal Affairs of Russia at the district, regional levels, consisting of which has a personnel unit, in relation to an employee of the internal affairs bodies * (8). subordinate to him in service.

6. The decision to conduct an internal audit in relation to an employee of the internal security unit of the internal affairs bodies is made by the Minister, the head of the Main Directorate of Internal Security of the Ministry of Internal Affairs of the Russian Federation * (9). as well as the head (head) of the relevant territorial body of the Ministry of Internal Affairs of Russia in agreement with the Main Directorate of Security of the Ministry of Internal Affairs of Russia.

7. An internal security check in relation to an employee of the internal security unit of the internal affairs bodies is carried out by the Main Security Service of the Ministry of Internal Affairs of Russia or, on behalf of his head, by the internal security unit of the corresponding territorial body of the Ministry of Internal Affairs of Russia.

8. If the basis for conducting an internal audit in relation to an employee of a body, organization or subdivision of the Ministry of Internal Affairs of Russia was the information received by the Main Directorate of Internal Security of the Ministry of Internal Affairs of Russia, the internal audit is carried out on the basis of a decision of the Minister or Deputy Minister organizing the management of the relevant area of activity, after consideration by him in the established the order of the information given.

9. As part of an internal audit, the employees conducting it are not entitled to perform actions that fall within the competence of the bodies of inquiry and preliminary investigation.

10. Employees participating (participated) in the conduct of an internal audit are prohibited from disclosing any information revealed or made known during the internal audit relating directly or indirectly to the employees in respect of whom the internal audit was conducted.

11. In case of detection in the actions of an employee in respect of whom an internal check is carried out, signs of a crime or an event of an administrative offense, the specified information is subject to registration and verification in the prescribed manner * (10) .

12. If, based on the results of an internal audit, it is necessary to impose such a disciplinary sanction on the employee in respect of whom the internal audit was carried out, which is the head (chief) specified in paragraph 5 of this Procedure * (11). does not have the right to impose, he petitions for the imposition of this disciplinary sanction before a higher manager (chief) in accordance with Part 4 of Article 51 of the Federal Law of November 30, 2011 N 342-ФЗ “On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to separate legislative acts of the Russian Federation”.

II. Organization of an internal audit

13. The basis for conducting an internal audit is the need to identify the causes, nature and circumstances of a disciplinary offense committed by an employee, confirm the presence or absence of the circumstances provided for in Article 29 of the Federal Law of February 7, 2011 N 3-FZ "On the Police", as well as the statement of the employee .

14. An instruction to an employee to conduct an internal audit is drawn up in the form of a resolution at a place free from the text of the document containing information about the existence of grounds for its conduct. It is allowed to draw up a resolution on a separate sheet or on a special form indicating the registration number and date of the document to which it refers.

15. The decision to conduct an internal audit must be made no later than two weeks from the date of receipt by the relevant head (chief) of the information that is the basis for its conduct.

16. In accordance with Part 4 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ “On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation”, an internal audit must be completed no later than one month from the date of the decision to carry it out.

17. The term of the internal audit does not include periods of temporary disability of the employee in respect of which the internal audit is being carried out, his being on vacation or on a business trip, as well as the time the employee is absent from the service for other valid reasons, confirmed by the relevant certificate of the personnel unit of the body, organization or subdivisions of the Ministry of Internal Affairs of Russia.

18. If the last day of an internal audit falls on a day off or a non-working holiday, then the day of the end of the internal audit is considered to be the working day preceding it.

19. An employee cannot be entrusted with conducting an internal audit if there are grounds specified in Part 2 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ “On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation ".

20. If there are grounds specified in Part 2 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation", the employee who is entrusted with conducting official inspection, is obliged to submit a written report to the relevant manager (chief) on his release from participation in the performance of the internal inspection. If this requirement is not met, the results of the internal audit are considered invalid, the internal audit is entrusted to another employee, and the period for its implementation is extended by ten days.

21. An internal audit in respect of an employee who has committed a disciplinary offense while in business trip, is carried out in the prescribed manner by decision of the head (chief) of the body, organization or unit of the Ministry of Internal Affairs of Russia that sent the employee on a business trip.

22. When conducting an internal audit in relation to several employees who have committed disciplinary offenses, if it is impossible to complete it on time due to temporary disability, being on vacation, a business trip, as well as absence from service for other valid reasons of one or more of them, the materials of the official absentee checks can be spun off for a separate internal check. The decision to allocate materials for an internal audit is made by the relevant head (chief) who appointed it, on the basis of a reasoned report from the employee conducting the audit. The term for conducting an internal audit on the allocated materials is calculated from the moment the main internal audit is scheduled.

23. If it is established that a disciplinary offense has been committed involving employees of several bodies, organizations or divisions of the Ministry of Internal Affairs of Russia, the Deputy Minister, head (head) of a body, organization or unit of the Ministry of Internal Affairs of Russia, deputy head (head) of a territorial body of the Ministry of Internal Affairs of Russia at a district, interregional or regional levels, the head (head) of the structural unit of the territorial body of the Ministry of Internal Affairs of Russia at the district, regional levels, which includes a personnel unit that has decided to conduct an internal audit:

Read also: Accounting statement on the write-off of receivables sample

23.1. Informs immediately senior manager(head) to make a decision to conduct an internal audit in relation to these employees.

23.2. Notifies the head (chief) of the body, organization or unit of the Ministry of Internal Affairs of Russia, in which the employees who have committed a disciplinary offense are serving, of its commission.

24. When conducting an internal audit by the commission, an internal audit is appointed by issuing an order for a body, organization or unit of the Ministry of Internal Affairs of Russia.

25. An order for the appointment of an internal audit must contain: grounds for its conduct; date of appointment; composition of the audit committee.

26. The commission is formed of three or more employees. The commission for conducting an internal audit includes employees with necessary knowledge and experience. The chairman of the commission is appointed by the relevant leader (chief) from among the leaders (chiefs) structural divisions body, organization or subdivision of the Ministry of Internal Affairs of Russia.

27. An instruction to an employee to conduct an internal audit (appointment of the chairman of the commission for an internal audit) is given (carried out) taking into account the position to be filled and the assigned special rank of the employee in respect of whom the internal audit is being carried out.

III. Powers of members of the internal audit

28. An employee (chairman and members of the commission) conducting an internal audit has the right to:

How can I appeal the FSSP service review?

in September, an order was issued against me to conduct an internal audit; I was then on vacation. 4 days ago they demanded an explanation from me and two days ago an order was issued to apply a disciplinary sanction against me at the end of the order at the base they wrote a conclusion dated 09/26/2016 how can there be a September conclusion if I gave an explanation 4 days ago.

Lawyers Answers (2)

Federal Law of July 27, 2004 N 79-FZ "On the State Civil Service of the Russian Federation"
Article 58
1. Before applying a disciplinary sanction, the representative of the employer must request an explanation from the civil servant in writing. If a civil servant refuses to give such an explanation, an appropriate act is drawn up. The refusal of a civil servant to give an explanation in writing is not an obstacle to the application of a disciplinary sanction.
2. Before applying a disciplinary sanction, an internal audit is carried out.
3. When applying a disciplinary sanction, the severity of the disciplinary offense committed by a civil servant, the degree of his guilt, the circumstances under which the disciplinary offense was committed, and the previous results of the civil servant's performance of his official duties are taken into account.
4. A disciplinary sanction is applied immediately after the discovery of a disciplinary offense, but no later than one month from the date of its discovery, not counting the period of temporary incapacity for work of a civil servant, his stay on vacation, other cases of his absence from service for good reasons, as well as the time of an internal audit .
5. A disciplinary sanction may not be applied later than six months from the day the disciplinary offense was committed, and based on the results of an audit of financial and economic activities or an audit, later than two years from the date the disciplinary offense was committed. The above time limits do not include the time of criminal proceedings.
6. A copy of the act on the application of a disciplinary sanction to a civil servant, indicating the grounds for its application, is handed over to the civil servant against receipt within five days from the date of issuance of the relevant act.
7. A civil servant has the right to appeal against a disciplinary sanction in writing to the commission of the state body on official disputes or to the court.
8. If within one year from the date of application of the disciplinary sanction provided for in paragraphs 1-3 of part 1 of Article 57 of this Federal Law, and the penalty provided for in Article 59.1 of this Federal Law, the civil servant is not subjected to a new disciplinary sanction, he is considered not to have a disciplinary sanction .

9. The representative of the employer has the right to remove a disciplinary sanction from a civil servant before the expiration of one year from the date of application of a disciplinary sanction on his own initiative, at the written request of a civil servant or at the request of his immediate supervisor.
Article 59
1. An internal audit is carried out by decision of the representative of the employer or by a written application of a civil servant.
2. When conducting an internal audit, the following must be fully, objectively and comprehensively established:
1) the fact of committing a disciplinary offense by a civil servant;
2) the fault of a civil servant;
3) the reasons and conditions that contributed to the commission of a disciplinary offense by a civil servant;
4) the nature and extent of the harm caused to civil servants as a result of a disciplinary offense;
5) the circumstances that served as the basis for a written application of a civil servant to conduct an internal audit.
3. The representative of the employer, who appointed an internal audit, is obliged to control the timeliness and correctness of its conduct.
4. Conducting an internal audit is entrusted to the subdivision of the state body for public service and personnel with the participation of the legal (legal) subdivision and the elected trade union body of this state body.
5. A civil servant who is directly or indirectly interested in its results cannot participate in an internal audit. In these cases, he is obliged to apply to the representative of the employer who appointed the internal audit with a written application to release him from participating in this audit. If this requirement is not met, the results of the internal audit are considered invalid.
6. An internal audit must be completed no later than one month from the date of the decision to conduct it. The results of the internal audit are communicated to the representative of the employer who appointed the internal audit in the form of a written opinion.
7. A civil servant, in respect of whom an internal audit is being carried out, may be temporarily suspended from the civil service position to be replaced for the duration of the internal audit, with the maintenance of the financial allowance for the civil service position to be replaced for this period. Temporary suspension of a civil servant from a civil service position to be substituted is carried out by a representative of the employer who has appointed an internal audit.
8. A civil servant, in respect of whom an internal audit is carried out, has the right:
1) give oral or written explanations, submit applications, petitions and other documents;
2) appeal against the decisions and actions (inaction) of civil servants conducting an internal audit to the representative of the employer who appointed the internal audit;
3) upon completion of the internal audit, to familiarize themselves with the written conclusion and other materials based on the results of the internal audit, unless this contradicts the requirements of non-disclosure of information constituting state and other secrets protected by federal law.
9. In a written conclusion based on the results of an internal audit, the following shall be indicated:
1) facts and circumstances established as a result of an internal audit;
2) a proposal to apply a disciplinary sanction to a civil servant or not to apply a disciplinary sanction to him.
10. A written conclusion based on the results of an internal audit is signed by the head of the subdivision of the state body for public service and personnel and other participants in the internal audit and is attached to the personal file of the civil servant in respect of whom the internal audit was carried out.

If you think that your rights have been violated, and if you did not give explanations during the internal audit, then they are most likely violated, you can appeal this decision in court

Clarification of the client

I am preparing a petition in the name of the head to remove the disciplinary sanction from me, I want to refer to the fact that the conclusion is in September and the order is November. after all, according to the idea, the order and the conclusion are made in one day. and their conclusion in September, my explanation is November 22, and order 24) there is a discrepancy, so I’m looking for an article to refer to

the inconsistency arose due to the fact that they issued an order to appoint an internal check when you were on vacation, and the check period cannot be extended

a petition for the removal of a disciplinary sanction is certainly good, but if it is not satisfied, then you have only 3 months to prepare documents for the court

If you need to, write to the chat, it’s not difficult to help with documents, I myself held public civil servants to account a lot)))

Sincerely, Adviser of the State Civil Service of the Russian Federation, 3rd class

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;
violations of internal labor regulations, employment 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 measures 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.

2. This Procedure does not apply to federal state civil servants and employees of bodies, organizations and divisions of the Ministry of Internal Affairs of Russia.

3. An internal audit is carried out in accordance with the Federal Law of February 7, 2011 N 3-FZ "On the Police" * (2), Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and amendments to certain legislative acts of the Russian Federation "* (3) , the Disciplinary Charter of the internal affairs bodies of the Russian Federation, approved by Decree of the President of the Russian Federation of October 14, 2012 N 1377 * (4) .

4. On the facts of disclosure by an employee of the internal affairs bodies of the Russian Federation * (5) of information constituting a state secret, the loss of carriers of such information, other violations of the secrecy regime in bodies, organizations and divisions of the Ministry of Internal Affairs of Russia, official investigations are carried out in the manner prescribed by the Decree of the Government of the Russian Federation dated January 5, 2004 N 3-1 "On approval of the Instructions for ensuring the regime of secrecy in the Russian Federation".

5. An internal audit is carried out by decision of the Minister of Internal Affairs of the Russian Federation * (6), Deputy Minister, head (head) of a body, organization or unit of the Ministry of Internal Affairs of Russia, deputy head (head) of a territorial body of the Ministry of Internal Affairs of Russia at the district, interregional or regional levels, head (head) of the structural unit of the territorial body of the Ministry of Internal Affairs of Russia at the district, regional levels, which includes a personnel unit, in relation to an employee of the internal affairs bodies * (7) subordinate to him in service.

6. The decision to conduct an internal audit in relation to an employee of the internal security unit of the internal affairs bodies (with the exception of employees of the internal security units of operational search units and special technical measures units of the internal affairs bodies) is made by the Minister, the head of the Main Department of Internal Affairs of the Ministry of Internal Affairs of the Russian Federation, deputies of the head of the Main Directorate of Internal Security of the Ministry of Internal Affairs of Russia, as well as the head (head) of the corresponding territorial body of the Ministry of Internal Affairs of Russia in agreement with the Main Directorate of Internal Security of the Ministry of Internal Affairs of Russia.

7. An internal security check in relation to an employee of the internal security unit of the internal affairs bodies is carried out by the Main Security Service of the Ministry of Internal Affairs of Russia or, on behalf of the head of the Main Security Service of the Ministry of Internal Affairs of Russia or his deputy, by the internal security unit of the corresponding territorial body of the Ministry of Internal Affairs of Russia.

Information about changes:

II. Organization of an internal audit

13. The basis for conducting an internal audit is the need to identify the causes, nature and circumstances of a disciplinary offense committed by an employee, confirm the presence or absence of the circumstances provided for in Article 14 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and amendments to certain legislative acts of the Russian Federation", as well as a statement from the employee.

Information about changes:

The application was supplemented by clause 14.1 from December 16, 2018 - Order of the Ministry of Internal Affairs of Russia dated November 12, 2018 N 759

14.1. In the event that information on the existence of grounds for conducting an internal audit is contained in electronic document or an electronic copy of the document, the instruction to conduct an internal audit is issued in the form of a resolution signed with an enhanced qualified electronic signature.

15. The decision to conduct an internal audit must be made no later than two weeks from the date of receipt by the relevant head (chief) of the information that is the basis for its conduct.

16. In accordance with Part 4 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation", an internal audit is carried out within thirty days from the date of adoption decisions about its implementation. The term for conducting an internal audit by decision of the Minister of Internal Affairs of the Russian Federation or the head (chief) who made the decision to conduct an internal audit may be extended, but not more than thirty days.

18. If the last day of the internal audit falls on a weekend or non-working holiday, then the day of the end of the internal audit is the working day following it.

19. An employee cannot be entrusted with conducting an internal audit if there are grounds specified in Part 2 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation ".

21. An internal audit in relation to an employee who has committed a disciplinary offense while on a business trip is carried out in the prescribed manner by decision of the head (chief) of the body, organization or unit of the Ministry of Internal Affairs of Russia that sent the employee on a business trip.

23.1. Immediately informs the superior manager (chief) to make a decision on conducting an internal audit in relation to these employees.

24. When conducting an internal audit by the commission, an internal audit is appointed by issuing an order for a body, organization or unit of the Ministry of Internal Affairs of Russia.

25. An order for the appointment of an internal audit must contain: grounds for its conduct; date of appointment; composition of the audit committee.

26. The commission is formed of three or more employees. The commission for conducting an internal audit includes employees with the necessary knowledge and experience. The chairman of the commission is appointed by the appropriate head (chief) from among the heads (chiefs) of the structural subdivisions of the body, organization or subdivision of the Ministry of Internal Affairs of Russia.

III. Powers of members of the internal audit

28. An employee (chairman and members of the commission) conducting an internal audit has the right to:

28.1. Offer employees, civil servants and employees of the system of the Ministry of Internal Affairs of Russia, who may know any information about the circumstances to be established during an internal audit, to give written explanations on them.

28.2. To go to the place of commission of a disciplinary offense to identify the circumstances of its commission.

28.3. Make proposals to the relevant manager (chief) on the temporary suspension of the employee in the prescribed manner from performance official duties at the time of the audit.

28.4. Request, in accordance with the established procedure, documents related to the subject of verification from bodies, organizations or divisions of the Ministry of Internal Affairs of Russia, send requests to other bodies, institutions and organizations.

28.5. Use in the prescribed manner operational records and information systems Ministry of Internal Affairs of Russia, educational and scientific organizations systems of the Ministry of Internal Affairs of Russia.

28.6. Get acquainted with the documents relevant to the internal audit, and, if necessary, make copies of them for inclusion in the internal audit materials.

28.7. Apply to the relevant manager (supervisor) for an inventory or audit.

28.8. Apply to the relevant manager (head) for involvement (as agreed) to participate in the internal audit officials and specialists on issues requiring scientific, technical and other specialized knowledge, and receive advice from them.

28.9. Apply to document the facts of a disciplinary offense technical means in the manner prescribed by the legislation of the Russian Federation.

28.10. Make proposals to the relevant manager (chief) on the need to provide social and psychological help the employee who is being audited.

28.11. To offer employees, in respect of whom an internal check is being carried out, to give an explanation using psychophysiological studies (surveys).

28.12. In the cases provided for in paragraph 22 of this Procedure, report in a report to the relevant manager (chief) on the need to provide materials for an internal audit.

Information about changes:

By order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722, paragraph 28 was supplemented with subparagraph 28.13

28.13. Report in a report to the relevant manager (chief) on the need to extend the period for conducting an internal audit.

29. The list of measures given in paragraph 28 of this Procedure is not exhaustive and can be supplemented by the appropriate manager (chief) during an internal audit, depending on the specific situation.

30. An employee (chairman and members of the commission) conducting an internal audit must:

30.1. Respect the rights and freedoms of the employee in respect of whom the internal audit is being carried out, and other persons participating in the internal audit.

30.2. Ensure the safety and confidentiality of the materials of the internal audit, not to disclose information about the results of its conduct.

30.3. Clarify to applicants and employees subject to an internal audit their rights and provide conditions for the exercise of these rights.

30.4. Timely report the received applications, petitions or complaints to the relevant manager (chief) and inform the employees who filed them about the resolution of these applications, petitions, complaints.

30.5. Report the results of the consideration of applications, petitions, complaints to the employee who filed them, personally against receipt or by sending a response to the place of residence by registered mail.

30.6. To document the date and time of the commission of a disciplinary offense, the circumstances affecting the degree and nature of the responsibility of the employee in respect of whom the internal audit is carried out, both aggravating and mitigating his guilt.

30.7. Collect documents and materials characterizing personal and business qualities an employee who has committed a disciplinary offence.

30.8. Examine the materials of previous internal checks against the employee, information about the facts of committing disciplinary offenses by him.

30.9. To propose to the employee, in respect of whom an internal audit is being carried out, to give an explanation in writing (the recommended sample explanation is the appendix to this Procedure) on the merits of the issue addressed to the relevant manager (chief). If, after two working days, the specified explanation is not provided by the employee in respect of whom the internal audit is being carried out, or if he refuses to give written explanations, draw up in the prescribed manner the appropriate act signed by at least three employees.

30.10. Immediately report to the relevant manager (chief) or the chairman of the commission about all the facts of interference in the conduct of an internal audit or pressure on the employees participating in its conduct.

30.11. Interview employees, civil servants and employees of the system of the Ministry of Internal Affairs of Russia, who may know any information about the circumstances to be established during an internal audit.

30.12. If, during an internal audit, signs of committing disciplinary offenses are found in the actions of other employees of a body, organization or unit of the Ministry of Internal Affairs of Russia, immediately report to the relevant manager (chief) about the need to conduct an internal audit in relation to such employees or to establish the presence (absence) of their guilt in within the scope of the ongoing audit.

30.13. Suggest if necessary preventive measures to eliminate the reasons that contributed to the commission of a disciplinary offense by an employee.

30.14. Prepare a conclusion on the results of an internal audit in writing and submit it to the relevant manager (chief) for approval in the prescribed manner.

30.15. To familiarize the employee, in respect of which an internal audit has been carried out, in case of his application, executed in writing, with the conclusion on its results within five working days from the date of application.

31. The relevant head (head) has the right:

31.1. Decide on the need for an internal audit commission and approve the composition of the internal audit commission.

31.2. In the cases provided for in paragraph 20 of this Procedure, release the employee who submitted the relevant report from participating in the internal audit.

31.3. Make a decision on the allocation of internal audit materials in relation to one or more employees in the cases provided for in paragraph 22 of this Procedure.

31.4. Make a decision on carrying out additional measures, in addition to those listed in paragraph 28 of this Procedure, depending on the specific situation that has developed during the internal audit.

Information about changes:

By order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722, paragraph 28 was supplemented with subparagraph 31.5

31.5. Make a decision to extend the term for conducting an internal audit in case of receipt of a report from an employee (chairman or members of the commission) conducting an internal audit, provided for in subparagraph 28.13 of this Procedure.

32. The relevant head (head) is obliged:

32.1. If necessary, take measures to provide social and psychological assistance to the employee in respect of whom an internal audit is being carried out.

32.2. Adopt a decision on the results of the inspection within the time limits established by law for an internal audit and ensure its implementation.

32.3. Make a decision to conduct an internal audit for the period of vacation, business trip, as well as temporary disability of the employee (chairman, members of the commission) conducting the internal audit.

32.4. In case of receipt of a report from an employee (chairman, members of the commission) conducting an internal audit, provided for in subparagraph 30.12 of this Procedure, decide on the appointment of an internal audit on the revealed facts of disciplinary offenses committed by employees of a body, organization or unit of the Ministry of Internal Affairs of Russia.

32.5. Consider within five days within general term conducting an internal audit petitions and complaints filed by an employee in respect of whom an internal audit is being carried out.

32.6. Monitor the completeness and timeliness of the internal audit.

33. The employee, in respect of whom an internal audit is carried out, enjoys the rights and bears the obligations provided for by Part 6 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts Russian Federation".

IV. Registration of the results of an internal audit

34. The conclusion on the results of an internal audit is drawn up on the basis of the data available in the internal audit materials and should consist of three parts: introductory, descriptive and resolution.

35. The introductory part indicates:

35.1. Position, rank, initials, surname of the employee who conducted the internal audit, or the composition of the commission that conducted the internal audit (indicating the special rank, position, surname and initials of the chairman and members of the commission).

35.2. Position, rank, surname, name, patronymic, year of birth of the employee in respect of whom the internal audit was carried out, as well as information about education, about the time of his service in the internal affairs bodies and in the position to be filled, the number of incentives, penalties, the presence (absence) of him unresolved disciplinary sanctions.

36. The descriptive part should contain:

36.1. Grounds for conducting an audit.

36.2. Explanation of the employee in respect of which an internal audit was carried out.

36.3. The fact that an employee committed a disciplinary offense.

35.4. Circumstances and consequences of committing a disciplinary offense by an employee.

36.5. The presence or absence of the circumstances provided for by Article 14 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation".

36.6. Facts and circumstances established during the consideration of the employee's application.

36.7. Materials confirming (excluding) the guilt of the employee.

36.8. Circumstances mitigating or aggravating the responsibility of the employee.

36.9. Other facts and circumstances established in the course of an internal audit.

37. Taking into account the information presented in the descriptive part, the operative part indicates:

37.1. Conclusion on the completion of the internal audit and on the guilt (innocence) of the employee in respect of whom the internal audit was carried out.

37.2. Proposals on the application (non-application) to the employee, in respect of which an internal audit was carried out, measures of disciplinary liability, other measures of influence.

37.3. Conclusions about the causes and conditions that contributed to the commission of a disciplinary offense by an employee.

37.4. Conclusions on the presence or absence of the circumstances provided for by Article 14 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation".

37.5. Conclusions about the presence or absence of the facts and circumstances specified in the employee's statement.

37.6. Proposals on the transfer of materials to the investigative bodies of the Investigative Committee of the Russian Federation, the prosecutor's office of the Russian Federation for a decision in the manner prescribed by law.

37.8. Proposals on measures to eliminate identified deficiencies or proposals to terminate an internal audit due to the absence of a violation of official discipline or the circumstances provided for by Article 14 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Introduction amendments to certain legislative acts of the Russian Federation".

37.9. Recommendations on the possible refutation of false information that discredits the honor and dignity of an employee, which served as the basis for the appointment of an internal audit, and (or) applying to the court or the prosecutor's office of the Russian Federation for the protection of honor and dignity.

38. The draft conclusion based on the results of an internal audit with the attached materials is coordinated with the personnel and legal departments of the body, organization or unit of the Ministry of Internal Affairs of Russia, whose employees conducted the internal audit.

Information about changes:

By order of the Ministry of Internal Affairs of Russia dated September 22, 2015 N 903, the appendix was supplemented by clause 38.1

38.1. If the draft conclusion based on the results of an internal audit conducted in order to identify the causes, nature and circumstances of a disciplinary offense committed by an employee, does not contain proposals for applying disciplinary measures or other measures of influence to him, the draft conclusion based on the results of an internal audit is not subject to agreement with the personnel subdivision of the body, organization or subdivision of the Ministry of Internal Affairs of Russia, whose employees conducted an internal audit.

39. The conclusion on the results of an internal audit is submitted to the relevant manager (chief) no later than three days from the date of completion of the internal audit and is approved by him no later than five days from the date of its submission.

41. After the relevant head (head) approves the conclusion based on the results of an internal audit, in relation to the employee who committed the disciplinary offense, the employee (commission) who conducted it prepares a draft order to impose a disciplinary sanction, which is agreed with the personnel and legal department.

42. A draft order on the imposition of a disciplinary sanction, prepared and agreed with the legal department, together with the conclusion based on the results of an internal audit, is submitted for signature to the relevant manager (chief).

43. An order to impose a disciplinary sanction in accordance with the established procedure is announced to the employee in respect of whom an internal audit has been carried out.

44. A copy of the conclusion of the internal audit is sent by the employee (chairman of the commission) who conducted it to the personnel department for attaching to the materials of the employee's personal file.

45. At the end of the internal audit, the employee (chairman of the commission) who conducted the internal audit forms a file with the materials of the internal audit, which includes:

45.1. The document (or a copy thereof) that served as the basis for the internal audit.

45.2. A copy of the order on the appointment of an internal audit (in the case of its commission).

45.3. Explanations of employees, other documents and materials (or their certified copies) obtained during the internal audit.

45.4. Conclusion based on the results of the internal audit.

45.5. Materials related to the implementation of the conclusions contained in the conclusion based on the results of an internal audit.

45.6. A copy of the response to the person whose appeal served as the basis for conducting an internal audit.

46. The file is kept in the archives of the records management and regime unit of the body, organization or unit of the Ministry of Internal Affairs of Russia for a period specified by the nomenclature in accordance with the requirements for the storage of this type of documents and is issued in the prescribed manner.