Order for an internal investigation. The procedure for conducting internal audits at the Ministry of Internal Affairs: grounds, circumstances and consequences Order for an internal investigation

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 GUSB of the Ministry of Internal Affairs of Russia or, on behalf of his head, by the internal security unit of the corresponding territorial body of the Ministry of Internal Affairs of Russia.

Information about changes:

12. If, based on the results of an internal audit, it is necessary to impose such a disciplinary sanction on the employee in respect of whom the internal audit was carried out, which the head (chief) specified in paragraph 5 of this Procedure * (10) does not have the right to impose, he petitions for the imposition of this disciplinary action before a higher manager (chief) in accordance with part 4 of article 51

II. Organization of an internal audit

13. The basis for conducting an internal audit is the need to identify the causes, nature and circumstances of a disciplinary offense committed by an employee, confirm the presence or absence of the circumstances provided for in Article 14 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.

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

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

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

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

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

20. If there are grounds specified in Part 2 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts of the Russian Federation", the employee who is entrusted with conducting official inspection, is obliged to submit a written report to the relevant manager (chief) on his release from participation in the performance of the internal inspection. 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 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 (head) of the body, organization or unit of the Ministry of Internal Affairs of Russia that sent the employee on a business trip.

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

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

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

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

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

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

26. The commission is formed of three or more employees. The commission for conducting an internal audit includes employees with the necessary knowledge and experience. The chairman of the commission is appointed by the 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.

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

III. Powers of members of the internal audit

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

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

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

28.3. Make proposals to the relevant manager (chief) on the temporary suspension of the employee in the prescribed manner from the performance of official duties for the duration of the internal 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. To use, in accordance with the established procedure, operational records and information systems of the Ministry of Internal Affairs of Russia, educational and scientific organizations of the system of the Ministry of Internal Affairs of Russia.

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

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

28.8. Apply to the relevant manager (chief) to involve (by agreement) officials and specialists in the conduct of an internal audit on issues requiring scientific, technical and other special knowledge, and receive advice from them.

28.9. Use technical means to document the facts of a disciplinary offense 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 assistance to the employee in respect of whom the internal audit is being carried out.

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. To carry out the collection of documents and materials characterizing the personal and business qualities of the employee who has committed a disciplinary offense.

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. To propose, if necessary, the implementation of preventive measures to eliminate the causes that contributed to the commission of a disciplinary offense by an employee.

30.14. Prepare a conclusion 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 acquaint the employee, in respect of whom an internal audit was carried out, in case of his application, drawn up in writing, with the conclusion on its results.

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

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

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

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

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

Information about changes:

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

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

32. The relevant head (head) is obliged:

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

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

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

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

32.5. Consider, within a period of up to five days within the framework of the general period for conducting an internal audit, petitions and complaints filed by an employee in respect of whom an internal audit is being carried out.

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

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

IV. Registration of the results of an internal audit

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

35. The introductory part indicates:

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

35.2. Position, rank, surname, name, patronymic, year of birth of the employee in respect of whom the internal audit was carried out, as well as information about education, about the time of his service in the internal affairs bodies and in the position 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 approval by the relevant manager (head) of 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.

Each person officially working at the enterprise is responsible for his actions or inaction. For example, office workers must have the right attitude to technology so that the computer does not break down, and in addition they must not disclose trade secrets or share information from a work computer.

If a situation arises in which various values ​​entrusted to a particular employee are lost or damaged, then the company's management has the opportunity to determine the cause of such damage. To do this, an internal investigation is being carried out, but to start it, it is required to form an appropriate order by the head.

If during the inspection, audit or other activities it is found that the enterprise lacks any valuable assets or property and documentation are lost, then the management will certainly take the following actions:

• it is revealed what kind of damage was caused to the company;
• the reason for the occurrence of such a situation is determined;
• there is a person responsible for this damage, and not always it is an employee of the company, who is entrusted with the corresponding duty to keep property from loss or damage.

To find answers to all the above questions, a special commission is being created, consisting of specialists who have the ability and skills to assess the damage caused, as well as determine what caused such a problem.

Typically, this commission includes a lawyer, security officer, engineer and accountant, but it is allowed to include other specialists. In Art. 247 of the Labor Code indicates the possibility of creating such a commission.

Labor Code of the Russian Federation Article 247. The obligation of the employer to establish the amount of damage caused to him and the reason for its occurrence

Before making a decision on compensation for damages by specific employees, the employer is obliged to conduct an audit to determine the amount of damage caused and the reasons for its occurrence. To conduct such an inspection, the employer has the right to create a commission with the participation of relevant specialists.
Requesting a written explanation from the employee to establish the cause of the damage is mandatory. In case of refusal or evasion of the employee from providing the specified explanation, an appropriate act is drawn up.
The employee and (or) his representative have the right to get acquainted with all the materials of the inspection and appeal against them in the manner prescribed by this Code.

Important! The main purpose of the commission is to conduct an internal investigation.

If the results of the investigation reveal the perpetrator, he can appeal the decision on any penalties through the courts. To create a commission, an order is certainly issued by the employer. It contains a direct indication of the implementation of this process, as well as a lot of other information.

How to draw up documents for an internal audit at the enterprise - see this video:

Who and when is engaged in the formation of the order

The order, on the basis of which an internal investigation begins, is issued only after the theft or damage to any property is discovered. This may be discovered as a result of various checks or inventory.

The document is drawn up by the secretary of the company or another employee who has the appropriate authority. It is formed on behalf of the director of the company, and is also certified by his signature.

How is an investigation carried out?

If a situation arises in which any problems with the property of the company or shortages are revealed, then an investigation is carried out in order to determine the culprit of the damage and recover funds from him.

Important! By doing this correctly, the process reduces the likelihood of repeat violations by employees in the future, as they will be notified that they will have to answer for their mistakes.

The investigation process itself is divided into stages:

• an appropriate order is issued, which is signed by the head of the organization;
• on the basis of it, a commission is formed, consisting of employees of the company or invited specialists who should not have anything to do with the incident;
• a secretary is appointed to keep records of the investigation;
• all members of such a commission receive an order, which they study, and then sign on it;
• they are collecting information, on the basis of which they can determine the culprit of the incident, so all the data received is carefully analyzed, for which the documentation is studied, employees of the company are interviewed and other evidence is evaluated;
• the employee responsible for the specific property that has been lost or seriously damaged must give evidence in writing, and if he refuses to comply with this requirement, then an act is drawn up in which the witnesses sign;
• a meeting of the commission is held, at which many issues are resolved, namely, the cause and amount of damage are identified, all circumstances are assessed and the perpetrators are identified, and all mitigating circumstances, if any, are taken into account;
• a special one is drawn up, which describes the decision made.

How to draw up an accident investigation report correctly - read.

The act must be signed by all members of the commission, after which the culprit can familiarize himself with it. He may appeal against the decision on the basis of which various penalties are applied to him.

When is an investigation usually required?

The need for this procedure may be required for various reasons. Most often it is carried out with:

• causing any damage to the company's assets;
• damage to material assets;
• failure to comply with discipline in the workplace. In what order it is compiled - read the link;
• negligent attitude to official duties;
• disclosure of commercial information. You will learn how to properly draw up a non-disclosure agreement for confidential information.

Each such violation can cause serious negative consequences for each employee.

Sample order for official investigation.

Form and structure of the order to conduct an internal investigation

A document is formed in any form, but you must use the letterhead of the company, where there is its name and legal address.

It must be contained in the order:

• its serial number;
• date and place of formation;
• the name, as well as the word "I order";
• the reason why the investigation is to be carried out;
• then a commission is appointed to carry out this process.

The structure may be different, but the document must contain all the necessary information.

Stages of order formation

To make it well-written, the following steps are performed:

• the order number and the name of the company are initially indicated;
• then in the middle the word “Order” or “I order” is written;
• the following is the purpose of creating a document, which is the need for an investigation;
• then comes the main part, in which information about the incident is entered, and the composition of the commission is also indicated;
• a separate item is allocated for the appointment of a responsible person who is responsible for the execution of this order;
• there should be a link to the basis for the formation of documentation;
• at the end, the signature of the director of the company and members of the commission is put.

Thus, if you carefully understand the process, then there will be no difficulties with creating a document.

An example of filling out an act of internal investigation. Photo: pytochok.ru

How to avoid mistakes

To make an order correctly, recommendations are taken into account:

• a strict form of the document is not required, therefore it is formed in an arbitrary order;
• information about all members of the commission should be entered so that they can be easily identified;
• a brief description of the incident on the basis of which an investigation is required;
• enter data on the persons responsible for the values ​​that would be damaged;
• document is made in one copy.

Conclusion

Thus, the need for an order on the basis of which an investigation is conducted at an enterprise may be required in different situations.

It is important to correctly format this document, as well as indicate relevant information in it. Further, the investigation is carried out correctly, thanks to which the perpetrators of the incident are identified.

How to draw up orders correctly, taking into account all the requirements of the legislation of the Russian Federation, see this video:

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.

4. 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.

(see text in previous edition)

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 legally protected

An internal investigation is an event that is carried out if an incident has occurred at the enterprise: for example, an accident or theft of material assets. Consider the algorithm for conducting an internal investigation and samples of the documentation that needs to be prepared in the course of work.

Employers should conduct an internal investigation in case of violation of labor discipline and other incidents. For example, when a shortage or leakage of information constituting a trade secret is detected. Such an event is necessary to identify the perpetrators and apply disciplinary measures to them, as well as to withhold from them the losses caused to the company. Most likely, a special commission will have to investigate the facts of employees evading medical examinations, passing exams on labor protection, safety precautions and operating rules, as well as refusing to conclude an agreement on the employee’s full liability, if this is provided for by his main labor function.

If the size of the offense is insignificant, for example, when the internal reporting is missed, it is not necessary to conduct an investigation. It is enough just to take a written explanation from a person whose fault is obvious and so, and then act according to the law. But if the situation is ambiguous or the organization has suffered significant damage, it is impossible to do without the creation of a commission and an internal investigation.

Situations where an internal investigation is necessary

Below is a basic list of possible misconduct for which the employee is personally responsible:

• absenteeism or absence from work;
• appearing at work drunk, under the influence of drugs;
• causing serious material damage;
• abuse of authority.

Now consider the algorithm for conducting an internal investigation. The procedure should begin with fixing the fact of the violation.

Step 1. Fixing the violation

There is no unified document that must be drawn up upon discovery of a fact that gives rise to an internal investigation. In practice, such a fact is usually recorded by a memo of the person who discovered it. This document is drawn up on behalf of the employee to the address of his immediate superior or the head of the organization. In such a note you need to indicate:

• surname, name, patronymic and position of the employee who discovered the fact of violation;
• the circumstances under which the violation was committed or discovered;
• date and time of the event.

When receiving information about the illegal actions of an employee from third parties or even directly from law enforcement agencies, it is not necessary to draw up a memorandum. In addition, if the reason for initiating an internal investigation was the loss of inventory or cash identified by the results of the inventory, an appropriate act must be attached to the note. Based on these documents, the employer creates a commission in order to identify the culprit.

Step 2. Creation of the commission and its tasks

The expediency of all measures necessary within the framework of the event, as well as the degree of guilt of the person whose actions have become the subject of proceedings, is determined by a specially created commission.

The commission is formed by an order for the enterprise from competent employees who are not interested in the outcome of the proceedings. If the organization has special services, such as security or internal audit, then their representatives will make up the majority of such a commission. In their absence, such functions are taken over by the personnel service.

The committee usually consists of three people. The order must indicate the names and positions of the members of the commission, the purpose and date of its creation, its validity period (it may not be limited to a specific case), as well as the powers with which it is endowed. Typically, the tasks of such a commission include the following.

1. Establishing the circumstances of the incident, including time, place and method.
2. Identification of property that has been or may have been damaged.
3. Inspection of the scene of the incident (if necessary).
4. Determination of the cost of the inflicted (or possible) damage on the fact under investigation.
5. Identification of persons directly responsible for the commission of the act.
6. Collecting evidence of the guilt of these persons and establishing its degree for each of them (if there are several perpetrators).
7. Determining the causes and conditions conducive to committing a misdemeanor.
8. Collection and storage of documentary materials of the investigation.

The competence of the commission includes the right to demand explanations from all employees suspected of misconduct.

The commission can be created even if the company has not yet suffered direct damage, but the actions of the employee could lead to such consequences. The Commission may be permanent and resume its work if necessary.

It is necessary to acquaint with the order on the organization on creation of the commission under the signature of all its members. A sample order for an internal investigation (sample) should look something like this:

Step 3 Gather information and evidence

The procedure for conducting an internal investigation in labor legislation is not directly defined, therefore, in each organization it must be regulated by internal regulations and internal regulations (orders, instructions, regulations). That is, the commission can get the right to interview employees and study any accounting documents, if the management of the enterprise decides so.

Although such an event is a purely internal affair of each organization and only its employees and management can take part in it, help third-party specialists can be involved, if necessary, to clarify the facts related to the incident. For example, to determine the degree of intoxication and the severity of the error made by the employee when making estimates according to the estimate. This is usually necessary when the qualifications of the company's specialists are not enough to draw professional conclusions. In this case, a separate order is issued for the enterprise. Contractors can be:

• auditors;
• appraisers;
• medical workers;
• engineers;
• lawyers;
• other specialists.

In addition, as part of the investigation, you can send requests to government agencies and third-party organizations. They are obliged to provide the necessary information, if it is not a secret. All collected materials must be attached to the case as evidence in the same way as the acts, certificates and memorandums that are compiled by members of the commission during the investigation. After all, any sample of an official investigation in relation to an employee, especially if it concerns a shortage, can be considered as a matter of transferring data on the investigation to law enforcement agencies.

Step 4. Obtaining an explanation from the employee

Before the end of the internal investigation and the issuance of an order to apply a disciplinary sanction to the perpetrators, the employees must be asked for an explanation. This is provided for by Art. 193 of the Labor Code of the Russian Federation and confirmed by the position of the Supreme Court of the Russian Federation (clause 47 of the Decree of the Plenum of the Supreme Court of the Russian Federation of March 17, 2004 No. 2). The form of such an explanation can be arbitrary, since it is not regulated by labor legislation. It is better to request an explanation in writing. This is especially necessary if the situation is of a conflict nature and the chances of getting an explanation are low. The request must be handed over to the employee against signature. If he refuses to sign, an appropriate act is drawn up. However, if the employee refuses to give explanations on the basis of Article 51 of the Constitution of the Russian Federation, which states that a person is not obliged to testify in relation to himself or his relatives, right in the text of the explanatory note, such an act may not be drawn up.

The employee has 2 working days from the receipt of the request to issue an explanatory note. If an explanation has not been provided, it is necessary to draw up another act - on the refusal to give explanations. It must be signed by the chairman of the commission and several of its members (at least 2 people). After the end of the investigation, the explanatory note itself or a document indicating that an explanation was requested from the employee may serve as the basis for the application of disciplinary measures against the guilty persons, up to and including dismissal.

Step 5. Commission meeting, consideration of circumstances

After the commission collects and summarizes all the information, it must hold a meeting. On it, authorized persons will report:

• whether there was a violation (causing damage) and what it consisted of;
• the circumstances, time and place of the incident;
• the consequences of the violation and the amount of damage caused;
• reasons for the misconduct;
• the degree of guilt of each of the accused in the incident;
• mitigating and aggravating circumstances.

Step 6. Creation of an act on the conduct of an internal investigation

The results of the commission's work should be reflected in a special act summing up the results of the investigation. In particular, it should be clear from this document:

• guilty actions committed by the employee;
• circumstances of such actions;
• the type and amount of damage caused;
• degree of fault of the employee;
• possible punishment for the perpetrator;
• suggestions to prevent similar situations in the future.

The act must be signed by all members of the commission. If one of the members of the commission has a dissenting opinion about what happened, he cannot refuse to sign the act. However, he has the right to draw up a separate document outlining his position and attach it to the materials.

If, in order to establish the volume and amount of material damage caused, an inventory was carried out, its inventory should be attached to the documents of the internal investigation. Documents of third-party institutions and organizations related to the case (court decisions, acts of verification of protocols, etc.) can also be attached to the act and referred to in the text.

A sample of the conclusion of an internal investigation should look like this:

The employee, in respect of whom an internal investigation was carried out, must be familiarized with all the results in relation to him under his signature. If the investigation was conducted in relation to several persons, they must be acquainted with the materials separately, taking into account the protection of personal data.

Terms of the internal investigation

The terms for conducting an internal investigation under the Labor Code () should not exceed 1 month from the discovery of the event that caused it. Usually the deadline is written in the order itself. It should be noted that there is a statute of limitations for holding an employee liable, which does not include:

• time of illness of the employee;
• the time the employee is on vacation;
• the time required to take into account the opinion of the trade union or other representative body of workers.

In aggregate, the perpetrator can be brought to disciplinary responsibility no later than six months (and in cases related to corruption manifestations - three years). After this period, it will no longer be possible to prosecute. According to the results of an audit, audit of financial and economic activities or an audit, such a period is no more than two years from the date of commission or discovery of a misconduct. These terms do not include the period of proceedings in a criminal case (if it was opened).

The organization has information that one of the employees committed a violation. An internal trial is appointed, the management issues an order to this effect. Use the sample order for an internal investigation.

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Useful Sample: Internal Investigation Order

An internal audit order is a document that begins an internal investigation in a private company or government organization. The company's management issues such an order if information is received about:

• shortage, which was revealed during the inventory;
• loss of any property of the company or personal property of an employee;
• disclosure of confidential information by an employee;
• various violations of a disciplinary nature;
• incidents of a different kind.

The company needs to find out what happened and identify the surrounding circumstances. The procedure for such a check is fixed in a special local act - the regulation on internal checks. It prescribes the procedure for conducting an investigation, the powers of the participants, etc. Including indicate that the director or other person signs an order to conduct an internal investigation. Proceedings begin with the issuance of this document.

There are no special requirements for the form of the document in the law. An order for an official investigation is drawn up in a free form. The introductory part states:

• full name of the company,
• requisites,
• date and place of compilation,
• Document Number.

The main part of the order on service checks lists:

1. The reason for the proceedings. For example, "due to business need."
2. essence of the procedure. For example, “to conduct an internal investigation into the fact of violation of labor discipline by an employee (name and position)».
3. The composition of the commission that will deal with the trial. They write here that a special commission is being appointed to conduct an investigation. They also indicate which of the employees of the company will be included in its composition. For example, "the head of such and such a department (FULL NAME), HR officer (FULL NAME)».
4. How to record the results of the check. At the end of the investigation, the commission must issue a special act in which it will reflect the results.
5. Verification period. The director of the company determines the period within which the investigation must be carried out and sets the date when the commission must sign the act on the results of the audit.
6. Who controls the execution of the order to conduct an internal audit. For example, the document may contain the wording “I instruct the employee to control the execution of the order (name and position)».

Also in the order, if necessary, note what measures to take in the event of specific outcomes. For example, if documents were lost, but they could not be found, make efforts to restore them.

The final part of the document must contain the signature of the director of the company on whose behalf the order is issued. Members of the commission, who were mentioned in the order, must also sign. It should be noted in the document that they have read the content.

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When is a due diligence required?

An audit is necessary when one of the employees commits a disciplinary or other violation. The procedure is performed in accordance with the provisions of labor law (). The commission, which was appointed by order, investigates the circumstances of the violation. The task of the commission is to establish the details of what happened. Based on the results of the audit, the employee's actions will be qualified as:

• disciplinary action,
• offense,
• a crime.

Measures against the violator will be applied in accordance with this qualification. But regardless of the nature of the deed, the conduct of an official investigation is subject to the general scheme for identifying disciplinary violations. The company needs a local act on the procedure for conducting such inspections. It is published in advance, the document reflects the features of the procedure. Conducting an internal audit consists of several stages:

1. When the company receives information about the incident, the fact of violation is recorded.
2. Based on the fact, a decision is made to check.
3. The employee is asked to explain what happened. At the same time, an order is issued to conduct an internal audit.
4. The commission is investigating.
5. The results are drawn up in a special act. If the check did not confirm the violation, this is also noted in the act.
6. Decide what action should be taken against the violator. For example, to announce a reprimand, to recover damages or to dismiss on a discrediting basis.

During the inspection, you must follow the established rules for its conduct. In particular, issue an order in a timely manner.

Attached files

• Order to conduct an internal investigation.doc