Draft order for an official investigation. Service investigation at the enterprise: the procedure for conducting. Internal investigation

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

Society with limited liability
«_______________»
ORDER
April 16, 2019 N 284
Moscow

On conducting an official investigation

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

I ORDER:

1. To form a commission to conduct an official investigation in the following composition:
Commission Chairman - Deputy executive director Full name
Commission members:
chief Accountant Full name
senior cashier full name
head of HR department full name
2. To establish the circumstances and reasons for the commission of the disciplinary offense by the full name:
the chief accountant to ask the cashier's full name for a written explanation in the order of Part 1 of Art. 193 of the Labor Code of the Russian Federation, and then submit it to the commission for consideration no later than the next working day after receipt;
the head of the personnel department, full name, prepare and submit copies of the following documents to the commission for consideration: labor contract with full name, job description of the cashier, internal rules work schedule LLC "_________", cashier shift schedule, time sheet for 13.04.2019.

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

3. The Commission, by 23.04.2019, shall conduct an official investigation and formalize its results with an act signed by all members of the Commission.

Note:
The term for conducting an internal investigation is not statutory, so you have the right to set it at your discretion. At the same time, please note that during this time you need to have time to request an explanation from the employee, taking into account the time period specified in Part 1 of Art. 193 of the Labor Code of the Russian Federation, as well as study the materials obtained during the investigation. In addition, such a period should not go beyond the terms of the application of the penalty.

4. The chairman of the commission, full name, inform the general director of the results of the investigation.
5. I assume control over the execution of this order.

Before an employee is held liable for violation of labor standards, the employer issues an order to conduct an internal investigation. With this local act, the head of the organization begins to check the circumstances that may become the basis for bringing the employee to disciplinary action. Or .

The procedure for the application of a disciplinary sanction is established by Art. 193 of the Labor Code of the Russian Federation. And the procedure for the recovery of material damage - Art. 247 and 248. Based on the results of the inspection, an official investigation report is issued ().

Example of an order to conduct an internal investigation

Limited Liability Company "Egoist"

Order No. 142 on the conduct of an official investigation

05/11/2022 Kaliningrad

In connection with the inventory carried out by Egoist LLC and the established fact of a shortage of valuables in warehouse No. 1,

I order:

  1. Conduct an official investigation into the lack of valuables in accordance with 05/04/2022 in order to establish the conditions, reasons, circumstances guilty of causing damage to persons and other facts.
  2. Create a commission to conduct an official investigation to establish the reasons and circumstances of the shortage of inventory items in warehouse No. 1 in the following composition: chairman of the commission: head of the personnel department Viktor Orkhovich Pyrov, members of the commission: head of the security service Pavel Sergeevich Dimitrov, chief accountant Ivleva Inna Romanovna.
  3. Commission to conduct an official investigation by 01.06.2022. Responsible: the chairman of the commission.
  4. I assume control over the execution of this order.

General manager Arkhipova Arkhipova S.T.

Acquainted with the order:

Chief Accountant Ivleva Ivleva I.R.

Head of HR department Pyrov Pyrov V.O.

Director of security DimitrovDimitrov P.S.

Grounds to issue an order to conduct an official investigation

The reasons for issuing the order underlie the reasons for the inspection. Has the fact of violation of labor discipline or material damage to the employer become significant? Does he intend to apply disciplinary action? Is it necessary for persons to establish the fact and the amount of damage?

Often, a document includes a column such as the basis. That is, some kind of document that became the basis of the check. This can be a memorandum, an inventory act, etc.

The head of the organization should remember that the order to conduct an internal investigation, the procedure and the final Act itself often become the subject. All norms labor law must be respected. And, in fact, the order can also become evidence in the case.

Contents of the order on official investigation

The form of the order for an official investigation has not been established by law or other acts of the authorities. Each employer develops its own form. Which is used when necessary.

  • organization name (IP)
  • name of the document: "order", number, date and place of preparation
  • the basis for the investigation - shortage, violation of labor protection, consumer claim, etc.
  • an order to investigate. It is very convenient to immediately create a Commission of Inquiry, otherwise you will have to issue a separate order
  • set a deadline for the end of the inspection and responsible persons
  • signature of the head (authorized by a power of attorney from a legal entity)

An order to conduct an internal investigation may include a "reason" column and coordination with interested employees. By the way, if an inspection is assigned to a specific employee, he must be familiar with the order to conduct an official investigation.

To achieve the proper level of labor discipline, the employer needs to respond in a timely manner to ignoring the established order within the business entity. In this, the manager is assisted by the labor legislation of the country where the efficient system influence on subordinates when they commit various violations. This article will pay attention to such a concept as a service check. It is necessary to determine its main elements, as well as find out exactly how an order for an official check should be drawn up.

Differences between an official audit and an official investigation, the grounds for conducting

The current legislation has a clear definition and mechanism for the application of disciplinary sanctions. It is known that a check, in particular, the receipt of a written explanation, must precede the punishment.

If the employee did not provide an explanation, this does not mean that the disciplinary sanction cannot be applied. If the required document is not provided within two days, the employer draws up an appropriate act.

The employer needs to prove that the subordinate actually performed gross violation established rules of conduct or requirements job description... At the same time, the manager must document this fact by taking a set of measures aimed at establishing the reasons.

Such a set of measures is called an internal investigation. The basis for its start will be the fact of violation of labor discipline, resulting in material damage to the enterprise.

In fact, the reason for the audit may be a shortage in the inventory or even a client's complaint about the work of one or another employee.

At the same time, there is such a thing as a service check. Having two definitions, the question arises, which of them should be applied?

The concept of internal audit and internal investigation can be found in Federal law №79 "On the passage civil service"Dated July 27, 2004, as well as in the departmental documents of various government agencies and services. Activities non-profit organizations usually implies a wider range of disciplinary sanctions, in connection with which the conduct of an internal audit must follow a strictly established procedure.

However, if we are talking about a commercial organization, then labor legislation establishes the obligation to conduct an official investigation (Article 247 of the Labor Code of the Russian Federation). In addition, an inspection must be carried out in the event of damage to the health of workers in the course of work activities, for example, in an accident at work.

The main tasks of the check are:

In general, the concepts of internal audit and internal investigation have a common essence. Them the ultimate goal is a legally competent analysis of emergency situations and bringing the perpetrators to justice, as well as compensation for harm. In a specific case, the enterprise should use the wording that is indicated in its local regulatory framework.

Execution of an order for an official check

In order to protect its interests, the enterprise must reflect the actions taken in the documents being drawn up as qualitatively as possible. Especially when it comes to the possible application of disciplinary action.

When drawing up an order for an official audit, it is necessary to take into account the organizational form of the enterprise. If a sample is indicated in the departmental document regulating the conduct of inspections, then deviation from it is unacceptable.

An example of registration will be given below in the event that the enterprise does not have a clear form of an order for an official check.

Such a document is drawn up on the letterhead of the organization, which should contain its full name, address, identification number, and so on.

The document should be titled, dated and registration number, which will be assigned to it after signing.

In the introductory part of the document, on the left, a short preamble should be written. The events that served as the basis for drawing up the order are described below. If we are talking about a memo of the chief structural unit, it is recommended, in brackets, to indicate its registration number and date of compilation.

Usually one of the points is the formation of a commission. At the same time, the chairman of the commission is appointed and its members are determined. As a rule, it includes a lawyer, an accountant, as well as a person responsible for the internal security of the enterprise.

The number of commission members is also determined by the LNA of the enterprise. Depending on the specifics of the activity, the commission may include representatives of other professions, as well as the trade union.

You should also not forget about the time frame in which the company needs to invest. In the order, one of the points must specify a specific date by which the inspection materials must be submitted to top management.

Verification should be carried out immediately upon receipt of a violation. The Commission should adhere to the one-month deadline to implement the set of required measures.

If the company needs to conduct an official check on the information specified in the client's complaint, then in addition to the described points, the provision of a written response to the written appeal will serve.

The manager should receive a response no later than one month from the date of receipt of the complaint.

Sample order for a service audit

In practice, the situation will be analyzed in which the head of the warehouse of the enterprise violated the requirements of his job description. Such a misconduct entailed causing material damage, and the head decided to conduct an official check.

Taking into account the above requirements, the completed version of the order for an official check will be as follows:

Limited Liability Company "Proton"

TIN No. 123456789, Yaroslavl, st. South23

Order No. 24-k

07.06.2016 Yaroslavl

"On the conduct of an internal audit"

In order to objectively and comprehensively verify the facts stated in the memorandum of the head of the department of material and technical supply of LLC "Proton" II Ivanov. (input No. 34 of 01.06.2016) on the fact of violation of labor discipline by the head of the warehouse of Proton LLC P.P. Petrov,

I ORDER:

  1. Create a commission to conduct an internal audit consisting of:
  • Chairman of the Commission: Head of the Security Department Sidorov S.S.

Commission members:

- Head of the Legal Department Mikhailov M.M.

- Head of the personnel department A.A. Alexandrov

- chief accountant Sergeev O.A.

  1. The results of the check should be submitted to the director of Proton LLC for consideration by 01.07.2016.
  2. I reserve control of this order

Director of Proton LLC Aleksandrov A.A.

After making sure of the correctness of the drawn up document, you should transfer it for signing to all members of the commission, as well as to the head of the enterprise. Only after his visa is the document subject to registration in the appropriate journal, after which a copy is transferred to the chairman of the commission, and the original is kept in the personnel department.

In conclusion, it is necessary to additionally focus the employer's attention on the requirements of internal local legal acts. The proceedings on the fact of violation of labor discipline should be carried out strictly in the manner established by the relevant regulation adopted by the business entity. If, as a result of the inspection, the employee goes to court, then a deviation from the established norms may negatively affect the outcome of the proceedings (not in the direction of the employer).

Proceedings are conducted when a serious disciplinary offense committed by an employee is identified. For example, in the following cases:

  • in the absence of a worker at the workplace for more than 4 hours without good reason (i.e.);
  • when the facts of the organization are revealed;
  • if an employee, etc.

During SR, the degree of a person's guilt in what happened is established and the circumstances that prompted him to behave in a bad way are revealed.

The rights of the employee in respect of whom the proceedings are being conducted are enshrined in the organization's instructions for conducting official investigations. But there are general provisionsarising from human and civil rights. The investigation must be objective and independent, respecting the interests of the employee being investigated. This means that the employee has the right to testify, change it, provide evidence of his innocence, get acquainted with all the documents concerning him that will be collected during the check.

Terms of the CP

Terms of conducting an official investigation on labor code not installed. Usually the time frame for the proceedings is fixed in local acts organization and does not exceed the terms of the Labor Code of the Russian Federation.

According to generally accepted practice, the inspection period should not exceed one month. The exception is the periods when the employee is on sick leave, on vacation, on a business trip. In case of violation of the SR terms, the guilty employee is automatically released from disciplinary responsibility.

Checking procedure

The algorithm of actions is as follows:

1. The leader issues an order

To initiate the SR, the employer issues an order.

By this order, the employer collects a commission with the participation of at least three people. Most often, it includes employees of the enterprise security service, personnel officers, accountants and lawyers, and members of the trade union.

2. The Commission collects information

The created commission begins to collect information to confirm the fact of the misconduct by an employee of the organization. The main sources of information that allow detecting violations are the following documents:

  • service note;
  • a statement by the employee himself;
  • customer complaint;
  • inventory act, etc.

3. The commission requests an explanation from the employee

The commission, by means of a notification, is obliged to request a written explanatory letter from the person in respect of whom the internal check is carried out. It must be provided within two days from the date of receipt of the notification.

If the employee does not want to explain the act or refuses to receive a notification, the members of the commission draw up an act of refusal to give an explanation.

4. An act is drawn up

At the end of the event, an official investigation report is drawn up at the enterprise. It is issued in any form.

A sample of an official investigation report at an enterprise contains the following information:

  1. Name of the document, place and date of its preparation.
  2. Composition of the commission (name and position);
  3. Information about the person in respect of whom the SR was carried out (name, position).
  4. The main part indicating the purpose of the SR and the circumstances that led to the violation.
  5. In the final part, a decision is made on the guilt / innocence of the employee. If the guilt is proven, the type of disciplinary sanction is determined.
  6. Application, signatures of all members of the commission.

The sample of the conclusion of the official investigation includes a line about familiarization. In it, the citizen, in respect of whom the SR was carried out, puts his signature.

On the basis of the act, an order is issued on disciplinary action if the worker's guilt is proven. If, based on the results of the check, it is recognized that the citizen has nothing to do with the committed violation, of course, he will not be brought to disciplinary responsibility.