As a result of an internal investigation. Sample order for an internal investigation against an employee. Where does an internal investigation begin?

In the event of something serious in an organization, there is often a need to clarify all the circumstances of the incident and take corrective action against the guilty employees. This process is an official investigation and is regulated by the Labor Code.

In any team, a situation is possible when an internal investigation is required.

In the activities of any company that has more than two or three employees, a situation may arise related to the need to carry out an internal investigation into the misconduct of an employee.

This investigation is a set of measures to collect, verify, and analyze information and materials about the offense in order to clarify the details of its commission.

The Labor Code does not contain the exact concept of “internal investigation”, but it is precisely this strictly formalized method of bringing to responsibility that is called an official investigation. In addition, disciplinary punishment (sanction) may be applied for failure to comply with labor discipline.

Labor discipline (Article 189 of the Labor Code of the Russian Federation) means strict adherence to the rules of conduct defined by the Labor Code of the Russian Federation, other laws, employment contracts, as well as local acts of the organization (collective agreement, various agreements), and a disciplinary offense is considered non-compliance or performance in an inappropriate manner (Article 192 Labor Code of the Russian Federation).

By concluding an employment contract, both parties, both the employee and the employer, acquire both the rights and obligations enshrined in Art. 21-22 of the Labor Code of the Russian Federation, which must be observed. Therefore, the employer has the right to punish an employee who has committed certain violations at work. True, in order to punish a person, it is necessary to establish that it was he who specifically committed the offense, that the penalty complies with the law and was imposed on time. This is precisely the goal that the official investigation ultimately pursues.

What offenses can there be?

With minimal offenses, you can do without an official investigation

Of course, violation of violation is different, and not every one will entail an official investigation. For example, when establishing the fact of being late for work (and if neither party denies it), there is no need for a whole investigation procedure.

A specific list of violations for which disciplinary punishment is imposed in an organization may be established by the employer. Most often, this list contains the following offenses:

Violation of work routine (early departure, etc.)
Failure to perform an assigned job function (supported by complaints from clients, other employees, etc.)
Violation of a job description (its individual provisions)
Violation of fire safety
Causing material damage to the employer (can be expressed in the form of damage to property, equipment, machinery, waste or shortage of entrusted valuables)
Other offenses may also occur. Depending on the act, it may also contain signs of a criminal offense that entail criminal liability (theft, etc.).

If signs of a crime are found in an employee’s misconduct, having established the fact of the act itself, the employer must report this to law enforcement agencies authorized to conduct relevant investigations. An organization, regardless of its form of ownership, does not have investigative powers, even if it has its own security service.

When conducting an internal investigation, it is very important to correctly draw up the documentation so that later, in the event of a possible consideration of the employee’s complaints in court, you can defend your case.

How to conduct an official investigation

The decision on an internal investigation is made by the director

The procedure begins with the identification of misconduct by any employee of the organization. However, the day when the misconduct was discovered will be considered the day when the manager (official) is notified.

According to the Resolution of the Plenum of the Armed Forces of the Russian Federation “On the application by the courts of the Russian Federation of the Labor Code of the Russian Federation” (2004), an official is recognized as the one “to whom the employee is subordinate for work (service).

The fact of the violation and its circumstances are recorded in the name of the director (if the organization is large - the immediate director, if a small one - the director). The director makes a decision on an internal investigation. The stages of investigation are:

Formation of a commission authorized by the director by issuing an order. The composition of such a commission does not include the immediate superior of the employee being reviewed, as well as the supervisor who makes the final decision.
The recommended number of commission members is at least three.
Actually, it consists of identifying the specific person who committed the violation, its essence, the amount of damage, the reasons that led to the offense, bringing the perpetrators to justice, and developing preventive measures to prevent this from happening in the future.
If the person who committed the offense is known, an explanatory note is taken from him (according to Article 247 of the Labor Code of the Russian Federation), if the culprit needs to be identified, such explanatory notes are requested from the alleged persons.
Collection by the commission of other documents (reports of eyewitnesses, inventory reports (if necessary), auditors’ reports, etc.). If the offense is simple (for example, leaving the workplace), an explanatory statement is quite sufficient.
Drawing up a final report on the investigation, consisting of a description of the fact of violation, time, circumstances of the offense, the operative part (indicating the culprit, as well as related factors). The act is signed by the members of the commission and certified by the signature of the head of the organization.

It is important to remember that the Labor Code gives both parties to the investigation the rights to:

The employer has the right to request, and the employee has the right to refuse to write them. In this case, according to Part 1 of Art. 193 and part 2 of Art. 247 of the Labor Code of the Russian Federation, this is recorded in the act of refusal to provide explanations. Such an act is signed by persons who are not members of the investigation commission in order to avoid a conflict of interest. In addition, you should know that the Labor Code of the Russian Federation (Article 193) allows two days to provide explanations.
Explanations are drawn up in any form, and employees have the right to indicate mitigating (in their opinion) circumstances, or not admit guilt and explain why.
The drawn up report is also given to the employee for review, along with other inspection materials. The right to refuse to sign is retained in this case as well.

To facilitate the work of the commission and streamline the process of considering disciplinary offenses, it is advisable for the organization to have a local act on internal investigations (regulations, regulations, etc.).

Time frames for investigation and penalties

The period of internal investigation is 1 month

The period within which consideration of the issue of violation of discipline must be completed is established by the Labor Code and is 1 month (Article 192).

This period is counted from the day when the misconduct became known and is extended for the period of the employee’s illness, vacation, etc. (but in any case cannot be longer than 6 months). If the investigation is not completed by the end of the specified period, the employee cannot be held accountable.

For this, one of the penalties listed in the Labor Code of the Russian Federation may be applied: reprimand, reprimand, dismissal (Article 192). The order of punishment is announced to the employee against signature no later than 3 days from the date of issue. Punishment can be applied within six months.

If damage is caused to the organization, then compensation is made in accordance with Art. 248 of the Labor Code of the Russian Federation in an amount no more than one average monthly salary. The employer has the right to withhold exactly this amount from the employee by order, without. If the employee does not agree with the deduction, or the amount of damage is more than one salary, damages can only be recovered in court.

Even if the employee’s guilt is established undeniably, failure to comply with the deadlines for bringing to responsibility and material deductions in a larger amount than established by labor legislation are grounds for the abolition of punishment by a court decision.

Disputes following an internal investigation

The internal investigation must be properly documented

The employer’s ability to hold his employee accountable in accordance with the labor legislation of our country is a right, not an obligation (Article 22 of the Labor Code of the Russian Federation), therefore he must determine whether it is worth starting an internal investigation, and whether it is possible to get by with preventive and moral-psychological measures ( conversation, suggestion, etc.).

When applying disciplinary measures based on the results of an investigation, it is important to remember that they can only be considered legal if:

Imposed by authorized persons (the employer himself - an individual (), the manager-director, another authorized person acting on the basis of the law / constituent documents or a local act of the organization.
The official investigation and the imposition of punishment according to its results were carried out in accordance with the norms of labor legislation (and the local act on investigations, if any), within the period established by law.
The punishment applied to the employee is proportionate to the gravity of the offense.

If at least one of the above factors is violated, the application of a disciplinary sanction will be illegitimate, and, subject to challenge by the employee, will be canceled.
Thus, the effectiveness of applying disciplinary measures is directly related to the employer’s detailed compliance with the current legislation in terms of the procedure and procedure for conducting an internal investigation.

The need for an official investigation in case of an accident is the topic of the video:

In cases where an employee commits a disciplinary offense or causes damage to the employer’s property, a mandatory verification of the circumstances of the offense is carried out, which in practice is called an internal investigation. Let's consider what norms of law it is regulated by, how and in relation to whom it can be carried out.

What does the law say about internal investigations?

Labor legislation does not mention an internal investigation as a necessary procedure prior to the imposition of a penalty or the issuance of an order for compensation by the employee for damages. However, some norms of the Labor Code of the Russian Federation provide for the procedure for the employer to act in certain situations. This is an official investigation.

In relation to employees in state, municipal service or in the service of law enforcement agencies, the term “official inspection” is used.

Investigation of an employee’s disciplinary offense

The procedure for imposing disciplinary sanctions, regulated by Art. 193 of the Labor Code of the Russian Federation, determines that:

Initially, the employer will request a written explanation from the employee, which the latter can submit within two days. But he can refuse to give explanations; a corresponding act is drawn up about this;
based on the employee’s explanations (acts of refusal to give them), reports (office) notes from the immediate supervisor, data from electronic pass systems, etc. the employer decides on the advisability of bringing the employee to disciplinary punishment from the list provided for in Art. 192 Labor Code of the Russian Federation;
the period during which a penalty can be imposed should not exceed, according to general rules, one month;
upon completion of studying the collected materials and making a decision to punish the employee, an order is issued to impose a disciplinary sanction, which must be announced to the employee against signature.

That is, an official investigation of a disciplinary offense can be considered the process of studying all the above-mentioned materials that prove the event of a violation, its consequences, the employee’s guilt, mitigating circumstances and other points important for applying a penalty to the employee.

Investigation of damage caused by an employee

The direct obligation of the employer to conduct an inspection to establish the amount and causes of damage caused to him by the employee is established by Art. 247 Labor Code of the Russian Federation. This check, referred to by practitioners as an internal investigation, must be carried out before making a decision on compensation for damages by specific employees. It can be carried out by a commission created by order of the employer, with the involvement of specialists (legal adviser, economist, personnel officer).

During the investigation, it is necessary to establish the mandatory points without which it is impossible to legally recover damages from the employee:

are there any circumstances excluding his financial liability (Article 239 of the Labor Code of the Russian Federation);
whether the employee’s actions/inaction that caused damage to the employer’s property were illegal (whether he violated the law, or the terms of the employment contract, or other norms);
whether there is his fault (intention or negligence) in the damage;
whether there is a causal relationship between the employee’s behavior and the damage;
whether direct actual damage was caused to the employer.

The amount of such damage can be established during the inventory by identifying discrepancies between the actual availability of property and the data of the accounting registers (Article 11 402-FZ of December 6, 2011 “On Accounting”).

In this case, the employer determines the list of objects subject to inventory, as well as the cases, timing and procedure for its implementation independently (except for cases of mandatory inventory).

When conducting an inspection, the commission must require a written explanation from the employee. If the employee refuses or evades explanations, then a corresponding act of refusal is drawn up.

The result of the inspection carried out in accordance with Art. 247 of the Labor Code of the Russian Federation, is an act of official investigation.

When any violations are detected at an enterprise, it may be necessary to find out the various circumstances of the violation and identify the perpetrators. This procedure is called an internal investigation and is regulated by labor law.

The concept of "internal investigation"

An official investigation is a unique set of measures used to collect, analyze and verify information about misconduct in order to identify the employee’s guilt, and sometimes to identify the guilty person if this is not immediately known.

According to Art. 21–22 of the Labor Code of the Russian Federation, when signing an employment contract, the parties acquire rights and obligations. The employer has the right to hold the employee accountable for violations. But first it is necessary to establish that it was he who committed the offense and that his guilt is really present.

Common violations subject to investigation:

Failure to perform a labor function;

Violation of official duties according to instructions;

Causing material damage.

This list is not closed; in practice, any other situation may arise in which an internal investigation will be required.

When a violation has revealed the fact of a crime, for example, theft, upon completion of the official investigation, the manager can additionally report it to law enforcement agencies.

The verification and study of materials is accompanied by the preparation of special documentation so that the employer subsequently has the opportunity to defend his case.

Internal investigation under the Labor Code: algorithm

Procedure for carrying out an investigation:

1. Creation of a commission and issuance of an order. Usually the commission consists of at least 3 people: for example, a lawyer, an economist and a personnel worker.

2. Direct work of the commission with studying all sides of the case, collecting evidence, interviewing witnesses, etc.

3. If the guilty employee is known, he writes an explanatory note.

4. Preparation of an investigation report and its signing by all participants in the proceedings.

During the investigation, mandatory points are established, without which recovery of damages is impossible:

whether actual damage was caused and in what amount,
existence of financial liability under Article 239 of the Labor Code of the Russian Federation,
the presence of guilty actions or inaction of the employee,
the presence of a connection between the actions (inaction) of the employee and the consequences that occur.

In fact, an internal investigation is a direct procedure for studying case materials that prove the guilt of the offender.

Order to conduct an internal investigation: sample

There is no standard sample order for an internal investigation against an employee. It can be compiled in a convenient form. It must include the following mandatory items:

Name of the company and its legal form;

Brief description – “conducting an internal investigation”;

Description of the circumstances that require an internal investigation at the enterprise;

Composition of the commission;

Investigation period;

Manager's signature;

The order to conduct an internal investigation is printed on the company’s letterhead. All interested parties must familiarize themselves with it and sign it.

Sample order for internal investigation

Report on conducting an internal investigation: sample

Regulatory acts do not establish a specific sample of an official investigation report. However, it must contain the required information:

Name, date and place of document preparation;

Composition of the commission;

Information about the person about whom the inspection was carried out;

Designation of the purpose of the investigation;

Circumstances identified during the inspection;

A decision about the guilt or innocence of the employee.

Additionally, the official investigation report contains an inventory of documentary evidence requested and received during the investigation. At the end of the document, the signatures of the commission, the guilty person and the date of his familiarization with the act are placed.

A properly conducted investigation will allow the organization to protect its rights in the event of the possible appeal of the employee guilty of misconduct to a higher authority.

An internal document recording the circumstances of a disciplinary offense and the presence of its elements is an act of internal investigation, or an act of internal inspection.

The presence of such a document in the event of litigation with an employee or an inspection will allow one to prove compliance with the requirements of Art. 192-193 of the Labor Code of the Russian Federation. This means that there are certain nuances that the drafter of the act and the head of the organization must take into account when conducting an internal investigation and preparing the corresponding act. We will talk about them in this article. If you have any difficulties, you can use the help of a duty lawyer.

By the way, pay attention to the local acts of the organization. Perhaps the form of the official investigation report at the enterprise has been approved. If not, you can develop one based on our example.

An example of an official investigation report

I CONFIRM:

LLC "Kuvshinka"

CEO

Bratchikov Rodion Konstantinovich

Compiled by the commission:

Chairman: Head of HR Department P.R. Malakhov

Members of the commission:

Fact of violation: failure by administrator Sinitsina Anastasia Vladimirovna to fulfill assigned duties to notify the migration unit of the Main Directorate of the Ministry of Internal Affairs of Russia for the Krasnodar Territory in Gelendzhik about the arrival of foreign citizens at a place of temporary stay within 24 hours (violation of Article 20 of the Federal Law “On Migration Registration of Foreign Citizens and Persons stateless" dated July 18, 2006 No. 109-FZ).

As a result of the internal investigation, the following was revealed:

April 18, 2017 to the Kuvshinka hotel at the address: Gelendzhik, st. Morskaya, 48, at 12 noon. 48 min. Citizen of the Republic of Uzbekistan Farkhudov Makhmud, born 04/08/1972, arrived for a temporary stay.
According to the work time sheet and logbook, on April 18, 2017, administrator Sinitsina A.V. performed her functional duties from 06:00. 00 min. until 06 o'clock 00 min. April 19, 2017, incl. for checking in guests and providing them with hotel rooms. Sinitsina A.V. provided the citizen of Uzbekistan Farkhudov M. with room 309 on the third floor of the hotel, and also took payment and issued a receipt.
In violation of clause 2.4 of the job description of the hotel administrator and Art. 20 of the Federal Law “On Migration Registration of Foreign Citizens and Stateless Persons” dated July 18, 2006 No. 109-FZ notification of the arrival of a foreign citizen at the place of stay of Sinitsina A.V. was not filled out and was not submitted to the migration department at the Main Directorate of the Ministry of Internal Affairs of Russia for the Krasnodar Territory in the city of Gelendzhik.
On 05/05/2017, as a result of an inspection carried out by the Main Directorate of the Ministry of Internal Affairs of Russia for the Krasnodar Territory in the city of Gelendzhik, an administrative protocol was drawn up against Kuvshinka LLC and a resolution was issued on an administrative offense under Part 4 of Art. 18.9 Code of Administrative Offenses of the Russian Federation. An administrative fine of 400,000 rubles was imposed.
According to written explanations by Sinitsina A.V. dated 05/05/2017, I did not send a notification to the Main Directorate of the Ministry of Internal Affairs for the Krasnodar Territory in the city of Gelendzhik due to forgetfulness.
Previously, the employee showed diligence in his work and performed his job duties on time. There are no outstanding penalties. He was not held accountable for violations of labor discipline. He has been working at Kuvshinka LLC under an employment contract as an administrator since 08/05/2015.

Having studied the materials, namely: Internal labor regulations, the job description of the hotel administrator, the materials of the case of an administrative offense, the explanations of A.V. Sinitsina, the commission comes to the following conclusions:

In the actions of Sinitsina A.V. contains a disciplinary violation, expressed in the improper performance by the employee, through his fault, of the work duties assigned to him, as a result of which the employer suffered damage in the amount of 400,000 rubles.
Involve Sinitsina A.V. to disciplinary liability and apply disciplinary action in the form of a reprimand.

Chairman of the commission:

ETC. Malakhov

Members of the commission:

Occupational safety specialist S.S. Vykhina

Leading legal adviser D.V. Fedoseeva

I have become familiar with the official investigation report:

Sinitsina A.V.

What to do before drawing up an official investigation report

An official investigation report is drawn up in cases of damage to the employer due to the actions of an employee or detection of violations of labor discipline. Such a document must also be drawn up if you intend to fire an employee for absenteeism.

An internal investigation or inspection is initiated by a resolution of the head - the first person of the organization. The composition of the commission is approved by order, and the inspection period is limited to 30 calendar days. The members and the chairman of the commission must familiarize themselves with the order. By the way, these should be persons not associated with the incident.

The commission collects and studies documents related to the incident, and requests explanations from the employee (mandatory). In case of refusal, a corresponding Act is drawn up (similar to). Based on the results of the inspection, an Internal Investigation Report is drawn up, which is signed by all members of the commission and the employee in respect of whom it was carried out ().

What is included in the official investigation report

The commission for conducting an internal investigation must establish the following facts:

whether damage was caused to the company, whether there was an incident or violation of labor discipline by the employee
the circumstances under which it happened
consequences of the incident and the cause-and-effect relationship between the actions of the employee (workers) and the damage caused
whose fault, what was it expressed in
circumstances mitigating or aggravating liability (fact of previous violation of labor discipline, etc.)
conclusion of the commission: whether the fact of violation by the employee of his duties has been established. The type of disciplinary sanction can be established separately by order of the manager at his discretion, or can be expressed in an act of internal investigation.

What is an internal investigation conducted at an enterprise or organization, and what legal norms govern the sequence of conducting an internal investigation within disciplinary proceedings, as well as samples of documentation accompanying the conduct of actions within the framework of internal proceedings - this will be described in detail in this article.

In what cases are official proceedings carried out?

Absence from work during working hours. Absence from the workplace during working hours for more than 4 hours without a valid reason is called absenteeism, according to the provisions of the Labor Code of the Russian Federation. Most often, an employee may be reprimanded as punishment for absenteeism, but in some cases, when the employee’s absenteeism entails negative consequences that impede the standard functioning of the enterprise or organization, the employee is subject to dismissal. However, in order to dismiss an employee in accordance with the Labor Code of the Russian Federation on the basis of absenteeism, a number of actions are required, one of which may be taking measures to clarify the circumstances preceding absenteeism.
Identification of facts of material damage. Material damage caused to an enterprise can be understood as a cash shortage, intentional theft of funds or property of the employer, damage to property or production equipment. To determine the amount of damage caused, data taken from the balance sheet is usually used. In some cases, independent appraisers may be involved.
Abuse of official position. Another type of disciplinary violation is when an employee of an enterprise or organization, within the framework of his competence, commits actions that contradict those provided for in the job description. For example, the manager of a shopping center, responsible for subletting, rents out retail space at a reduced cost in order to obtain his own profit. In some cases involving abuse of power, a professional audit may be required to determine who is at fault and the extent of the damage caused.

Order of conduct

When initiating an internal investigation procedure, several principles should be followed:

The principle of objectivity. All activities must be impartial.
The principle of innocence. A person against whom an investigation is being conducted cannot be considered guilty until results are obtained confirming the fact of a disciplinary violation.
The principle of legality. The procedure for conducting an official investigation is based on the internal instructions of the enterprise, organization or department, provided that such instructions do not contradict current legislation.

Sequence of actions algorithm

The first thing a manager must do to begin an internal investigation is to issue an appropriate Order. An example of how it should look like this order:

From the moment the order is issued, the authorities have one month to clarify all the circumstances of the case. An order can be made based on various factors:

The manager is notified of the violation through a statement from the employee himself.
Based on claims from consumers or subagents.
Based on requests from other citizens, including colleagues of the employee considered responsible for the disciplinary violations that occurred.
Based on an inventory report (or a deficiency identification report).
Based on the results of the audit.

After the Order is issued, the head must determine the members of the special commission participating in the investigation. Most often, employees of the internal security or internal audit service are appointed members of the commission. In small enterprises, in the absence of such personnel units, any employees of the institution who, in the opinion of the manager, can give an objective assessment of what happened, based on their experience and knowledge in a particular area, can be appointed members of the commission.

Important! Persons who are obviously personally interested in a particular outcome of events cannot be recruited as members of the commission.

After the formation of the commission, the manager is obliged to request written explanations from the employee who is being subject to an internal audit. This is an example of a notice sent to an employee via registered mail:

What happens next depends on the reaction of the subordinate. The Labor Code determines the period within which written explanations must be received from a person accused of disciplinary violations - 2 days from the date of receipt of the notification. The scenario for the development of further events will be interconnected with the result of the preliminary notification. That is, if we assume as an example that in response to the notification specified in the sample above, the manager received from employee E.M. Petrov. written explanations that the commission members regarded as valid reasons for the employee’s absence from the workplace. In this case, an Internal Investigation Report at the enterprise is drawn up, which displays a conclusion with the commission’s conclusions about the degree of guilt of the person.

In the event that a subordinate refuses to explain the circumstances of the offense charged to him or does not want to receive a notification at all, an act of refusal to give an explanation is drawn up. A visual example of such an act:

The result of the investigation is an act of internal investigation at the enterprise, which includes three parts:

First part. Introductory, describing the nature of the precedent, the disciplinary offense, the timing of the inspection and the composition of the commission members.
Second part. Description of the activities carried out to obtain evidence.
The third part. Final. The commission's conclusions about the person's guilt.

An example of such a document:

Acts, orders, memos and other written evidence obtained during the inspection may serve as attachments. On the basis of this act, an order for dismissal under the article is issued if the employee’s guilt of a disciplinary offense is confirmed.

Conclusion

Official proceedings at an enterprise or organization are internal proceedings, therefore, regardless of its results, a person whose rights and legitimate interests may have been violated has the right to go to court, regardless of the results of the official investigation. A person has the right to go to court to protect his rights and business reputation even if, based on the results of the investigation, he was found guilty with subsequent dismissal. However, the court will side with the dismissed employee only if measures were applied to the employee that are contrary to current legislation, otherwise, going to court is meaningless.

Minutes form for parent meeting at school

Minutes of the general meeting of owners of an apartment building

Certificate of completed cargo transportation work

Material write-off act

Certificate of acceptance and transfer of accounting documents

The act of providing services

Internal investigation report

Internal investigation into violation of labor discipline

Article: Conducting an internal investigation: rules for processing documents (Shchetinina A.) ("Human Resources and Personnel Management of an Enterprise", 2009, No. 11)

In order to impose a disciplinary sanction on an employee, it is necessary to prove that it was he who committed this offense, that the penalty was imposed legally and on time. Thorough and clear documentation in the event of an unfavorable development of events and the dismissal of an employee will allow you to defend your case in court or before the labor inspectorate.

Where it all begins

If a violation of labor discipline is detected, the employee who discovered this fact is obliged to notify management about the incident. It is advisable to stipulate that the employee must first notify his immediate supervisor, and he, accordingly, the supervisor of the employee who is allegedly guilty. It is this leader who makes the decision to initiate official investigation. How this notification occurs is very important to formalize the investigation. The fact of the violation and the circumstances under which the incident was discovered must be recorded in an internal memo or in a memo from an employee issued to the director of the company. An official memo can be in electronic form if the technical means of the enterprise allow it, but more often internal memos are submitted in paper form.

Further, the fact of discovery must be documented. That is memo must be accepted for execution, the incoming number and date of acceptance must be indicated. This is a very important point in the conduct of an official investigation. It is with the recording of the fact of misconduct that the period of time begins during which the administrative investigation must be completed and a decision made. The Labor Code determines that this period should be equal to one month (Part 3 of Article 193 of the Labor Code of the Russian Federation). It can be extended for the duration of illness and/or vacation of the employee against whom an internal investigation is being conducted, but not more than for 6 months. However, based on the results of an audit, inspection of financial and economic activities or an audit, a disciplinary sanction may be applied no later than two years from the date of its commission. These time limits do not include the time of criminal proceedings.

Investigation procedure

To conduct an official investigation, a commission must be formed. Typically the commission consists of at least three people. As a rule, the commission is headed by either the head of the security service or the head of the personnel service. The commission includes security service specialists, personnel service specialists and representatives of the trade union organization. The commission cannot include the immediate manager of the employee against whom an internal investigation is being conducted, and the heads of the organization who make decisions on imposing a disciplinary sanction. This is a necessary condition for maintaining objectivity and eliminating bias in the investigation.

The Labor Code, in determining the procedure for conducting an official investigation, indicates certain requirements in the procedure itself (Article 193 of the Labor Code of the Russian Federation). This article contains a list of facts that are subject to investigation. Also, Resolution of the Plenum of the Supreme Court of the Russian Federation No. 2 clarifies this list: the employee’s previous behavior and his attitude towards work.

Thus, during the internal investigation, it is advisable to obtain answers to the following questions:

— fact of violation of labor discipline (when, where and by what means it was committed);

- who is the culprit of violation of labor discipline (Part 1 of Article 192 of the Labor Code of the Russian Federation);

— what circumstances and reasons led to the commission of the offense (Part 5 of Article 192 of the Labor Code of the Russian Federation);

— what is the severity of the offense committed and the consequences of violation of labor discipline (Part 5 of Article 192 of the Labor Code of the Russian Federation);

— the presence or absence of circumstances mitigating and aggravating the responsibility of the guilty person;

- what was the employee’s previous behavior and attitude towards work.

The first step of the commission’s work when conducting an internal investigation is to identify the person responsible for violating labor discipline and the circumstances of its violation. Next, the commission must prove the guilt of the offender, the severity of the offense committed and the circumstances under which it was committed.

If a person who has committed a disciplinary offense is identified, the commission must request a written explanation from the employee. The circle of persons from whom an explanation can be obtained is not limited and is determined by the chairman of the commission. The requirement is made in the form notifications. The notice briefly informs about the fact of the incident, provides information about the employee from whom an explanation is required, and lists the questions that he must answer. Upon receipt of this notice, the employee must sign the receipt.

From the date of receipt of this notification, the period begins for the employee during which he is obliged to provide his explanation. For this purpose, labor legislation allocates two days. If at the end of this period an explanation is not provided by the employee, an appropriate Act. The act is also drawn up and signed by the commission, but in a composition different from the composition of the commission conducting the investigation. The commission drawing up the act must consist of at least three people from different departments, except for the department in which the employee who did not provide an explanation works. Failure by an employee to provide an explanation is not an obstacle to applying disciplinary action.

Read also: What documents are needed for a medical record?

The employee’s explanation is drawn up in any form in compliance with established office work requirements. It is formatted in the form explanatory note in the name of the employer, handwritten, indicating the date of writing, position, personal signature, surname, initials. In the explanatory note, the employee must state his own view of the event that occurred, explain the reasons for the offense committed, argue the circumstances that confirm any facts, mitigate or even eliminate his guilt.

An explanatory note is a mandatory document during an investigation, but not always the only one. In addition to this document, the commission may request copies or originals of other documents confirming the guilt or innocence of the employee, or illustrating the situation in which the offense was committed, or proving the degree of guilt of the employee. What exactly and in what quantity is needed to conduct the investigation is decided by the chairman of the commission. So, if this is lateness, then perhaps one explanatory note from the late employee will be enough. But if an employee made a mistake when entering information into the database, then the commission needs to obtain documents confirming that it was this employee who entered this information into the database. Then prove that no one subsequently edited this information and that it was this error that led, for example, to the incorrect formation of a payment order, to the imposition of a fine on the organization and the accrual of penalties. Here it is no longer possible to do without technical specialists who have the ability to provide either a user log or a level of access to the formatting of information in the database. Next, the commission will request copies of the payment order, copies of the order and the document on the basis of which the penalty was calculated. If it is not possible to attach a particular document to the materials, then a certificate is drawn up about its contents. For clarity, various diagrams, tables, photographs and videos may be attached to the materials. All these documents are numbered and filed “in the file”; usually they are appendices to the final document of the investigation.

Summarizing all of the above, here is an approximate list of documents that appear during an internal investigation:

— memos from employees about the discovery of a disciplinary violation;

— documents containing the employee’s explanations: an explanatory note or an act confirming the employee’s failure to provide an explanation;

— explanations of officials, witnesses or protocols of their interviews;

— expert opinions, as well as testimony of special technical means;

— acts of audit or inventory, if the investigation is carried out based on their results or the commission has requested an inventory and audit procedure;

— customer complaints, if an investigation is carried out on their basis;

— other documents at the discretion of the commission;

— act of conducting an internal investigation;

— documents on the application of a disciplinary sanction to the employee: an order, an act confirming the employee’s refusal to familiarize himself with the order against signature.

The final document of the commission’s work is official investigation report. which is compiled on the basis of the case materials (results of research, examinations, interviews with witnesses, etc.). The report is drawn up by the commission at the end of the investigation and signed by all its members. When this document is drawn up, it is assigned a serial number and the date of its preparation (completion of the investigation) is indicated. Together with all the documents and materials collected during the investigation attached to it, the act is transferred to the person authorized to make decisions on imposing a penalty. As a rule, this is the head of the enterprise. The act is approved by the director of the company and certified with a seal.

In terms of content, this document has three components: introductory, descriptive and operative. The introductory part indicates the fact of violation of labor discipline, the date of the violation, the period of the investigation and the composition of the commission. The narrative details the evidence base of the investigation and answers to the questions above. The operative part provides a summary: who exactly is guilty and of what exactly, whether this employee has similar outstanding penalties, and a list of appendices to this act.

If during the internal investigation it was established that the actions of the guilty person contain signs of a crime, it is necessary to name them and make proposals to the head of the organization to consider the issue of initiating a criminal case. The act is signed by all members of the commission.

An internal investigation against an employee at an enterprise: where to start and how to conduct it

The main goal of implementing an internal internal investigation in an organization is the need to impose a disciplinary sanction on an employee if his guilt is proven. The investigation will also protect the company from court proceedings if a specialist is dismissed for unjustified reasons.

Following the procedure, all actions must be documented.

Dear readers! The article talks about typical ways to resolve legal issues, but each case is individual. If you want to know how solve exactly your problem— contact a consultant:

It's fast and for free !

When is it held?

An official investigation must be carried out when charging a punished employee for material damage. The main task of its implementation becomes determining the causes of this damage. Understanding the cause will enable the employer to organize preventive measures in certain areas and stop the recurrence of similar situations in the future.

An investigation is a serious procedure that is not carried out to prove minor violations.

Often a preventative conversation with the offender is sufficient. If there are suspicions that an employee has caused major material damage or selfish use of official powers, strict measures must be taken.

Also, a special commission checks disciplinary violations related to evasion of medical examination (by specialists of some professions), passing occupational health and safety exams, undergoing special training during working hours, refusal to sign a liability agreement (if this is the main job responsibility of the specialist).

The perpetrators and eyewitnesses of the incident may be called in for questioning. The procedure is voluntary, so employees do not have to participate in it. They cannot be forced to undergo a polygraph test or conduct an inspection or search without consent.

Regulations under the Labor Code of the Russian Federation

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

The time for performing 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 investigation materials and appeal them if he disagrees with the final conclusion.

Who is taking part?

As a rule, an official check is carried out security Service. and internal audit department. In companies with a small number of employees, these issues can be dealt with personnel service. Other specialists (including accountants, lawyers).

The supervisor of the employee being inspected must take part in the work. But in order to obtain objective results, he cannot be a member of the special commission. As a result, the commission may include specialists from the personnel and security services, including the trade union committee. It should contain at least 3 people. The head of the security service should be at the head.

Procedure and timing

Legislatively, the investigation of violations of labor regulations is allocated 30 days. This period is counted from the time the decision was made or an order was issued to carry out the inspection.

If the investigation is carried out in accordance with the employee’s memo, then it must be completed within a month from the date the document was submitted. This time does not include the duration of the employee’s vacation or illness, the period for recording information from the representative structure of employees (this time in total should not exceed 6 months). After 6 months from the date of commission of the offense, the disciplinary sanction loses its force.

The specialist is requested to provide an explanation in writing, which he must draw up within 2 days of receiving the notification. If there is no response, an act of refusal to assist in the verification is drawn up.

After a misconduct has been identified, an internal investigation order signed by the manager is issued within 24 hours. At the same time, a commission is appointed, which must include at least 3 disinterested professional employees of the company. They will draw up an inspection report.

At the final stage of the verification work, the manager is provided with a report indicating the results obtained:

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

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

Compiled documents

An internal investigation begins with the boss or any employee of the company identifying the fact of misconduct, which is recorded in documents (memo, report on the head of the company). In accordance with this document, this procedure is prescribed. The fact that such information was carried out and the period for receiving such information is important, otherwise the inspection 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 document flow journal are stamped on it, the period of verification is counted.

Also, the basis for an investigation may be an explanatory note, a statement from a specialist, a complaint or claim from a consumer, an inventory act, an audit report, an act on identifying a commodity shortage. treatment of citizens with information about misconduct, etc.

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

Test results

In the final act of the investigation. compiled in accordance with the collected materials, there should be several parts:

the introductory part contains the fact of the offense, the time it was committed, the deadline for completing the inspection and the list of commission members;
description - includes evidence;
summary - reflects the perpetrators, the fact that they committed the incident, the presence of previously outstanding penalties.

Also attached to the report 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 of completion of the inspection. The conclusion is signed by the head and stamped.

All materials from the inspection are filed in the “Case” folder, and an inventory of the documentation is made.

After this, the employer must decide to impose a disciplinary sanction on the employee. In accordance with the Labor Code, it is provided reprimand, reprimand or dismissal with appropriate reasons. It is also allowed warning or reprimand .

Read also: How to go on maternity leave ahead of schedule

The corresponding order reflects the decision to impose a penalty, indicating the perpetrators, grounds and type of punishment. One penalty is imposed for each disciplinary violation.

Still have questions? Find out how to solve exactly your problem - call right now:

Legal consultation > Labor law >

Internal investigation: Labor Code on disciplinary sanctions

In the event of a serious violation of labor discipline in an organization, there is often a need to clarify all the circumstances of what happened and take corrective action against the guilty employees. This process is an official investigation and is regulated by the Labor Code.

Dear readers! The article describes typical ways to solve legal problems. Your case is individual.

What is considered an official investigation?

In any team, a situation is possible when an internal investigation is required.

In the activities of any company that has more than two or three employees. A situation may arise related to the need to carry out an official investigation into the misconduct of an employee.

This investigation is a set of measures to collect, verify, and analyze information and materials about the offense in order to clarify the details of its commission.

Labor discipline (Article 189 of the Labor Code of the Russian Federation) means strict adherence to the rules of conduct defined by the Labor Code of the Russian Federation, other laws, employment contracts, as well as local acts of the organization (collective agreement, various agreements), and a disciplinary offense is considered non-fulfillment or improper performance of assigned duties (Article 192 of the Labor Code of the Russian Federation).

What offenses can there be?

With minimal offenses, you can do without an official investigation

A specific list of violations for which disciplinary punishment is imposed in an organization may be established by the employer. Most often, this list contains the following offenses:

Violation of work routine (being late, leaving early, etc.)
Failure to perform an assigned job function (supported by complaints from clients, other employees, etc.)
Violation of a job description (its individual provisions)
Violation of safety regulations. fire safety
Causing material damage to the employer (can be expressed in the form of damage to property, equipment, machinery, waste or shortage of entrusted valuables)
Other offenses may also occur. Depending on the act, it may also contain signs of a criminal offense that entail criminal liability (theft, fraud, etc.).

When conducting an internal investigation, it is very important to correctly draw up the documentation so that later, in the event of a possible consideration of the employee’s complaints in court, you can defend your case.

How to conduct an official investigation

The decision on an internal investigation is made by the director

The fact of the violation and its circumstances are recorded in a memo addressed to the director (if the organization is large - the immediate director, if a small one - the director). The director makes a decision on an internal investigation. The stages of investigation are:

Formation of a commission authorized by the director by issuing an order. The composition of such a commission does not include the immediate superior of the employee being reviewed, as well as the supervisor who makes the final decision.
The recommended number of commission members is at least three.
Actually, the work of the commission. consisting of identifying the specific person who committed the violation, its essence, the amount of damage, the reasons that led to the offense, bringing the perpetrators to justice, and developing preventive measures to prevent this from happening in the future.
If the person who committed the offense is known, an explanatory note is taken from him (according to Article 247 of the Labor Code of the Russian Federation), if the culprit needs to be identified, such explanatory notes are requested from the alleged persons.
Collection by the commission of other documents (reports of eyewitnesses, inventory reports (if necessary), auditors’ reports, etc.). If the offense is simple (for example, leaving the workplace), an explanatory statement is quite sufficient.
Drawing up a final report on the investigation, consisting of a description of the fact of violation, time, circumstances of the offense, the operative part (indicating the culprit, as well as related factors). The act is signed by the members of the commission and certified by the signature of the head of the organization.

It is important to remember that the Labor Code gives both parties to the investigation the rights to:

The employer has the right to request explanatory notes. the employee has the right to refuse to write them. In this case, according to Part 1 of Art. 193 and part 2 of Art. 247 of the Labor Code of the Russian Federation, this is recorded in the act of refusal to provide explanations. Such an act is signed by persons who are not members of the investigation commission in order to avoid a conflict of interest. In addition, you should know that the Labor Code of the Russian Federation (Article 193) allows two days to provide explanations.
Explanations are drawn up in any form, and employees have the right to indicate mitigating (in their opinion) circumstances, or not admit guilt and explain why.
The drawn up report is also given to the employee for review, along with other inspection materials. The right to refuse to sign is retained in this case as well.

Time frames for investigation and penalties

The period of internal investigation is 1 month

The period within which consideration of the issue of violation of discipline must be completed is established by the Labor Code and is 1 month (Article 192).

For a disciplinary violation, one of the penalties listed in the Labor Code of the Russian Federation may be applied: reprimand, reprimand, dismissal (Article 192). The order of punishment is announced to the employee against signature no later than 3 days from the date of issue. Punishment can be applied within six months.

If damage is caused to the organization, then compensation is made in accordance with Art. 248 of the Labor Code of the Russian Federation in an amount no more than one average monthly salary. The employer has the right to withhold exactly this amount from the employee by order, without a court decision. If the employee does not agree with the deduction, or the amount of damage is more than one salary, damages can only be recovered in court.

Even if the employee’s guilt is established undeniably, failure to comply with the deadlines for bringing to responsibility and material deductions in a larger amount than established by labor legislation are grounds for the abolition of punishment by a court decision.

Disputes following an internal investigation

The internal investigation must be properly documented

When applying disciplinary measures based on the results of an investigation, it is important to remember that they can only be considered legal if:

Imposed by authorized persons (the employer himself - an individual (IP), a manager-director, another authorized person acting on the basis of the law / constituent documents or a local act of the organization.
The official investigation and the imposition of punishment according to its results were carried out in accordance with the norms of labor legislation (and the local act on investigations, if any), within the period established by law.
The punishment applied to the employee is proportionate to the gravity of the offense.

If at least one of the above factors is violated, the application of a disciplinary sanction will be illegitimate, and if challenged by the employee, it will be canceled in court.
Thus, the effectiveness of applying disciplinary measures is directly related to the employer’s detailed compliance with the current legislation in terms of the procedure and procedure for conducting an internal investigation.

The need for an official investigation in case of an accident is the topic of the video:

How to properly conduct an official investigation: stages, deadlines and forms of documents

Not guilty until proven otherwise. If the employer’s position in the final report of the internal audit turns out to be insufficiently reasoned, the court may subsequently side with the employee. Legally accurate and paperwork-wise preparation of documents at different stages of the investigation will help you make an informed decision and calmly defend the interests of the company in the future.

An official investigation (internal audit) is a serious procedure. It is not used to prove minor violations. Often it is enough to have a preventive conversation with a corporate troublemaker. If there are suspicions that an employee has caused significant material damage to the organization or used his official powers for personal gain, then it is worth taking strict measures. The fact of absenteeism is also confirmed by the results of the internal investigation.

In addition, disciplinary violations that a special commission will undertake to review include evasion of a medical examination (for workers of certain professions) and of undergoing special training and exams on labor protection, safety precautions and operating rules during working hours, as well as refusal of a conclusion agreement on full financial liability, if this is the main job function of the employee.

Russian legislation does not contain the concept of an official investigation as such. It can be considered part of disciplinary proceedings, which describes in detail the procedure for bringing to responsibility for a disciplinary offense. An internal investigation in a particular organization is regulated by internal labor regulations and internal regulations (instructions, regulations).

It is important to know that conducting an internal investigation is an internal event. The employer can summon the perpetrator, eyewitnesses of the incident and other employees for “interrogation,” but only within the framework of his organization, department, institution, etc. Since the procedure is voluntary, employees have the right to refuse to participate. Employees cannot be forced to undergo a polygraph test or searches and personal searches must be carried out without their consent. If an official matter requires an expert opinion, it is allowed to involve third parties (auditors, appraisers, medical workers, engineers, etc.) on a contractual basis. The law also allows you to send requests necessary for investigation to government agencies and other organizations.