Service investigation labor code. Sample order for an official investigation in relation to an employee

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

In what cases is an official hearing

1. Absence from the workplace 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, as punishment for absenteeism, an employee can be reprimanded, but in some cases, when the absenteeism of the employee entailed 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.
2. Revealing the facts of inflicting material harm. Material damage to an enterprise can be understood as a cash shortage, deliberate 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 are usually used. In some cases, independent expert appraisers may be involved.
3. Abuse of office. Another type of disciplinary offense is when an employee of an enterprise or organization, within the framework of their competence, commits actions that contradict those provided by the job description. For example, the manager of a shopping center responsible for sublease rents out retail spaces at a reduced cost in order to derive their own benefit. A number of abuse of power cases may require a professional audit to establish the culprit and the extent of the harm.

Order of conduct

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

1. The principle of objectivity. All activities must be unbiased.
2. The principle of innocence. The person under investigation cannot be considered guilty until the results of the disciplinary violation have been obtained.
3. The principle of legality. The procedure for carrying out an additional service investigation is based on the internal instructions of an enterprise, organization or department, provided that such instructions do not contradict the current legislation.

Algorithm of the sequence of actions

The first thing that a manager must do to start an official investigation is to issue an appropriate Order. An example of how it should look like such an order:

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

1. The manager is informed of the violation that has occurred through the statement of the employee himself.
2. Based on a claim from consumers or subagents.
3. Based on requests from other citizens, including colleagues of an employee who is considered responsible for the disciplinary violations that have occurred.
4. On the basis of an inventory report (or an act of identifying a shortage).
5. Based on the results of the audit.

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

Important! It is impossible to involve in the commission members persons who are obviously personally interested in this or that outcome of events.

After the formation of the commission, the head is obliged to request written explanations from the employee in respect of whom the internal audit is being carried out. This is an example of a notification sent to an employee via registered mail:

Further 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 offenses - 2 days from the date of receipt of the notification. The scenario of further developments 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 the employee Petrov E.M. written explanations that were considered by the commission members as valid reasons for the employee's absence from the workplace. In this case, an official investigation report is drawn up at the enterprise, which displays the conclusion with the conclusions of the commission on the degree of guilt of the person.

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

The result of the proceedings is an official investigation report at the enterprise, which includes three parts:

1. First part. Introductory, describing the nature of the precedent, the disciplinary offense, the timing of the inspection and the composition of the commission members.
2. Second part. Description of the measures taken to obtain evidence.
3. The third part. Final. Conclusions of the commission on the guilt of the person.

An approximate view of such a document:

Acts, orders, service notes and other written evidence obtained during the inspection can serve as attachments. On the basis of this act, an order is issued on dismissal under the article in case of confirmation of the employee's guilt in a disciplinary offense.

Conclusion

Official proceedings at an enterprise or organization are internal proceedings, therefore, regardless of its results, a person whose rights and legitimate interests could be violated has the right to go to court, regardless of the outcome of the official investigation. A person is entitled to apply to the court for the protection of 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 take the side of the dismissed employee only if measures were taken against the employee that contradict the current legislation, otherwise, the appeal to the court is meaningless.

Form of minutes of parent meeting at school

Minutes of the general meeting of owners of an apartment building

Certificate of completion of cargo transportation

Material write-off certificate

Acceptance certificate of accounting documents

The act of providing services

Official investigation report

Service investigation in case of violation of labor discipline

Article: We conduct an internal investigation: the rules for processing documents (Shchetinina A.) ("Personnel service and personnel management of the enterprise", 2009, N 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 lawfully and on time. Thorough and clear documentary registration 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.

How it all starts

If a violation of labor discipline is revealed, the employee who discovered this fact is obliged to notify the management of the incident. It is advisable to make a reservation that the employee must first notify his immediate supervisor, and that, accordingly, the chief of the employee, presumably the culprit. It is this leader who makes the decision to initiate official investigation... How the alert occurs is very important to the design of the investigation. The fact of the violation and the circumstances in which the incident was discovered must be recorded in a memo or an employee's memorandum, drawn up in the name of the director of the company. A service note can be in electronic form, if the technical means of the enterprise allow it, but more often service notes are submitted in paper form.

Further, the fact of detection must be documented. That is memo must be accepted for execution, enter the number and date of acceptance. This is a very important point in the production of an internal investigation. It is with the fixation 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 in respect of whom an official investigation is being conducted, but for no more than 6 months. However, based on the results of an audit, an audit 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 terms do not include the time of the criminal proceedings.

Investigation procedure

For the production of an official investigation, a commission must be formed. Usually the commission consists of at least three people. As a rule, the commission is headed by either the chief of the security service or the chief of the personnel service. The commission includes security service specialists, personnel service specialists and representatives of the trade union organization. The commission cannot have a direct supervisor of the employee in respect of whom an official investigation is being conducted, and the heads of the organization who make decisions on the imposition of a disciplinary sanction. This is a prerequisite for observing objectivity and eliminating bias in the ongoing 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 provides a list of facts to be investigated. Also in the Resolution of the Plenum of the RF Armed Forces No. 2 clarifications of this list are given: the employee's previous behavior and his attitude to work.

Thus, in the course of an internal investigation, it is advisable to get answers to the following questions:

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

- who is responsible for the 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 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 previous behavior of the employee and his attitude to work.

The first step in the work of the commission when conducting an official investigation is to identify the culprit in violation of labor discipline and the circumstances of its violation. Further, the commission must prove the guilt of the offender, the severity of the offense and the circumstances under which it was committed.

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

From the date of receipt of this notification, the employee begins the period during which he is obliged to submit his explanation. For this, labor legislation is given two days. If at the end of this period the employee has not provided an explanation, 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 that draws up the act must consist of at least three people from different departments, in addition to the department in which the employee who has not provided an explanation works. The employee's failure to provide an explanation is not an obstacle to the application of a disciplinary sanction.

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The explanation by the employee is drawn up in any form in compliance with the established requirements of office work. It takes the form explanatory note in the name of the employer by hand indicating the date of writing, position, personal signature, surname, initials. In the explanatory note, the employee must state his own view of the event, explain the reasons for the misconduct, argue circumstances that confirm any facts, mitigate or completely eliminate his guilt.

An explanatory note is a mandatory document when conducting an investigation, but not always the only one. 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 misconduct was committed, or proving the degree of guilt of the employee. What exactly and in what quantity is necessary for the investigation, the chairman of the commission decides. So, if this is a delay, then perhaps one explanatory letter 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 receive documents confirming that it was this employee who entered this information into the database. Then prove that no one later edited this information and that it was this error that led, for example, to the incorrect formation of the payment order, to the imposition of a fine by the organization and the accrual of penalties. Here you can no longer do without technical specialists who can provide either a user log or a level of access to formatting information in a database. Further, the commission will request copies of the payment order, copies of the order and the document on the basis of which the penalty was charged. If this or that document cannot be attached to the materials, then a certificate is drawn up about its content. For clarity, various diagrams, tables, photo and video materials may be attached to the materials. All these documents are numbered and filed "in the file", usually they are annexes to the final document of the investigation.

Summarizing all of the above, we present an approximate list of documents that appear during an official investigation:

- memos of employees on the discovery of the fact of a disciplinary offense;

- 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 indications of special technical means;

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

- customer complaints, if the investigation is carried out on their basis;

- other documents at the discretion of the commission;

- act on the conduct of an official investigation;

- documents on the application of a disciplinary sanction to an 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 inquiry... which is drawn up on the basis of the materials of the case (results of research, expert examinations, interviews of witnesses, etc.). The act is drawn up by the commission at the end of the investigation, signed by all of its members. When this document is drawn up, it is assigned a serial number, the date of its preparation (the end of the investigation) is indicated. Together with attached to it all documents and materials collected during the investigation, the act is transferred to the person authorized to make decisions on the imposition of a penalty. As a rule, this is the head of the enterprise. The act is approved by the director of the company and certified by the seal.

In terms of content, this document has three constituent parts: 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 the questions above. In the operative part, a summary is given: who exactly and in what exactly is guilty, whether this employee has similar unlifted penalties and a list of appendices to this act is provided.

If in the course of the official investigation it was established that the actions of the guilty person contain signs of corpus delicti, 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.

Service investigation in relation to an employee at the enterprise: where to start and how to carry out

The main goal of the implementation of an internal official investigation in an organization is the need to impose a disciplinary sanction on an employee when proving his guilt. Also, the investigation will protect the company from litigation in case of dismissal of a specialist for unreasonable reasons.

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

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When is it held?

An official investigation must be carried out when collecting material damage from a punished employee. The main task of its implementation becomes determination of the causes of this damage... The concept of the cause will enable the employer to organize preventive measures in some areas, to stop the recurrence of similar situations in the future.

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

Often it is enough to conduct a preventive conversation with the offender. If there is any suspicion that an employee has inflicted major material damage or selfish use of official authority, strict measures must be taken.

Also, a special commission checks disciplinary violations related to evading a medical examination (by specialists in some professions), passing exams in labor protection and safety, passing special training during working hours, refusing to sign a liability agreement (if this is the main labor obligation of a specialist).

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

Regulation according to the Labor Code of the Russian Federation

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

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

Who is involved?

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

The head of the employee, in respect of whom the check is being carried out, takes part in the work. But in order to obtain objective results, he cannot be a member of a special commission. As a result, the commission may include specialists from the personnel and security service, including the trade union committee. It should include at least 3 people... The head of the security service should be.

Procedure and timing

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

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

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

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

At the final stage of verification work, the head 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 for avoiding similar cases in the future.

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

Prepared documents

An internal investigation begins with the fact that the head or any employee of the company reveals the fact of misconduct, which is recorded in the documents (memorandum, act on the head of the company). In accordance with this document, this procedure is assigned. It is important that such information is carried out and the time period for obtaining such information is carried out, otherwise the implementation of the check may be challenged in court.

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

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

The commission may require originals or photocopies of other documentation, which will prove the employee's rightness 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 misconduct, the time of its commission, the deadline for the verification and the list of commission members;
• description - includes evidence;
• resume - reflects the perpetrators, the fact that they committed the incident, the presence of previously unreleased penalties.

Also attached to the act are all the necessary documents that were used in the investigation. It is signed by the entire commission, in the office work the act is issued a serial number with the date of completion of the check. The conclusion is signed by the head and stamped.

All materials of the conducted check are filed in the "Case" folder, an inventory of the documentation is made.

Thereafter, the employer must decide to impose disciplinary action on the employee. In accordance with the Labor Code, it is provided reprimand, reprimand or dismissal with appropriate grounds. Allowed and warning or censure .

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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.

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Service Investigation: Labor Code on Disciplinary Actions

In the event of a serious violation of labor discipline in the organization, it often becomes necessary to clarify all the circumstances of the incident and apply measures of influence to the guilty employees. This process is an internal investigation and is regulated by the Labor Code.

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What is considered an internal investigation

In any team, a situation is possible when an official investigation is needed.

In the activities of any company with 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, analyze information and materials about the misconduct, to find out the details of its commission.

The Labor Code does not contain the exact concept of "official investigation", but it is precisely the strictly formalized method of bringing to responsibility that is called an official investigation. In addition, for non-observance of labor discipline, it is possible to apply disciplinary punishment (penalty).

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, labor contracts, as well as local acts of the organization (collective agreement, various agreements), and a disciplinary offense is considered to be non-fulfillment or fulfillment of inappropriately assigned duties (Article 192 of the 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 committed the offense, that the penalty is in accordance with the law and imposed on time. It is precisely this goal that the official investigation pursues in the end.

What can be wrong

With minimal misconduct, you can do without an official investigation

Of course, violation of violation - strife, and not everyone 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 an entire investigation procedure.

A specific list of violations for which disciplinary punishments are imposed in the organization can be established by the employer. Most often, such a list contains the following offenses:

• Violation of the work schedule (being late, early leaving, etc.)
• Failure to perform the assigned labor function (supported by complaints from customers, other employees, etc.)
• Violation of the job description (some of its provisions)
• Violation of safety precautions. fire safety
• Causing material damage to the employer (it can be expressed in the form of damage to property, equipment, machinery, waste or shortage of entrusted values)
• Other misconduct may also occur. Depending on the act, it may also contain signs of a criminal offense, entailing criminal liability (theft, fraud, etc.).

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

When conducting an official investigation, it is very important to correctly draw up the documentation so that later, with the possible consideration of an employee's complaints in court, to defend your case.

How to conduct an internal investigation

The director makes the decision on the internal investigation.

The procedure begins with the identification of the fact of misconduct by any employee of the organization. However, the day when the misconduct was discovered will be 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), the official is the one "to whom the employee is subordinate for work (service)."

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

1. Formation of a commission authorized by the director by issuing an order. The composition of such a commission does not include the immediate supervisor of the employee in respect of whom the consideration is being carried out, as well as the leader who makes the final decision.
2. The recommended number of commission members is at least three.
3. Actually, the work of the commission. consisting of finding out the specific person who committed the violation, its essence, the amount of damage, the reasons that led to the misconduct, bringing the perpetrators to justice, developing preventive measures to prevent this from happening in the future.
4. 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 information is requested from the alleged persons.
5. Collection of other documents by the commission (reports of eyewitnesses, inventory certificates (if necessary), auditors' reports, etc.). If the offense is simple (for example, leaving the workplace), it is quite enough explanatory.
6. Drawing up a final act on the investigation, consisting of a description of the fact of violation, time, circumstances of the misconduct, operative part (indicating the perpetrator, as well as related factors). The act is signed by the members of the commission, certified by the signature of the head of the organization.

It is important to remember that the Labor Code empowers both parties to an investigation 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 commission of inquiry, in order to avoid conflicts of interest. In addition, you should be aware that the Labor Code of the Russian Federation (Article 193) provides two days for giving explanations.
• Explanations are made in any form, and employees have the right to indicate mitigating (in their opinion) circumstances, or not to admit guilt and explain why.
• The drawn up act is also given for familiarization to the employee, along with other verification 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 in an organization to have a local act on official investigations (regulations, regulations, etc.).

Investigation terms and measures of responsibility

The term of the official investigation is 1 month

The period within which the 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 it became known about the misconduct and is extended for the period of the employee's illness, vacation, etc. (but in any case it cannot be longer than 6 months). If the investigation is not completed by the expiration of the specified period, the employee cannot be held liable.

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

If the organization suffered damage, then its compensation is made in accordance with Art. 248 of the Labor Code of the Russian Federation in an amount not more than one average monthly earnings. It is this amount that the employer has the right to withhold from the employee by order, without a court decision. If the employee does not agree with the withholding, or the amount of damage is more than one salary, the damage can only be recovered in court.

Even if the employee's guilt has been established incontestably, failure to comply with the terms of bringing to responsibility and material deductions in a larger amount than established by labor legislation are grounds for canceling the punishment by court decision.

Disputes following an official investigation

Service investigation must be properly documented

The employer's ability to bring his employee to justice 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), so he must determine whether it is worth starting an official investigation, and whether it is possible to get by with preventive and moral-psychological measures ( conversation, suggestion, etc.).

When applying disciplinary measures following an investigation, it is important to keep in mind that they can only be considered lawful if:

• They are imposed by authorized persons (by the employer-individual (IP) himself, the head-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 penalty applied to the employee is proportionate to the severity 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 the application of disciplinary measures is directly related to the detailed observance by the employer of the current legislation in terms of the procedure and procedure for conducting an official investigation.

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

How to properly conduct an internal investigation: stages, terms and forms of documents

Not guilty until proven otherwise. If the position of the employer in the final act of the official audit turns out to be insufficiently reasoned, subsequently the court may take the side of the employee. Legally accurate and correct paperwork at different stages of the investigation will help you make an informed decision and calmly defend the interests of the company in the future.

Service investigation (service check) is a serious procedure. It is not started to prove minor violations. Often, it is enough to hold a preventive conversation with the violator of corporate peace. If there are suspicions that an employee caused significant material damage to the organization or used his official powers for personal gain, then it is worth moving on to strict measures. The fact of absenteeism is also confirmed by the results of the internal investigation.

In addition, disciplinary offenses, which a special commission will undertake to check, include evading medical examination (for workers in certain professions) and passing special training and passing exams on labor protection, safety and operating rules during working hours, as well as refusal to report full liability agreement, if this is the main labor function of the employee.

The Russian legislation lacks the concept of an official investigation as such. It can be considered part of a disciplinary proceeding, which describes in detail the procedure for bringing to responsibility for a disciplinary offense. An official investigation in a single organization is governed by the 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 for "interrogation" the culprit, eyewitnesses of the incident and other employees, but only within the framework of his organization, department, institution, etc. Since the procedure is voluntary, employees have the right to refuse to participate. You cannot force employees to undergo a polygraph test or conduct searches and body searches without their consent. If an expert opinion is required for a business case, it is allowed to involve third parties (auditors, appraisers, medical workers, engineers, etc.) on a contractual basis. The law also allows for inquiries to be sent to government agencies and other organizations for investigation.

The legislator has not defined the very concept of "internal investigation", but it is accepted in business practice and is found, although not in a direct form, in legislative acts. So, for example, article 247 of the Labor Code of the Russian Federation imposes on the employer the obligation to check if damage has been caused to him in order to establish its size and causes.

When an internal investigation is carried out

In case of any deviation from the normal order, when it is necessary to understand what happened, to identify the reasons, the culprits, to determine the consequences.

As a rule, such a check is carried out in the following cases:

• shortage in inventory;
• complaints from customers or staff;
• violation of the rules of the internal labor schedule, labor contract or job description;
• violation of local acts (safety regulations, fire safety, etc.);
• disclosure of commercial information;
• causing material damage to the organization or employees;
• receiving and giving bribes;
• other abuse.

This list is not exhaustive and can be supplemented by any employer at its discretion.

So, let's give a sample of an official investigation against an employee.

How to start an internal investigation

The employer has the right to create a commission with the participation of relevant specialists. For example, if we are talking about theft, the commission will most likely include a representative of the accounting department, the security service and the unit where the theft was detected. The commission is often chaired by either a manager or an internal auditor.

However, there are no requirements for the composition of the commission. Any person at the choice of the manager can enter it, with the exception of those involved, directly or indirectly, in the violation. The minimum size of the commission is three people.

In this case, the head must issue an order. To do this, you will need a sample order for an official investigation, a sample is presented below.

Order on the creation of a commission

What the commission finds out

During the inspection, the following circumstances are found out:

• the essence of the violation;
• the amount of damage caused;
• the reasons and conditions that led to the misconduct;
• a person who has committed a misdemeanor;
• degree of guilt;
• mitigating and aggravating circumstances;
• measures to bring the perpetrators to justice;
• preventive measures to prevent such violations.

When the circle of potentially guilty persons has been identified, and in some cases it may be quite wide, the commission collects written explanations. At the same time, explanations can be collected from both the perpetrators and from employees who, in one way or another, can explain what happened.

An explanatory note is drawn up by an employee on the basis of a notice drawn up by a commission. The notification describes the incident and may include a list of questions to be answered by the employee. In the copy of the notification that remains in the affairs of the commission, the employee must indicate the date of receipt of the notification and sign.

The employee has the right to refuse to provide explanations. In this case, it is necessary to record this fact in the act of refusal to provide an explanation. It is composed by members of the commission.

The explanatory note is drawn up in any form by hand in the name of the head, the date is indicated and the signature is put. If the employee admits his guilt, he has the right to indicate the presence of mitigating circumstances in the explanatory note.

In addition to an explanatory note, the commission collects other documents that can shed light on the circumstances of the incident: reports and memos of eyewitnesses to the incident, inventory reports, opinions of auditors and independent experts, reports of measurements of readings of control and measuring equipment.

Official investigation results

At the end of the investigation, the commission draws up a final document - an act that is signed by all members of the commission. You will find a sample of the official investigation report at the enterprise below.

It is necessary to familiarize the perpetrators with the act. If the employee refuses to confirm with his signature the fact of acquaintance, this must be certified by the signatures of independent persons.

The employee or his representative has the right to familiarize himself with all the materials of the inspection and to appeal them in case of disagreement with the results.

Based on the results of the audit, disciplinary measures may be applied. They need to be included in the template for the conclusion of an official investigation.

Based on Art. 248 of the Labor Code of the Russian Federation, the recovery from the guilty employee of the amount of damage caused, not exceeding the average monthly earnings, is carried out by order of the employer. The order can be made no later than one month from the date of the final establishment by the institution of the amount of damage caused by the employee. If the monthly period has expired or the employee does not agree to voluntarily reimburse the damage caused to the employer, and the amount to be collected from the employee exceeds his average monthly earnings, recovery can only be carried out by a court.

Sample act on the conduct of an official investigation

What is the time frame for an official investigation

The term for carrying out an official investigation under the Labor Code must be coordinated with the term that limits the imposition of a disciplinary sanction. According to Part 3 of Art. 193 of the Labor Code of the Russian Federation, a disciplinary sanction is applied no later than one month from the date of discovery of the offense, not counting the time of the employee's illness, his stay on vacation, as well as the time required to take into account the opinion of the representative body of employees. The day of detection of the misconduct, from which the countdown of the monthly period begins, is the day when the person to whom the employee is subordinate at work becomes aware of the misdemeanor, regardless of whether it is endowed with the right to impose disciplinary sanctions (subparagraph "b" of paragraph 34 of the Resolution Of the Plenum of the Armed Forces of the Russian Federation of March 17, 2004 No. 2 "On the Application by the Courts of the Russian Federation of the Labor Code of the Russian Federation").

At any enterprise, sooner or later, something happens that requires an official investigation to establish the causes and culprits. Therefore, it is very important to know how and in what cases it is carried out, as well as how its results are formalized.

If there was a serious incident at the enterprise or material values ​​have disappeared, it will be necessary to conduct an internal investigation.

In its course, a commission gathers, identifies all the circumstances, after which it takes an act of official investigation. At the same time, the very concept of "official investigation" is absent in domestic legislation, and therefore it is usually conducted according to the rules of disciplinary proceedings, and details in each organization are worked out at the level of internal rules.

Actually, the very conduct of the investigation will be an internal measure, that is, the punishment is provided for a working nature. If we are talking about more serious violations, then the case will be dealt with by state bodies. An official investigation assumes the exclusively voluntary participation of an employee, which means that it is forbidden to force him, for example, to pass a lie detector test or a forced search.

When is it

In case of minor violations, it is usually not carried out - a conversation with the offender is enough. It is initiated if the violation is serious, and the employee either refuses to admit it at all, or does not admit all important circumstances, which makes it necessary to clarify them.

The types of violations that need to be investigated are determined by the employers themselves. Typically, the list contains violations of labor regulations, job descriptions, safety precautions, failure to perform a job function, damage to the company.

All of these violations can also be divided into two main categories: disciplinary misconduct and injury. Let's consider them in more detail.

Disciplinary misconduct

Usually, they are not investigated, but if the misconduct should entail punishment - for example, dismissal, and the employee himself does not admit that he committed it, then an investigation will be necessary. This kind of misconduct primarily includes absenteeism. Evasion from medical examination, training and the like may also be investigated.

Causing damage

If the employee's actions caused serious damage to the company, it is also necessary to conduct an investigation into this case in order to establish the amount of damage and determine whether the employee is guilty, and if it was he who did or caused the damage, then what punishment should be incurred. Damage can be both direct and, for example, caused as a result of leakage of commercial secrets, and therefore it is necessary to involve a commission in order to accurately establish all the accompanying circumstances.

Sometimes the actions of the offender may turn out to be more serious, falling even under the articles of the Criminal Code, for example, embezzlement. In this case, the employer should not continue the investigation on its own, it is instructed instead to contact the law enforcement agencies. The company does not have any authority to conduct an investigation independently in such cases, even if it has its own security service.

Organization of the investigation

How disciplinary sanctions are applied is established by Article 193 of the Labor Code. It is on her that you need to rely when it is necessary to organize an investigation.

Let's first look at the general structure of decision making. It will differ for disciplinary misconduct and harm. Let's start with a disciplinary offense: after it is discovered, the employer must give the employee the opportunity to explain in writing. The employee has two days to complete the explanation. If he refuses, it will be necessary to issue an act of refusal.

Then the employer decides what sanctions to apply, based on the employee's explanations, reports from his manager, and other documents. Relying on them, he issues an order to impose a certain penalty.

Directly an official investigation here will mean the collection of documents indicating:

• the fact of a misdemeanor;
• the degree of the employee's guilt in it;
• the circumstances of the commission affecting the determination of the penalty.

In the event of damage caused by an employee, the algorithm of actions will be as follows:

• by order of the employer, a commission is created that includes at least three employees of the enterprise;
• it reveals the details of the violation;
• it is determined what punishment the offender should incur.

This is what will be called an official investigation in this case. With its help, it is revealed for what reasons the damage was caused, as well as its size, it is determined what the degree of guilt of the employee in relation to whom the proceedings are being conducted. Further, we will consider this particular option, that is, a full-fledged investigation with the commission.

In both cases considered above, it is the employer's responsibility to clarify all the circumstances before determining the punishment. It is necessary that they are supported by documents, because the punished employee can go to court, and it will be necessary to confirm his position. And if the punishment is not clearly justified, and the employee's guilt is proven, then the court will make a decision in his favor.

Order of conduct

Consider the stages preceding the initiation of the investigation, as well as the stages of its conduct:

1. The fact of a misconduct is revealed - any employee of the company can do this, while the day of detection will be the one on which the employee told about the violation to the manager to whom the guilty employee is subordinate.
2. The violation is recorded in a memo addressed to the chief.
3. After reviewing the note, the chief decides to start an investigation (or transfers the document to a higher-ranking official, if he does not have the appropriate authority).

This concludes the stages preceding the investigation, and the process itself begins:

1. A commission is formed by the order - note that the direct supervisor of the auditee is not included in its composition. Just like the leader who will make the final decision.
2. The commission is conducting an investigation - in the course of it it is necessary to find out what the violation was, who committed it, what were the reasons and circumstances, the amount of damage caused. To do this, an explanatory note is taken from the guilty person, and if it is not established, then from all possible culprits, then documents are collected to clarify the circumstances.
3. A final act is drawn up, describing in detail the course of the check and its conclusion. The goals of the commission often include the development of measures to prevent similar damage in the future. The members of the commission certify the act with their signatures, the leader puts a seal on it.

Let's consider some important nuances - the form of the memo, the execution of the act of testimony, the composition of the commission.

Memo

It is she who becomes the basis for the investigation, and from the moment of its adoption and fixation in the document circulation journal, the time of its beginning will be counted.

An employee of the company draws up a note, it is submitted to the name of either the immediate superior or the head of the entire company. It indicates what kind of violation is noted, as well as all its important circumstances. If the damage was identified by the inventory, then its act is attached to the note.

In addition to the memorandum, other documents can act as a basis for verification: appeals from consumers with information about a misconduct, claims of a counterparty, a statement from the employee himself.

Composition and powers of the commission

Investigates the employee's security service, if there is one in the company; in its absence - the personnel department. The commission includes employees from different departments - usually the security service and personnel, as well as a representative of the trade union. Most often, the composition is limited to just three members, but sometimes a larger number of people can be included in the commission.

The Commission has the right to demand an explanation from each employee who could be involved in the misconduct. This, however, does not mean that workers are obliged to provide them. She can also request any documents and involve outside specialists in the case. For example, such a need arises if you want to determine whether an employee was drunk during a shift. It is also permissible to apply for legal, audit, engineering assistance.

The creation of a commission is possible even if the company did not suffer damage, but the actions of the employee could lead to it. Sometimes it can be permanent, but more often it is temporary.

Explanatory note and waiver

After the employee receives a notification about the need to provide a written explanation, he is given two days for registration and provision. If the time has expired, and the document has not been issued, this is considered a refusal to assist in the verification, about which a written act must be drawn up.

The legislation does not establish the form for this document, as well as for the employee's explanation, therefore the registration is free. First of all, it is important to have the signatures of the members of the commission. An explanatory statement or an act of refusal from it must be filed into the case.

The timing

The legislation establishes a clear limit on the period during which a case can be investigated - a month, and the results must be presented before it expires. The countdown starts from the day the order is issued to start the investigation, or from the date of submission of the memo, if the inspection begins on its basis.

But it should be noted that this period should not include the time when the employee is absent, on vacation or on sick leave, as well as required to take into account the opinion of the representative body of employees. This disregarded time must not exceed 6 months in total. After the expiration of six months, the opportunity to apply a disciplinary sanction disappears, except for punishment for violations revealed by an audit or audit - in relation to him, this period is up to 2 years.

Legal implications

An official investigation is an exclusively internal business of the company and cannot have any legal consequences. Its result is a decision regarding the employee, exclusively as an employee, but not as a citizen. And in order to transfer the case to a legal plane, which may entail corresponding consequences, it must be transferred to state bodies.

Appeal procedure

The enterprise may provide for various procedures for appealing the results of the investigation, what these procedures will be, established by local acts. The legislation does not regulate this issue, as we have already mentioned, in it there is generally no such thing as an official investigation, and even more so, the nuances of its appeal are not established.

But what can be appealed is the decision made by the employer - in the labor inspectorate or immediately in court. In this case, he will have to provide documents collected during the investigation to prove that the violation was in fact committed, and by the same person who was punished, and the measure of gravity corresponds to the violation.

Presentation of results

The document that should summarize the results is the official investigation act - we attach a sample of it to the article, but here we will briefly consider the content.

This document consists of three parts:

• introductory;
• descriptive;
• operative.

The introductory statement describes what kind of violation is in question, indicates the date of the commission, the composition of the commission, the period during which the investigation was conducted. The narrative delves into the evidence from which the panel reached its conclusions. Finally, the conclusion is summed up in the operative - the commission draws conclusions regarding the employee's guilt.

This is followed by attachments, that is, documents such as memos, explanatory notes, inventory acts, if we are talking about shortages, expert opinions, and the like. It is necessary that each member of the commission signs the act, and the leader puts a seal. Then the case is assigned a number, the date when it was drawn up is indicated - this is the date of completion of the investigation.

If one of the members of the commission has an opinion that differs from that stated in the document, he must still sign it, but he can state his position separately and attach this statement to other materials.

After that, the head is given three days to make a decision, which must be formalized in the form of an order. The manager is obliged to be guided by the instructions of the commission, however, usually he himself can choose the desired option of collection from those allowed by law.

The employee must be familiarized with the order - 3 working days are allotted for this after it is issued. If the employee refuses to get acquainted with the document, an act of refusal is drawn up.

It will be interesting for you

Conducting an official investigation in case of unforeseen situations is necessary for many reasons, the first is to ensure the lawfulness of the disciplinary punishment for the guilty person.

Such an investigation is carried out only on the fact of major incidents, in order to reason with the petty hooligan, a prophylactic conversation is enough.

The task of the investigation is twofold:

• Establishing the truth for the imposition of a fair punishment for the guilty person;
• Collection of documentary evidence in order to protect the enterprise from legal claims.

You will learn how to correctly draw up documents for an official check here:

The legislative framework

The norms of the investigation process of Art. 189 of the Labor Code of the Russian Federation. Art. 193 of the Labor Code of the Russian Federation indicates the period required for the investigation.

Labor Code of the Russian Federation Article 193. Procedure for the application of disciplinary sanctions

Before a disciplinary action is taken, the employer must request a written explanation from the employee. If after two working days the specified explanation is not provided by the employee, then an appropriate act is drawn up.
The employee's failure to provide an explanation is not an obstacle to disciplinary action.
A disciplinary sanction is applied no later than one month from the date of discovery of the misconduct, not counting the time of the employee's illness, his stay on vacation, as well as the time required to take into account the opinion of the representative body of employees.
A disciplinary sanction cannot be applied later than six months from the date of the misconduct, and based on the results of an audit, inspection of financial and economic activities or an audit - later than two years from the date of its commission. The indicated time limits do not include the time of the criminal proceedings.
Only one disciplinary sanction may be applied for each disciplinary offense.
The employer's order (order) on the application of a disciplinary sanction is announced to the employee against signature within three working days from the date of its issuance, not counting the time the employee is absent from work. If the employee refuses to familiarize himself with the specified order (order) against signature, then an appropriate act is drawn up.
A disciplinary sanction can be appealed by an employee to the state labor inspectorate and (or) bodies for the consideration of individual labor disputes.

Based on Part 3 of Art. 247 of the Labor Code of the Russian Federation, the employee has the right to familiarize himself with all the data of the investigation.

Art. 195 of the Labor Code of the Russian Federation indicates options for bringing an official to justice, up to and including dismissal.

Labor Code of the Russian Federation Article 195. Bringing to disciplinary responsibility the head of the organization, the head of the structural unit of the organization, their deputies at the request of the representative body of employees

The employer is obliged to consider the application of the representative body of workers on the violation by the head of the organization, the head of the structural unit of the organization, their deputies of labor legislation and other acts containing labor law, the terms of the collective agreement, agreement and report the results of its consideration to the representative body of workers.
If the fact of violation is confirmed, the employer is obliged to apply disciplinary action up to dismissal to the head of the organization, the head of the structural unit of the organization, their deputies.

Art. 248 of the Labor Code of the Russian Federation indicates the period of publication of the order on material recovery from the responsible person.

When and on what grounds is the investigation carried out?

It is carried out if it becomes necessary to recover material damage from the guilty employee.

The purpose of such an event is to establish the cause of the damage, this will make it possible to prevent similar situations in the future by timely implementation of prevention.

Important: this process is performed to take strict measures in case of selfish abuse of official duties and opportunities.

In addition to identifying abuse of office, a special commission determines:

• Not passing a medical examination;
• Lack of knowledge regarding safety measures;
• Lack of a signed material liability agreement;
• Lack of qualification courses and other shortcomings.

At the same time, it is necessary to comply with all the norms for the preservation of human freedoms:

• The perpetrators and witnesses can be summoned for interrogation, but only of their own free will - coercion is unacceptable;
• Also, you cannot search employees and workplaces;
• Demand compensation for damage without a thorough check;
• Compulsory polygraph test.

Who should be involved in the investigation

A specially created commission is involved in this event on the basis of an order from the head.

Typically, the authorized persons include employees:

• Security services;
• Legal Department;
• Audit Department;
• Human Resources Department;
• Accounting department.

Important: the head of the enterprise or the immediate supervisor of the accused is also obliged to take an active part in the investigation, but they are not entitled to be members of the commission.

In total, the commission is obliged to consist of 3 persons, the chief chief of the security service.

Internal investigation rules

Important: according to legislative documents, an investigation must be carried out within 30 days from the issuance of a decree or a decision.

In this case, it is necessary to take into account the following points:

• The submission of a memo by an employee counts down a month from the moment it is submitted to the management;
• In total, the investigation must be carried out no later than 6 months, since after this period the disciplinary sanction becomes null and void;
• The investigation can be dragged out to such long periods due to the illness of the accused, his leave, his training, as a result of which the investigation is postponed.

Important: before starting an investigation or during its course, you must request a written explanation from the employee, which must be provided within 2 days from the date of receipt of the notification.

If during this period there is no document, an act of refusal to provide an explanation is drawn up.

What documents are formed

The entire investigation mechanism is launched from a memorandum or a drawn up act of shortage, etc. It is these documents that are the basis for the investigation, while the deadlines should be observed, otherwise the perpetrator will have the opportunity to appeal against the actions of the management in court.

Important: it is on the note that the head is obliged to put his resolution, after the case is launched, and the document is registered, it is from the day it is entered into the register that the time for the check begins.

• Consumer complaint;
• Information from citizens;
• Auditor's report. you will learn how an organization's personnel audit is conducted.

Also, the commission has the right to use various working documents as an exacerbation of the employee's guilt or for the purpose of justifying it - various invoices, checks, and other primary documents.

Investigation results

The report on the results of the investigation must necessarily consist of several sections:

• Introduction - indicates the very fact of the offense, its grounds and date of commission, the period for the verification, the composition of the commission;
• Descriptive part - evidence is provided in detail;
• Conclusion - the guilty persons are indicated, the presence of previous unreleased penalties, the commission of a misdemeanor.

In addition, the act must contain a list of the materials used, copies of which must be attached.

The document is signed by all members of the commission. Then a registration number is assigned to it. The document must be certified by the manager with his signature, and the seal of the enterprise must be affixed.

Important: for the documentation, a separate folder is created in which they are filed, a list of papers is attached on top.

Conclusion

After the end of all measures, the employer is obliged to make a decision on the collection, according to legal requirements, this can be a reprimand, reprimand or dismissal, as a last resort.

A corresponding order is issued on disciplinary punishment, indicating the perpetrator and the measures taken.

If the misconduct brought large losses to the enterprise, the case and all materials are transferred to the authorized bodies for compensation for damage.

The rules for conducting an internal investigation at the enterprise are discussed in this video:

An internal service investigation is a serious procedure that does not apply to minor disciplinary offenses. If the employee has committed something serious, it becomes necessary to clarify all the circumstances of the events that have occurred. The employer must understand the reasons and motives for the actions of the offending employee in order to make the only correct decision regarding him.

In what situation is an investigation necessary?

In the Russian Labor Code there is no precise concept of the term "official investigation", but a clear procedure for the application of a disciplinary sanction is spelled out. It cannot be imposed on an employee without reason.

That is, the very fact of guilt must be proven. To do this, it is necessary to collect explanations from employees, assess the scale of the damage caused, understand whether there was malicious intent in the employee's actions. The set of all these activities is called "official investigation" or "official check", if the guilty person is a civil servant.

Serious disciplinary offenses requiring verification by an employer include the following:

1. Absence for work.
2. Causing property damage.
3. Abuse of office.

For the misdemeanor committed against the employee subject to disciplinary action up to and including termination of employment or an order has been issued to compensate for the damage caused. In order for these actions on the part of the employer to be justified, it is necessary to conduct an official investigation.

General procedure for

The employer has the right to punish the employee only after following a certain procedure precisely described in article 193 of the Labor Code of the Russian Federation. If at least one point of the protocol is violated, the accused employee will be able to appeal the collection in court and bring the administration of the enterprise to justice.

All people involved in the proceedings must adhere to certain principles:

• it is necessary to objectively assess the available facts. personal hostility or affection must not affect the course of the test;
• until the employee is proven guilty, he is presumed innocent. and guilt can be proven only after the presentation of irrefutable evidence;
• all actions of the appointed commission must be carried out in strict accordance with internal orders, orders or instructions.

The head of the enterprise is obliged to act strictly within the framework of the law, using the following step-by-step instructions:

• issue an order to start an official investigation. The order cannot be issued unreasonably. To issue an order to conduct an official investigation, information about the existence of a misconduct must first be obtained. It is obtained from the following sources:
• written statement of the guilty employee;
• a memo from a direct supervisor;
• complaints from clients or subagents of the organization;
• memoranda from employees of the organization;
• an inventory act that indicated the presence of a shortage;
• an act drawn up by an auditing firm.
• appointing commission members who are responsible for the course of the audit;
• obtaining a written explanation from the offending employee. The offender gives explanations on the basis of the notification received, which can be sent to him by registered mail or delivered personally. The text of the document usually sets out the questions that must be answered by the employee offending discipline. He is given 2 days for a written answer. In case of refusal to provide explanations, an act must be drawn up.

All further measures depend on whether or not the guilty person gives explanations and how the members of the commission interpret them.

If it is decided that the violation of labor discipline occurred for valid reasons, then the investigation will end there, as evidenced by the relevant act.

If you don't show up for work

To count the absence of an employee in the workplace absenteeism for 4 or more hours, there must be certain reasons... Until they are clarified, it is believed that the worker was absent due to unexplained circumstances. If there are no valid facts, and the failure to appear entailed serious consequences, disrupted the process of the normal functioning of the enterprise, the employee may be reprimanded or dismissed from work. And for this there must be serous grounds, which can only be obtained during the investigation.

First, the fact of the employee's absence from the workplace must be recorded. A memo can be written by both the immediate supervisor and any employee of the organization. After the appearance, the employee can give an explanation for his misconduct. The following reasons are considered valid:

1. Illness of the employee or his family members. This circumstance is necessarily confirmed by an appropriate document: a certificate from a medical institution or a sick leave.
2. Delays due to lack of transport. For example, drifts on the road caused a temporary stop of bus traffic.
3. The presence of unforeseen circumstances beyond the control of the employee. For example, on the way to work, the employee's personal transport got into an accident.

Based on Article 81 of the Labor Code of the Russian Federation, if an employee was not present at the workplace for a whole day, this can be considered absenteeism. To fix this fact, it is necessary to draw up an appropriate act on the day of no-show.

The document is drawn up in free form. Its purpose is to record and confirm the fact of the employee's absence. You can draw up several documents throughout the entire working day. When drawing up an act, it is important to record not only its date, but also the time of drawing up. The document is signed by team members in the amount of at least three people.

If the employee did not show up the next day, it is necessary to record this with the following act.

In case of damage to property

Material damage to the enterprise can be caused due to negligence or malicious intent. On the part of the employee, the loss to the company is caused as follows:

In this situation, first of all it is necessary to determine the amount of damage... In the event of theft, this can be done by drawing up an inventory act. Breakdown or damage to equipment will require additional expertise. The same need arises when damage is caused through non-observance of safety rules. For example, an employee left work and forgot to turn off the heater, which resulted in a fire. The size of the loss can only be identified by an expert commission.

Very it is important to understand the motivation for action... Since it is important to understand whether the offense is ordinary irresponsibility or is malicious in nature.

In case of abuse of authority

Abuse of office refers to the use of one's own position for additional gain. Wherein the interests of the enterprise itself and its employees may suffer... A striking example of such abuse is the conclusion of a supply agreement at inflated prices with the receipt of a certain amount of "bonus" from the counterparty.

Such violations not always easy to identify... The help of professional auditors or auditors is very often required. Without the help of independent experts, it will be difficult to find out the undervaluation of the goods being sold or the lease of premises at a reduced cost.

Maximum terms

Legislation exactly one month is given for the investigation... The period is determined from the date of issue of the order. This is established by Article 192 of the Labor Code of the Russian Federation.

The time of the proceedings can be increased if during the period of its conduct the “accused” employee was on vacation or was absent due to illness.

The term cannot be extended for more than 6 months.

If the commission did not draw conclusions before the expiration of the period, an employee cannot be disciplined, even if later the final conclusion is not in his favor.

If the commission found a sufficient number of facts proving the employee's guilt, the punishment can be applied to him within 6 months from the date of the final act.

Who is involved in the review

An official investigation carried out by a commission appointed by the head of the enterprise... In large companies, this is entrusted to employees of the security service or internal audit. If the staff of the enterprise does not have such personnel, the study of the situation can be entrusted to any responsible team members.

The main thing is that these employees were not personally interested in the outcome of the proceedings and could give an objective assessment of the collected facts. Therefore, it is impossible to involve in the commission close friends or relatives of the offending employee, as well as those who have a personal dislike for him.

Another basic rule is members of the commission should in no way be associated with a disciplinary offense... The composition of the group is determined by the corresponding order, with which all members are familiarized with the signature.

You should not recruit a group of employees who are categorically opposed to participating in the proceedings. Otherwise, the analysis of the situation will not be carried out with complete thoroughness. A secretary is attached to the group, who will clearly monitor the correct preparation of all the necessary documentation.

Registration of investigation results

After receiving and processing all information on the incident, a meeting of the commission takes place. Members should clearly answer the following questions:

1. Whether there has been a violation of labor discipline and how it is expressed.
2. What caused the misconduct.
3. What was the nature of the actions of the guilty person.
4. What are the consequences of the misconduct for the organization as a whole.
5. The presence of circumstances that remove or alleviate guilt.
6. The presence of facts aggravating the misconduct.

Clarification of these points occurs through discussion. All theses and arguments are recorded in the minutes. After the end of the debate, the commission proceeds to drawing up the final act, which consists of three parts:

1. Introductory part. It is descriptive. It describes the offense itself, the time of its commission. Information about the members of the commission and their positions is mandatory. The basis for the initiation of an official investigation and the timing of its conduct are indicated.
2. The second part sets out the actions that the commission members took to obtain facts confirming or refuting the employee's guilt.
3. Conclusion. At the end, the commission must draw reasoned conclusions.

All collected documents must be attached to the act. It can be:

• service or memoranda;
• orders;
• the conclusion of the expert or audit commission;
• inventory acts;
• and other documents confirming the culpability of the employee.

Not only the act, but all the annexes to it must be signed by the members of the commission. The document must be registered in the journal, where it is assigned a serial number and date of publication. Then the act is certified by the signature of the director of the organization and the seal.

Only on the basis of the "indictment" act, the employer can decide to fire an employee who has committed a serious disciplinary offense. With others dismissal may be illegal in the circumstances.

If the guilty employee does not consider the charges brought against him fair and does not trust the results of the internal investigation, he can always defend his rights in court. For the employer, an official investigation act, drawn up in accordance with all the rules, is a weighty argument for the legality of his own actions.

This video highlights the main mistakes employers make when applying disciplinary action.