Transfer of cases upon dismissal: sample act and plan, procedure

The law (Labor Code of the Russian Federation) does not stipulate the transfer of files and documents of various values upon dismissal of an employee and is not included in the mandatory procedures for terminating an employment contract. But due to the diversity of traditions of business and personnel turnover, types and forms of documents, techniques and methods of performing work in each company, in practice it is simply necessary. If there is no handover, the new employee’s productivity in the workplace in the first months of work will be significantly lower. In addition, he will not be able to adequately assess the current state of affairs, projects and the availability of all necessary documentation.

Also see:

The procedure for dismissing a financially responsible person
How to properly formalize the dismissal of a chief accountant

Legislative basis and purposes of referral of cases

Despite the fact that the concept and procedure for transferring cases are not regulated , in practice it is quite often carried out when dismissing employees. Such an operation includes:

checking the availability of documentation necessary to perform work at the current location and its completeness;
assessment of the list and level of completion of current work and projects;
informing about the methods and methods of carrying out work in the company;
checking the actual availability of inventory and monetary assets and property entrusted to the dismissed employee.

According to the provisions of Art. 21 and the Labor Code of the Russian Federation, the employee is obliged to , and the employer has the right to demand from him, the conscientious performance of job duties stipulated in the employment contract and local regulations, ensuring the safety of the employer’s property.

In addition, by signing an employment contract, the employee undertakes to perform the functions assigned to him in the interests, under the management and control of the employer (Article 56 of the Labor Code of the Russian Federation). Thus, all documentation created by an employee in the performance of job duties is the property of the employer . And the employee must ensure its safety.

In relation to materially responsible persons, the transfer of affairs upon dismissal is a necessity , since they are engaged in servicing monetary and material assets and, when signing an agreement, directly take responsibility for their safety. Thus, according to clause 27 of the Regulations on accounting and financial reporting in the Russian Federation (approved by order of the Ministry of Finance of Russia dated July 29, 1998 No. 34n), an inventory is required in the event of dismissal of materially responsible persons.

The transfer of affairs and values is especially relevant when changing key positions in the company - directors, chief accountants, heads of divisions and departments. Since they have the authority to manage a significant part of the resources and are responsible . In addition, top management has information about the strategy, the state of the business, the peculiarities of competition in the chosen business area, and the presence of unfinished and promising projects.

IMPORTANT!
The acceptance and transfer of cases must be completed before the day the employee leaves. The company has no right to detain him specifically for this purpose.

The organization has the right to establish in local acts the procedure for transferring cases and familiarize all employees with it upon acceptance against signature. In this case, she may demand from the resigning person:

provide all necessary information;
report on the entrusted values.

The procedure for the dismissal of a manager (director)

Termination of the contract of the main person in the organization is one of the most labor-intensive. It's not just the volume of data, but also the level of responsibility. The step-by-step procedure ultimately has the task of bringing the new director up to speed.

The general director of the company is recognized as a person with high financial responsibility. This fact requires formal familiarization of the future manager with materials related to the activities of the organization. Therefore, in order to comply with the dismissal procedure, the formation of a transfer and acceptance certificate is required. The content of the document is determined individually. The main factors influencing the composition of information are the characteristics of the materials and the scale of the enterprise's activities. The act should be as detailed as possible, since an audit is being carried out on it. The last action is carried out in relation to the originals:

constituent acts;
documentation on accounts opened in banking institutions;
title papers of the company;
permitting documentation (license, accreditation, etc.).

Act of acceptance and transfer of cases upon dismissal (sample)

According to the inventory, supported by the acceptance certificate, the new director accepts from the hands of the resigning director:

stamps;
company values;
safe keys;
technology;
printing;
papers with contact information about partners, clients, etc.

The procedure is carried out by a special commission. The convened body includes employees of the organization. The latter must occupy responsible positions and have an understanding of the purpose of the procedure and the procedure for its implementation.

Features of the procedure for transferring cases

The transfer of cases can occur to an employee hired to replace the one leaving, if a candidate has already been found. Or, if there is no successor, the manager determines another employee to whom all reports, documentation and valuables must be entrusted.

The referral process includes:

Drawing up an order ordering the transfer of cases and valuables, approving the composition of the transfer commission, the plan and timing of the transfer.
Actual verification of the availability of documents, goods and materials, property.
Drawing up an act of acceptance and transfer of cases upon dismissal of an employee.

You need to understand that it is advisable to organize such a procedure only with employees involved in servicing a significant amount of valuables and documentation that influence business processes. There is no point in carrying out such actions, for example, with a loader or cleaner.

If the materially responsible person is dismissed, an additional order is issued to conduct an inventory.

Dismissal of the chief accountant - transfer of affairs

The nuances of building labor relations with the chief accountant are discussed in the Labor Code of the Russian Federation, as well as in Federal Law No. 129 “On Accounting”. An order to remove an employee from a position is issued by the General Director.

Termination of the contract takes place on a general basis:

at your own request;
leadership initiative;
reasons associated with financial liability.

Termination of employment relations at the initiative of the director is permitted if there are compelling reasons:

objective - staff reduction, liquidation of the enterprise;
subjective - expiration of the contract, provision of inaccurate data at the time of joining the company, failure to fulfill direct duties, absenteeism, appearing intoxicated at the workplace, etc.

The chief accountant can also be fired if the fact of theft, embezzlement or damage to the property of the enterprise has been established.

What should be in the order to transfer cases

Nowhere in the law is it defined how to draw up an order for the transfer of cases upon dismissal. Therefore, it is drawn up in any form. It includes the following information:

FULL NAME. a departing employee handing over business and valuables;
FULL NAME. an employee hired as a replacement or already working, assigned to receive cases and documents;
data of commission members participating in the acceptance and transfer process;
the basis for the procedure is dismissal;
timing of the event.

All participants in the procedure, including members of the commission, are familiarized with the order against signature. In addition, the order may provide for a schedule for the transfer of specific objects and cases in the form of an action plan.

The following is a sample order for the transfer of cases upon dismissal with a plan, which can be downloaded for free:

ORDER ON ACCEPTANCE AND TRANSFER OF CHIEF ACCOUNTANT'S CASES

Instructions for drawing up a document

The order is drawn up in the generally accepted form, but there are some differences from other documents for the enterprise .

Form

The legislation has not developed a special form for such a document, which means freestyle. Like any other, such an order is printed with the company details and address at the top of the sheet.

Expert opinion

Lebedev Sergey Fedorovich

Practitioner lawyer with 7 years of experience. Specialization: civil law. Extensive experience in defense in court.

Below in the center is the name - the order, on the next line on the left indicate the point where the change of chief accountant takes place and the company is located, and on the right - the date.

On the left, a short column describes the topic of the document, in this case it looks like this: “Concerns the transfer of affairs by the chief accountant.” Below, with a paragraph, the text part of the document begins.

Contents of the paper

The first point is that the head of the company, on whose behalf and signature the order will be issued, must state the reason for the transfer of financial papers , for example: “In connection with the dismissal of the chief accountant, I order:”, and then place the points one after another. When obliging to provide folders, papers, and information on a computer, it is imperative to set a deadline during which the orders must be completed.

This is important to know: The founder’s decision to dismiss the director: sample 2021

The period for which the documentation is transferred should also be specified (usually 3 years).

If the chief accountant tries to hide information, does not disclose all the nuances of the actual situation of finances or taxes, the availability of materials, etc., or openly ignores this document, then it turns out that the order is not being executed, and it is possible that the employee who has access to the company’s finances , intends to hide the abuse.

In this case, completely different disciplinary measures may be taken, taken into account by the Labor Code of the Russian Federation, and the cases will be entrusted to a commission, the competence of which will make it possible to clarify the situation and identify shortages of funds or materials.

The order must specifically indicate the full name and position of the person submitting the case, as well as the details of his successor. The person accepting the papers may be the new chief accountant, and if the candidacy has not yet been approved, then there is an option to entrust the acceptance of the documentation to a deputy or other official.

Other persons may also be involved in the transfer of cases - the financial director, a representative of the company's own security service, etc. During the period allocated for acceptance from the outgoing chief accountant, an inventory of the material base is usually also carried out.

The date of issue of the order must correspond to the one that coincides with the registration log, and at the same time precede the acceptance process by 1-2 days: the persons involved in this action must be familiar with the document for signature.

The document also stipulates the powers and responsibilities of those who participate in the delivery and acceptance of cases from the chief accountant. For example, you can indicate that if any shortages or discrepancies are identified, an audit firm should be involved. Based on the results of acceptance, an act must be drawn up, specifically specifying what the order should specify in the order and indicating the person responsible for this.

The manager usually retains control over the execution of this document. Under the text, indicate the full position of the manager and his full name, and after signing, list the positions and full names of everyone who should be familiar with the document.

Everyone who is in one way or another involved in the transfer of cases and is mentioned in the order should be familiarized with its contents under the signature on the first copy. It is this order that is drawn up in 1 copy, which is necessary for office work, and for everyone mentioned, the secretary will prepare copies.

Expert opinion

Lebedev Sergey Fedorovich

Practitioner lawyer with 7 years of experience. Specialization: civil law. Extensive experience in defense in court.

The chief accountant has no right to leave without transferring the case, and to control this process an order must be issued for the enterprise. This is a simple document for the internal circulation of the company, but when drawing up the paper you need to know what exactly such a document should contain.

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Procedure for checking, recalculating, transferring cases and valuables

bound into folders upon transfer The commission accepts them according to the inventory, checking the names of cases and documents with the data in it. They check the actual presence of valuables that are listed under the responsibility of the dismissed person and carry out their recalculation. Information about them is also recorded in the inventory.

For materially responsible persons transferring a large amount of valuables, a full inventory is carried out with the preparation of an inventory list , a matching sheet (if deviations are identified). Its results are subsequently included in the transfer acceptance certificate.

If, in addition to valuables and documents, it is necessary to obtain information about ongoing projects and their current status, it is advisable to request a written report . It is compiled in any form. It contains detailed information on each working project, the stage of its implementation, and steps planned for its implementation in the near future.

There may be a situation where, in addition to all of the above, it is necessary for the outgoing employee to teach his successor the basic techniques of doing the job. For example, this could be training in generating reports in the program. Such actions can also be provided for in terms of transfer of cases, and the fact of their completion can be subsequently recorded in the acceptance certificate.

If a financially responsible person resigns

The basis for conducting an audit upon dismissal of a responsible person is an order issued by the head of the company. The audit includes a recount of all things that were entrusted to the employee. It is necessary to describe the condition in which they are, the level of wear and cost. It is determined by taking into account wear and tear. You need to draw up an act and transfer the valuables to the new employee. The document is signed by two people. This is rehiring and resigning.

When the specified act is signed, the employment agreement with the responsible person loses force. Responsibility is transferred to the new employee. Items will need to be handed over within two weeks. The countdown begins from the moment the application for termination of the contract is submitted.

How to draw up an act of acceptance and transfer of cases

At the end of the process, an act of acceptance and transfer of cases of any form is drawn up. It includes:

FULL NAME. and positions of workers transferring and receiving cases;
the name of the submitted documents and their quantity;
the name of the transferred values and property, their quantity;
if there were actions to train the employee in work techniques, a description of the projects was transmitted indicating the stages of their implementation, this also needs to be reflected in the report;
if discrepancies are identified during the recalculation of cases and values, the results must be recorded in a document;
the act must contain the signatures of the transferring and accepting employee, as well as the members of the commission present at the transfer.

SAMPLE ACT OF ACCEPTANCE AND TRANSFER OF CASES

In the case of a large list of valuables and/or documentation, you can draw up an inventory as an appendix to the act.

The act is drawn up in 2 copies, one of which remains with the company, and the other with the dismissed employee.

What documents are being transferred?

Work should not reflect relationships with management or personal reasons for terminating employment. An employee must behave competently, otherwise he will not be able to receive positive recommendations from the company’s management. The transfer process is represented by certain actions. Initially, they create a commission, carry out verification activities of papers and draw up an act.

Depending on the position a person worked in, the list of papers that he must submit varies. For example, if this is a personnel officer, then he transfers the personal files of the company’s employees, orders and other regulations relating to his activities.

General Director of LLC: voluntary dismissal

A situation arises when the process of transferring important documentation to the new director is not possible, then the question arises of preserving valuable papers from a material and ideological point of view. Each director decides this issue independently, taking into account the prevailing circumstances.

The general director is the only executive body of the company and is responsible for the legality of the company's actions . It will take a lot of time to find a new competent top manager to replace the current one in a leadership position. And paperwork for dismissal will take a long period of time. Submitting an application early is also important for the CEO himself, in order to clearly distinguish between the time when he was a leader and the time when he retired from making decisions.