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

10.08.2019
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5 minutes.

At any enterprise, specific situations may arise when employees violate legal requirements or internal regulations. In this case, an internal investigation is conducted to hold the employee accountable. To do this, a commission must be appointed that examines all kinds of evidence confirming the specialist’s guilt. It is she who makes the decision regarding the application of certain punishments. The possibility of challenging a disciplinary sanction by an employee depends on the correct execution of documents within this process.

What it is

According to the Labor Code of the Russian Federation, official investigation is not defined as an independent legal concept. Practice allows us to define such a phenomenon as a set of measures aimed at identifying the causes of violations by employees, guilt and responsibility for them. Detailed regulation is carried out by the rules of disciplinary proceedings.

Note! Internal inspections are carried out within the enterprise. Involvement of government bodies is carried out in exceptional cases.

An internal investigation in an organization is usually carried out on its own, without outside assistance.

Despite the fact that the law does not provide for a definition of the concept in question, the Labor Code of the Russian Federation in some articles obliges the employer to ensure that an investigation is carried out. The legislator makes it possible to independently regulate the inspection process, but does not allow it to be excluded from the activities of the enterprise. Compliance with these rules affects the fairness of the disciplinary measures taken, including dismissal.

In what cases is an audit carried out?

The investigation must be motivated by a specific reason. Typically, these are the following circumstances:

• The employee committed an offense, the signs of which are set out in Articles 192-193, 195 of the Labor Code of the Russian Federation. The rationality of conducting an investigation in this case is determined by the severity of the consequences of the offense. For example, an inspection is mandatory if there is a threat of dismissal of an employee. It is relevant for employee absenteeism, petty and major theft, and disclosure of secrets.
• The worker is held financially liable. The grounds for attracting, as well as the procedure for collecting funds, are set out in articles 232-233, 238-250 of the Labor Code of the Russian Federation. If an employee is held accountable based on the results of an inventory, there is no need to conduct an additional investigation. It is replaced by an inspection by the relevant commission.
• The employee has committed an act that may lead to dismissal. The list of such acts is set out in Article 81 of the Labor Code of the Russian Federation. For example, this is an unreasonable decision by a manager that resulted in material damage to the company.
• The rules for drawing up an employment contract, which are recorded in Article 84 of the Labor Code of the Russian Federation, were violated. For example, this is the incompatibility of an employee’s duties with his existing medical contraindications.
• Circumstances in the presence of which an official investigation is stipulated in regulations. For example, these are accidents while an employee is doing his job.

FOR YOUR INFORMATION! As a rule, an internal inspection is carried out upon the fact that an employee has committed a disciplinary offense.

IMPORTANT! If the investigation is carried out in a commercial company, the grounds for its conduct must be set out in the relevant local acts.

Basic Investigation Tasks

Let's consider the main tasks of conducting an audit in a company:

• Establishing the fact of committing a guilty act on the basis of which a disciplinary sanction was imposed.
• Identification of the time and circumstances of the incident, analysis of the consequences, determination of the amount of existing damage.
• Search for an employee who has committed a disciplinary offense.
• Determining a person's guilt.
• Analysis of the motives for committing an offense, additional circumstances.

FOR YOUR INFORMATION! The head of the company is recommended to approve recommendations for carrying out preventive measures necessary to eliminate the reasons that led to the disciplinary offense.

Cases

If problems are identified at an enterprise that interfere with the normal operating procedures, then inspection measures are required to identify the causes of violations, determine the person at fault and assess the consequences.

The list of situations when such verification activities are carried out can be determined conditionally. In practice this happens in the following cases:

• shortages identified as a result of the inventory;
• receipt of a complaint from an employee or client;
• violation by an employee of the provisions of the employment contract, internal regulations, job description;
• violation of the rules provided for by local regulations, for example, fire safety regulations;
• disclosure of trade secrets;
• causing material damage to the company;
• a bribe, regardless of whether it was received or given.

The list presented is non-exhaustive. The investigation may also result in other violations by employees.

The official investigation is intended to clarify all the circumstances of the emergency or violation.

When determining the grounds for verification, it is necessary to take into account the nature of those. When the violation is not serious and would result in disciplinary action, an investigation will only be necessary if there is no admission of guilt on the part of the employee. If we are talking about damage, then an inspection is mandatory in order to assess the size of it and force the employee to pay compensation. In addition, some consequences of violations may entail liability under the Criminal Code of the Russian Federation.

Using scan results

Only if there is a competent report drawn up by the commission, the employer has the right to apply disciplinary punishment to the culprit. In other conditions, dismissing an employee or reprimanding him may be considered illegal and subject to further appeal.

If the accused person does not agree with the charges against him and is confident that he is right, he must contact the labor inspectorate or court in order to protect his rights. For the employer in such circumstances, the document drawn up and the investigation conducted will become significant evidence of the legality of the actions against the subordinate.

Thus, an internal audit is a set of procedures aimed at clarifying the circumstances of a particular violation and determining a person’s guilt, which are important to implement correctly, quickly and in accordance with the rules. Employers are strongly advised to be thoroughly familiar not only with the procedure for carrying out the event under consideration, but also with the legislative framework governing this issue.

Initiation of an official investigation

The initiator of an internal investigation against a specific employee is the head of the organization or enterprise. If this is a large company, then the process is coordinated by the employee responsible for this. However, without the signature of management, an inspection is not allowed.

Identification of the basis for such a decision is not always carried out by management. Information may come from various sources. More often these are complaints from employees or the consequences of a violation that cannot be hidden. Thus, the employer, having learned about the problem, is obliged to respond and schedule inspection activities.

Service memo

The report represents the basis for creating an investigation, and from the moment it is sent and recorded in the log of incoming documentation.

The note is written by an employee of the enterprise and submitted to the address of the direct superior or director of the enterprise.

The note should reflect what offenses were noticed and all particularly important circumstances of the case. When establishing damage through an inventory, the note should also be accompanied by an act of its completion.

In addition to paper, other documents may also be provided as a prerequisite for starting an inspection, for example, requests from clients and customers with information about a violation, letters of claim from counterparties, or an application from the employee himself.

Organization of the procedure

To begin activities to verify the identified violations, it is necessary to establish their nature. The process of organizing an investigation will differ in the case of a disciplinary offense and material damage to the enterprise.

Article 192 of the Labor Code of the Russian Federation determines how to correctly conduct such an official investigation if a disciplinary offense has been established. The organization of events will involve the following:

• Obtaining explanations from the employee. Information must be recorded in writing. If a person refuses to write an explanatory note, then an act of refusal is drawn up.
• Making a decision on disciplinary action. This takes into account the employee’s explanation, the opinion of the immediate supervisor, as well as other information confirming the fact of the violation.

In this case, it is necessary to take into account the nature of the problem, the reasons for its occurrence and the circumstances under which the employee violated certain labor regulations.

It is imperative to obtain an explanation and reasoning from the employee about what happened.

When material damage is identified as a result of the unlawful actions of the perpetrator, the algorithm of actions will be as follows:

• Formation of the commission. There are at least three people there. In this case, any employee of the organization can consider the issue, with the exception of persons directly or indirectly related to the violation.
• Identification and investigation of circumstances. Determining the employee’s guilt and the reasons why the mistake was made.
• Making a decision. Based on the results of the investigation, an act is issued.

That is, at the stage of organizing an inspection, the management of the enterprise must obtain information about the problem and the circumstances surrounding its occurrence, so that in the future they can conduct an inspection and make a decision.

Note! Regardless of the nature of the violations, documentary evidence of them is required. Otherwise, the commission's decision can be challenged in court.

How to properly check?

The boss has the right to punish his employee only if all stages of the procedure for applying penalties are followed, which are exactly described in Article 193 of the Labor Code of the Russian Federation. If at least one of the points of the protocol is violated, the accused employee has the right to appeal the decision in court and bring the administration to criminal liability.

All people included in the commission must follow the rules of procedure and adhere to the following principles:

• All discovered facts should be objectively assessed; in no case should personal likes and dislikes be allowed to influence the course of the investigation;
• until guilt is proven, which is confirmed by the facts, the employee is considered innocent;
• all actions of the commission must be carried out in strict compliance with instructions and orders.

The manager must strictly follow the law and use special instructions:

• issue an order to initiate an investigation;
• obtain a written statement from the employee who is accused of negligence;
• memo from the manager;
• complaints from the injured party or clients;
• memos from other employees;
• an inventory act that confirms the shortage;
• report from the auditor;
• appointment of commission members;
• a deadline is specified, the service check must be completed no later than the specified date.

It is very important to receive an explanatory note from the offending employee. In it, he must explain why he did this, what prompted him not to show up for work or abuse his position. If he refuses to explain anything, then an act is drawn up.

Further measures depend on whether the offender gives an explanation or not.

Order of conduct

After completing the stage of organizing the inspection, when the violation is identified in the same way as the culprit of the incident, you need to move on to directly considering the issue and making a decision.

The procedure under consideration involves several mandatory steps, which include the following:

• Convening the commission. The manager must issue an order about this. By law, any employee can be a member of the commission. However, it is important to determine the involvement of other persons in the identified violation. Even if the audit is carried out in relation to one employee, there may be persons who in one way or another influenced the circumstances under consideration. When cases involve damage, an accountant is always included in the commission. In addition, the participation of the manager is mandatory.
• Consideration of the audit materials on their merits. Before moving on to the practical part, the manager had to prepare information about violations. Evidence, explanations, characteristics - all this will affect the commission’s verdict.
• Making a decision. This is formed by drawing up an act, which describes the progress of the investigation and the conclusion. The measure of influence on the employee is indicated; if damage is detected, then the method of covering it. The act is certified by the signatures of the commission members and the seal of the head.

The commission should include only disinterested employees - this is the only way the investigation will be objective

Note! Documents must be correctly prepared. Otherwise, even if there is evidence of guilt, the employee will be able to protest the act that does not meet the requirements.

Internal inspection in the organization: powers of the employer.

N.I. Timofeev, A.M. Ilyina Published in the issue: Personnel of the enterprise N2 / 2004

THE CONCEPT OF PERFORMANCE CHECK In every organization, sooner or later situations arise when the employer is forced to make management decisions that negatively affect individual employees. We are talking, in particular, about bringing employees to disciplinary or financial liability, dismissing employees on certain grounds provided for by the Labor Code of the Russian Federation and other federal laws, and other similar situations. Note that such employees may also include heads of organizations. The issuance of such administrative acts (orders or instructions) formalizing these decisions of the employer, as follows from the provisions of labor legislation, should be based on the establishment of relevant factual circumstances, on the one hand, predetermined each time directly by the specific situation itself, and, on the other hand, assessed from using some general approaches.

It is precisely this goal, that is, establishing the totality of factual circumstances preceding the employer’s adoption of a particular decision, that is served by the so-called “institution of internal audit.”

Let us clarify that neither the Labor Code of the Russian Federation nor any other generally valid regulatory act at the federal level has established a uniform procedure for conducting internal inspections in organizations. In addition, the term “official audit” itself is legislatively enshrined only in regulations governing certain types of public service.

However, in a number of fairly large organizations with a significant number of personnel working in them, local regulations are used that regulate the procedure for conducting internal audits. At the same time, often officials, primarily from among the administrative and managerial personnel of the organization, when faced with the need to establish certain circumstances (for example, the circumstances of the employee committing a disciplinary offense), actually conduct official inspections without correlating their actions with the norms of legislation (without proper documentation, using unacceptable intrusion into the privacy of employees, etc.).

Finally, one cannot fail to note the fact that the results of a properly conducted internal audit, formalized accordingly, can become additional evidence of the legality of the employer’s actions in the event of a labor dispute.

In this regard, we will consider in general some issues that, it seems, should not be ignored by the employer when conducting internal audits<1>. <1> Issues related to the investigation of industrial accidents, the regulation of which is carried out in accordance with Articles 227 - 231 of the Labor Code of the Russian Federation and the Federal Law of July 24, 1998 N 125-FZ “On compulsory social insurance against industrial accidents and occupational diseases ", are not considered within the scope of this article.

CIRCUMSTANCES RESULTING IN THE NECESSITY OF CONDUCTING AN OFFICE INSPECTION

In our opinion, such circumstances (cases) include the following: 1. Commitment of a disciplinary offense by an employee (Articles 192, 193, 195 of the Labor Code of the Russian Federation). When deciding on the need to conduct an internal audit, the employer, first of all, must take into account both the nature of the offense committed and the negative consequences (including material) that have arisen or may arise in connection with this. You should also keep in mind what type of disciplinary sanction (dismissal, reprimand or reprimand) can be applied to the guilty employee. For example, it is, of course, necessary to conduct an internal audit in cases where we may be talking about dismissal on one of the grounds provided for in Article 81 of the Code 1) under paragraph 5 - for repeated failure by an employee to fulfill his job duties without good reason, if he has a disciplinary sanction; 2) paragraph 6 - for a single gross violation by an employee of labor duties, which include:

• truancy (subparagraph “a”);
• appearing at work in a state of alcohol, drug or other toxic intoxication (subparagraph “b”);
• disclosure of secrets protected by law (state, commercial, official and other) that became known to the employee in connection with the performance of his job duties (subparagraph “c”);
• committing at the place of work theft (including small) of someone else's property, embezzlement, intentional destruction or damage, established by a court verdict that has entered into legal force or a resolution of the body authorized to apply administrative penalties (subparagraph “d”);
• violation by an employee of labor safety requirements, if this violation entailed serious consequences (work accident, accident, catastrophe) or knowingly created a real threat of such consequences (subparagraph “e”);

3) paragraph 10 - for a single gross violation by the head of the organization (branch, representative office), his deputies of their labor duties. 2. Bringing the employee to financial responsibility (Articles 232, 233, 238 - 250 of the Labor Code of the Russian Federation). It should be noted that if an employee is held financially liable based on the results of an inventory (scheduled or unscheduled), it seems inappropriate to conduct an additional internal inspection, since, as a rule, the inventory commission identifies and evaluates all the necessary facts and circumstances during the inspection process. Along the way, we also point out that the main regulatory act that determines the general procedure for conducting inventory in organizations is the Methodological Instructions for the inventory of property and financial obligations, approved by Order of the Ministry of Finance of Russia dated June 13, 1995 N 49. In particular, as follows from paragraphs 2.2 and 2.3 of the Methodological Instructions , to carry out an inventory in the organization, a permanent inventory commission is created; in case of a large volume of work, working inventory commissions are created to simultaneously carry out an inventory of property and financial obligations; The personnel of permanent and working inventory commissions is approved by the head of the organization.

3. The employee commits an act that entails the possibility of his dismissal from work on certain grounds. The following grounds are provided:

• paragraph 7 of Article 81 of the Labor Code of the Russian Federation - the commission of guilty actions by an employee directly servicing monetary or commodity assets, if these actions give rise to a loss of confidence in him on the part of the employer;
• paragraph 8 of Article 81 of the Labor Code of the Russian Federation - the commission by an employee performing educational functions of an immoral offense incompatible with the continuation of this work;
• paragraph 9 of Article 81 of the Labor Code of the Russian Federation - the adoption of an unfounded decision by the head of the organization (branch, representative office), his deputies and the chief accountant, which entailed a violation of the safety of property, its unlawful use or other damage to the property of the organization;
• paragraph 11 of Article 81 of the Labor Code of the Russian Federation - the employee submits forged documents or knowingly false information to the employer when concluding an employment contract;
• paragraph 14 of Article 81 of the Labor Code of the Russian Federation - other cases established by the Labor Code of the Russian Federation and other federal laws (such cases, in particular, include those provided for in subparagraph 3 of paragraph 2 of Article 25 of the Federal Law of July 31, 1995 N 119-FZ “On Fundamentals of the Civil Service of the Russian Federation" (as amended on May 27, 2003) grounds for termination of civil service as non-compliance with the duties and restrictions established for a civil servant by this Federal Law);
• paragraphs 1 and 2 of Article 336 of the Labor Code of the Russian Federation - repeated gross violation of the charter of an educational institution within 1 year; the use, including one-time use, of educational methods associated with physical and (or) mental violence against the personality of the student or pupil.

4. Cases of violation of the rules for concluding an employment contract, specified in part one of Article 84 of the Labor Code of the Russian Federation. These include:

• conclusion of an employment contract in violation of a court verdict depriving a specific person of the right to occupy certain positions or engage in certain activities;
• concluding an employment contract to perform work that is contraindicated for a given person for health reasons in accordance with a medical report;
• lack of an appropriate education document if the work requires special knowledge in accordance with federal law or other regulatory legal acts;
• other cases provided for by federal laws. For example, the case of a citizen entering the public service without providing, as required by subparagraph 5 of paragraph 4 of Article 21 of the Federal Law “On the Fundamentals of the Civil Service of the Russian Federation,” a certificate from the state tax service on the provision of information on property status.

5. Cases for which verification is directly provided for by current legislation. These include, in particular, industrial accidents, as well as cases listed in Decree of the President of the Russian Federation dated 06/01/1998 N 641 “On measures to organize verification of information provided by persons holding government positions in the Russian Federation in the order of appointment and government positions in the federal civil service" (as amended on May 31, 1999).

It should be noted that in practice, however, internal inspections in most cases are carried out based on facts of disciplinary offenses committed by employees.

As a rule, the grounds for conducting an internal audit, the procedure for conducting it and recording its results are set out in instructions or rules approved by an order or other local regulatory act of the employer.

MAIN TASKS OF THE OFFICIAL INSPECTION The main tasks solved during the internal audit process include the establishment of the following circumstances:

1) of course, the very fact of committing this or that act, which serves as the basis for the employer to make an appropriate decision (disciplinary or immoral offense, other illegal action or inaction). Let us note that such an act, in principle, can be lawful (for example, if the head of an organization makes, although a lawful, but unfounded decision). We may also be talking not about the employee’s act as such, but about another specific legal fact (for example, a civil servant obtaining a second citizenship);

2) the time, place, circumstances of the commission of the relevant act, as well as an assessment of its consequences (for example, the nature and extent of the damage caused);

3) a specific employee (employees) who committed the specified act;

4) the guilt of the employee (workers) in committing this illegal act;

5) the goals and motives for committing the act and their assessment, assessment of circumstances mitigating or aggravating responsibility, including the business qualities of the employee, his specific life circumstances, the reasons and conditions that contributed to the commission of this act. During an internal audit, as a rule, proposals are developed regarding measures of disciplinary or other liability for an employee in the event that he commits a corresponding unlawful act.

In addition to this, it seems appropriate to also prepare recommendations for the implementation of preventive measures aimed at eliminating the causes and conditions that contributed to the commission of such an act.

Finally, we note that during an internal audit, the collection of necessary information can only be carried out by transparent methods in compliance with the rights and freedoms of man and citizen, and the information received related to the committed act must be documented according to the rules of office work adopted in the organization.

ORGANIZATION AND PROCEDURE FOR CONDUCTING AN OFFICIAL INSPECTION The reason for conducting an official inspection, as a rule, is information about an unlawful act that has become known to the heads of the organization's structural divisions, which they are, of course, obliged to report in the prescribed manner to the head of the organization, who, based on an assessment of this information, immediately accepts inspection decision.

In our opinion, the inspection should actually begin no later than 3 days from the receipt of information that was the reason for its conduct, and be completed, as a rule, no later than 20 days from the date of its appointment (at least upon the commission of a disciplinary offense, taking into account terms provided for in Article 193 of the Labor Code of the Russian Federation).

Depending on the conditions of a particular situation, the head of the organization can entrust the inspection to both a specific employee (usually the head of the relevant structural unit) and a commission specially created for this purpose.

An internal inspection is carried out on the basis of an order or other administrative act of the employer, which usually indicates:

• the reason for the inspection;
• the composition of the commission, its chairman and the powers of the commission (if such powers are not enshrined in the relevant local regulatory act of the organization);
• the period for conducting the inspection and the period for submitting the inspection materials and the conclusion (report) on its results to the head of the organization.

Typically, the commission, depending on the specifics of the act committed, includes employees of the personnel department, legal department, security department, financial department, and, if necessary, also employees of other structural divisions of the organization.

Let us note that the commission should not include the employee who committed the act for which the inspection is being carried out, as well as employees who are related to him or her, as well as employees directly subordinate at work to the employee in respect of whom the inspection is being carried out. At the same time, if such an employee is a member of a trade union, it is advisable to include a representative of the elected trade union body in the commission.

The work of the commission is organized by its chairman, who is responsible for compliance with deadlines, completeness and objectivity of the internal audit. An order (another administrative act) to conduct an internal inspection must be communicated against signature to all members of the commission, as well as to the employee in respect of whom the inspection is being carried out.

As a rule, commission members are vested with the following rights:

• call employees and receive from them written explanations or other information on the substance of the inspection;
• get acquainted with the relevant documents of the organization, if necessary, attaching them (or copies thereof) to the inspection materials;
• require employees of the organization to provide documents or information related to the inspection being carried out in order to familiarize themselves with them or attach them to the inspection materials;
• if necessary, with the permission of the head of the organization, obtain advice from third-party specialists on issues requiring special knowledge, as well as request the necessary documents (copies thereof) from government bodies, legal entities and individuals. document the information received.

Members of the commission are obliged to:

• take all necessary measures for a comprehensive, objective study and documentation of information about all the circumstances of the committed act;
• consider and attach to the materials of the internal audit statements related to it and received during its conduct;
• ensure the safety and confidentiality of inspection materials, not disclose its results until the head of the organization approves the conclusion (act) on the results of the inspection;
• draw up a conclusion (report) on the results of the internal audit based on the results of the commission’s work;
• prepare proposals on the extent of disciplinary, material and other liability for the guilty employee;
• submit to the head of the organization, within the established time frame, materials and a conclusion (act) on the results of the internal audit.

Please note that the employee subject to an internal audit has the right to: 1) give written explanations outlining his opinion on the act committed, and state the evidence he has; 2) demand that documents and materials submitted to them be included in the inspection materials; 3) submit an application to the head of the organization to disqualify a member (members) of the commission from conducting an inspection with specific arguments explaining such a recusal; 4) upon completion of the internal inspection, become familiar with its materials and the conclusion (report) on the results of the inspection, which should be confirmed by the employee’s signature on the conclusion (report) on the results of the inspection. In case of refusal to familiarize with the conclusion (act) or to sign, a corresponding act is drawn up.

The commission directly receives written explanations from the employee who committed the unlawful act. At her request, other employees related to the committed act must also provide written explanations.

If the employee refuses written explanations, an act must be drawn up indicating the place, date and time of its preparation; personal data of the commission members (position, last name, first name, patronymic) who drew up the act; containing the reasons for the employee’s refusal to provide written explanations in free form (an example of such an act is given in the “PAPERS” section - page 75).

Upon completion of the internal inspection, the commission draws up a conclusion (act) on the results of the internal inspection, containing, in particular:

• the basis and reason for the inspection, the composition of the commission that conducted it;
• information about the time, place, circumstances of the commission of the unlawful act;
• information about the employee who committed it (position, surname, first name and patronymic, year of birth, education, time of work in the organization, as well as in the position held);
• the motives and purposes of the employee committing an unlawful act, the form of the employee’s guilt (intentional or careless);
• reasons and conditions for committing the act;
• data on the nature and extent of damage caused as a result of an unlawful act, the causal connection between the act and the damage caused;
• proposals on the extent of responsibility of the guilty employee.

The conclusion (act) is signed by the members of the commission and approved by the head of the organization. If you disagree with the conclusions or the content of certain provisions of the conclusion (act), a member of the commission has the right to attach to it his own explanatory note stating his dissenting opinion.

The following is usually attached to the conclusion (report) based on the results of an internal audit:

• a document containing information that served as the basis for ordering an inspection (for example, an internal memo);
• a copy of the order (other administrative act) on conducting the inspection;
• explanations from employees and, if necessary, other persons;
• job description of the employee in respect of whom the audit was carried out;
• other documents related to the facts established during the inspection.

In our opinion, internal audit documents are classified as confidential information. The original conclusion (act) and other inspection materials should be kept in the personnel department of the organization. In addition, it is advisable to attach a copy of the conclusion (act) based on the results of the internal audit to the personal file of the employee in respect of whom it was carried out.

Let us also draw attention to the fact that if, as a result of an internal audit, circumstances are established indicating the presence of signs of a crime or administrative offense, the head of the organization is obliged to notify the relevant law enforcement agency about this.

We hope that this article will, at least to some extent, help employers in preparing a local regulatory act on the issues of conducting internal audits.

Source:

Who is checking

As stated above, an internal investigation is carried out by a special commission. Its composition is determined by the head. However, enterprises often rely on the nature of the violation. This allows you to fully consider the issue and fairly assess the situation. For example, when an employee causes material damage to the company, an accountant is involved in the inspection, and if we are talking about safety precautions, then the person responsible for it is by order of management.

In addition, in practice, a security officer is often involved in the inspection. This allows you to obtain a description of the employee, evaluate his actions from the point of view of protecting the enterprise, and so on. At the same time, such rules are formed by practice; the code does not contain detailed regulation of who exactly should be a member of the commission.

It should also be said that some offenses conditionally imply a commission. We are talking about disciplinary violations. The manager independently makes a decision, confirming it with an act and order. This procedure is not prohibited by law.

Check for no-show at work

In order for an employee’s absence from the workplace to be considered absenteeism, grounds are needed. While they are not there, the person is absent due to unclear circumstances. If failure to appear causes serious consequences that affect the work of the enterprise, the employee may be fired from work or reprimanded. Both require reasons. They can only be found out during an internal audit. Since the period for conducting an internal audit cannot exceed thirty days, it must proceed quickly.

It will begin only after the memo appears. Its author can be either the immediate supervisor or any other employee. When an employee shows up for work, he must explain the reason for his behavior. The following are considered respectful:

1. Illness of an employee or a family member. This must be confirmed by a sick leave certificate or medical certificate.
2. Late due to lack of transport. For example, an accident on tram tracks.
3. Circumstances that do not depend on the will of the employee. An example would be a car accident.

The Labor Code says that if an employee is not at work all day, then this can be called absenteeism. It is on the day of absenteeism that a specific act is drawn up, which will record the violation.

Deadlines

There is no specific time frame for conducting an official investigation under the Labor Code of the Russian Federation. The legislator does not limit the employer in this, however, he establishes a number of rules.

According to Art. 193 of the Labor Code of the Russian Federation provides for the following reservations regarding the timing of internal inspections:

• Disciplinary action can be taken against an employee no later than one month from the moment violations are discovered. It can be concluded that the investigation should not go beyond the specified time frame.
• The employee is obliged to give an explanation for the misconduct no later than two days from the date of filing a claim by the employer. The refusal is documented.

The Labor Code of the Russian Federation does not directly stipulate the period for conducting an official investigation.

Note! The one-month period of application of a disciplinary sanction is not counted towards the period of temporary incapacity for work, as well as the time for providing explanations to the employer.

Making a report

If within thirty days the activities have not produced any significant results, then the period for conducting the internal audit is extended for another thirty days. After which a conclusion is drawn up based on the results of the work. The conclusion is divided into introductory, descriptive and final parts.

The introductory part must contain the initials and surname of the employee, his position. If the inspection was carried out by a commission, then information about each of its members is indicated.

In the same part, the details of the guilty employee are indicated. Education, work experience, number of rewards and penalties, and the presence or absence of disciplinary sanctions are added to the general information.

The second part contains a description of the grounds for the inspection, the time period allotted for conducting the internal inspection, the employee’s explanations, the fact of the violation, the consequences and circumstances of this act, the facts that were discovered during the investigation, and mitigating or aggravating circumstances.

The final part contains information about the types of liability and measures that can be applied to the perpetrator. As well as conclusions that relate to the reasons for the action and the circumstances. The final part should also contain recommendations regarding the transfer of the case to the investigative authorities and the provision of social and psychological assistance to the employee.

Results of the internal investigation

The result of consideration of an employee’s misconduct is an internal decision of the enterprise. This is an important point, since in this case there are no legal consequences for the employee as a citizen. The fate of the employee is decided, but nothing more. Only when transferring materials to government agencies, if serious harm has been caused as a result of an offense, a person may be subject to more serious sanctions.

As a result, the commission conducting the investigation may dismiss the employee, issue a warning or reprimand. This is a general list of penalties under the law. In addition, a decision may be made to extend the internal investigation, although the Labor Code of the Russian Federation does not establish any rules in this regard.

Responsibility

Speaking about the penalties that await the employee if the commission makes an appropriate decision, their nature depends on the type of misconduct. The consequences may be frivolous, in the form of a reprimand or warning, or even leading to criminal liability.

From the perspective of labor legislation, a warning, reprimand and dismissal may be applicable to an employee who has violated the disciplinary procedure. Termination of an employment contract is not permissible from the first offense, with the exception of certain cases, for example, absenteeism.

Another type of responsibility is material. This involves recovery of damages caused by the employee. The procedure is also determined in accordance with the Labor Code of the Russian Federation (Article 248) and provides for the recovery from the employee of an amount not exceeding his average monthly earnings. If the damage is large, then it is possible to withhold money in several stages.

As a rule, only disciplinary measures are applied to the offender

If there is serious harm, the person responsible may be subject to criminal punishment. For example, causing harm to human health due to non-compliance with safety precautions. However, in such situations, the decision is made by the government agency.

Time frames for investigation and penalties

According to the law, in particular Article 192 of the Labor Code of the Russian Federation, 1 month is allotted for the process. The period is counted from the moment the relevant order is issued. But there is an exception here with an increase in the duration of the procedure when the employee is on sick leave or on vacation.

Important! The maximum period together with the extension does not exceed six months. If there is no result within the established time, the employee cannot be held accountable even if his guilt has been fully proven.

The application of punishment is possible within 6 months after the results of the process are formalized. In this case, the disciplinary option of punishment has only one form.

The order itself with the punishment imposed must be provided to the employee for signature within three days from the date of execution.

According to Article 248 of the Labor Code of the Russian Federation, in case of a material type of damage, deduction of funds is possible for no more than 1 average monthly salary. If the culprit disagrees or the damage exceeds wages, it is necessary to go to court. It must be taken into account that failure to comply with labor standards, including the size of the penalty or deadlines, will lead to the judicial revocation of the punishment itself.

Article 192 of the Labor Code of the Russian Federation “Disciplinary sanctions”

Article 248 of the Labor Code of the Russian Federation “Procedure for recovery of damages”

Appealing results

Challenging the decisions of the commission is not regulated by labor legislation within the framework of an internal investigation. Only a local act can establish the possibility of appeal. However, it is possible to challenge decisions made by the employer. This does not include the result of the inspection itself, namely the final act, but the decision in the form of enforcement measures.

For example, based on the results of the investigation, it was decided to fire an employee. He doesn't agree with this. The employee applies to the authorized body with a statement and evidence that the very fact of dismissal was illegal. The basis is an unfounded decision of the commission, lack of evidence, and so on.

Note! Employees who need to appeal an employer's decision can appeal to the Labor Inspectorate or court.

The result of the internal audit can be appealed

Registration of results

An official investigation report is a document with which you can find out all the circumstances of the incident and its results.

This document includes several sections:

1. Introductory. It describes the subject of the act, indicates the number of commissions of the offense, the full composition of the commission, and the total period of time during which the investigative work was carried out.
2. Descriptive. It indicates the evidence on which the members of the meeting based their conclusions.
3. The operative part is the result, which includes the presence of guilt and the sanctions applied to the worker.
4. Next, the appendices are indicated - a list of papers, which includes internal memos, audit reports, expert opinions, etc.

The paper must be signed by each member of the commission, and the head of the organization leaves a stamp on it.

The case will then be assigned a number and a date, which is also the end date of the investigation.

In a situation where the opinion of one of the commission members differs from the majority, he signs the act, and then, on a separate form, he can explain his point of view and attach it to the rest of the case materials.

Drawing up an internal inspection report

The procedure for drawing up a final act based on the results of the investigation requires compliance with a number of rules. It is required to follow the structure of the document, as well as indicate in the content all the circumstances considered by the commission with reference to evidence.

The document includes three mandatory parts. These include the following:

• Introduction. This indicates the date and location of the inspection. The composition of the commission is described by names and positions of the persons involved. The fact of the violation is also disclosed, its circumstances are briefly stated, and the person guilty of the offense is indicated.
• Description. In this part it is necessary to set out the circumstances of the offense in detail. The dates, times, and names of employees who were nearby or were injured are indicated. The nature of the damage, if any, is described, and so on. It also provides a description of the employee, noting his previous successes or mistakes at work.
• Result. After describing all the events, the decision of the commission is recorded with reference to the studied local and legislative acts.

The document ends with the signatures of the commission members indicating their last names, as well as the seal of the enterprise.

Note! The employee who was the subject of the investigation must familiarize himself with the report. This is confirmed by the employee’s signature.

Rights and obligations of commission members

Commission members have the following rights:

• Calling employees to your place and receiving written explanations from them.
• View documents that are relevant to the case.
• Requesting necessary documents.
• Obtaining specialist advice.

The commission members also have responsibilities:

• Taking measures to clarify all the circumstances of the case.
• Consideration of statements that relate to the incident.
• Ensuring confidentiality.
• Drawing up a report on the results of the investigation.
• Documentation of all stages of verification.

All rights and obligations of participants are determined by the need to quickly and efficiently conduct an inspection.

Rights of the allegedly guilty person

The person against whom an official investigation is being carried out is also entitled to a number of rights:

• Statement in writing of your point of view on the offense.
• The requirement to include documents confirming the employee’s position in the case materials.
• Submitting an application to exclude a certain participant from the commission with justification for this request.
• Familiarization with the materials collected on the case.

An employee has the right to defend his position and present arguments in his favor.

IMPORTANT! The guilty person may refuse to submit written explanations. In this case, a report is drawn up indicating the employee’s refusal to provide explanations.