Internal inspection of employees sample. A sample report of an internal investigation at an enterprise. What does the commission find out?

Before holding an employee accountable for a violation labor standards the employer issues an order to carry out official investigation. With this local act, the head of the organization begins to verify the circumstances that may become the basis for bringing the employee to disciplinary action. Or .

Application procedure disciplinary action establishes Art. 193 Labor Code RF. And the procedure for collecting material damage is Art. 247 and 248. Based on the results of the inspection, an official investigation report is issued ().

Example of an order to conduct an internal investigation

Limited Liability Company "Egoist"

Order No. 142 on conducting an internal investigation

05/11/2022 Kaliningrad

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

I order:

1. Conduct an internal investigation into the shortage of valuables in accordance with May 4, 2022 in order to establish the conditions, causes, circumstances responsible for causing damage to persons and other facts.
2. Create a commission to conduct an internal investigation to establish the causes and circumstances of the shortage in warehouse No. 1 of inventory items in the following composition: chairman of the commission: head of the personnel department Viktor Orkhovich Pyrov, members of the commission: head of the security service Pavel Sergeevich Dimitrov, Chief Accountant Ivleva Inna Romanovna.
3. The commission should conduct an internal investigation by 06/01/2022. Responsible: chairman of the commission.
4. I entrust myself with control over the execution of this order.

CEO Arkhipova Arkhipova S.T.

The following have been familiarized with the order:

Chief Accountant Ivleva Ivleva I.R.

Head of HR Department Pyrov Pyrov V.O.

Director of security Dimitrov Dimitrov P.S.

Grounds for issuing an order to conduct an internal investigation

The reasons for issuing the order underlie the reasons for conducting the inspection. Has the fact of violation become labor discipline or causing significant material damage to the employer? Does he intend to take disciplinary action? Does he need to establish the fact and extent of the damage?

Often the document includes such a column as the basis. That is, some document that became the basis for the verification. This could be a memorandum, an inventory act, etc.

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

Contents of the order for internal investigation

The form of the order for an internal investigation is not established by law or other acts of the authorities. Each employer develops its own form. Which he applies if necessary.

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

An order to conduct an internal investigation may include a “grounds” column and agreement with the employees concerned. By the way, if an inspection is ordered against a specific employee, he must be familiar with the order to conduct an internal investigation.

An official investigation

The Labor Code of the Russian Federation does not contain a clear definition of an official investigation, but in practice it is understood as a formalized procedure for establishing the circumstances of a violation.

The main goals of the internal investigation are:

1. Establishing the fact that an offense has been committed by a specific person.
2. Determining the legality of the penalty imposed on the guilty person.
3. Imposition of penalties within a specified period.

There is no specific list in the legislation according to which disciplinary sanctions can be imposed on employees and internal investigations can be carried out. However, employers have the right to independently determine these situations and fix them in local normative legal acts(including it is recommended to approve a sample report of an internal investigation at the enterprise).

Often the list looks like this:

1. Violation of labor discipline.
2. Failure to comply labor responsibilities.
3. Violation of safety regulations.
4. Causing material damage to the employer (in the latter case, an internal investigation is mandatory).

If signs of a crime or an administrative offense are found in an offense committed, the employer’s administration is obliged to report this to the law enforcement agencies.

Procedure for conducting an internal investigation

An official investigation begins with the identification of the misconduct committed. It should be noted that the day the violation was discovered will be considered the day when the relevant official learned about it. According to sub. “b” clause 34 of the resolution of the Plenum of the Supreme Court of the Russian Federation dated March 17, 2004 No. 2, such an official is the immediate superior.

The stages of an internal investigation are as follows:

1. Issuance of an order on the formation of a commission (at least 3 people for cases of material damage to the employer, see Article 247 of the Labor Code of the Russian Federation, in other cases the number of commission members can be established by departmental or local acts). The composition of such a commission includes the employee’s immediate superior, as well as the manager who subsequently makes the final decision.
2. Activities of the commission:

• identification of a specific person;
• establishing the essence of the violation;
• determining the cost and extent of harm;
• identification of the reasons that served as the basis for the commission of the offense;
• bringing the guilty person to justice;
• determination of preventive measures in order to avoid the occurrence of similar situations in the future.

We draw up a conclusion on an internal investigation

The final document drawn up at the end of the internal investigation is the act. The current legislation does not provide for a unified sample of the conclusion of an official investigation, so the document is drawn up in free form.

The act is usually drawn up on an A4 sheet; it can be drawn up both in printed form and by hand.

According to the rules of office work adopted by the company, the act is assigned a serial number, and the date of its completion is also indicated. This date will subsequently be considered the date of completion of the investigation.

The act, as well as all appendices to it, must be signed by all members of the commission. Then the act is certified by the signature of the manager, possibly with the seal of the enterprise.

Act on conducting an internal investigation: sample

A sample official investigation report consists of 3 parts:

• introductory;
• descriptive;
• resolutive.

A sample official investigation report should include the following columns:

1. To mark the approval of the document by the head of the enterprise (placed in the upper right corner of the document).
2. Titles.
3. Compilation dates.
4. Places of registration.
5. The composition of the commission members, indicating:
   • chairman, with the name of the position held and full name;
   • members of the commission, with the names of their positions and full names.
6. An introductory part indicating the identification of a violation.
7. A descriptive part consisting of:
   • for the purposes of conducting an official investigation;
   • the circumstances of the case that led to the violation;
   • evidence of the offense committed in detailed form;
   • results of the investigation.
8. The operative part, consisting of:
   • from conclusions about the guilt (innocence) of the specified person;
   • establishing the type of disciplinary sanction;
   • establishing the facts of the presence (absence) of similar outstanding penalties.
9. List of attached documents.
10. Signatures of the commission members, as well as the signature of the person in respect of whom the investigation was conducted, confirming familiarization with the document.

An official investigation report is drawn up based on the results of the investigation as a result of the discovery that an employee has committed an offense. The specified document does not have unified form and is drawn up at the discretion of the commission in compliance with internal office rules.

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

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

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

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

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

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

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

What offenses can there be?

With minimal offenses, you can do without an official investigation

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

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

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

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

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

How to conduct an official investigation

The decision on an internal investigation is made by the director

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

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

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

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

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

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

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

Time frames for investigation and penalties

The period of internal investigation is 1 month

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

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

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

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

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

Disputes following an internal investigation

The internal investigation must be properly documented

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

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

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

If at least one of the above factors is violated, the application of a disciplinary sanction will be illegitimate, and, subject to challenge by the employee, will be canceled.
Thus, the effectiveness of measures disciplinary liability directly related to detailed compliance by the employer 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 is the topic of the video:

An employee who has committed some disciplinary offense or caused damage to the property of his employer should know that these actions must be followed by a mandatory review of all circumstances. This check also called an internal investigation. And this procedure is stipulated by the relevant legislative framework. Let's consider this issue in more detail.

By the letter of the law

The Labor Code of the Russian Federation does not directly indicate that an internal investigation should be a necessary stage before an employee who has committed an offense or caused damage to the employer:

• any penalty will be imposed;
• an order was issued to compensate them for damages.

But in certain cases, the Labor Code of the Russian Federation stipulates the procedure for actions that the employer must take when conducting an internal investigation.

It should be noted: to persons working for government and/or municipal service, as well as in security forces, another term is used - internal audit.

How to do it

Article 193 of the Labor Code of the Russian Federation sets out the procedure for imposing a disciplinary sanction. It states that:

1. After discovering misconduct or damage, the employer requires a written explanation from the employee. The employee must submit this document to management no later than 2 days. In the event that he refuses written explanations, a corresponding act is drawn up about this fact.
2. The employer decides what disciplinary sanction specified in Art. 192 of the Labor Code of the Russian Federation, it is advisable to apply to the employee. He does this based on:

• on the received written explanations of the employee or an act of refusal of such explanations;
• for a report or memo the direct supervisor of this employee;
• information about the electronic pass system for the enterprise;
• other information.

Members of the commission, conducting an internal investigation at the enterprise, are obliged to demand an explanation from the employee. Definitely in writing. If he refuses to write an explanation or evades giving any comments regarding his commission of a disciplinary offense or the fact of causing any damage to the employer’s property, the commission issues an appropriate act.

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

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

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

An example of an official investigation report

I CONFIRM:

LLC "Kuvshinka"

CEO

Bratchikov Rodion Konstantinovich

Compiled by the commission:

Chairman: Head of HR Department P.R. Malakhov

Members of the commission:

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

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

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

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

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

Chairman of the commission:

ETC. Malakhov

Members of the commission:

Occupational safety specialist S.S. Vykhina

Leading legal adviser D.V. Fedoseeva

I have become familiar with the official investigation report:

Sinitsina A.V.

What to do before drawing up an official investigation report

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

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

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

What is included in the official investigation report

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

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

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