Official investigation of the employee. Official proceedings and the nuances of its conduct

Conducting an internal investigation in case of unforeseen situations is necessary for many reasons, the first is to ensure the legitimacy of imposing a disciplinary punishment for the guilty person.

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

The aim of the investigation is twofold:

Establishing the truth to bring just punishment to the guilty;
Collection of documentary evidence in order to protect the enterprise from lawsuits.

You will learn how to properly prepare documents for an internal audit here:

The legislative framework

The norms of the process of conducting an investigation are regulated by Art. 189 of the Labor Code of the Russian Federation. Art. 193 of the Labor Code of the Russian Federation indicates the period necessary for the investigation.

Labor Code of the Russian Federation Article 193. The procedure for applying disciplinary sanctions
Before applying a disciplinary sanction, the employer must request a written explanation from the employee. If, after two working days, the specified explanation is not provided by the employee, then an appropriate act is drawn up.
The employee's failure to provide an explanation is not an obstacle to the application of a disciplinary sanction.
A disciplinary sanction is applied no later than one month from the date of discovery of the misconduct, not counting the time of illness of the employee, his stay on vacation, as well as the time required to take into account the opinion of the representative body of employees.
A disciplinary sanction may not be applied later than six months from the day the misconduct was committed, and based on the results of an audit, audit of financial and economic activities or an audit, later than two years from the day it was committed. The above time limits do not include the time of criminal proceedings.
For each disciplinary offense, only one disciplinary sanction may be applied.
The order (instruction) of the employer on the application of a disciplinary sanction is announced to the employee against signature within three working days from the date of its issuance, not counting the time the employee is absent from work. If the employee refuses to familiarize himself with the specified order (instruction) against signature, then an appropriate act is drawn up.
A disciplinary sanction may be appealed by an employee to the state labor inspectorate and (or) bodies for the consideration of individual labor disputes.

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

Art. 195 of the Labor Code of the Russian Federation indicates options for holding an official liable up to and including dismissal.

Labor Code of the Russian Federation Article 195
The employer is obliged to consider the application of the representative body of employees about the violation by the head of the organization, the head of the structural unit of the organization, their deputies of labor legislation and other acts containing labor law, the terms of the collective agreement, agreement and report the results of its consideration to the representative body of employees.
In the event that the fact of a violation is confirmed, the employer is obliged to apply a disciplinary sanction up to and including dismissal to the head of the organization, the head of the structural unit of the organization, their deputies.

Art. 248 of the Labor Code of the Russian Federation indicates the period of issuance of an order for material recovery from the responsible person.

When and on what grounds is an investigation conducted?

It is carried out in the event of a need to recover material damage from the offending employee.

The purpose of such an event is to establish the cause of the damage, this will make it possible to prevent similar situations in the future by performing preventive measures in a timely manner.

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

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

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

At the same time, it is necessary to observe all the norms of preserving human freedoms:

The perpetrators and witnesses can be summoned for interrogation, but only of their own free will - coercion is unacceptable;
It is also not allowed to search employees and workplaces;
Claim damages without a thorough check;
Compulsory polygraph test.

Notification of the provision of a written explanation for the investigation.

Who should be involved in the investigation

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

Typically, authorized persons include employees:

security services;
legal department;
Audit Department;
personnel department;
Accounting.

Important: the head of the enterprise or the immediate supervisor of the accused is also required to take an active part in the course of the investigation, but they do not have the right to be members of the commission.

In total, the commission is required to consist of 3 persons, the supreme head of the security service.

Rules for conducting an official investigation

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

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

The submission of a memo by the employee counts a month from the moment it is provided to the management;
In total, the investigation must be carried out no later than 6 months, since after this period the disciplinary sanction loses its legal force;
The investigation can be delayed until such long periods due to the illness of the accused, his vacation, his training, as a result of which the investigation is postponed.

Important: before starting an investigation or during its course, it is necessary to request a written explanation from the employee, which he must provide within 2 days from the date of receipt of the notification.

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

The act of official investigation.

What documents are generated

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

Important: it is on the note that the head is obliged to put his resolution, after the case is launched, and the document is registered, it is from the day it is entered in the registration journal that the countdown for the audit begins.

consumer complaint;
Information from citizens;
Auditor's opinion. You will learn how a personnel audit of an organization is carried out.

Also, the commission has the right to use various working documentation as an aggravation of the employee’s guilt or in order to justify him - various invoices, checks, other primary documents.

Results of the investigation

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

Introduction - indicates the very fact of the offense, its grounds and date of commission, the deadline for the inspection, the composition of the commission;
Descriptive part - proofs are given in detail;
Conclusion - the perpetrators are indicated, the presence of their previous outstanding penalties, the commission of an offense.

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

The document is signed by all members of the commission. It is then assigned a registration number. The document must be certified by the head of his signature, as well as the seal of the enterprise.

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

Conclusion

After the end of all activities, the employer is obliged to make a decision regarding the penalty, according to legal requirements, this may be a reprimand, remark or dismissal, as a last resort.

An appropriate order is issued on disciplinary punishment, indicating the guilty person and the measures taken.

If the misconduct brought great losses to the enterprise, the case and all materials are transferred to the authorized bodies for damages.

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

In modern Russia, conflict situations often arise in the relationship between the employer and the employee. Many fail to get out of them without compromising their well-being and financial condition due to a lack of legal knowledge.

Internal litigation is an integral aspect of any citizen who has been working long enough in one place. Some employers seek to benefit for themselves from conflict situations, using all sorts of loopholes and shortcomings in the law.

Today's article will help to avoid illegal actions on the part of the manager and minimize the damage from them.

What is an internal trial?

Any organization that includes a staff of two or three people may be faced with a situation in which it is necessary to carry out an internal investigation.

The parties need to act lawfully during this process. The need for it arises when a misconduct of one of the staff members is detected.

An investigation is a set of methods for collecting, checking and analyzing information data about the action in question. The submitted information and materials about the illegal action are obligatory, since only with their help it will be possible to find out the true details of its implementation.

There is no precise definition of the term internal investigation in the Labor Code. In practice, the phrase implies a method formed by law to bring the guilty person to disciplinary responsibility.

There may be no penalty for refusing to comply with the established procedure if the manager decides to do so.

According to Article 189 of the Labor Code of the Russian Federation, it is called strict adherence to established standards of conduct, which are established by the legislative framework or labor agreements. Local agreements can also regulate the activities of the working staff.

A misdemeanor is a deviation or neglect of the established rules without significant reasons.

The conclusion implies the acquisition by the acting parties of the rights and obligations regulated in Articles 21 and 22 of the Labor Code. The leader and the subordinate are obliged to act in accordance with the previously agreed norms.

Therefore, the first has the right to apply disciplinary punishment to the second if the fact of violation of the documentary agreement is established.

For its implementation, it is necessary to highlight the fact of the commission of the act, presenting a complete evidence base. Official investigation is to find her.

Where does an investigation start?

There is no investigation without reason.

It is advisable to start an internal trial if it is necessary to recover money from an employee to pay off the damage caused. The prevailing purpose of the procedure is to determine the causes of its formation.

Having found out the factors that caused the misconduct, the administrative staff will be able to carry out a wide range of preventive measures to eliminate them. The organization's policy will also be adjusted, which will help to avoid repeated violations of labor agreements.

An internal investigation is a labor-intensive measure, therefore, its conduct is justified in case of significant violations.

Often, the authorities are limited to a preventive conversation with the offender, which is an effective measure. Strict ways of suppression are used if significant material damage to the enterprise is revealed or the fact of using the status of an employee for personal selfish motives is established.

The assembled commission checks all deviations from the disciplinary agreements. They have the following wording:

Evasion from testing knowledge on labor protection and safety;
Avoidance of medical examination;
Evasion from the implementation of specialized training during the working day;
Refusal to conclude an agreement on liability. It is checked if it is included in the list of the person's main job duties.

Members of the current commission are allowed to interrogate the perpetrators and persons who have become direct witnesses of the offense. This procedure is voluntary, and coercion by the head is not legal.

The passage of a polygraph and a search of the workplace is not allowed without obtaining the consent of the employee.

Who is involved in the litigation

In most cases, the main actors in internal proceedings are the security service and the internal audit department.

If the organization provides for a small staff, then the procedure may be limited to the involvement of a personnel agent. It is also allowed to involve other specialties to conduct a legitimate investigation. For example, lawyers and accountants.

The immediate supervisor of the employee who has become the subject of the proceedings is obliged to take part in the investigation. However, obtaining an objective evidence base does not require his direct participation in the review board.

The commission may include members of the professional committee, personnel management and security services.

The minimum number of the inspection body is three employees. The head of security should lead it.

Dates

A disciplinary offense has an expiration date.

According to the current legislation, the investigation of offenses by officials is carried out within thirty days. During this time, a final decision must be made or a document confirming the implementation of an internal audit must be issued.

In some cases, the initiator of the proceedings is the employee providing the memo. Then the investigation must be completed no later than one month from the date of receipt of the documents.

This period is not allowed to include the period the employee is on mandatory leave or on. Time to record data from a representative unit is also excluded.

The maximum amount of preparatory procedures is six months. A disciplinary offense cannot be considered six months after its actual commission and loses its legal force.

The specialist is obliged to provide a written explanatory note. It is drawn up within two days from the date of receipt of the notification message. If the explanation is not received by the commission within the prescribed period, then it has the right to draw up an act of refusal to assist.

After the discovery of an offense, an act is issued confirming the implementation of an internal investigation. It is confirmed by the chief's autograph and is published within 24 hours.

It should be composed of professionals who are not interested in the proceedings and will treat the participants with an open mind.

During the final stage of verification activities, the results are reported to the boss. The following aspects are indicated:

a set of conditions and reasons that led to the commission of an offense;
a list of the perpetrators and the nature of the damage caused;
possible measures to prevent similar cases in the future and penalties for delinquent employees.

Procedure

An explanation is required from the employee.

collection of the inspection commission, the composition of which is indicated in the issued order act. It is forbidden to include a leader who makes the final decision of the investigation;
commission action. The work consists in establishing a specific person who violated the labor agreement, the nature and extent of the damage caused, the list of factors that led to the conflict, punishing the guilty employees and creating preventive procedures that prevent such actions in the future;
the person who directly committed the offense provides an explanatory note. It is also collected from employees suspected of aiding or participating;
collection of documentation necessary for a reliable investigation. will be the only document if the offense is simple;
formulation of the results of the investigation and their inclusion in the act. The document should include a description of the fact of the offense, the time spent and the reasons for the implementation of the act in question.

In the resolutive component, the perpetrators and the accompanying circumstances are indicated.

The commission and the management of the enterprise sign the drawn up document, confirming the accuracy of the information presented in it.

Registration of the results of the investigation

The act contains certain information.

The act drawn up as a result of the procedure should include the following items, supported by the information collected:

Introductory part. Includes the fact of the offense, the date and time of the commission, the duration of the verification work and the list of employees who are part of the commission;
Description. Consists of collected evidence;
Summary. Includes a list of employees whose fault was established, the fact that they committed an offense and a list of penalties that were not removed before the start of the proceedings.

A package of documents used in the investigation acts as an annex to the act. An appropriate serial number is issued to it, including the date of the final decision.

All involved material evidence is entered and filed in the appropriate folder. In order to avoid substitution of the results of the examination, an inventory of papers is carried out.

Having received a full result, the head is obliged to make a decision regarding the offender. elected in accordance with the provisions of the Labor Code.

Depending on the severity of the deed, a remark, a severe reprimand or dismissal from the organization is selected, based on the evidence received.

After the audit is completed, an order is issued, which indicates the final decision of the senior staff on the application of penalties. It also lists the persons whose guilt has been established, the grounds for the investigation and the penalties imposed. One penalty is provided for one disciplinary offense.

Internal litigation is an integral aspect of the activities of large enterprises. It avoids avoiding disciplinary responsibility.

It can also be used to establish a complete list of persons who took direct and indirect part in the offense. The damage that is recovered from the perpetrators is calculated, which makes it possible to exclude its coverage by funds from the budget of the organization.

The procedure requires compliance with a large number of legal regulations and the presence of experts.

From this video you will learn about the discipline of work.

Question form, write your

The legislator does not define the very concept of “official investigation”, however, it is accepted in business practice and is found, although not in direct form, in legislative acts. So, for example, article 247 of the Labor Code of the Russian Federation obliges the employer to conduct an inspection if he has suffered damage in order to establish its size and causes.

When an Investigation is Conducted

With any deviation from the normal order, when it is necessary to understand what happened, identify the causes, perpetrators, and determine the consequences.

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

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

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

So, let's give an example of an official investigation in relation to an employee.

How to start an internal investigation

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

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

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

Order on the creation of a commission

What does the commission find out?

During the audit, the following circumstances are clarified:

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

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

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

The employee has the right to refuse to give explanations. In this case, it is necessary to fix this fact in the act of refusal to give explanations. It is made up of committee members.

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

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

The results of the internal investigation

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

The perpetrators must also be familiarized with the act. If the employee refuses to confirm the fact of familiarization with his signature, this must be evidenced by the signatures of independent persons.

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

Based on the results of the audit, disciplinary measures may be applied. They must be included in the sample conclusion of an internal investigation.

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

Sample act on conducting an internal investigation

What is the time frame for an investigation?

The term for conducting an internal investigation under the Labor Code must be consistent with the term for which the imposition of a disciplinary sanction is limited. According to part 3 of Art. 193 of the Labor Code of the Russian Federation, a disciplinary sanction is applied no later than one month from the date of discovery of the misconduct, not counting the time of illness of the employee, his stay on vacation, as well as the time required to take into account the opinion of the representative body of employees. The day the misconduct is discovered, from which the countdown of the monthly period begins, is the day when the person to whom the employee is subordinate at work became aware of the commission of the misconduct, regardless of whether it is vested with the right to impose disciplinary sanctions (paragraph “b”, paragraph 34 of the Resolution Plenum of the Supreme Court of the Russian Federation No. 2 dated March 17, 2004 “On the application by the courts of the Russian Federation of the Labor Code of the Russian Federation”).

An internal document that fixes the circumstances of a disciplinary offense and the presence of its composition is an act of an internal investigation, or an act of an internal audit.

The presence of such a document in the event of litigation with an employee or an audit will prove compliance with the requirements of Art. 192-193 of the Labor Code of the Russian Federation. And 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 official 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 an on-duty lawyer.

By the way, pay attention to the local acts of the organization. Perhaps the form of the official investigation report at the enterprise is approved. And if not, based on our example, it can be developed.

An example of an official investigation report

APPROVE:

Kuvshinka LLC

CEO

Bratchikov Rodion Konstantinovich

Compiled by the committee:

Chairman: Head of Personnel Department P.R. Malakhov

Commission members:

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

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

April 18, 2017 to the hotel "Kuvshinka" at the address: Gelendzhik, st. Marine, 48, at 12 o'clock. 48 min. a citizen of the Republic of Uzbekistan Mahmud Farkhudov, born on 04/08/1972, arrived for a temporary stay.
According to the time sheet, the register, on April 18, 2017, the administrator Sinitsina A.V. She has been performing her duties since 06:00. 00 min. till 06 o'clock. 00 min. April 19, 2017, incl. on settling guests and providing them with hotel rooms. Sinitsina A.V. provided Uzbek citizen Farkhudov M. with room 309 on the third floor of the hotel, and also took payment and issued a receipt.
In violation of clause 2.4 of the job description of the hotel administrator and Art. 20 of the Federal Law “On Migration Registration of Foreign Citizens and Stateless Persons” dated July 18, 2006 No. 109-FZ notification of the arrival of a foreign citizen at the place of stay of Sinitsina A.V. was not filled in, it was not submitted to the migration unit in the Main Directorate of the Ministry of Internal Affairs of Russia for the Krasnodar Territory in the city of Gelendzhik.
On 05/05/2017, as a result of an inspection 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 in relation to Kuvshinka LLC and a decision was issued on an administrative offense under Part 4 of Art. 18.9 of the Code of Administrative Offenses of the Russian Federation. An administrative fine in the amount of 400,000 rubles was imposed.
According to written explanations Sinitsina A.The. dated May 5, 2017, she did not send a notification to the Main Directorate of the Ministry of Internal Affairs for the Krasnodar Territory in the city of Gelendzhik due to forgetfulness.
Previously, the employee showed diligence in work, performed duties on time. There are no outstanding charges. He was not held accountable for violations of labor discipline. Works at Kuvshinka LLC under an employment contract as an administrator since 08/05/2015.

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

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

Commission Chairman:

ETC. Malakhov

Commission members:

Labor protection specialist S.S. Vykhina

Leading Legal Counsel D.V. Fedoseeva

I am familiar with the act of internal investigation:

Sinitsina A.V.

What to do before drawing up an act of an internal investigation

The act of an internal investigation is drawn up in cases of causing damage to the employer by the actions of the employee or revealing violations of labor discipline. Such a document must also be drawn up after the intention to dismiss the employee for absenteeism.

Conducting an internal investigation or verification is initiated by the resolution of the head - the first person of the organization. The composition of the commission is approved by order, and the period of the audit is limited to 30 calendar days. Members and the chairman of the commission must familiarize themselves with the order. By the way, these should be persons not related to the incident.

The commission collects and examines the documents related to the incident, requests explanations from the employee (mandatory). In case of refusal, an appropriate Act is drawn up (by analogy with). Based on the results of the check, an Internal Investigation Act 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 act of official investigation

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

whether the company was damaged, whether there was an incident or the fact of violation of labor discipline by the employee
the circumstances under which it happened
the consequences of what happened and the causal relationship between the actions of the employee (s) and the damage caused
whose fault, what did she express
circumstances mitigating or aggravating liability (the fact of violation of labor discipline earlier, etc.)
conclusion of the commission: whether the fact of violation by the employee of his duties was established. The type of disciplinary sanction may be established separately by order of the head at his discretion, or may be expressed in an official investigation report.

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

If there was a serious incident at the enterprise or material assets were lost, it will be necessary to conduct an internal investigation.

In its course, a commission gathers, reveals all the circumstances, after which it adopts an act of internal investigation. At the same time, the very concept of “official investigation” is not in the domestic legislation, and therefore it is usually conducted according to the rules of disciplinary proceedings, and the details in each organization are worked out at the level of internal rules.

Actually, the conduct of the investigation itself will be an internal event, that is, the punishment is provided for by a working nature. If we are talking about more serious violations, then the state authorities will take care of the case. An internal investigation involves the exclusively voluntary participation of an employee, which means that it is forbidden to force him, for example, to undergo a polygraph test or a forced search.

When is it held

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

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

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

Disciplinary offense

Usually they are not investigated, but if the misconduct should lead to punishment - for example, dismissal, while the employee himself does not admit that he committed it, then an investigation will be necessary. This kind of misconduct is primarily absenteeism. Avoidance of medical examinations, training, and the like can also be investigated.

Causing damage

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

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

Organization of the investigation

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

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

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

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

the fact of committing an offense;
the degree of guilt of the employee in it;
the circumstances of the commission that affect the determination of the measure of punishment.

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

by order of the employer, a commission is created, which includes at least three employees of the enterprise;
it reveals the details of the violation;
determines what punishment the offender should suffer.

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

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

Order of conduct

Consider the stages preceding the start of the investigation, as well as the stages of its implementation:

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

At this, the stages preceding the investigation end, and the process itself begins:

A commission is formed by order - we note that the immediate supervisor of the person being checked is not included in its composition. As well as the leader who will make the final decision.
The commission conducts an investigation - in its course it is necessary to find out what the violation was, who committed it, what were the reasons and circumstances, the amount of damage caused. To do this, an explanatory note is taken from the guilty person, and if it is not established, then from all possible perpetrators, then documents are collected to clarify the circumstances.
A final act is drawn up, describing in detail the course of the check and its conclusion. The objectives of the commission often include the development of measures to prevent similar damage in the future. Members of the commission certify the act with their signatures, the head puts a seal on it.

Consider some important nuances - the form of a memo, the execution of an act from testifying, the composition of the commission.

memo

It is she who becomes the basis for the investigation, and from the moment it is accepted and recorded in the workflow log, the time of its start will be counted.

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

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

Composition and powers of the commission

Carries out an investigation against the employee by the security service, if the company has one; in its absence, the personnel department. The commission includes employees from different departments - usually the security service and personnel, as well as a representative of the trade union. Most often, the composition is limited to just three members, but sometimes the commission may include more people.

The commission has the right to demand an explanation from each employee who could be involved in the misconduct. This, however, does not mean that employees are obliged to give them. She can also request any documents and involve third-party specialists in the case. For example, such a need arises if it is required to determine whether the employee was drunk during the shift. It is also acceptable to apply for legal, audit, engineering assistance.

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

Explanatory note and act of refusal

After the employee receives a notice of the need to provide a written explanation, he is given two days to complete and submit it. If the time is up and the document has not been drawn up, this is considered a refusal to assist in the verification, about which a written act must be drawn up.

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

Timing

The legislation establishes a clear time limit during which a case can be investigated - a month, and the results must be submitted before its expiration. The countdown begins from the day the order to start the investigation is issued, or from the date the memo is submitted, if the check begins on its basis.

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

Legal Consequences

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

Appeal procedure

The enterprise may provide for various procedures for appealing the results of the investigation, which procedures will be established by local acts. This issue is not regulated by law, as we have already mentioned, it generally does not contain such a thing as an internal investigation, and even more so, the nuances of its appeal are not established.

But what can be appealed is the decision made by the employer - in the labor inspectorate or immediately in court. In this case, he will have to provide the documents collected during the investigation to prove that the violation was actually committed, and thus the person on whom the punishment was imposed, and the severity corresponds to the violation.

Registration of results

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

This document consists of three parts:

introductory;
descriptive;
resolutive.

The introductory statement describes the violation in question, indicates the date of the commission, the composition of the commission, and the period during which the investigation was conducted. The narrative delves into the evidence on the basis of which the commission came to certain conclusions. Finally, the resolution sums up - the commission draws conclusions regarding the guilt of the employee.

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

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

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

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