Some cases occurring during the activities of certain institutions and organizations attract Special attention manuals.

In certain cases, a whole complex of actions is required to establish the facts of what happened, the causes and possible consequences for an organization or its employees - an internal investigation.

Stages of an internal investigation

Inspections in the form of official investigations are prescribed in cases that are quite outside the general framework of normal labor activity. Often, these are serious disciplinary offenses or emergency situations that occurred at work.

An official or internal investigation is carried out to establish the culprit or the degree of guilt of a particular company employee in an incident, the facts that served as the motive or cause, actions, consequences that resulted or could result in a certain action or situation.

The conduct of official work is initiated by the desire of the manager when he becomes aware of circumstances about which it is not possible to draw an objective conclusion in the usual way or from the reports of subordinates.

In cases of industrial accidents or personal injury, service inspections are necessary, since this is not only a legal requirement, but also a real necessity, since the damage caused requires punishment of the perpetrators and proportionate compensation.

An internal investigation is carried out by a special group of authorized employees - a commission appointed by management. The head of the company himself can also take part in the work of such a commission and lead it, or simply receive the result of the group’s work and analyze it.

All actions of the commission to conduct an internal audit begin, and the commission itself is convened after the relevant order is issued. The head of the document establishes the powers of the members of the commission during an internal investigation and fixes its numerical composition. An order to conduct an internal investigation, a sample of which can be downloaded on the website, describes the incident that requires an internal investigation.

The results of an internal investigation may not only entail disciplinary liability to the employer, but may well serve as grounds for initiating a criminal case or filing a civil lawsuit against the culprit. Based on the serious consequences of such an event, it is necessary to carry out an internal audit of sufficient quality, fully analyzing all the cause-and-effect relationships and motives of the persons who were participants in the event that required an investigation.

An internal inspection is a special kind of event that should restore order and discipline in the enterprise.

What is a service audit?

An internal audit is an investigation during which the guilt of the employee is established, as well as the circumstances of the incident. As a rule, it is carried out within civil service. However, investigations can also be performed in commercial companies. In this case, it is necessary to approve the relevant local acts. Typically, verification is carried out in large organizations.

IMPORTANT! Despite the fact that the law does not set out the procedure for internal investigations in commercial structures, it is important to conduct the event correctly. All stages of verification are documented. During the investigation, solid evidence of the employee’s guilt must be found. If the basic rules are not followed, the worker against whom an investigation has been initiated may contact the labor inspectorate.

Legislative justification

The law enshrines only the concept of verification applied to civil servants. All the nuances of the investigation are contained in Federal Law No. 79 of June 26, 2017. Regarding inspections in the bodies of the Ministry of Internal Affairs of the Russian Federation, the order of the Ministry of Internal Affairs of March 26, 2013 No. 161 is relevant. All other features and circumstances of the inspection can be found in certain articles of the Labor Code of the Russian Federation.

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.
• Registration rules were violated employment contract, which are recorded in Article 84 of the Labor Code of the Russian Federation. 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 specified in regulations. For example, this is 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.

The procedure for carrying out an internal audit

As a rule, information about an illegal act is received first. Then the manager approves the decision to initiate an internal audit. It is recommended that this be completed within 3 days after the violation is discovered. The inspection must be completed no later than 20 days from the start date. The investigation is carried out either by a specially appointed employee or by a commission. It is carried out on the basis of an order or other administrative document, in which you must specify a number of information:

• The reason for the investigation.
• Participants included in the commission, as well as its chairman.
• Powers of the commission.
• Time limits for verification.
• Deadlines for sending documents about the results of the investigation to the manager.

As a rule, the members of the commission are employees of the human resources department, representatives of security and finance departments. The chairman is responsible for the work of the commission.

You should not involve the guilty person, his relatives or subordinates to participate in the commission. This may lead to biased investigation results.

ATTENTION! The order to initiate an internal investigation must be signed by all members of the commission, as well as by the person whose guilt is established.

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! Guilty person may refuse to submit explanations in writing. In this case, a report is drawn up indicating the employee’s refusal to provide explanations.

The final part of the internal audit

At the end of the inspection, it is required to draw up a report outlining the results of the investigation. In particular, the document contains the following information:

• Members of the commission and its chairman.
• Information about the illegal act.
• Information about the allegedly guilty person.
• Reasons for what happened.
• Information about the extent of the employee’s responsibility for the incident.

A number of documents are attached to this conclusion. This could be an order to conduct an investigation, a character reference for an employee, explanations regarding what happened, or other papers.

Internal inspection in the bodies and divisions of the Ministry of Internal Affairs is an activity carried out within the framework of disciplinary proceedings by authorized officials. It is aimed at timely, comprehensive, complete and objective collection and research of factual materials disciplinary violation or non-fulfillment functional responsibilities employees. The procedure for conducting internal inspections in the Ministry of Internal Affairs is defined in Ministry Order No. 161 of 2013. Let us briefly consider its contents.

General provisions

161 The Order of the Ministry of Internal Affairs "On conducting internal inspections" applies to units central office, territorial authorities, educational institutions, research, medical and sanitary, sanatorium and resort organizations, district logistics departments, other divisions and organizations created to carry out the tasks and exercise the powers assigned to the Department of Internal Affairs of the Russian Federation. The procedure established in the document is mandatory for compliance by state civil servants, employees of bodies, divisions, and organizations included in the Ministry of Internal Affairs system.

Regulatory regulation

Conducting official checks in the Ministry of Internal Affairs is carried out in accordance with Federal laws:

1. "On the Police" (No. 3-FZ).
2. "On service in the Department of Internal Affairs" (No. 342-FZ).

In addition, this activity is regulated by the Disciplinary Charter of the Department of Internal Affairs, approved on October 14, 2012 by Presidential Decree No. 13775.

General rules

In cases of disclosure by employees of the Department of Internal Affairs of information constituting a state secret, loss of its carriers, and other violations of the established secrecy regime in divisions, organizations and bodies of the Ministry of Internal Affairs, internal investigations are carried out in the manner prescribed by Government Decree No. 3-1 of 2004.

Inspection activities are carried out by decision of the Minister of Internal Affairs, the deputy minister, the head (manager) of the relevant unit (body, organization), his deputy at the regional, district, interregional level.

The decision to initiate an inspection against an employee of the Security Service of the Department of Internal Affairs is made by the Minister, the head of the State Security Service, as well as the head of the corresponding territorial unit of the Ministry of Internal Affairs in agreement with the leadership of the State Security Service.

Restrictions

During the course of the Ministry of Internal Affairs, the employees carrying it out are prohibited from performing actions that are within the competence of the preliminary investigation and inquiry bodies. Authorized employees do not have the right to disclose any information identified or become known that is indirectly or directly related to employees in respect of whom the procedure has been initiated.

If signs of a crime or administrative offense are detected in the actions of the employee being checked, this information must be registered and verified in established by law ok.

Rules for organizing the procedure

The basis for conducting an internal audit at the Ministry of Internal Affairs is the need to establish the circumstances, causes and nature of the disciplinary offense committed by the employee, to confirm the presence/absence of the facts provided for in Article 29 of Federal Law No. 3. The procedure can also be initiated at the request of the employee.

An assignment to an authorized employee of the Ministry of Internal Affairs to conduct an internal inspection in accordance with Order No. 161 is carried out by drawing up a resolution in an empty space of the document describing the grounds for its conduct. It is allowed to draw up a separate act or use a special form indicating the date and registration number document to which it relates.

Deadlines

In accordance with Order 161 of the Ministry of Internal Affairs “On conducting internal inspections,” a decision must be made within two weeks from the date the relevant chief receives the information that serves as the basis for its initiation.

The period allotted for the implementation of verification activities does not include the time of the employee’s incapacity for work, his stay on vacation (business trip), or his absence from service for other valid reasons. The specified circumstances must be confirmed by documents - a certificate from the personnel department of the relevant body, division, or organization of the Ministry of Internal Affairs.

The period for conducting an internal audit cannot exceed 1 month from the date of the relevant decision. If the last day of activities falls on a weekend or holiday, the day of their completion will be considered the previous working day.

Nuances

In accordance with the provisions of the Order of the Ministry of Internal Affairs "On the procedure for conducting official inspections", if the grounds specified in Part 2 of Article 52 of Federal Law No. 342 are identified, the employee authorized to carry out inspection activities must submit to his supervisor a report on his release from participation in the procedure. If this requirement is not met, the results obtained will be considered invalid. In such a situation, the corresponding powers are assigned to another employee of the Ministry of Internal Affairs. In accordance with Order 161, an additional 10 days are allotted to conduct an internal inspection.

Special cases

As established by the Order of the Ministry of Internal Affairs of the Russian Federation "On carrying out official checks", the initiation of a procedure in relation to an employee on a business trip is carried out by decision of the head of the unit, body, or organization that sent him.

If measures are taken against several employees who have committed disciplinary violations, if it is impossible to complete the inspection within the time period established by law due to being on vacation, temporary disability, absence from the workplace for other valid reasons of one or more of them, the materials collected in relation to these persons may be separated into separate proceedings. The corresponding decision is made by the manager who initiated the procedure. The basis for its acceptance is the report of the employee conducting the inspection.

When a disciplinary offense is committed by employees of several divisions/bodies of the Ministry of Internal Affairs, the Deputy Minister, the head of a division, organization, territorial body at the regional, district, inter regional levels, which includes a department that made a decision to initiate an inspection:

1. IN the shortest possible time notifies senior management of the relevant fact for the adoption of a resolution to initiate an internal audit.
2. Informs the head of the department, body, organization in which employees serve about the commission of a disciplinary offense.

The procedure for conducting an internal audit at the Ministry of Internal Affairs

The order appointing verification activities must contain the following information:

1. Grounds for the procedure.
2. Appointment date.
3. Composition of the commission.

The commission must include at least 3 employees. They must have the necessary experience and knowledge. From among the managers structural divisions body of the Ministry of Internal Affairs, the chairman of the commission is appointed.

An order to an authorized employee to conduct an inspection is given taking into account the assigned rank and position of the employee in respect of whom it is initiated.

Participants' powers

They are discussed in Chap. III Order of the Ministry of Internal Affairs of Russia "On conducting official inspections." An authorized employee (chairman, member of the commission) has the right to:

1. Invite employees, civil servants, military personnel, and other employees of the Ministry of Internal Affairs who may have any information about the facts to be established to give written explanations on them.
2. Go to the scene of the offense to establish all the circumstances relevant to the verification.
3. Make a proposal to temporarily remove the employee from duties for the period of inspection activities. It is sent to the head of the authority (unit) that initiated the procedure.
4. Request documents and other materials related to the subject of the inspection, in in the prescribed manner, send requests to organizations, institutions, government agencies.
5. Use operational credentials, information When conducting internal inspections in research and educational institutions of the Department of Internal Affairs, an authorized employee can also use their databases.
6. Familiarize yourself with the contents of documents that are important for performing verification activities. If necessary, employees have the right to make copies of these papers for subsequent inclusion in the inspection materials.
7. Request an audit or inventory.
8. Request the involvement of specialists on issues whose solution requires special scientific, technical or other knowledge, and consult with them as part of the inspection.
9. Use technical means to record the facts of an offense in the manner prescribed by law.
10. Make proposals to the relevant boss (supervisor) to provide psychological and social assistance to the employee in respect of whom the inspection has been initiated.
11. Invite the employees being tested to give explanations using psychophysical research methods.
12. In cases stipulated by paragraph 22 of the Instruction on conducting internal inspections in the Ministry of Internal Affairs, report to the boss on the need to allocate part of the collected materials to a separate proceeding.

This list is not closed. If necessary and based on the specific circumstances of the case, it can be supplemented.

Responsibilities of authorized persons

According to the provisions of the Order of the Ministry of Internal Affairs "On the procedure for conducting official inspections", the chairman, members of the commission, and employees performing inspection activities must:

1. Respect the freedoms and rights of the employee in respect of whom the procedure has been initiated, as well as other citizens participating in it.
2. Ensure the confidentiality of information and the safety of collected materials, and not disclose information about the results of activities.
3. Explain to employees in respect of whom an inspection has been initiated, as well as to applicants, their rights, and provide conditions for their implementation.
4. Timely report to the relevant supervisor about received applications, complaints, petitions, and inform the persons who submitted them about the fact of their resolution. The results of consideration of applications are communicated against signature in person or sent by registered mail at the place of residence of these persons.
5. Document the time and date of the commission of the offense, the circumstances determining the nature and degree of responsibility of the employee.
6. Collect documents and other materials characterizing the professional and personal qualities of the employee in respect of whom the inspection has been initiated.
7. Examine the results of inspection activities carried out previously, as well as information about the facts of disciplinary violations by the employee.
8. Invite the employee against whom the procedure has been initiated to give written explanations on the substance of the issues. If 2 days after the proposal an explanation is not provided or the employee refuses to give it, a report on this fact is drawn up. The document must be signed by at least three employees involved in the inspection.
9. Immediately report to the head or chairman of the commission about facts of interference in the procedure or pressure on persons participating in it.
10. Interview military personnel of the internal divisions of the Ministry of Internal Affairs, civil servants, and other employees of the Ministry of Internal Affairs who may have any information about the facts to be established during the verification process.
11. If necessary, propose preventive measures aimed at eliminating the circumstances that contributed to the commission of the offense.
12. If it is revealed that employees of bodies, organizations, or divisions of the Ministry of Internal Affairs have committed violations during official inspections, in accordance with paragraph 30.12 161 of the Order, report to the relevant manager with a report on the need to initiate an inspection against these persons or to establish the absence/presence of their guilt during the inspections. verification activities.
13. Draw up a conclusion in writing and submit it for approval according to established rules. The employee in respect of whom the inspection was carried out must be familiar with the contents of this document.

Registration of results

Based on the collected materials, an inspection conclusion is formed. Its structure includes introductory, descriptive and operative parts.

In the first block indicate:

1. The rank, position, surname and initials of the employee who performed the inspection, or the composition of the commission (indicating ranks, positions, surnames and initials).
2. Information about the person being checked. Here they indicate the position, rank, full name, date, place of birth, information about education, work experience, number of penalties and rewards, absence/presence of outstanding disciplinary sanctions.

The descriptive part includes information about:

1. Reasons for conducting the inspection.
2. Explanations of the employee who committed the offense.
3. Fact of violation.
4. Circumstances, consequences of committing an offense.
5. The presence/absence of the circumstances specified in Article 29 of Federal Law No. 3.
6. Facts identified during the verification process.
7. Aggravating/mitigating circumstances.
8. Other facts relevant to the case.

The operative part of the conclusion must contain a proposal to impose disciplinary or other measures of responsibility on the employee, conclusions about the conditions and reasons for his commission of an offense, the presence/absence of circumstances enshrined in Article 29 of the Federal Law No. 3, a proposal to send the case materials to the investigative bodies of the Investigative Committee of the Russian Federation, recommendations for providing employee of psychological and social assistance.

Registration No. 28587

In accordance with part 9 of article 52 Federal Law dated November 30, 2011 N 342-FZ “On service in internal affairs bodies” Russian Federation and introducing amendments to certain legislative acts of the Russian Federation" 1 - I order:

1. Approve the attached Procedure for conducting internal audits in bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation 2.

2. Heads (chiefs) of divisions of the central apparatus of the Ministry of Internal Affairs of Russia 3, territorial bodies of the Ministry of Internal Affairs of Russia, educational institutions, research, medical, sanitary and sanatorium-resort organizations of the Russian Ministry of Internal Affairs system, district logistics departments of the Russian Ministry of Internal Affairs system, as well as other organizations and divisions created to carry out the tasks and exercise powers assigned to the internal affairs bodies of the Russian Federation, organize the study of this order and ensure the implementation of its provisions.

3. Consider the order of the Ministry of Internal Affairs of Russia dated December 24, 2008 N 1140 “On approval of the Instructions on the procedure for organizing and conducting official inspections in bodies, divisions and institutions of the system of the Ministry of Internal Affairs of the Russian Federation” 4.

4. I reserve control over the implementation of this order.

Minister Lieutenant General of Police V. Kolokoltsev

1 Collection of Legislation of the Russian Federation, 2011, No. 49, Art. 7020; 2012, N 50, art. 6954.

3 With the exception of the Main Command of the Internal Troops of the Ministry of Internal Affairs of Russia.

Application

The procedure for conducting internal audits in bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation

I. General provisions

1. This Procedure determines the organization of work on conducting internal inspections in the divisions of the central apparatus of the Ministry of Internal Affairs of Russia 1, territorial authorities Ministry of Internal Affairs of Russia, educational institutions, research, medical, sanitary and sanatorium-resort organizations of the Ministry of Internal Affairs of Russia, district logistics departments of the Ministry of Internal Affairs of Russia, other organizations and divisions created to carry out the tasks and exercise powers assigned to internal affairs bodies Russian Federation 2.

2. This Procedure does not apply to federal government civil servants and employees of bodies, organizations and divisions of the Ministry of Internal Affairs of Russia.

3. The official audit is carried out in accordance with the Federal Law of February 7, 2011 N 3-FZ “On the Police” 3, the Federal Law of November 30, 2011 N 342-FZ “On Service in the Internal Affairs Bodies of the Russian Federation and Amendments into separate legislative acts of the Russian Federation" 4, the Disciplinary Charter of the Internal Affairs Bodies of the Russian Federation, approved by Decree of the President of the Russian Federation of October 14, 2012 N 1377 5.

4. In cases of disclosure by an employee of the internal affairs bodies of the Russian Federation 6 of information constituting a state secret, loss of carriers of such information, other violations of the secrecy regime in the bodies, organizations and divisions of the Ministry of Internal Affairs of Russia, internal investigations are carried out in the manner prescribed by the Decree of the Government of the Russian Federation of January 5, 2004 No. 3-1 "On approval of the Instructions for ensuring secrecy in the Russian Federation."

5. An official inspection is carried out by decision of the Minister of Internal Affairs of the Russian Federation 7, Deputy Minister, head (chief) of an agency, organization or unit of the Ministry of Internal Affairs of Russia, deputy head (chief) of a territorial body of the Ministry of Internal Affairs of Russia at the district, interregional or regional levels, head (chief) structural unit of the territorial body of the Ministry of Internal Affairs of Russia at the district, regional levels, which includes a personnel unit, in relation to an employee of the internal affairs bodies 8 subordinate to him in service.

6. The decision to conduct an internal security check against an employee of the internal security unit of the internal affairs bodies is made by the Minister, the head of the Main Directorate of Internal Security of the Ministry of Internal Affairs of the Russian Federation 9, as well as the head (chief) of the corresponding territorial body of the Ministry of Internal Affairs of Russia in agreement with the Main Directorate of Internal Security of the Ministry of Internal Affairs of Russia.

7. An internal audit of an employee of the internal security unit of the internal affairs bodies is carried out by the Main Directorate for Security of the Ministry of Internal Affairs of Russia or on behalf of his head by the internal security unit of the corresponding territorial body of the Ministry of Internal Affairs of Russia.

8. If the basis for conducting an internal audit in relation to an employee of a body, organization or unit of the Ministry of Internal Affairs of Russia was information received by the Main Directorate for Internal Security of the Ministry of Internal Affairs of Russia, the internal audit is carried out on the basis of a decision of the Minister or Deputy Minister organizing the management of the relevant area of ​​activity, after consideration by him in the prescribed manner order of the information provided.

9. As part of an internal inspection, the employees conducting it do not have the right to perform actions within the competence of the bodies of inquiry and preliminary investigation.

10. Employees participating in the internal audit are prohibited from disclosing any information identified or made known during the internal audit that relates directly or indirectly to the employees in respect of whom the internal audit was conducted.

11. If signs of a crime or the event of an administrative offense are detected in the actions of an employee in respect of whom an internal audit is being carried out, this information is subject to registration and verification in the prescribed manner 10 .

12. If, based on the results of an internal audit, it is necessary to impose a disciplinary sanction on an employee in respect of whom an internal audit was carried out, which the manager (chief) specified in paragraph 5 of this Procedure 11 does not have the right to impose, he petitions for the imposition of this disciplinary sanction before a superior manager (chief) in accordance with Part 4 of Article 51 of the Federal Law of November 30, 2011 N 342-FZ “On service in the internal affairs bodies of the Russian Federation and amendments to certain legislative acts of the Russian Federation.”

I I. Organization of an internal audit

13. The basis for conducting an internal audit is the need to identify the reasons, nature and circumstances of the disciplinary offense committed by the employee, confirm the presence or absence of the circumstances provided for in Article 29 of the Federal Law of February 7, 2011 No. 3-FZ “On the Police,” as well as the employee’s statement .

14. An instruction to an employee to conduct an internal audit is drawn up in the form of a resolution in a text-free area of ​​the document containing information about the existence of grounds for conducting it. It is allowed to draw up a resolution on a separate sheet or on a special form indicating the registration number and date of the document to which it relates.

15. The decision to conduct an internal audit must be made no later than two weeks from the moment the relevant manager (supervisor) receives the information that serves as the basis for its conduct.

16. In accordance with Part 4 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ “On service in the internal affairs bodies of the Russian Federation and amendments to certain legislative acts of the Russian Federation,” the service audit must be completed no later than one month from the date of the decision to conduct it.

17. The period for conducting an internal audit does not include periods of temporary incapacity for work of the employee in respect of whom an internal audit is being carried out, his being on vacation or on a business trip, as well as the time the employee is absent from service for other valid reasons, confirmed by a relevant certificate from the personnel department of the body, organization or divisions of the Russian Ministry of Internal Affairs.

18. If the last day of an internal inspection falls on a weekend or a non-working holiday, then the day before the internal inspection ends is considered the working day preceding it.

19. An employee cannot be entrusted with conducting an internal audit if there are grounds specified in Part 2 of Article 52 of Federal Law No. 342-FZ of November 30, 2011 “On service in the internal affairs bodies of the Russian Federation and amendments to certain legislative acts of the Russian Federation ".

20. In the presence of the grounds specified in Part 2 of Article 52 of the Federal Law of November 30, 2011 N 342-FZ "On service in the internal affairs bodies of the Russian Federation and amendments to certain legislative acts of the Russian Federation", the employee who is entrusted with carrying out official work inspection, is obliged to submit a written report to the relevant manager (supervisor) on his release from participation in the internal inspection. If this requirement is not met, the results of the internal inspection are considered invalid, the internal inspection is entrusted to another employee, and the period for conducting it is extended by ten days.

21. An official inspection of an employee who has committed a disciplinary offense while on a business trip is carried out in the prescribed manner by decision of the head (chief) of the body, organization or unit of the Ministry of Internal Affairs of Russia that sent the employee on a business trip.

22. When conducting an internal audit in relation to several employees who have committed disciplinary offenses, if it is impossible to complete it in fixed time due to temporary disability, being on vacation, a business trip, as well as absence from service for other valid reasons of one or more of them, the materials of the internal audit in relation to absent employees may be allocated for a separate internal audit. The decision to allocate materials from an internal audit is made by the relevant manager (chief) who appointed it, based on a reasoned report from the employee conducting the audit. The period for conducting an internal audit of allocated materials is calculated from the moment the main internal audit is assigned.

23. If it is established that a disciplinary offense has been committed with the participation of employees of several bodies, organizations or divisions of the Ministry of Internal Affairs of Russia, the Deputy Minister, the head (chief) of a body, organization or division of the Ministry of Internal Affairs of Russia, the deputy head (chief) of a territorial body of the Ministry of Internal Affairs of Russia at a district, interregional or regional levels, the head (chief) of a structural unit of a territorial body of the Ministry of Internal Affairs of Russia at the district, regional levels, which includes a personnel unit that made the decision to conduct an internal audit:

23.1. Immediately informs a senior manager (boss) to make a decision on conducting an internal audit in relation to these employees.

23.2. Notifies the head (chief) of the body, organization or unit of the Ministry of Internal Affairs of Russia, in which the employees who have committed a disciplinary offense serve, of its commission.

24. When conducting an internal inspection by a commission, an internal inspection is assigned by issuing an order to an agency, organization or division of the Ministry of Internal Affairs of Russia.

25. An order to order an internal inspection must contain: the grounds for its conduct; appointment date; composition of the commission for conducting the internal audit.

26. The commission is formed of three or more employees. The commission for conducting an internal audit includes employees who have necessary knowledge and experience. The chairman of the commission is appointed by the corresponding head (chief) from among the heads (chiefs) of the structural divisions of the body, organization or division of the Ministry of Internal Affairs of Russia.

27. An instruction to an employee to conduct an internal audit (appointment of the chairman of the commission for conducting an internal audit) is given (carried out) taking into account the position being filled and the assigned special rank of the employee in respect of whom the internal audit is being carried out.

III. Powers of participants in the internal audit

28. An employee (chairman and members of the commission) conducting an internal audit has the right:

28.1. Invite employees, military personnel of the internal troops of the Ministry of Internal Affairs of Russia, state civil servants and employees of the system of the Ministry of Internal Affairs of Russia, who may know any information about the circumstances to be established during an internal audit, to give written explanations about them.

28.2. Travel to the scene of the disciplinary offense to identify the circumstances of its commission.

28.3. Make proposals to the relevant manager (supervisor) to temporarily suspend the employee in the prescribed manner from performing official duties during the internal inspection.

28.4. Request, in the prescribed manner, documents related to the subject of the inspection from bodies, organizations or divisions of the Ministry of Internal Affairs of Russia, and send requests to other bodies, institutions and organizations.

28.5. Use operational records in the prescribed manner and information systems Ministry of Internal Affairs of Russia, educational institutions and research organizations of the Ministry of Internal Affairs of Russia.

28.6. Familiarize yourself with documents relevant to the internal audit and, if necessary, make copies of them for inclusion in the internal audit materials.

28.7. Apply to the relevant manager (supervisor) for an inventory or audit.

28.8. To petition the relevant manager (boss) to involve (by agreement) officials and specialists on issues requiring scientific, technical and other special knowledge into participation in the internal audit, and to receive advice from them.

28.9. Use technical means to document the facts of a disciplinary offense in the manner established by the legislation of the Russian Federation.

28.10. Make proposals to the relevant manager (supervisor) on the need to provide social and psychological assistance to the employee subject to an internal audit.

28.11. Offer employees subject to an internal audit to provide an explanation using psychophysiological studies (examinations).

28.12. In the cases provided for in paragraph 22 of this Procedure, report to the relevant manager (supervisor) on the need to allocate internal audit materials.

29. The list of measures given in paragraph 28 of this Procedure is not exhaustive and can be supplemented by the relevant manager (supervisor) during an internal audit, depending on the specific situation.

30. The employee (chairman and members of the commission) conducting an internal audit is obliged to:

30.1. Respect the rights and freedoms of the employee subject to an internal audit and other persons taking part in the internal audit.

30.2. Ensure the safety and confidentiality of the materials of the internal inspection, and not disclose information about the results of its conduct.

30.3. Explain to applicants and employees subject to internal audits their rights and provide conditions for the exercise of these rights.

30.4. Timely report to the relevant manager (supervisor) the received applications, petitions or complaints and inform the employees who submitted them about the resolution of these applications, petitions, complaints.

30.5. Report the results of consideration of applications, petitions, complaints to the employee who filed them, personally against signature or by sending a response to the place of residence by registered mail.

30.6. Document the date and time of the disciplinary offense, circumstances affecting the degree and nature of responsibility of the employee in respect of whom the internal audit is being carried out, both aggravating and mitigating his guilt.

30.7. Collect documents and materials characterizing personal and business qualities employee who committed a disciplinary offense.

30.8. Study the materials of previously conducted internal inspections against the employee, information about the facts of his committing disciplinary offenses.

30.9. Invite the employee who is subject to an internal audit to give an explanation in writing (the recommended example of an explanation is the appendix to this Procedure) on the substance of the issue addressed to the relevant manager (supervisor). If, after two working days, the specified explanation is not provided by the employee in respect of whom the internal audit is being carried out, or if he refuses to give written explanations, draw up a corresponding act in the prescribed manner, signed by at least three employees.

30.10. Immediately report to the relevant manager (supervisor) or chairman of the commission about all facts of interference in the conduct of an internal audit or pressure on employees participating in its conduct.

30.11. Interview employees, military personnel of the internal troops of the Ministry of Internal Affairs of Russia, state civil servants and employees of the Ministry of Internal Affairs of Russia who may know any information about the circumstances to be established during the internal audit.

30.12. If, during an internal audit, signs of disciplinary offenses are revealed in the actions of other employees of an agency, organization or unit of the Ministry of Internal Affairs of Russia, immediately report with a report to the relevant manager (supervisor) about the need to conduct an internal audit in relation to such employees or to establish the presence (absence) of their guilt in within the framework of the ongoing internal audit.

30.13. Propose, if necessary, preventive measures to eliminate the reasons that contributed to the employee committing a disciplinary offense.

30.14. Prepare a conclusion based on the results of the internal audit in writing and submit it to the relevant manager (supervisor) for approval in the prescribed manner.

30.15. Familiarize the employee who has been subject to an internal audit, if he applies in writing, with the conclusion based on its results.

31. The relevant manager (chief) has the right:

31.1. Make a decision on the need for a commission to conduct an internal audit and approve the composition of the commission for conducting an internal audit.

31.2. In the cases provided for in paragraph 20 of this Procedure, release the employee who submitted the corresponding report from participation in the internal audit.

31.3. Make a decision on the release of internal audit materials in relation to one or more employees in the cases provided for in paragraph 22 of this Procedure.

31.4. Make a decision on carrying out additional measures, in addition to those listed in paragraph 28 of this Procedure, depending on the specific situation that arose during the internal audit.

32. The relevant manager (chief) is obliged to:

32.1. If necessary, take measures to provide the employee subject to an internal audit with social and psychological assistance.

32.2. Make a decision based on the results of the inspection within the time limits established by law for conducting an internal audit and ensure its implementation.

32.3. Make a decision to conduct an internal audit for the period of vacation, business trip, as well as temporary disability of the employee (chairman, members of the commission) conducting the internal audit.

32.4. If a report is received from an employee (chairman, members of the commission) conducting an internal inspection, provided for in subclause 30.12 of this Procedure, make a decision to order an internal inspection based on the revealed facts of disciplinary offenses committed by employees of an agency, organization or unit of the Ministry of Internal Affairs of Russia.

32.5. Consider, within up to five days within the overall period for conducting an internal audit, petitions and complaints filed by the employee in respect of whom the internal audit is being carried out.

32.6. Monitor the completeness and timeliness of the internal audit.

33. An employee subject to an internal audit enjoys the rights and bears the responsibilities provided for in Part 6 of Article 52 of Federal Law No. 342-FZ of November 30, 2011 “On Service in the Internal Affairs Bodies of the Russian Federation and Amendments to Certain Legislative Acts” Russian Federation".

IV. Registration of the results of an internal audit

34. The conclusion based on the results of the internal audit is drawn up on the basis of the data available in the materials of the internal audit and must consist of three parts: introductory, descriptive and operative.

35. The introductory part shall indicate:

35.1. Position, rank, initials, surname of the employee who conducted the internal audit, or the composition of the commission that conducted the internal audit (indicating the special rank, position, surname and initials of the chairman and members of the commission).

35.2. Position, rank, surname, first name, patronymic, year of birth of the employee in respect of whom an internal audit was carried out, as well as information about education, the time of his service in the internal affairs bodies and in the position he replaced, the number of incentives, penalties, the presence (absence) of his outstanding disciplinary sanctions.

36. The descriptive part must contain:

36.1. Grounds for conducting an internal audit.

36.2. Explanation of the employee in respect of whom the internal audit was carried out.

36.3. The fact that the employee committed a disciplinary offense.

36.4. Circumstances and consequences of a disciplinary offense committed by an employee.

36.5. The presence or absence of circumstances provided for in Article 29 of the Federal Law of February 7, 2011 N 3-FZ “On the Police”.

36.6. Facts and circumstances established during the consideration of the employee's application.

36.7. Materials confirming (excluding) the employee’s guilt.

36.8. Circumstances mitigating or aggravating the employee’s liability.

36.9. Other facts and circumstances established during the internal audit.

37. Taking into account the information presented in the descriptive part, the operative part indicates:

37.1. Conclusion on the completion of the internal audit and on the guilt (innocence) of the employee in respect of whom the internal audit was carried out.

37.2. Proposals to apply (or not apply) disciplinary measures and other measures of influence to an employee subject to an internal audit.

37.3. Conclusions about the reasons and conditions that contributed to the employee committing a disciplinary offense.

37.4. Conclusions about the presence or absence of the circumstances provided for in Article 29 of the Federal Law of February 7, 2011 N 3-FZ “On the Police”.

37.5. Conclusions about the presence or absence of the facts and circumstances specified in the employee’s application.

37.6. Proposals to transfer materials to the investigative bodies of the Investigative Committee of the Russian Federation, the Prosecutor's Office of the Russian Federation for making a decision in the manner prescribed by law.

37.8. Proposals on measures to eliminate identified deficiencies or proposals to terminate an official inspection due to the absence of a violation of official discipline or circumstances provided for in Article 29 of the Federal Law of February 7, 2011 No. 3-FZ “On the Police”.

37.9. Recommendations on the possible refutation of false information discrediting the honor and dignity of an employee, which served as the basis for ordering an internal audit, and (or) applying to the court or the prosecutor's office of the Russian Federation for protection of honor and dignity.

38. The draft conclusion based on the results of the internal inspection with the attached materials is agreed upon with the personnel and legal departments of the body, organization or division of the Ministry of Internal Affairs of Russia, whose employees carried out the internal inspection.

39. The conclusion based on the results of the internal audit is presented to the relevant manager (supervisor) no later than three days from the date of completion of the internal audit and is approved by him no later than five days from the date of its submission.

40. If an employee, in respect of whom an internal audit was carried out, refuses to sign in familiarization with the conclusion, an act in any form is drawn up, signed by at least three employees.

41. After the relevant manager (supervisor) approves the conclusion based on the results of the internal inspection, in relation to the employee who committed a disciplinary offense, the employee (commission) who conducted it prepares a draft order to impose a disciplinary sanction, which is agreed upon with the personnel and legal department.

42. The draft order to impose a disciplinary sanction, prepared and agreed upon with the legal department, together with the conclusion based on the results of the internal audit, is presented to the relevant manager (supervisor) for signature.

43. An order to impose a disciplinary sanction in the prescribed manner is announced to the employee in respect of whom an internal audit was carried out.

44. A copy of the conclusion of the internal audit is sent by the employee (chairman of the commission) who conducted it to the personnel department for inclusion in the employee’s personal file.

45. At the end of the internal audit, the employee (chairman of the commission) who conducted the internal audit creates a file with the materials of the internal audit, which includes:

45.1. The document (or a copy thereof) that served as the basis for the internal audit.

45.2. A copy of the order appointing an internal inspection (if it is carried out by commission).

45.3. Explanations from employees, other documents and materials (or their certified copies) received during the internal audit.

45.4. Conclusion based on the results of the internal audit.

45.5. Materials related to the implementation of the conclusions contained in the conclusion based on the results of the internal audit.

45.6. A copy of the response to the person whose appeal served as the basis for the internal audit.

46. ​​The case is stored in the archives of the office management and regime unit of the body, organization or unit of the Ministry of Internal Affairs of Russia for a period specified by the nomenclature in accordance with the requirements for storing this type of document and is issued in the prescribed manner.

47. An employee who was subject to an internal audit has the right to appeal the conclusion based on the results of the internal audit to a senior manager (boss) or to court.

3 Collection of Legislation of the Russian Federation, 2011, No. 7, Art. 900; N 27, art. 3880, 3881; N 30, art. 4595; N 48, art. 6730; N 49, art. 7018, 7020, 7067; N 50, art. 7352; 2012, N 26, art. 3441; N 50, art. 6967.

4 Collection of Legislation of the Russian Federation, 2011, No. 49, Art. 7020; 2012, N 50, art. 6954.

5 Collection of Legislation of the Russian Federation, 2012, No. 43, Art. 5808.

10 Order of the Ministry of Internal Affairs of Russia dated March 1, 2012 N 140 “On approval of the Administrative Regulations of the Ministry of Internal Affairs of the Russian Federation for the provision public services for the reception, registration and resolution in the territorial bodies of the Ministry of Internal Affairs of the Russian Federation of statements, messages and other information about crimes, administrative offenses, incidents" (registered with the Ministry of Justice of Russia on June 20, 2012, registration N 24633).

Proceedings are carried out when a serious disciplinary violation committed by an employee is identified. For example, in the following cases:

• if the worker is absent from the workplace for more than 4 hours without good reason(i.e.);
• when the facts of the organization are revealed;
• if an employee, etc.

During SR, the degree of guilt of a person in what happened is established and the circumstances that prompted him to behave in a less than favorable manner are identified.

The rights of the employee in respect of whom the proceedings are being carried out are enshrined in the organization’s instructions on conducting internal investigations. But there are general provisions arising from human and civil rights. The investigation must be objective and independent, respecting the interests of the employee being investigated. This means that the employee has the right to give evidence, change it, provide evidence of his innocence, and get acquainted with all the documents regarding him that will be collected during the inspection.

Dates of the SR

Time frame for conducting an internal investigation labor code not installed. Typically, the period for conducting the proceedings is fixed in the local acts of the organization and does not exceed the time limits under the Labor Code of the Russian Federation.

According to generally accepted practice, the inspection period should not exceed one month. The exception is when the employee is on sick leave, on vacation, or on a business trip. In case of violation of the terms of the SR, the guilty employee is automatically released from disciplinary liability.

Check procedure

The algorithm of actions is as follows:

1. The manager issues an order

To initiate an SR, the employer issues an order.

With this order, the employer assembles a commission with the participation of at least three people. Most often, it includes enterprise security officers, personnel officers, accountants and lawyers, and trade union members.

2. The commission collects information

The created commission begins to collect information to confirm the fact that an employee of the organization has committed an offense. The main sources of information to detect violations are the following documents:

• memo;
• statement from the employee himself;
• customer complaint;
• inventory act, etc.

3. The commission requests an explanatory statement from the employee

The commission, by means of a notification, is obliged to request a written explanatory statement from the person in respect of whom an internal audit is being carried out. It must be provided within two days of receiving the notification.

If the employee does not want to explain the action or refuses to receive the notice, members of the commission draw up an act of refusal to give an explanation.

4. An act is drawn up

At the end of the event, an internal investigation report is drawn up at the enterprise. It is drawn up in any form.

A sample report of an internal investigation at an enterprise contains the following information:

1. The name of the document, place and date of its preparation.
2. Composition of the commission (name and position);
3. Information about the person in respect of whom the SR was carried out (full name, position).
4. The main part indicating the purpose of the SR and the circumstances that led to the violation.
5. In the final part, a decision is made on the guilt/innocence of the employee. If guilt is proven, the type of disciplinary sanction is determined.
6. Application, signatures of all commission members.

The sample conclusion of an internal investigation includes a line about familiarization. In it, the citizen in respect of whom the SR was carried out puts his signature.

Based on the act, an order is issued to disciplinary action if the worker’s guilt is proven. If, based on the results of the inspection, it is recognized that the citizen has nothing to do with the violation committed, he, of course, will not be subject to disciplinary liability.