An official investigation manifests itself in identifying deviations in the activities of an organization due to the guilty actions of the responsible person. The procedure is necessary to determine the degree of guilt and the resulting volume of negative consequences. The entire process is strictly regulated and subject to the legal framework. If there are violations during the investigation, the perpetrators may be held accountable, and the employee who suffered as a result of illegal actions will receive compensation.
When is an internal investigation carried out?
Labor legislation does not have a clear definition regarding investigations of an official nature.
However, in a number of cases, for example, damage to the company, such a procedure is considered mandatory. The process itself is a set of measures to identify consequences and clarify the guilt of certain individuals. It is accompanied by the preparation of the necessary documentation.
Important! Placing blame on an employee without strong, indisputable evidence is illegal. Such processes may be appealed through the judicial system.
Service review is a standard procedure in the presence of public service. In all cases, regardless of the form of the organization, that is, it can be private or budgetary, the procedure can be carried out in case of serious violations. Among them are:
- absence from work or being late;
- causing damage to the material type of the organization;
- there was an abuse of official or official position in relation to employees or third parties;
- violation of an employment or collective agreement, as well as other documentation, including job descriptions;
- violation of safety regulations of any type;
- dissemination of proprietary data, such as commercial information;
- bribe or participation in bribery;
- shortages identified during inventory or various inspections;
- receiving complaints against an employee from other employees or outsiders.
The list includes any forms of violations that could damage the organization financially. Additionally, this includes facts that reduce the reputation of the company or structure. In such cases, an inspection is also possible, based on the results of which a decision will be made. Without carrying out a full procedure, the employee should not be punished financially or with similar measures.
Disciplinary offense
An inspection may be ordered in connection with a disciplinary offense. These include:
- absenteeism or tardiness;
- violation of safety instructions or position;
- failure to complete the list of works established by the documents.
Depending on the severity of the offense that is proven during the inspection, sanctions range from warning to dismissal. It is first necessary to conduct a full investigation with documentation of all case materials. The procedure begins after receiving an act or report-type note. After the commission is created, all evidence is collected and a decision is made.
You will first need to receive an explanatory note from the employee.
Important! If there is unproven guilt, any penalty can be appealed. A positive court decision will lead to the employee’s reinstatement and payment of all due funds for the specified period. For this reason, verification is necessary to fully identify all factors of misconduct.
Causing damage
There are several cases of property damage. The most common of them:
- fact of theft;
- non-compliance with safety precautions, which led to consequences with damage;
- distribution of commercial information;
- any damage to property.
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The process begins when damage or theft is detected, for example, after an inventory. The commission is obliged to find the culprit and fully prove his guilt. The responsible person cannot receive recovery or compensation for damage if there is no evidence of his guilt.
The amount of damage is calculated during the inspection. Current market prices are used as a basis. This is recorded in Article 246 of the Labor Code of the Russian Federation.
The damage should not be below the established amounts according to accounting data. For an assessment, it is necessary to provide balance sheet data on the property or engage an independent appraiser. All these stages must have documentary evidence, since on their basis they determine the further amount of funds that will need to be compensated to the culprit.
Article 246 of the Labor Code of the Russian Federation “Determination of the amount of damage caused”
Abuse of authority
Abuse of authority is a common occurrence of violations. An audit is ordered when a fact is identified, for example, after a report or data inconsistency. An example of the latter option could be an independent increase in the price of a product. In various cases, audit assistance is used if violations concern the material or financial part. In other cases, it will be necessary to bring witnesses.
Attention! Bribery is also an abuse. A full investigation should also be carried out into this case. In some situations, the information obtained may be transferred to law enforcement agencies with accompanying documentation.
Concept and objectives of investigation
An official investigation in common parlance is a check that is carried out in an organization to establish an employee’s guilt in any misconduct or violation. Such a check may be necessary if the employee has performed the following actions:
- caused material damage to the employer in the form of loss or damage to property belonging to the organization;
- committed a disciplinary offense;
- became involved in an industrial accident, etc.
A commission is being created to study the circumstances and causes of the incident. The result of her work reflects an act of official investigation. Let's consider an example of drawing up this document in a situation where an employee causes damage.
https://youtu.be/kZ4gbWNiCQU
Where does an internal investigation begin?
Any type of investigation or inspection begins with the identified fact of a violation, which is confirmed in the form of a documented act. This point is mandatory for any form of violation. It turns out that the start of the procedure is impossible without a proven fact of misconduct or damage.
After receiving information in the prescribed form, the manager begins collecting the commission. Its composition may vary depending on the case. For example, in case of material damage, an accountant must be present, and in case of a disciplinary form of misconduct, the head of the personnel department takes part in the commission.
Sample order to conduct a commission for an internal investigation
After the meeting, the commission begins consideration of the case. In a number of situations, it is necessary to identify the culprit. Most often, this is an employee who has committed an offense or a responsible person who is obliged to carry out the activities entrusted to him.
Next, they receive explanations from the employee and, if necessary, involve witnesses or independent persons.
Only after the actual determination of guilt is a document drawn up, on the basis of which penalties are applied.
Who is involved in the internal investigation?
The official version of the verification process carried out in an organization is headed by a manager, as well as an assembled commission.
The composition of the commission includes a chairman and 3 employees who are not associated with guilty acts, that is, they are not considered responsible persons and have not committed the established offense. Otherwise there are no restrictions.
More often, the composition includes employees of the accounting and personnel departments, auditors and the head of the security service. If necessary, other officials may be involved. Additionally, the commission is assigned a secretary who will maintain all documentation and draw up the required acts.
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The following categories of employees cannot be included:
- relatives or friends of the culprit;
- persons with hostility towards the person in charge or interested in a certain result of the inspection;
- employees who are against participating in the investigation.
It turns out that the group that will carry out the procedure can be staffed with any persons other than those interested in or associated with the offense.
Sample act on conducting an internal investigation
Sample act on conducting an official investigation
What is an act of conducting an internal investigation?
This is a document that carries information about the progress of the commission’s investigation, compiled on the basis of facts, explanations of the culprit and the conclusions of the commission.
The act is necessary to be able to determine the cause of the incident and make appropriate orders to punish the guilty person.
How to correctly draw up documents for an internal audit and investigation at an enterprise - watch this video:
https://youtu.be/YJHtbQF2AGs
Why draw up an act
This document should clarify the following points:
- What type of enterprise suffered damage;
- Are there any persons guilty of this and who exactly;
- What is the guilt of these persons - unlawful actions or complete inaction;
- About the existence of a connection between the damage received and the action of the perpetrator.
How to correctly draw up and formalize an accident investigation report - read this article.
Who draws up and signs the document and when?
When an enterprise suffers damage, the manager must draw up an order as the basis for an investigation.
Based on this document, a commission is assembled; its responsibilities include identifying the damage itself, the fact of its occurrence and who caused it, the size and scope of damage or shortages.
All points identified during the investigation must be reflected in the report; it is the commission that draws up this document. All participants must sign the document and have it certified by the manager.
Also, the person responsible for the incident must familiarize himself with the contents of the act and add his signature; he also draws up an explanatory note.
Important: if he refuses to sign and explain, another act of his refusal should be drawn up.
The accused person has the right to go to court to protect his interests in the event of unfounded accusations.
Time frames for investigation and penalties
According to the law, in particular Article 192 of the Labor Code of the Russian Federation, 1 month is allotted for the process. The period is counted from the moment the relevant order is issued. But there is an exception here with an increase in the duration of the procedure when the employee is on sick leave or on vacation.
Important! The maximum period together with the extension does not exceed six months. If there is no result within the established time, the employee cannot be held accountable even if his guilt has been fully proven.
The application of punishment is possible within 6 months after the results of the process are formalized. In this case, the disciplinary option of punishment has only one form.
The order itself with the punishment imposed must be provided to the employee for signature within three days from the date of execution.
According to Article 248 of the Labor Code of the Russian Federation, in case of a material type of damage, deduction of funds is possible for no more than 1 average monthly salary. If the culprit disagrees or the damage exceeds wages, it is necessary to go to court. It must be taken into account that failure to comply with labor standards, including the size of the penalty or deadlines, will lead to the judicial revocation of the punishment itself.
Article 192 of the Labor Code of the Russian Federation “Disciplinary sanctions”
Article 248 of the Labor Code of the Russian Federation “Procedure for recovery of damages”
Results of the internal investigation
The result obtained is recorded in writing using a final act, which is drawn up with mandatory clauses. Sections:
- the introductory part contains the fact of the offense and information about it, including the date and time, the composition of the commission and the duration of the procedure;
- the description describes the entire identified evidence base;
- the conclusion is a summary that contains information about the culprit and his actions. The outstanding penalty, if any, is included there.
Sample report on the results of an internal investigation
The entire list of documentation used in the investigation must be attached to the report.
When the act is finalized, it is signed by all members of the commission, and the organization’s seal is affixed.
According to the rules, a folder is created into which all materials are sewn. Based on the conclusion, the manager already makes a decision against the culprit indicating the conclusion number, but only one type of penalty should be applied.
