home » For the New Year » Grounds for conducting an internal audit in an organization. How to properly conduct an official investigation: stages, deadlines and forms of documents

Grounds for conducting an internal audit in an organization. How to properly conduct an official investigation: stages, deadlines and forms of documents

Service check- 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 the framework of public 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 it is necessary to indicate 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 obtaining explanations from them writing.
View documents that are relevant to the case.
Requesting necessary documents.
Obtaining specialist advice.

The commission members also have responsibilities:

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

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

Rights of the allegedly guilty person

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

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

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

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

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.

As practice shows, production activity at any enterprise may be accompanied by various disciplinary violations on the part of employees. If such an offense is of a serious nature, entailing serious consequences, the company must organize a special internal audit (investigation) in order to identify the guilty parties and apply fair punishment.

The concept of internal audit, its legal regulation

Service verification means special kind an investigation carried out within the framework of the production process of a particular enterprise, during which the guilty person and the degree of his guilt are determined, as well as the details of the offense are revealed.

Often such an investigation is typical for government agencies. However, managers of commercial entities also have the right to organize internal inspections within their enterprises, if there are appropriate grounds for this. Practice demonstrates that this is typical for large companies. At the same time, the local regulations of the organization must reflect the rules, taking into account which the investigation will be carried out.

The legislation does not stipulate the procedure for conducting internal inspections for commercial entities. However, if an administrative decision is made to carry it out, all stages must be implemented in strict accordance with the established rules. This necessitates the preparation of a number of documents. If the established rules are not followed by representatives of the commission or the manager, the subject in respect of whom the inspection is being carried out may be sent to the labor inspectorate.

In turn, Federal Law No. 79 dated June 26, 2017, which contains all the features and nuances of implementing such an event, is relevant for government agencies.

For the structures of the Ministry of Internal Affairs of the Russian Federation, Order of the Ministry of Internal Affairs No. 161 of March 26, 2013 is valid.

In addition, a complete picture regarding the conduct of an internal audit is drawn up on the basis of various articles of the labor legislation of the Russian Federation. So, for example, in Art. 193 of the Labor Code of the Russian Federation clearly defines the procedure for applying disciplinary sanctions. It is in the event of a serious disciplinary offense that an internal investigation may be initiated in the future.

If the procedure for applying such a penalty is violated, the person accused of violating discipline may appeal the charge in court. Often the court takes the employee’s side and holds the manager accountable.

There are a number general principles, on which the service check should be based:

all facts revealed during the investigation must be assessed objectively and impartially. Personal emotional attitude towards a particular phenomenon should not influence the decision of the manager, commission representative or the accused;
Until the subject is proven guilty, he is innocent. Guilt is established only upon identification of obvious and irrefutable evidence;
The procedure for the actions of commission members must strictly comply with the regulations defined in local regulations. Otherwise, such actions may be regarded as illegal.

Many people ask the question: internal audit and internal investigation - what is the difference? It is important to note that these terms are identical and their use is equivalent.

Grounds for conducting an internal audit

An official investigation must be based on solid grounds. In particular, the reasons for organizing an internal audit include:

, described in Art. 192-193, as well as in Art. 195 Labor Code of the Russian Federation. Thus, the need to carry out an investigation correlates with the severity of the unlawful offense committed. For example, if an employee is threatened with dismissal under an article or someone from the team has suffered because of his actions, an investigation within the enterprise must be carried out. In addition, the audit is carried out in case of systematic absenteeism of employees, detection of theft in any volume, distribution of commercial and/or state, etc.;
misconduct of a person, which entails the involvement of the subject in, according to Art. 232-233, 238-250 Labor Code of the Russian Federation;

If the need to punish a specific subject was identified after conducting an inventory, there is no need to organize an additional official inspection. Instead, the relevant commission establishes the fact of shortage/theft.

misconduct committed by a person that entails dismissal. This, for example, is true for administrative officials who have taken any unjustified management decision, resulting in large financial losses. The reasons for the dismissal of employees are described in more detail in Art. 81 Labor Code of the Russian Federation;
violation of the registration rules specified in Art. 84 TC, when drawing up a document. For example, the stated duties of an employee in an employment contract do not correspond to the actual qualifications of the person and, accordingly, cannot be performed by him;
the occurrence of all circumstances specified in legislative regulations in which an internal audit is inevitable. For example, such an event should be carried out at, etc.

A violation can be considered either an unlawful act of an employee or his inaction in certain circumstances. For example, refusal to fulfill one’s job responsibilities, if their implementation does not contradict the employment agreement and does not infringe on the rights of the employee.

The main tasks of organizing an internal audit

Since an internal audit is carried out only if there are compelling reasons, it must pursue specific goals. In particular, the main objectives of such an event include:

The procedure for conducting an internal audit

First, you need to determine the frequency of the internal audit. This is required because the legal time available for imposing disciplinary action is not increased by the investigation.

Therefore, verification and determination of punishment must be carried out within the established period - one calendar month from the moment the offense was discovered. Direct enforcement of the chosen measure of responsibility, in turn, should not be carried out later than 6 months from this date.

If an internal review is not due to a disciplinary violation by an employee, it is recommended that it be carried out as soon as possible, but no exact time frame is specified.

Internal inspection is carried out on the basis of the manager’s order . It must reflect the following information:

reasons for the investigation;
the need to organize an appropriate commission and a list of all entities included in it. It is also necessary to separately identify the chairman of the commission;

Often it includes a representative personnel service, occupational safety engineer, representative of the financial and legal departments of a business entity.

business powers of commission members and other responsible persons;
frequency of internal inspections;
the procedure for documenting the results of the event.

The internal audit must be completed no later than the deadlines specified above. Upon its completion, representatives of the commission generate relevant documents.

Rights and obligations of commission members during an internal audit

The powers of the commission members are as follows:

request explanations from any company employees regarding what happened and any other information;
document the received evidence in writing;
review company documentation that is relevant to the ongoing investigation. In addition, all documents that the commission representatives deem relevant may be included in the investigation materials;
with the consent of the employer, involve specialists of narrow profiles in the investigation, request the required information from government and private structures and attach such documents to the case file.

The responsibilities of commission representatives include:

implementation various events during an internal audit to establish the circumstances of the incident and the perpetrators;
consideration and taking into account statements received in the framework of an ongoing case;
ensuring the confidentiality of information obtained during the verification process;
proper presentation of inspection results.

In turn, the rights of an allegedly guilty employee include:

expressing in writing your view of the situation;
putting forward demands for members of the commission to include in the materials of the internal audit papers and other data supporting the position of the employee who committed the offense;
the right to be informed about the information collected by the commission during the investigation.

Consequently, the allegedly guilty person has the right to defend his views and provide documentary evidence of his innocence.

An employee has the right not to provide written explanations of his views to representatives of the commission. However, in such circumstances, an appropriate statement of refusal to provide explanations will be issued.

Peculiarities of documenting an internal audit

Upon completion of the internal audit, the commission members organize a final meeting, where the following series of issues are discussed:

aspects of labor discipline that were violated, as well as the presence of an established fact of violation;
the specific person responsible for the incident;
motives and reasons for the unlawful act on the part of the employee;
the nature of the actions of the guilty subject;
the presence of mitigating or aggravating factors.

The given list of questions is submitted for discussion. During the discussion, conclusions are drawn and reflected in the minutes of the meeting.

After the discussion is completed, the commission members begin to draw up the final document - an act consisting of the following parts:

The report must also be accompanied by all the papers collected by the commission during the inspection. They may be:

memos;
orders of department heads and managers;
the conclusion of various experts and specialists, in particular, auditors or representatives of the audit structure;
acts issued on the basis of inventory;
other documents confirming or refuting the guilt of a particular person.

Not only the act, but also all documents attached to it must be signed and certified by all representatives of the commission.

Then the act must be registered in the appropriate journal. It is assigned a serial number and the date of publication is recorded. Upon completion of this procedure, the document in question is endorsed by the manager, who puts the signature and stamp of the enterprise on it.

Using scan results

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

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

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

After a misconduct has been identified, an internal investigation order signed by the manager is issued within 24 hours. At the same time, a commission is appointed, which must include at least 3 disinterested professional workers companies. They will draw up an inspection report.

If the investigation is carried out in accordance with the employee’s memo, then it must be completed within a month from the date the document was submitted. This time does not include the duration of the employee’s vacation or illness, the period for recording information from the representative structure of employees (this time in total should not exceed 6 months). After 6 months from the date of commission of the offense, the disciplinary sanction loses its force.

Internal inspection of employees sample according to the Labor Code of the Russian Federation

However, there are General requirements to carry out such, set out in the Labor Code of the Russian Federation. For example, legal regulations require that such an investigation be objective and independent, while respecting the rights of the employee being investigated. Thus, the latter should be notified of the beginning of the investigation so that he has the opportunity to familiarize himself with the materials, give evidence, bring witnesses, present evidence, etc.

Sometimes managers fine their subordinates for minor offenses, although the Labor Code prohibits punishing employees"ruble". An official investigation may be initiated on the basis of the following violations: Systematic tardiness. Premature termination working day. Failure to comply professional responsibilities(investigated based on complaints from dissatisfied customers or a memo from other employees, a sample of which can be found a little lower). Violation of instructions (official) or safety regulations, including fire safety.

Internal investigation: Labor Code on disciplinary sanctions

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

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

How to conduct a service audit

First of all, it is worth noting the timing of the inspection. The fact is that conducting an inspection does not in any way suspend the period of disciplinary action. Therefore, you need to act only within this period. It must be remembered that, firstly, a disciplinary sanction is imposed no later than a month from the date of discovery of the offense. Secondly, it is imposed only within six months after the commission of the offense.

The fact of committing certain actions.
Places, times, circumstances of these actions.
The consequences of the actions taken.
The employee who performed certain actions;
The guilt of this employee in the actions committed;
Motives for actions, their goals and other circumstances (for example, an assessment of the employee’s personality, his business qualities).

Internal investigation under the labor code - what is it like?

Can the security service seek to verify the passport details of employees? As mentioned above, outside professionals (lawyers, accountants, etc.) can also be involved in an internal investigation. Section contents - detailed list steps for conducting an official investigation, timing of the investigation and methods of investigation, which will be discussed further below. The time for conducting the next investigation is fixed from the moment the fact of misconduct is discovered and is one month. At her request, written explanations must also be provided by other employees related to the committed act.

Modern system of reference and retrieval tools (NSA) for documents of city and city archives of the Russian Federation informational portal Naar was created by a society of professionals in the archival industry of the Russian Federation. the specific supervisor of the employee in respect of whom it is. The work of the commission is organized by its chairman, who is responsible for compliance with deadlines, completeness and objectivity of the internal audit.

Article 360 of the Labor Code of the Russian Federation

The procedure for conducting inspections by officials of the federal labor inspectorate is determined by conventions ratified by the Russian Federation International organization labor on labor inspection issues, this Code, other federal laws, as well as government decisions Russian Federation.

appeals and statements from citizens, including individual entrepreneurs, legal entities, information from government authorities (officials of the federal labor inspectorate and other federal bodies executive power exercising state control (supervision), local government bodies, trade unions, from funds mass media on facts of violations by employers of the requirements of labor legislation and other regulatory legal acts containing labor law standards, including labor protection requirements, which resulted in a threat of harm to the life and health of workers, as well as leading to non-payment or incomplete payment on time wages, other payments due to employees, or the establishment of wages in an amount less than the amount provided for by labor legislation;

How to properly conduct an official investigation: stages, deadlines and forms of documents

It is important to know that conducting an internal investigation is an internal event. The employer can summon the perpetrator, eyewitnesses of the incident and other employees for “interrogation,” but only within the framework of his organization, department, institution, etc. Since the procedure is voluntary, employees have the right to refuse to participate. Employees cannot be forced to undergo a polygraph test or searches and personal searches must be carried out without their consent. If an official matter requires an expert opinion, it is allowed to involve third parties (auditors, appraisers, medical workers, engineers, etc.) on a contractual basis. The law also allows you to send requests necessary for investigation to government agencies and other organizations.

After the commission has been formed by order of the head, the investigation into the circumstances of the violation begins. The employee is asked for a written explanation. It is recommended to send a notice to the employee’s place of residence - by registered mail with a description of the attachment or telegram (see Sample 2).

How is employee verification carried out?

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

Sample of an internal investigation against an employee

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 will be automatically released from disciplinary liability.

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 also get acquainted with all the documents regarding him that will be collected during the inspection.

Internal investigation at an enterprise: procedure

But in total this can be no more than six months. After this period, it will no longer be possible to prosecute. Based on the results of an audit, inspection of financial and economic activities or an audit, this period is no more than two years from the date of commission or discovery of the offense. These periods do not include the period of criminal proceedings (if it has been opened).

whether there was a violation (causing damage) and what it consisted of;
circumstances, time and place of the incident;
consequences of the violation and the amount of damage caused;
reasons for the misconduct;
the degree of guilt of each of the accused in the incident;
mitigating and aggravating circumstances.

25 Jul 2018 2070

Conducting an internal audit of an employee who is on public service, regulated by law dated July 27, 2004 No. 79-FZ “On State civil service» and other regulations. With regard to employees of commercial companies, the procedure for organizing it is not specified in legislative documents. However, this does not mean that internal audits are not carried out in ordinary companies. It is not only possible, but often necessary to establish the guilt or innocence of the employee.

When is an internal audit carried out?

It is advisable to organize an internal audit (internal investigation) under the following circumstances:

When the action or inaction of a subordinate (as part of the performance labor responsibilities) may lead to his dismissal at the initiative of management - on the basis of one of the paragraphs of Article 81 of the Labor Code. For example, a school teacher committed an immoral act or an accountant was found to have a deficiency.

If an employee needs to be held financially liable for damage caused to the employer. The fact of damage (loss, theft) must be identified and recorded by the inventory commission.

The employee has committed a serious disciplinary offense, which may result in penalties, including dismissal (Article 192 of the Labor Code). Such an offense, in particular, is considered absenteeism or showing up to work while drunk.

It was discovered that when applying for a job, the employee provided incomplete or unreliable information about himself. For example, he hid that he had medical contraindications that did not allow him to work in his position. Or provided a “fake” diploma.

If there was an accident at work.

In these and other cases, during the internal audit, the actions committed by the employee or his inaction are carefully examined.

How to conduct an internal audit of an employee

Since the procedure for conducting such checks in commercial organizations is not regulated by law, companies should develop it independently and document it in local regulations. For example, in the “Regulations on the organization of internal inspections at work”.

When organizing an inspection, you should try to carry it out as quickly as possible. So, if it concerns a disciplinary offense committed by an employee, then according to Labor Code(Article 193), the employer has the right to impose a penalty within a month from the day he learned of the violation. That is, within this period it is necessary to have time to conduct an inspection and punish the employee (if there are grounds for this).

An internal audit of an employee is carried out on the basis of an order issued by the head of the organization. The reason for it is a written signal about the identification of a violation or other circumstance requiring an internal investigation. Typically, such a signal is a memorandum from one of the subordinates, an inventory act, an appeal from a citizen (for example, a submitted claim) or another document.

The order should indicate:

what was the reason for the inspection;

persons responsible for its organization and their powers;

when is the internal audit carried out?

what document is drawn up based on its results?

The commission is formed at the discretion of management. As a rule, it includes employees of the personnel department (HR), management internal security, legal and/or financial department (accounting).

What facts are established during the inspection?

An internal audit is carried out to reliably establish:

whether an unlawful act was committed;

what was it expressed in;

what consequences did it lead to?

the circumstances of its commission (time, place, etc.);

who is to blame for what happened (indication of a specific employee);

the degree of his guilt;

motives, reasons for the employee’s actions (or inaction).

The employee subject to inspection is required to provide written explanations.

The internal inspection must be completed by drawing up a written conclusion or act, which is signed by the commission members. The document sets out the fact of the violation, the date it was committed, reflects the composition of the commission, the period of the investigation and the evidence of guilt identified. Conclusions are drawn about the guilt of a particular person, and attention is drawn to the presence/absence of outstanding penalties received earlier. The conclusion may contain a proposal on what disciplinary sanction should be applied to the employee who committed the violation. All supporting documents are attached - official/reports, explanations, inventory reports, expert opinions, etc.

If, during an internal audit, a criminal offense is discovered in the actions of an employee, the materials are sent to law enforcement agencies.

Registration No. 28587

In accordance with part 9 of article 52 Federal Law dated 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" 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 departments central office 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 Except for the High Command internal troops 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 official inspections in divisions of the central apparatus of the Ministry of Internal Affairs of Russia 1, territorial bodies of the Ministry of Internal Affairs of Russia, educational institutions, research, medical, sanitary and sanatorium organizations of the Ministry of Internal Affairs of Russia, district departments of material and technical supply of the system Ministry of Internal Affairs of Russia, other organizations and divisions created to carry out tasks and exercise powers assigned to the internal affairs bodies of the 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 , Disciplinary regulations 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 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, when he is on vacation or on a business trip, as well as the time the employee is absent from service for other reasons. good reasons, confirmed by the relevant certificate from the personnel department of the body, organization or unit of the Ministry of Internal Affairs of Russia.

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. Internal inspection of an employee who has committed a disciplinary offense while in prison 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 within the prescribed period due to temporary disability, being on vacation, a business trip, as well as absence from service for other valid reasons, one or more of them, official materials checks regarding absent employees may be allocated to 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 accordance with the established procedure from performing official duties for the duration of the internal audit.

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 to document facts of committing a disciplinary offense technical means 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 the personal and business qualities of the employee who committed the 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 stated explanation the employee in respect of whom the internal audit is being carried out is not presented, 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 to carry out additional events, except 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 applications, messages and other information about crimes, administrative offenses, about incidents" (registered with the Ministry of Justice of Russia on June 20, 2012, registration No. 24633).

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