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How much time is given to conduct an internal audit? The internal audit must be completed no later than what date

The timing of an internal audit largely depends on where it is carried out. To conduct a check, some event or information about this event is required. Only after this the manager can order a performance review. Let's tell you in more detail.

Concept

An internal audit is an activity aimed at establishing the guilt of an employee and the circumstances of the incident. As such, the term “internal audit” does not exist, at least for enterprises. But for civil service it exists and is fixed in regulations.

But commercial organizations still conduct internal inspections; they are approved in the company’s local regulations. Even in the absence of a law regulating an official investigation, it must be carried out in compliance with all rules.

Purpose of inspection

Before talking about the timing of an internal audit, you need to understand what goal managers are pursuing when conducting an internal audit. The management of the organization wants to establish all the reasons, circumstances or conditions under which the employee committed an unlawful act. This act should influence the employees of the organization and its leader. As a rule, government bodies that have powers do not stand aside either.

Properly formatted audit results can be evidence of the manager’s lawful actions or an informative source for authorized bodies.

In what cases is an inspection carried out?

Of course, you need to know the timing of the internal audit, but equally important information is in what cases it is carried out.

So, an internal audit is carried out if:

The employee did not show up for work.
The employee is not at his workplace without a good reason or the citizen is in a state of toxicological, drug or alcohol intoxication.
An employee leaves work before the end of the working day.
The employee refuses to undergo a medical examination or go on a business trip, although there are no valid reasons for this.
The employee does not go to work on a holiday or day off, although this is not a violation of the Labor Code.
Refuses to undergo a knowledge test or safety training.
An employee intentionally overspends cash.
The employee incorrectly stores or accounts for the tangible assets of the enterprise.
An employee intentionally damages or destroys raw materials, finished products or materials.
The employee refuses to receive part of the property or in full under a power of attorney.
The employee has committed a crime or illegal act.
An employee violates the payment schedule for wages, benefits or pensions without a valid reason.
Causing property damage through the fault of an employee to individuals, legal entities or the state. This must be an established fact, which is supported by a court decision that has entered into force.
Multiple violations the procedure established by law for considering citizens' appeals, legal entities or individual entrepreneurs. This also includes refusal to consider appeals from citizens, legal entities and entrepreneurs, if this is within the competence of the body.
Multiple cases of providing incorrect or incomplete information to authorized bodies.
Negligent attitude towards observance of labor discipline by subordinates. In addition, the conduct of an internal audit is affected by the concealment of violations of executive and labor discipline by subordinates or the lack of responsibility for such actions.
An employee violated a safety or health regulation that resulted in the death or injury of another employee.
The employee did not take measures to eliminate the violations within the period prescribed by law, or did not pay compensation for the damage caused.

Test methods

The timing of an internal audit directly depends on which option the head of the enterprise chooses.

There are only two of them.

A special commission is created, which must deal with the situation within the period of conducting an internal audit of the employee.
A specific employee is appointed as an inspector; as a rule, he is the head of the department in which the violation was committed.

The procedure for conducting an inspection by the commission

The procedure and timing of the internal audit in this case will be as follows:

First, there is a basis for verification. This may be documents or information that indicate that the employee committed an illegal act. This includes statements, petitions, protocols, appeals, decisions, etc.
The verification must begin within three days from the moment the information or documents were received. The period for conducting an internal inspection is thirty days from the date on which it was appointed. This is due to the fact that Article 192 of the Labor Code specifies the period when a disciplinary sanction can be applied to an employee.
The timing of an internal audit of an employee, as well as its conditions and procedure, are prescribed in the order or directive of the head of the organization. In addition to this data, the document contains the grounds on which the inspection began, the powers and composition of the commission, and the deadline for submitting the results of the inspection to the head.

Typically, the commission includes employees of the personnel department, legal and accounting departments of the enterprise. If the need arises, employees of other departments are also included.

The important thing is that the commission cannot include the person who committed the act. People who are relatives or friends of the offender are also not included in the inspection commission.

If there is a trade union in the organization, then its representative must also be included in the commission.

The work of the commission is controlled by its head. He is also responsible for the objectivity of the inspection, compliance with deadlines and completeness of the inspection. All members of the commission are required to sign the order to conduct the inspection. The last one signs and the violator.

The activities of the commission are recorded in the minutes or act of the meeting.

Commission rights

Members of the commission and its chairman can:

Receive written explanations or other information from employees of the organization that will help conduct the inspection.
Study the organization’s documents and, if necessary, attach them to the verification materials.
Request from employees of the organization information or documents that are relevant to the inspection. The commission has the right not only to familiarize itself, but also to seize the necessary papers for inclusion.
If the head of the enterprise has authorized it, then the commission has the right to consult with a third-party specialist. This applies only to those questions that require special knowledge to answer. The commission may also request documents from individuals, legal entities or government agencies.
Document all received information.

Responsibilities of the commission

In addition to rights, the commission also has its own responsibilities. Among them:

Taking all possible measures to study the registration of information about the committed act.
Consideration and inclusion in the materials of the inspection of statements that are received during the inspection or relate to it.
Ensuring the confidentiality and safety of inspection data, non-disclosure of its results until the manager approves them.
Drawing up a conclusion on the results of the investigation based on the results of the work.
Preparation of proposals on the extent of responsibility of the offending employee.
Presentation of inspection results to the manager on time.

Rights of the violator

The deadlines for conducting an internal inspection in a police department or a non-governmental organization must be respected, but this does not mean that the rights of the person being inspected must be violated. And he has the following rights:

Do not give a written explanation of the committed act.
Require that the submitted materials and documents be included in the inspection.
Submit an application to the manager so that some members of the commission are replaced, and argue for this.
After the inspection is completed, read the conclusion and case materials and sign the document. If an employee refuses to sign, then a report is drawn up regarding this.
Do not recognize the results of the inspection and the actions of the manager and file objections in court.
Refuse voluntary compensation for damage.

Timing of inspections in organizations

In an organization, the period for conducting an internal audit is thirty days. It starts counting after the document drawn up by the initiator of the check has been registered. This could be a statement from one of the employees or an order from the immediate supervisor.

The time frame for conducting an internal audit does not include employee sick leave and vacations. After the final decision is made, the latter must be agreed upon with the commission. This may take up to six months, and this period is also not included in the implementation period. Regardless of the timing of the inspection, the terms of punishment for the guilty employee are limited differently in each case. For example, for a disciplinary violation you can be punished for six months, while for financial fraud the sentence will be longer by one and a half years.

Check for no-show at work

In order for an employee’s absence from the workplace to be considered absenteeism, grounds are needed. While they are not there, the person is absent due to unclear circumstances. If failure to appear causes serious consequences that affect the work of the enterprise, the employee may be fired from work or reprimanded. Both require reasons. They can only be found out during an internal audit. Since the period for conducting an internal audit cannot exceed thirty days, it must proceed quickly.

It will begin only after the memo appears. Its author can be either the immediate supervisor or any other employee. When an employee shows up for work, he must explain the reason for his behavior. The following are considered respectful:

Illness of an employee or a family member. This must be confirmed by a sick leave certificate or medical certificate.
Late due to lack of transport. For example, an accident on tram tracks.
Circumstances that do not depend on the will of the employee. An example would be a car accident.

The Labor Code says that if an employee is not at work all day, then this can be called absenteeism. It is on the day of absenteeism that a specific act is drawn up, which will record the violation.

Deadlines for conducting police checks

The period for conducting an internal police check is fourteen days. It begins to count as soon as the manager receives information about the violation. The time frame for conducting an internal audit does not include the employee’s vacation time, sick leave, business trip, or absence from work for a valid reason. Any of these circumstances must be confirmed by a document, be it a certificate from the personnel department or other paper.

An internal inspection cannot be carried out for more than thirty days. Even if the end of this period falls on a holiday or weekend, the deadline for conducting an official check with the police cannot be violated; all activities must end before the holiday or weekend.

Not long ago, a federal law was passed to extend the inspection period. Now if the head of the body executive power or his deputy decided to extend the activities, then the period for conducting an internal inspection may be extended by another thirty days.

The procedure for internal inspection at the Ministry of Internal Affairs

It is no different from what is customary in ordinary organizations.

First, an order to conduct an inspection is issued. It must indicate the date of appointment, commission composition and grounds for verification. As for the commission, it must consist of at least three employees. They must have sufficient knowledge and experience. The head of one of the structural divisions of the Ministry of Internal Affairs is appointed as the head.

The order to conduct an inspection is given to an authorized employee, taking into account his rank and position of the offending employee.

Making a report

If within thirty days the activities have not produced any significant results, then the period for conducting the internal audit is extended for another thirty days. After which a conclusion is drawn up based on the results of the work. The conclusion is divided into introductory, descriptive and final parts.

The introductory part must contain the initials and surname of the employee, his position. If the inspection was carried out by a commission, then information about each of its members is indicated.

In the same part, the details of the guilty employee are indicated. TO general information education, work experience, number of rewards and penalties, and the presence or absence of disciplinary sanctions are added.

The second part contains a description of the grounds for the inspection, the time period allotted for conducting the internal inspection, the employee’s explanations, the fact of the violation, the consequences and circumstances of this act, the facts that were discovered during the investigation, and mitigating or aggravating circumstances.

The final part contains information about the types of liability and measures that can be applied to the perpetrator. As well as conclusions that relate to the reasons for the action and the circumstances. The final part should also contain recommendations regarding the transfer of the case to the investigative authorities and the provision of social and psychological assistance to the employee.

Conclusion

In the article we examined the timing of an internal audit at the Ministry of Internal Affairs and commercial organizations. As you may have noticed, they are no different from each other. In both cases, commissions are brought in for verification, which study the circumstances of the case.

The verification period is also the same, except for the possibility of extending the verification at the Ministry of Internal Affairs for another thirty days. Otherwise, there are no differences; even vacations and sick leave in both cases are not included in the verification period.

This is all, of course, dry information that I would like to dilute with moral and ethical considerations. If you are an employee, you must understand the consequences of violations of discipline, safety rules and other workplace standards. Therefore, make sure that you have enough evidence of your own innocence if an audit is carried out against you. But it is better, of course, not to make such mistakes. After all, you can endanger not only your job, but also someone’s life. Therefore, follow all the rules and safety precautions at work and warn management in advance about your problems. And then the official audit will not affect you.

The possibility of conducting an internal audit is provided Russian legislation on state and municipal service. It is usually carried out in relation to employees who have committed a disciplinary offense. Its procedure and terms are strictly regulated by law and regulations.

Regulations on official verification

The legislation on state and municipal service, certain types of service (Ministry of Internal Affairs, Federal Antimonopoly Service, Federal Customs Service, Federal Tax Service, etc.) regulates performance audits in relation to such employees.

General rules on service verification, relevant for all types of service, are contained in Art. 59 of the Law "On the State Civil Service of the Russian Federation".

Rules on official verification

An official inspection is a thorough study of all the circumstances of a disciplinary offense committed by an employee.

They may commit actions (or inaction) that violate:

job regulations;
service contract;
labor regulations;
requirements of laws and other regulatory legal acts.

Actions (inaction) of an employee can be expressed in:

non-fulfillment/improper execution of it job responsibilities;
violation of labor discipline;
failure to comply with the prohibitions for employees established by law;
violation of obligations to maintain state and official secrets.

In this case, illegal actions (inaction) of an employee may be considered a disciplinary offense if they were committed through his fault (intentional or careless).

Carrying out an inspection

The grounds for its implementation may be a decision of the employer (representative of the employer), as well as a written request from the employee himself.

The procedure for conducting a service audit is regulated in regulations on specific types of service.

In any case, when conducting it, the following must be established in full, impartially and comprehensively:

the fact of a disciplinary offense committed by an employee;
his guilt in the offense;
reasons and conditions for the commission;
the extent of the harm caused by the offense and its nature;
the grounds for the employee’s written request to conduct an internal audit.

The timeliness and correctness of the assigned internal inspection must be controlled by the employer.

It is entrusted to the department of the government agency for civil service and personnel issues with the obligatory participation of lawyers and the trade union body (if any). The employee himself, who is interested in its results, should not participate in the verification, otherwise they will be considered invalid.

He may be temporarily suspended from work for the duration of the inspection based on the order of the employer. The cash content is retained.

An employee subject to an internal audit has the right to:

give explanations, submit statements, petitions and other documents;
appeal the decisions and actions of the persons conducting the inspection;
get acquainted with the conclusion of the internal audit and its other materials upon completion (if it does not contain information constituting a state secret).

Results of the internal audit

The inspection must be completed within one month. The results are documented in a written report, which is sent to the appointing official.

It must necessarily contain the facts and circumstances established by the inspection, as well as a proposal to apply/not apply disciplinary sanction to the employee.

The conclusion of the official audit is signed by the participants and then attached to the personal file of the employee in respect of whom it was carried out.

An official investigation is a serious procedure that does not apply to minor disciplinary offenses. If an employee has done something serious, there is a need to clarify all the circumstances of the events that occurred. The employer must understand the reasons and motives for the actions of the offending employee in order to make the only correct decision regarding him.

In what situation is an investigation necessary?

In the Russian Labor Code there is no precise definition of the term “internal investigation”, but there is a clear procedure for applying disciplinary action. It cannot be imposed on an employee without reason.

That is, the fact of guilt itself must be proven. To do this, it is necessary to collect explanations from employees, assess the scale of the damage caused, and understand whether there was malicious intent in the employee’s actions. The set of all these activities is called “internal investigation” or “internal inspection” if the guilty person is a civil servant.

Serious disciplinary offenses requiring verification by the employer include the following acts:

Absence from work.
Causing material damage.
Abuse of official position.

For an offense committed against an employee may be subject to disciplinary action up to and including dismissal or an order has been issued to compensate for the damage caused. In order for these actions on the part of the employer to be justified, it is necessary to conduct an internal investigation.

General procedure

The employer has the right to punish the employee only after following a certain procedure precisely described in Article 193 of the Labor Code of the Russian Federation. If even one point of the protocol is violated, the accused employee will be able to appeal the penalty in court and bring the enterprise administration to justice.

All people involved in the proceedings must adhere to certain principles:

it is necessary to objectively evaluate the available facts. personal hostility or attachment cannot influence the progress of the inspection;
Until the employee's guilt is proven, he is considered innocent. and guilt can be proven only after the presentation of irrefutable evidence;
all actions of the appointed commission must be carried out in strict accordance with internal orders, instructions or instructions.

The head of the enterprise is obliged to act strictly within the law, using the following step-by-step instructions:

issue an order to initiate an internal investigation. An order cannot be issued without reason. To issue an order to conduct an internal investigation, information about the existence of a misconduct must first be received. It is obtained from the following sources:
a written statement from the guilty employee;
memo from the immediate supervisor;
complaints from clients or subagents of the organization;
memos from employees of the organization;
an inventory act indicating the presence of a shortage;
report drawn up by an audit firm.
appointment of commission members who are responsible for the progress of the audit;
obtaining a written explanation from the offending employee. The violator gives explanations based on the notification received, which can be sent to him by mail by registered mail or delivered in person. The text of the document usually sets out the questions that the employee who has violated discipline must answer. He is given 2 days to respond in writing. If you refuse to provide explanations, you must draw up a report.

All further measures depend on whether the guilty person gives or does not give explanations and how the members of the commission interpret them.

If it is decided that a violation of labor discipline occurred due to good reasons, then the investigation will end there, as evidenced by the corresponding act.

In case of absence from work

In order to consider an employee’s absence from the workplace absenteeism for 4 or more hours, there must be certain reasons. Until they are clarified, it is considered that the worker was absent due to unclear circumstances. If there are no valid facts, and the failure to appear entailed serious consequences and disrupted the normal functioning of the enterprise, the employee may receive a reprimand or dismissal from work. And for this there must be serous grounds that can only be obtained during the investigation.

First, the fact of the employee’s absence from the workplace must be recorded. A memo can be written by either the immediate supervisor or any employee of the organization. After appearing, the employee can give an explanation for his misconduct. The following reasons are considered valid:

Illness of the employee or members of his family. This circumstance must be confirmed by the relevant document: a certificate from medical institution or sick leave.
Delays due to lack of transport. For example, skids on the road caused a temporary stop in bus service.
Presence unforeseen circumstances, independent of the will of the employee. For example, on the way to work, an employee’s personal vehicle was involved in an accident.

Based on Article 81 of the Labor Code of the Russian Federation, if an employee was not present at the workplace for the whole day, this can be considered absenteeism. To record this fact, it is necessary to draw up a corresponding act on the day of failure to appear.

The document is drawn up in free form. Its purpose is to record and confirm the fact of the employee’s absence. You can create several documents throughout the working day. When drawing up an act, it is important to record not only its date, but also the time of drawing up. The document is signed by team members of at least three people.

If the employee does not show up the next day, this must be recorded in the following act.

In case of material damage

Material damage to an enterprise can be caused due to negligence or malicious intent. On the part of the employee, the loss to the enterprise is caused as follows:

In this situation, first of all it is necessary to determine the amount of damage. In case of theft, this can be done by drawing up an inventory report. Breakdown or damage to equipment will require additional examination. The same need arises when damage is caused by non-compliance with safety regulations. For example, an employee left work and forgot to turn off the heating device, resulting in a fire. Only an expert commission can determine the extent of the loss.

Very it is important to understand the motivation for actions. Since it is important to understand whether the offense is ordinary irresponsibility or is of a malicious nature.

Abuse of authority

Abuse of power refers to the use of one's own position to obtain additional benefits. Wherein the interests of the enterprise itself and its employees may suffer. A striking example of such abuse is the conclusion of a supply agreement at inflated prices with receipt from the counterparty a certain amount"premium".

Such violations not always easy to identify. Very often the assistance of professional auditors or auditors is required. Without the help of independent experts, it will be difficult to find out whether the price of a product being sold is understated or the premises are being rented out at a reduced cost.

Maximum terms

Legislation Exactly one month is allotted for the investigation. The period is determined from the date of issue of the order. This is established by Article 192 of the Labor Code Russian Federation.

The duration of the proceedings may be increased if during the period the “accused” employee was on vacation or absent due to illness.

The period cannot be extended by more than 6 months.

If the commission has not made conclusions before the deadline expires, an employee cannot be subject to disciplinary action, even if subsequently the final conclusion will not be in his favor.

If the commission has discovered a sufficient number of facts proving the guilt of the employee, punishment can be applied to him within 6 months from the date of registration final act.

Who is involved in the review?

An official investigation carried out by a commission appointed by the head of the enterprise. In large companies, this is entrusted to security or internal audit employees. If the enterprise does not have such personnel, any responsible team members can be assigned to study the situation.

The main thing is that these employees were not personally interested in the outcome of the proceedings and could give objective assessment collected facts. Therefore, it is impossible to invite close friends or relatives of the offending employee, as well as those who have personal hostility towards him, to the commission.

Another basic rule - members of the commission should not be in any way connected with the disciplinary offense. The composition of the group is determined by the corresponding order, which all members become familiar with upon signature.

There is no point in forming a group of employees who are categorically against participating in the proceedings. Otherwise, the situation will not be analyzed with complete care. A secretary is assigned to the group, who will clearly monitor the correct preparation of all necessary documentation.

Registration of investigation results

After receiving and processing all information on the incident, a commission meeting takes place. Members must clearly answer the following questions:

Has there been a violation of labor discipline and what is it expressed in?
What was the cause of the offense?
What was the nature of the actions of the guilty person?
What consequences did the offense have for the organization as a whole?
The presence of circumstances that remove or alleviate guilt.
The presence of facts aggravating the offense.

These points are clarified through discussion. All theses and arguments are recorded in the protocol. After the end of the debate, the commission begins to draw up a final act, which consists of three parts:

Introductory part. It is descriptive. It describes the offense itself and the time it was committed. Information about the members of the commission and their positions must be entered. The basis for the initiation of an internal investigation and the timing of its conduct are indicated.
The second part sets out the actions that the commission members took to obtain facts confirming or refuting the employee’s guilt.
Conclusion. At the end, the commission must draw reasoned conclusions.

All collected documents must be attached to the act. It can be:

memos or memos;
orders;
conclusion of an expert or audit commission;
inventory acts;
and other documents confirming the guilt of the employee.

Not only the act, but also all annexes to it must be signed by the members of the commission. The document must be registered in a journal, where it is assigned a serial number and publication date. Then the act is certified by the signature of the director of the organization and the seal.

Only on the basis of an “indictment” can an employer decide to dismiss an employee who has committed a serious disciplinary offense. With others circumstances, dismissal may be considered illegal.

If the guilty employee does not consider the charges brought against him to be fair and does not trust the results of the internal investigation, he can always defend his rights in court. For an employer, an official investigation report, drawn up in accordance with all the rules, is a powerful argument for the legitimacy of its own actions.

This video talks about the main mistakes an employer makes when applying disciplinary sanctions.

The main goal of implementing an internal internal investigation in an organization is the need to impose sanctions on an employee if his guilt is proven. The investigation will also protect the company from litigation in court.

Following the procedure, all actions must be documented.

When is it held?

An official investigation must be carried out when charging a punished employee for material damage. The main task of its implementation becomes determining the causes of this damage. Understanding the cause will enable the employer to organize preventive measures in certain areas and stop the recurrence of similar situations in the future.

An investigation is a serious procedure that is not carried out to prove minor violations.

Often a preventative conversation with the offender is sufficient. If there are suspicions that an employee has caused major material damage or selfish use of official powers, strict measures must be taken.

Also, a special commission checks disciplinary violations related to evasion of medical examination (by specialists of some professions), passing occupational health and safety exams, and undergoing special training in work time, refusal to sign (if this is the main work obligation specialist).

The perpetrators and eyewitnesses of the incident may be called in for questioning. The procedure is voluntary, so employees do not have to participate in it. They cannot be forced to undergo a polygraph test or to conduct an inspection or search without consent.

Regulations under the Labor Code of the Russian Federation

Compared to the investigation of a traffic accident, which is clearly defined in the relevant provision, the Labor Code does not provide for an official investigation. But imposing disciplinary liability on an employee can be compared with the procedure for carrying out an investigation in an organization. Based on Art. 189 Labor Code of Russia this procedure is regulated by labor regulations in the company, as well as specialized instructions or regulations.

The time for performing the check is regulated by Art. 193 TK. Based on Part 3 of Art. 247 of the Labor Code, a specialist or his representative has the right to study all investigation materials and appeal them if he disagrees with the final conclusion.

Who is taking part?

As a rule, an official check is carried out security Service, and internal audit department. In companies with a small number of employees, these issues can be dealt with personnel service . Other specialists (including accountants, lawyers).

The supervisor of the employee being inspected must take part in the work. But in order to obtain objective results, he cannot be a member of the special commission. As a result, the commission may include specialists from the personnel and security services, including the trade union committee. It should contain at least 3 people. The head of the security service should be at the head.

Procedure and timing

Legislatively, the investigation of violations of labor regulations is allocated 30 days. This period is counted from the time of decision or release.

If the investigation is carried out according to the employee, then it must be completed within a month from the day 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.

The specialist is asked for an explanation in writing, which he must draw up within 2 days after receiving the notification. If there is no response, an act of refusal to assist in the verification is drawn up.

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.

At the final stage verification work The manager is provided with a report indicating the results obtained:

the people at fault and the nature of the damage caused;
conditions and factors that led to the violation;
recommended types of punishments and advice to prevent similar cases in the future.

You can learn more about this procedure from the following video:

Compiled documents

An internal investigation begins with the boss or any employee of the company identifying the fact of misconduct, which is recorded in documents (memo, report on the head of the company). In accordance with this document, this procedure is prescribed. The fact that such information was carried out and the period for receiving such information is important, otherwise the inspection may be appealed in court.

The note must be accepted for execution and registered. From the time when the date and number recorded in the document flow journal are stamped on it, the period of verification is counted.

Also, the basis for an investigation may be an explanatory note, a statement from a specialist, a complaint or claim from a consumer, an inventory act, an audit report, a citizen’s request for information about an offense, etc.

The commission may require originals or photocopies of other documentation, which will confirm the employee’s innocence or guilt.

Test results

In, compiled in accordance with the collected materials, there should be several parts:

the introductory part contains the fact of the offense, the time it was committed, the deadline for completing the inspection and the list of commission members;
description - includes evidence;
summary - reflects the perpetrators, the fact that they committed the incident, the presence of previously outstanding penalties.

Also attached to the act are all Required documents, which were used in the investigation. It is signed by the entire commission; in the office work, the act is given a serial number with the date of completion of the inspection. The conclusion is signed by the head and stamped.

All materials from the inspection are filed in the “Case” folder, and an inventory of the documentation is made.

After this, the employer must decide to impose a disciplinary sanction on the employee. In accordance with Labor Code, is provided reprimand, reprimand or dismissal with appropriate reasons. It is also allowed warning or reprimand.

The decision to impose a penalty is reflected, indicating the perpetrators, grounds and type of punishment. One penalty is imposed for each disciplinary violation.

1. An internal audit is carried out by decision of the manager federal body executive power in the field of internal affairs or an authorized manager if it is necessary to identify the reasons, nature and circumstances of a disciplinary offense committed by an employee of internal affairs bodies, confirm the presence or absence of circumstances provided for in Article 14 of this Federal Law, as well as at the request of the employee.

2. An employee of internal affairs bodies who is directly or indirectly interested in its results cannot participate in an internal audit. In this case, he is obliged to submit to the head of the federal executive body in the field of internal affairs or the authorized head who made the decision to conduct an internal audit, a report on his release from participation in this audit. If this requirement is not met, the results of the internal inspection are considered invalid, and the inspection period established by part 4 of this article is extended by ten days.

3. When conducting an internal audit of an employee of the internal affairs bodies, measures must be taken to objectively and comprehensively establish:

1) the facts and circumstances of the employee committing a disciplinary offense;

2) the employee’s guilt;

3) the reasons and conditions that contributed to the employee committing a disciplinary offense;

4) the nature and extent of the harm caused by the employee as a result of committing a disciplinary offense;

5) the presence or absence of circumstances preventing the employee from serving in the internal affairs bodies.

4. An internal inspection is carried out within thirty days from the date of the decision to conduct it. The period for conducting an internal audit may be extended by decision of the head of the federal executive body in the field of internal affairs or an authorized head, but not more than thirty days. The period for conducting an internal affairs audit does not include periods of temporary incapacity for work of an employee of the internal affairs bodies in respect of whom an internal affairs 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.

(see text in the previous edition)

5. The results of the internal audit are presented to the head of the federal executive body in the field of internal affairs or the authorized head who made the decision to conduct the internal audit, in writing in the form of a conclusion no later than three days from the date of completion of the audit. The said conclusion is approved by the head of the federal executive body in the field of internal affairs or the authorized head who made the decision to conduct an internal audit, no later than five days from the date of submission of the conclusion.

6. An employee of internal affairs bodies who is subject to an internal audit:

1) is obliged to give written explanations regarding the circumstances of the internal inspection, unless this is related to self-incrimination;

2) has the right:

a) submit statements, petitions and other documents;

b) appeal the decisions and actions (inaction) of employees conducting an internal audit to the head of the federal executive body in the field of internal affairs or the authorized manager who made the decision to conduct an internal audit;

c) get acquainted with the conclusion based on the results of the internal audit, if this does not contradict the requirements of non-disclosure of information constituting state and other protected by law

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