How is employee verification conducted? On approval of the procedure for conducting internal audits in bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation Rules for conducting internal audits in the police

Order of the Ministry of Internal Affairs of the Russian Federation of March 26, 2013 N 161
"On approval of the Procedure for conducting internal audits in bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation"

With changes and additions from:

July 2, 2014, April 20, September 22, 2015, November 14, 2016, June 19, 2017, November 12, 2018

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

______________________________

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

Registration No. 28587

The procedure for conducting internal audits in bodies, organizations and divisions of the Ministry of Internal Affairs of Russia has been approved.

We are talking about inspections in the central office, territorial bodies, educational institutions, research, medical, sanitary and sanatorium-resort organizations, district logistics departments of the Ministry's system, other organizations and divisions created to carry out the tasks and exercise the powers of internal affairs bodies.

The grounds for verification are the need to identify the reasons, nature and circumstances of the disciplinary offense committed by the employee, to check the fulfillment of restrictions, duties and prohibitions associated with service in the police, as well as the employee’s statement.

The decision to conduct an inspection must be made within 2 weeks. It must be completed no later than in a month.

The procedure does not apply to federal civil servants and employees of bodies, organizations and divisions of the Ministry.

The order approving the Instructions on the procedure for organizing and conducting official inspections in bodies, divisions and institutions of the Ministry system is considered invalid.

Order of the Ministry of Internal Affairs of the Russian Federation dated March 26, 2013 N 161 “On approval of the Procedure for conducting internal audits in bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation”

Registration No. 28587

This order comes into force 10 days after the day of its official publication

This document is amended by the following documents:

Order of the Ministry of Internal Affairs of Russia dated November 12, 2018 N 759

MINISTRY OF INTERNAL AFFAIRS OF THE RUSSIAN FEDERATION

ORDER

On approval of the Procedure for conducting internal audits in bodies, organizations and divisions of the Ministry of Internal Affairs of the Russian Federation

Document with changes made:
(Russian newspaper, N 208, 09/12/2014);
(Official Internet portal of legal information www.pravo.gov.ru, 05.20.2015, N 0001201505200020);
(Official Internet portal of legal information www.pravo.gov.ru, 10.26.2015, N 0001201510260050);
(Official Internet portal of legal information www.pravo.gov.ru, 09.12.2016, N 0001201612090011);
by order of the Ministry of Internal Affairs of Russia dated June 19, 2017 N 394 (Official Internet portal of legal information www.pravo.gov.ru, 07/14/2017, N 0001201707140019);
(Official Internet portal of legal information www.pravo.gov.ru, 05.12.2018, N 0001201812050016).
____________________________________________________________________

In accordance with Part 9 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"
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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.
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Next - "Ministry of Internal Affairs of Russia".

2. Heads (chiefs) of divisions of the central apparatus of the Ministry of Internal Affairs of Russia, territorial bodies of the Ministry of Internal Affairs of Russia, educational, scientific, medical, sanitary and sanatorium organizations of the system of the Ministry of Internal Affairs of Russia, district departments of logistics of the system of the Ministry of Internal Affairs of Russia, as well as other organizations and divisions, created to carry out the tasks and exercise the powers assigned to the internal affairs bodies of the Russian Federation, organize the study of this order and ensure the implementation of its provisions.
by order of the Ministry of Internal Affairs of Russia dated July 2, 2014 N 559 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.
_______________
..

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” as no longer in force.
_______________
Registered with the Ministry of Justice of Russia on February 11, 2009, registration No. 13293.

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

Minister Lieutenant General of Police
V. Kolokoltsev

Registered
at the Ministry of Justice
Russian Federation
May 30, 2013
registration N 28587

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

Application

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, territorial bodies of the Ministry of Internal Affairs of Russia, educational, scientific, health care and sanatorium and resort organizations of the system of the Ministry of Internal Affairs of Russia, district departments of logistics of the Ministry of Internal Affairs of Russia, others organizations and divisions created to perform the tasks and exercise powers assigned to the internal affairs bodies of the Russian Federation.
(Clause as amended, put into effect on September 23, 2014 by order of the Ministry of Internal Affairs of Russia dated July 2, 2014 N 559; as amended, put into effect on December 20, 2016 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.
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The footnote was excluded from December 20, 2016 - order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722..

Further - "bodies, organizations or divisions of the Ministry of Internal Affairs of Russia."
by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.

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", 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 Disciplinary Charter of the Internal Affairs Bodies of the Russian Federation, approved by Decree of the President of the Russian Federation of October 14, 2012 N 1377.
by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.
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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.
(Footnote as amended, put into effect on December 20, 2016 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.

Collection of Legislation of the Russian Federation, 2011, N 49, Art. 7020; 2012, N 50, art. 6954.
(Footnote as amended, put into effect on December 20, 2016 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.

Collection of Legislation of the Russian Federation, 2012, No. 43, Art. 5808.
(Footnote as amended, put into effect on December 20, 2016 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.

4. In cases of disclosure by an employee of the internal affairs bodies of the Russian Federation 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 resolution of the Government of the Russian Federation of January 5, 2004 N 3-1 "On approval of the Instructions for ensuring secrecy in the Russian Federation".
(Clause as amended, put into effect on December 20, 2016 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.
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Next - “internal affairs bodies”.
(Footnote as amended, put into effect on December 20, 2016 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.

5. An official inspection is carried out by decision of the Minister of Internal Affairs of the Russian Federation, the Deputy Minister, the head (chief) of an agency, 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 the district, interregional or regional levels, the head (chief) of a structural divisions 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 subordinate to him in service.
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Next - "Minister".

Next - "employee".

6. The decision to conduct an internal audit of an employee of the internal security unit of the internal affairs bodies (with the exception of employees of the internal security units of operational search units and special units technical events internal affairs bodies) is accepted by the Minister, the head of the Main Directorate of Internal Security of the Ministry of Internal Affairs of the Russian Federation, deputy heads of the Main Directorate of Internal Affairs of the Ministry of Internal Affairs of Russia, 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 Affairs of the Ministry of Internal Affairs of Russia.
by order of the Ministry of Internal Affairs of Russia dated September 22, 2015 N 903.
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Next - "GUSB 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 of Security of the Ministry of Internal Affairs of Russia or on behalf of the head of the Main Directorate of Internal Security of the Ministry of Internal Affairs of Russia or his deputy by the internal security unit of the corresponding territorial body of the Ministry of Internal Affairs of Russia.
(Clause as amended, put into effect on December 16, 2018 by order of the Ministry of Internal Affairs of Russia dated November 12, 2018 N 759.

7_1. An official inspection of an employee of the internal security unit of an operational search unit, a unit of special technical measures of internal affairs bodies is carried out by decision of the Minister, the Deputy Minister responsible for the activities of these units, the head (chief) of a territorial body of the Ministry of Internal Affairs of Russia, the head of an operational search unit or unit special technical events of internal affairs bodies by employees of these units.
by order of the Ministry of Internal Affairs of Russia dated September 22, 2015 N 903)

8. The clause has lost force since July 25, 2017 - order of the Ministry of Internal Affairs of Russia dated June 19, 2017 N 394..

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 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.
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Order of the Ministry of Internal Affairs of Russia dated August 29, 2014 N 736 “On approval of the Instructions on the procedure for receiving, registering and authorizing in the territorial bodies of the Ministry of Internal Affairs of the Russian Federation statements and reports of crimes, administrative offenses, and incidents” (registered with the Ministry of Justice of Russia on November 6, 2014 year, registration N 34570).
(Footnote as amended, put into effect on May 31, 2015 by order of the Ministry of Internal Affairs of Russia dated April 20, 2015 N 447.

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 (supervisor) specified in paragraph 5 of this Procedure does not have the right to impose, he petitions for the imposition of this disciplinary action 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”.
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Next - “the corresponding manager (chief)”.

II. Organization of an internal audit

13. The basis for conducting an internal audit is the need to identify the causes, nature and circumstances of a disciplinary offense committed by an employee, confirm the presence or absence of circumstances provided for in Article 14 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, as well as an employee’s statement.
(Clause as amended, put into effect on May 31, 2015 by order of the Ministry of Internal Affairs of Russia dated April 20, 2015 N 447.

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.

14_1. If information about the existence of grounds for conducting an internal audit is contained in electronic document or an electronic copy of the document, the order to conduct an internal audit is drawn up in the form of a resolution signed with an enhanced qualified electronic signature.
(The paragraph was additionally included from December 16, 2018 by order of the Ministry of Internal Affairs of Russia dated November 12, 2018 N 759)

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,” an internal audit is carried out within thirty days from the date of the decision about its implementation. The period for conducting an internal inspection by decision of the Minister of Internal Affairs of the Russian Federation or the manager (supervisor) who made the decision to conduct an internal inspection may be extended, but not more than thirty days.
(Clause as amended, put into effect on December 20, 2016 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.

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 corresponding 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 the internal inspection falls on a weekend or a non-working holiday, then the day of the end of the internal inspection is considered to be the next working day.
(Clause as amended, put into effect on November 6, 2015 by order of the Ministry of Internal Affairs of Russia dated September 22, 2015 N 903.

19. An employee cannot be entrusted with conducting an internal audit if there are grounds specified in.

20. If there are 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 entrusted with conducting an internal audit , is obliged to submit a written report to the relevant manager (supervisor) regarding his release from participation in the internal audit. 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 relevant manager (chief) from among the managers (chiefs) structural divisions 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, civil servants and employees of the Russian Ministry of Internal Affairs who may know any information about the circumstances to be established during an internal audit to give written explanations about them.
by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.

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

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

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

28.5. Use operational records in the prescribed manner and information systems Ministry of Internal Affairs of Russia, educational and scientific organizations systems of the Ministry of Internal Affairs of Russia.
(Subclause as amended, put into effect on September 23, 2014 by order of the Ministry of Internal Affairs of Russia dated July 2, 2014 N 559.

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. Request to 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 receive advice from them.

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

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

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

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

28.13. Submit a report to the relevant manager (supervisor) on the need to extend the period for conducting an internal audit.
by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722)

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

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

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

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

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

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

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

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

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

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

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

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

30.11. Interview employees, 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.
(Subparagraph as amended, put into effect on December 20, 2016 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722.

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. Offer, 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 within five working days from the date of the application.
(Subparagraph as amended, put into effect on December 16, 2018 by order of the Ministry of Internal Affairs of Russia dated November 12, 2018 N 759.

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 allocation of internal audit materials in relation to one or more employees in the cases provided for in paragraph 22 of this Procedure.

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

31.5. Make a decision to extend the period for conducting an internal inspection in the event of receiving a report from an employee (chairman or members of the commission) conducting an internal inspection, provided for in subclause 28.13 of this Procedure.
(The subparagraph was additionally included on December 20, 2016 by order of the Ministry of Internal Affairs of Russia dated November 14, 2016 N 722)

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 revealed facts of disciplinary offenses being 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.

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 the circumstances provided for in s.
by order of the Ministry of Internal Affairs of Russia dated April 20, 2015 N 447.

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 on the presence or absence of the circumstances provided for in Article 14 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”.
(Subparagraph as amended, put into effect on May 31, 2015 by order of the Ministry of Internal Affairs of Russia dated April 20, 2015 N 447.

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.
(Subparagraph as amended, put into effect on November 6, 2015 by order of the Ministry of Internal Affairs of Russia dated September 22, 2015 N 903.

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 14 of the Federal Law of November 30, 2011 N 342-FZ “On service in the internal affairs bodies of the Russian Federation and amendments” into individual legislative acts of the Russian Federation".
(Subparagraph as amended, put into effect on May 31, 2015 by order of the Ministry of Internal Affairs of Russia dated April 20, 2015 N 447.

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.

38_1. If the draft conclusion based on the results of an internal audit conducted in order to identify the causes, nature and circumstances of a disciplinary offense committed by an employee does not contain proposals to apply disciplinary measures or other measures of influence to him, the draft conclusion based on the results of an internal audit is not subject to approval by the personnel a subdivision of the body, organization or unit of the Ministry of Internal Affairs of Russia, whose employees carried out the internal inspection.
(The paragraph was additionally included on November 6, 2015 by order of the Ministry of Internal Affairs of Russia dated September 22, 2015 N 903)

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. The clause has lost force since November 6, 2015 - order of the Ministry of Internal Affairs of Russia dated September 22, 2015 N 903..

41. After approval by the relevant manager (boss) of 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. A 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 work 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.

Appendix to the Order. Explanation

Application

Revision of the document taking into account
changes and additions prepared
JSC "Kodeks"

When any violations are detected at an enterprise, it may be necessary to find out the various circumstances of the violation and identify the perpetrators. This procedure is called an internal investigation and is regulated by labor law.

The concept of "internal investigation"

An official investigation is a unique set of measures used to collect, analyze and verify information about misconduct in order to identify the employee’s guilt, and sometimes to identify the guilty person if this is not immediately known.

According to Art. 21–22 of the Labor Code of the Russian Federation, when signing an employment contract, the parties acquire rights and obligations. The employer has the right to hold the employee accountable for violations. But first it is necessary to establish that it was he who committed the offense and that his guilt is truly present.

Common violations subject to investigation:

Failure to perform a labor function;

Violation of official duties according to instructions;

Causing material damage.

This list is not closed; in practice, any other situation may arise in which an internal investigation will be required.

When a violation has revealed the fact of a crime, for example, theft, upon completion of the official investigation, the manager can additionally report it to law enforcement agencies.

The verification and study of materials is accompanied by the preparation of special documentation so that the employer subsequently has the opportunity to defend his case.

Internal investigation under the Labor Code: algorithm

Procedure for carrying out an investigation:

1. Creation of a commission and issuance of an order. Usually the commission consists of at least 3 people: for example, a lawyer, an economist and a personnel worker.

2. Direct work of the commission with studying all sides of the case, collecting evidence, interviewing witnesses, etc.

3. If the guilty employee is known, he writes an explanatory note.

4. Preparation of an investigation report and its signing by all participants in the proceedings.

During the investigation, mandatory points are established, without which recovery of damages is impossible:

• whether actual damage was caused and in what amount,
• Availability financial liability under Article 239 of the Labor Code of the Russian Federation,
• the presence of guilty actions or inaction of the employee,
• the presence of a connection between the actions (inaction) of the employee and the consequences that occur.

In fact, an internal investigation is a direct procedure for studying case materials that prove the guilt of the offender.

Order to conduct an internal investigation: sample

There is no standard sample order for an internal investigation against an employee. It can be compiled in a convenient form. It must include the following mandatory items:

Name of the company and its legal form;

Brief description – “conducting an internal investigation”;

Description of the circumstances that require an internal investigation at the enterprise;

Composition of the commission;

Investigation period;

Manager's signature;

The order to conduct an internal investigation is printed on the company’s letterhead. All interested parties must familiarize themselves with it and sign it.

Sample order for internal investigation

Report on conducting an internal investigation: sample

Regulatory acts do not establish a specific sample of an official investigation report. However, it must contain the required information:

Name, date and place of document preparation;

Composition of the commission;

Information about the person about whom the inspection was carried out;

Designation of the purpose of the investigation;

Circumstances identified during the inspection;

A decision about the guilt or innocence of the employee.

Additionally, the official investigation report contains an inventory of documentary evidence requested and received during the investigation. At the end of the document, the signatures of the commission, the guilty person and the date of his familiarization with the act are placed.

A properly conducted investigation will allow the organization to protect its rights in the event of the possible appeal of the employee guilty of misconduct to a higher authority.

The organization received information that one of the employees committed a violation. An internal investigation is ordered, and management issues an order to this effect. Use a sample order for an internal investigation.

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Useful example: order to conduct an internal investigation

An order to conduct an internal audit is a document that begins an internal investigation in a private company or government organization. The company management issues such an order if information is received about:

• shortages identified during the inventory;
• loss of any company property or personal property of an employee;
• disclosure by an employee of confidential information;
• various disciplinary violations;
• incidents of a different kind.

The company needs to find out what happened and identify the surrounding circumstances. The procedure for such verification is enshrined in a special local act - the regulation on internal audits. It prescribes the procedure for conducting an investigation, the powers of the participants, etc. They also indicate that the director or other person signs the order to conduct an official investigation. The proceedings begin with the publication of this document.

The law does not have special requirements for the form of the document. An order for an internal investigation is drawn up in free form. In the introductory part indicate:

• full name of the company,
• requisites,
• date and place of compilation,
• Document Number.

The main part of the order for internal inspection lists:

1. The reason for the proceedings. For example, “due to official needs.”
2. The essence of the procedure. For example, “conduct an official investigation into a violation labor discipline employee (Name and position)».
3. The composition of the commission that will deal with the proceedings. They write here that a special commission is being appointed to conduct an investigation. They also indicate which of the company’s employees will be included in its composition. For example, “the head of such and such department (FULL NAME), HR department employee (FULL NAME)».
4. How will the results of the inspection be recorded? At the end of the investigation, the commission must issue a special act reflecting the results.
5. Verification period. The director of the company determines the period during which the investigation must be conducted and sets a date for the commission to sign a report on the results of the inspection.
6. Who controls the execution of the order to conduct an internal audit. For example, the document may contain the wording “I entrust control over the execution of the order to the employee (Name and position)».

Also, the order, if necessary, notes what measures to take in case of specific results. For example, if documents are missing, but they could not be found, make efforts to restore them.

The final part of the document must contain the signature of the director of the company on whose behalf the order is drawn up. The commission members mentioned in the order must also sign. It should be noted in the document that they have read the contents.

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When is a service audit needed?

Verification is necessary when one of the employees commits a disciplinary or other violation. The procedure is carried out in accordance with the provisions labor legislation(). A commission appointed by order will investigate the circumstances of the violation. The commission's tasks are to establish the details of what happened. Based on the results of the audit, the employee’s actions will be classified as:

• disciplinary offense
• offense,
• crime.

Measures against the violator will be taken in accordance with this qualification. But regardless of the nature of the crime, the conduct of an official investigation is subject to general scheme identifying disciplinary violations. The company needs a local act on the procedure for conducting such inspections. It is published in advance; the document reflects the features of the procedure. Conducting an internal audit consists of several stages:

1. When the company receives information about the incident, the violation is recorded.
2. Based on the facts, a decision is made to check.
3. The employee is asked to explain what happened. At the same time, an order is issued to conduct an internal inspection.
4. The commission is conducting an investigation.
5. The results are documented in a special act. If the inspection does not confirm a violation, this is also noted in the report.
6. Decide what measures should be taken against the offender. For example, reprimand, seek damages, or dismiss for defamatory reasons.

During the inspection, you must follow the established rules for its conduct. In particular, issue an order in a timely manner.

Attached files

• Order to conduct an internal investigation.doc

Order on internal investigation- an executive document by which the management of the enterprise authorizes officials to check for violations. This is the only legal basis for investigating incidents in an organization.

Employees appointed by order of the manager conduct an investigation, identify the perpetrators and calculate the amount of damage. Based on the results of the inspection, a punishment is assigned.

Upon registration employment contract with a new employee, the administration of the enterprise includes a section in the agreement with job responsibilities persons, as well as a list of violations for which legal and disciplinary liability may occur. A complete list of circumstances is recorded depending on the specifics production process.

Most often, an internal investigation against an employee is carried out in connection with:

• damage to company property, which is associated with material damage;
• violation of the integrity or quality of goods and other assets of the enterprise used for trading activities and making a profit;
• non-compliance with working hours or evasion of work duties;
• failure to comply with the secrecy regime.

A list of possible violations is compiled depending on the position. For example, directors of enterprises may also additionally be responsible for negative results of the production process or a drop in profits, which is associated with the inability to organize workers at the enterprise.

An order to conduct an internal audit (a sample can be downloaded below) is prepared within a limited time frame. The maximum period for bringing perpetrators to justice is four months. The dismissal of an employee is not grounds for canceling a penalty.

Prosecution for damage to corporate property or other violations is associated with the restriction of the rights of the violator, therefore, special attention should be paid to the procedure for organizing an internal audit.

Preparing an order to organize an official investigation is a right, not an obligation. Therefore, the manager independently decides whether it is advisable to punish specific person for the identified offense.

Labor law provides for the following procedure:

1. Identification of violation. Any official of the enterprise who prepares a memo to the head of the company can establish the fact of misconduct. Together with the report, an Act on the identified misconduct is submitted, which is signed by at least three employees of the organization.
2. Based on the received message, the chief prepares and issues an Order to conduct an internal investigation. The document contains the responsible persons, the timing of the inspection and a list of activities.
3. Within 24 hours, a special commission is formed that considers the circumstances of the offense and its consequences for the proceedings.
4. Obtaining an explanation from the employee. The employee may refuse to provide explanations. In this case, an Act is drawn up, which states that the employee does not want to justify his actions in writing or orally.
5. Organization of a commission meeting at which the final decision on prosecution is made. It is mandatory to take into account the opinions of all participants.

The completed decision is sent to the manager for review and receipt of a resolution to implement the penalty.

Rules for forming a commission

In total, there must be at least three members of the commission who are not interested in making a specific decision on the dispute. Includes:

• firm lawyer;
• Security Council representative;
• accountant;
• two ordinary employees.

The chief can also be a member, but this is not a mandatory condition.

Recording the results

The decision is formalized in two documents. Namely:

1. Conclusion of the commission meeting (contains a detailed description of the identified circumstances, the amount of damage caused, the perpetrators, the consequences of the offense for the enterprise);
2. Order on the application of disciplinary measures.

The first document is drawn up by the convened commission and signed by all its participants. The second is prepared by the secretary of the head of the company on behalf of the boss. The manager signs the Order and submits its original for registration in a special Journal. After this, the paper is sent to the personnel department to enter information into the personal file.

If the punishment is associated with monetary encumbrances, then another original order is sent to the company’s accounting department.

The application of disciplinary liability standards does not exclude the additional application of administrative, criminal or civil sanctions.

As noted above, it is possible to bring the perpetrator to justice only for a limited time. Thus, the employer is authorized to issue such orders no later than four months after the commission of the offense.

Interestingly, the employee himself can file a complaint against illegal actions of management only within 30 days.

This difference is due to the fact that violations by employees cannot always be identified in a timely manner, and therefore it is possible to hold accountable even those persons whose contract has long been terminated.

The deadlines may be extended if during this period the potentially guilty person was on vacation or sick leave. Inspection in absentia is not permitted.

Requirements for placing an order

The legislation does not provide for a unified form of the Order, therefore, at each enterprise, orders from managers are prepared based on the specifics of their business. labor activity. The document must include the following mandatory details:

• legal address and name of the company where the internal investigation is being conducted;
• Date of preparation;
• place of registration;
• date and signatures of responsible persons.

The document must include the following categories of information:

1. grounds for conducting an inspection (memorandum of a specific official);
2. the need to convene a commission and its composition;
3. a list of activities to be carried out for a comprehensive study of the circumstances of the offense;
4. rules for recording results;
5. deadlines for conducting the investigation;
6. responsible person to whom supervisory functions are delegated.

The order is subject to mandatory execution by all participants. The guilty citizen himself must read the contents of the Order against his signature, which indicates his familiarization with the decision made and confirms his agreement with it. At this stage, the employee may refuse to sign, about which a report is also drawn up.

If the Order is issued in violation of the established procedure or the penalty is imposed illegally, then the employee whose rights have been violated can apply to the commission for labor disputes to cancel the punishment and organize a re-investigation. If the conflict has not been resolved within a week, then you will have to deal with statement of claim to court.