Why do we need an official investigation report? The activities of an enterprise or organization are always regulated. The relations of the employee and the employer are within the legal framework, and all their actions of legal significance are subject to fixation.
general information
Under official investigation refers to the activities of officials of the organization aimed at identifying the causes of the violation, as well as other data related to it. The information collected is used, for example, as a basis for recovering damage from an employee or his dismissal. The TC only makes reference to an official investigation; normative acts do not establish any detailed regulation. The same applies to the act itself.
The introduction of a departmental form distributed within the framework of one organization is not excluded.
Compilation cases
In what cases is an official investigation report drawn up? Violations in the organization’s work entail both material damage and a blow to the reputation, which is much more serious. In addition, the write-off of material assets, the imposition of monetary sanctions on the employee is carried out through accounting. And the act of internal investigation cannot be called a document of little importance.
The act is drawn up in case of:
- losses identified during the inventory of property;
- Complaints from employees or customers
- violation of internal regulations, job regulations, instructions;
- violation of acts adopted by the employer in various fields (for example, in the field of fire safety, disclosure of trade secrets);
- causing material damage;
- commission of commercial bribery or participation in it;
- other violations that occurred at the enterprise.
This is not to say that there is some kind of approved list. Companies and organizations may adopt an internal document that lists cases of mandatory proceedings, and has approved its own form of official investigation report.
Mandatory
It is mandatory if the employer wishes to apply the sanctions provided by law. If the case concerns public servants, judges, prosecutors, persons in the military service, an official check is appointed against them. Without its results, the application of punitive measures in accordance with the law is impossible. The only exception is the application of the Code of Administrative Offenses or Criminal Code.
The procedure for conducting an audit and a sample of an official investigation report are adopted at the departmental level in the form of internal regulations.
Commission Appointment
An internal investigation is conducted on the basis of an order from the head of the relevant unit or from the person heading the organization. The reason for issuing the order may be an event, the identification of violations, etc. They, as a rule, have already been drawn up and recorded in documents, for example, an act of non-attendance or an order and an act of taking an inventory.
The procedure is handled by a special commission. Its composition is noted in the order. Employees are selected based on specialization and skills. If additional assistance is required, an outsider is involved, for example, an auditor or a specialist in the field of finance or another field. The law does not prohibit such actions.
An employee who is at least indirectly related to the misconduct is not included in the commission.
What does the procedure look like
The commission communicates with employees, takes other measures to collect information. Material for her work are:
- explanations of the guilty person and other employees;
- official and memos;
- orders for the enterprise;
- expert opinion;
- materials compiled during the inventory, other inspections;
- other documents confirming the guilt of the employee.
Part of the materials are notifications to employees about the need to provide explanations with a list of questions that need answers. Receipts of refusal to receive it are selected. If the employee refuses to answer questions, including the culprit of the incident, a separate act is drawn up.
All materials are recorded in a special journal and certified by the secretary of the commission or other responsible person.
Then the form or sample of the official investigation report is already filled out.
What information is reflected in the document
An act of internal investigation at an enterprise is a legal document, and the prospect of a lawsuit against the enterprise by the employee cannot be discounted, especially when it comes to dismissal or other serious consequences. What is fixed on paper?
- the essence of the violation;
- material damage assessment;
- the causes and conditions that led to the misconduct;
- the person guilty of an act;
- degree of guilt;
- circumstances aggravating and mitigating guilt;
- measures which, in the opinion of the commission, are sufficient to punish the perpetrators;
- a set of measures proposed to eliminate similar incidents in the future.
A sample internal investigation report at an enterprise may not include the last paragraph, which is not entirely correct.
What does the act look like?
The structure of the document is approximately as follows:
- place and date of compilation;
- document the basis for drawing up the act;
- transfer of members of the commission;
- further information specified in the previous section;
- Appendix - copies of documents that were used or drawn up during the audit;
- signatures of members of the commission.
In the final part of the document, a note is made on familiarizing the person involved with the verification materials and its results.
A sample internal investigation report at an enterprise may look a little different, for example, it includes additional sections.
Allocated space for the press and signature of the official approving the results of the commission. Usually, it is either the director or another authorized person who does not participate in the proceedings.
Carrying out a check during an accident
Road safety obliges organizations and individual entrepreneurs to identify the causes of accidents and traffic violations, in which the driver who worked in the organization or with the person concerned took part. The activities of the commission are regulated by order No. 49 of 1990, adopted by the Minavtotrans of the RSFSR.
What is noted in the act of official investigation of an accident?
- identification of the circumstances and causes of the incident;
- identification of violations of regulatory documents and local acts of the enterprise;
- taking measures to prevent the recurrence of such incidents in the future.
The act should be completed on the official form so that there are no problems with the supervisory authorities.
Finally
The act of verification is an official document, which then serves as the foundation for sentencing - from recovery to dismissal. Despite the lack of forms and the regulation of official investigations, significant experience has been accumulated in this area.
The exception is accidents, the check is carried out in order to complement the activities of the police with preventive purposes.