Act on refusal to write an explanatory note - Sample, 2021 form

Explanatory letter

It is very difficult to overestimate the importance of an explanatory note, since it allows the head of the company:

• better understand the motives for which a particular violation was committed;
• more accurately determine the degree of guilt of the employee.

As a general rule, an explanatory note does not guarantee release from punishment. But in some situations, when a violation of discipline is associated with good reasons - illness of a relative, unforeseen circumstances, etc. (which can be documented) - disciplinary action cannot be applied.

Also see “Example of an explanatory note about a work error.”

Decor

The essence of the explanatory note is to explain to senior management the reasons for non-fulfillment of the order, violation of technological or The details must necessarily indicate: the full name of the organization, full name of the manager to whom the note is addressed, name (“Explanatory Note”), registration number of the document and its date compilation, a small subtitle to the text itself (“Concerning...”, “About...”), full name of the compiler. Next comes explanatory text and a personal signature. The structure of the explanatory text should be divided into two parts: factual (indicating the facts that led to the writing of the note) and explanatory (indicating the reasons explaining the situation or the very fact of the violation). It should also be noted that the details of the official and explanatory notes are similar.

Why do we need an act of refusal to write an explanatory note?

The presence of a document on refusal to give an explanation proves:

• guilt of the company employee;
• his lack of remorse for the violation committed.

Such an act allows the company management to legally take measures to punish the violator of labor discipline.

Disciplinary sanctions may be imposed in the form of:

• comments;
• reprimand;
• dismissals.

The type of penalty applied is prescribed in a separate management order. The more serious the violation, the more serious the punishment for it.

Also see: Reprimanding Foul Language at Work: Keeping Civility Safe.

The employee’s explanations regarding the violations he committed play an important role in the penalty procedure. However, employees of the enterprise have every right (for example, if they believe that this will directly or indirectly prove their guilt) not to give an explanation. And they actively use it.

As a rule, the employee’s explanations are made in writing in one or two copies. They must be signed by both parties.

Management is given 2 days to request an employee of the enterprise to provide an explanation regarding the violation. If an explanatory note is not submitted within the specified period, the organization is obliged to draw up an act on the employee’s refusal to give explanations.

It is important to understand that if an employee of an enterprise is found guilty and is given a penalty in the form of dismissal, he has the right to file a lawsuit to challenge this decision. Therefore, in this situation, a competently drawn up act and signed by 3 persons:

• will serve as direct evidence that written explanations were requested from the company employee, but he refused to provide them to his management;
• will mean that the imposition of a penalty in the form of subsequent dismissal of the employee was carried out in accordance with the current legislation of the Russian Federation.

Thus, the drafted sample act of refusal to write an explanatory note in itself in no way affects the application of a disciplinary sanction to the violator of labor discipline. However, without written explanations from the employee, management does not have the right to immediately punish him.

Also see “Failure to fulfill official duties and dismissal under the article.”

In what cases can an act be drawn up?

If the employee’s incorrect actions led to the employer receiving certain damage. Most likely, in this case, a decision will be made to compensate the employee for damages. The main stage of investigating what happened is to determine the reasons that led to the occurrence of this situation. But for this you will need to obtain written explanations from the culprit. It is possible that the facts stated in them will become a mitigating factor.

Why is the act needed?

With normal relations between employee and employer, no problems arise. Usually, at the first request, the employee gives written explanations of his actions. But there are situations in which things are different. For example, the guilty employee does not make contact at all, and naturally does not want to give an explanation. He may not even sign the waiver. In this case, the employer is recommended to read the drafted act out loud in front of witnesses. If the case goes to trial, the employer will be able to prove that the employee was familiar with the document.

(Video: “7 questions for a lawyer. Explanatory note if you are late for work”)

Who composes?

Since the law does not regulate the process of drawing up this document, the members of the commission are appointed exclusively by the head. This could be a secretary, a lawyer, ordinary workers. As for the specific hand that will directly fill out the act, there is no fundamental difference. Both the chairman of the commission and any of its participants can enter information into the document.

Requirements for the act

Any types of violations committed by employees at the enterprise must be reflected in a special document - an act. Thus, the act of refusal of an explanatory note is drawn up by the immediate supervisor of the violator with the participation of at least 2 persons - employees of this organization.

There is no generally accepted form of an act of refusal to give explanations. But it must contain the following information:

• Title of the document;
• on what basis was the act drawn up;
• information about the employee who refused to submit an explanatory note - full name, position held, department;
• information about the commission in whose presence the act of refusal to give explanations was drawn up (see sample below). The commission must consist of at least 3 people: all of them are company employees and the employer/immediate supervisor of the structural unit. It is also necessary to indicate the full name and position of the commission members. If the organization has a trade union body, then its representative must be a member of this commission;
• a detailed description of the violation of labor discipline that occurred;
• link to Part 1 of Art. 193 of the Labor Code of the Russian Federation, according to which the company’s management has the right to receive explanations from the employee;
• if an employee of the organization indicated the reason for his reluctance, then the sample act on the absence of an explanatory note prepared by the commission should reflect this fact;
• a note that the document is drawn up in 2 copies, one of which remains in the archives of the enterprise, and the second is given to the employee;
• date of document preparation;
• position and signature of the person who directly drew up the act.

Any ready-made sample act of refusal to write an explanatory note need not be sealed. Legislatively, since April 2015, legal entities have been exempt from the need to apply their official stamp on such documents.

The following shows a completed sample of an act of refusal to provide a written explanation:

Read also

29.09.2018

Form

As a rule, developing a template for drawing up such a document is the responsibility of the employer himself.
Although the law allows you to draw up an act in a free style. All the important details are displayed here:

• Actions that need explanation;
• the very fact of refusal to give any explanation is indicated.

Naturally, the act must contain information about the company and its director. Information about the employee in respect of whom the report is being drawn up is also indicated. The members of the commission are also listed here. You can often encounter a situation where an employee does not want to sign the drafted document. This also needs to be shown in the document. In addition, you can additionally draw up a new act related to the employee’s refusal to sign the original act.

The role of explanatory

As you might guess, with any unusual behavior of his subordinate, the manager wants to receive intelligible explanations.
Often, an employee does not wait for the director’s request, but independently wants to explain why he did what he did. After reviewing the explanations provided by the employee, the manager determines how guilty the employee is and chooses a punishment for him. But you can often encounter a situation where there are good reasons for certain actions. For example, these could be unexpected illnesses or circumstances that the employee could not influence. As a rule, the employee attaches documents confirming the reason to the explanatory note. In such situations, the director cannot take disciplinary action.

( Video : “How to write correctly and submit an explanatory note to your boss.”)

Document text:

Name of the organization Act ________________ N _______________ Place of drawing up Refusal to provide a written explanation Compiled by _______________________________________________________________ name of the position, name of the structural _________________________________________________________________ unit, initials and surname of the employee who drew up the act Present: 1. _________________________________________________ name of the position, name of the structural _________________________________________________ unit, initials, surname 2. _________________________________________________ name of the position, name of the structural _________________________________________________ unit, initials, surname _____________________________________________________________________ title of the position, name of the structural ________________________________________________________________ unit, initials, surname of the employee refused to provide written explanations __________________ (essence of the issue) _____________________________________________________________________ His refusal to provide written explanations _________________________________ surname, initials) motivated _________________________________________________________ _____________________________________________________________________ Contents of this We confirm the act with personal signatures: Signatures Explanation of signatures This act is drawn up: Signature Explanation of signature Note. The act is signed by one of the members of the commission that conducted the official investigation, and two other persons who were present when they refused to give written explanations.

Why is the document needed?

The document in question has an evidentiary function. For example, an employer has the right to determine the highest disciplinary measure - dismissal - if it comes to the conclusion that the employee is solely to blame for violations on the part of the employee. However, a citizen has the right to appeal such a decision in court. But if an employee, during a disciplinary violation, ignored the requirements to write an explanatory note, and the director has documents confirming the fact of his refusal, the court will take the employer’s side.

Thus, the act of refusal to provide a written explanation proves the following:

• The employee’s guilt in what happened;
• The citizen’s lack of remorse for what he has done;
• An employee’s attempt to hide the fact of his own involvement.

Important! The drafting of the act in question does not in any way affect the taking of disciplinary measures against an unscrupulous employee. However, without written confirmation of the employee’s refusal to issue an explanatory note, the employer is not authorized to establish a punishment or penalty against him

Who compiles and how to apply?

In accordance with the Labor Code of the Russian Federation, the violator is given 2 working days to draw up an explanatory note. If the director of the enterprise again receives a refusal, he is authorized, in the presence of the violator himself and two more employees (corporate commission), to draw up a corresponding act.

The legislation provides for the following requirements for drawing up an act of refusal to provide a written explanation:

• The presence of third parties during the execution of the document is mandatory. Otherwise, the document has no legal force;
• The act of refusal shall be drawn up exclusively in writing. The operation of printing equipment is permitted as an exception if such a clause is included in the regulations of the internal Charter of the enterprise;
• The document in question is drawn up on the standard letterhead of the enterprise, otherwise - on offset paper in A4 format;
• This act of refusal is signed by all persons present at its immediate execution.

The corporate document under consideration must necessarily contain the following items:

• The legal name of the company or enterprise where the offender works;
• Details of the legal entity and contact details (number, telephone); Company name or logo (if this document is drawn up on the company’s standard letterhead);
• Name - “Act of refusal to provide a written explanation”; Full name (without abbreviations and initials) and indication of the current position of the offender;
• The name of the subject of the Russian Federation on whose territory the act was drawn up;
• Date in day/month/year format and time of registration;
• List of persons included in the corporate commission. The director acts as its chairman;
• An indication that on a certain date the above-mentioned employee was asked to provide a written explanation in connection with the violations presented, but the response was refused;
• Providing a list of reasons for disciplinary violations on the basis of which an explanatory document was required;
• Notice that the employee was given 2 days to think it over, during which he did not reconsider his refusal to provide a written explanation of his misconduct;
• An indication of the article of the Labor Code of the Russian Federation, on the basis of the regulations of which the penalty imposed on the employee in question is determined;
• Confirmation by the guilty citizen of the fact of familiarization with this act, sealed with his personal signature;
• Signatures of the commission members with transcript (initials and full name), date of review;
• Indication of the number of copies of documents;
• Director's signature and company seal.

This document must not contain deliberately false information or personal information about the employee that is not directly related to the present case. Otherwise, the act of refusal to provide an explanatory note is abolished, and the responsible person is held accountable.