Rules for the transfer of cases upon dismissal of an employee. How to properly transfer cases upon dismissal

Often employers before dismissal require to transfer cases to a new employee. The referral process is not mandatory. By general rule the employee is not obliged to hand over the affairs to his successor. At the same time, if the employment contract, local regulations provide for such an obligation, its failure to fulfill it is a disciplinary offense.

1 st. 192 of the Labor Code of the Russian Federation).

In some cases, it is mandatory to draw up an act of acceptance of cases, regardless of whether the obligation to transfer cases is provided for by an employment contract or a local regulatory act or not. In particular, such an obligation is provided for when the chief accountant is dismissed (clause 6 of the Regulations on Chief Accountants, approved by Decree of the Council of Ministers of the USSR of 01.24.1980 N 59).

But even if the procedure for the transfer of cases is provided for by a regulatory legal act, an employment contract or a local regulatory act, it should not prevent the dismissal of an employee. The date of dismissal is determined by law or by agreement of the parties and cannot be shifted depending on whether the employee transferred the case to his successor or not.

Example. The employee wrote a letter of resignation own will. The last day of work and the day of dismissal is September 28th. Under the terms employment contract the employee is obliged upon dismissal to transfer the affairs to the successor, if it is determined no later than five working days before the day of dismissal. Until the day of dismissal, the procedure for the delivery and acceptance of cases is not completed. However, the employer must formalize the dismissal on September 28.

Example. The employee and the employer agreed to terminate the employment contract by agreement of the parties on April 20. The corresponding document was signed. After that, the employee proceeded to transfer the cases to the successor. Delivery has been delayed. On April 20, the employer proposed to postpone the date of dismissal to April 25. The employee refused and after April 20 did not come to work. The employer issued a dismissal only on the 25th.

In this case, the employer should be responsible for the delay in processing the dismissal of the employee.

Example. Chief Accountant wrote a letter of resignation. The next day he fell ill and did not go to work. The termination notice expired before the employee's recovery. The employer will have to formalize the dismissal without signing the act of acceptance of cases.

In addition to the obligation to transfer cases to a new employee, employment contracts and local regulations must include a condition on the obligation to accept cases from the resigning person in case of acceptance or transfer to the appropriate position.

Only a person with whom an employment contract has already been concluded can accept cases. Otherwise, there are no grounds for the successor to sign the act of acceptance of cases. In the same time new employee, accepting cases, performs some obligations under an employment contract and has the right to demand payment for work.

When transferring another employee to the position of a retiring employee, the procedure for handing over and acceptance of cases is carried out on the basis of an agreement on the transfer to another job (Article 72 of the Labor Code of the Russian Federation). If the acceptance of cases is carried out outside the working day or on weekends (holidays), the employee accepting cases as part of the transfer to another job and the employee leaving are entitled to additional payments provided for in Art. Art. 152, 153 of the Labor Code of the Russian Federation.

Employers will have to develop the features of the acceptance procedure for cases themselves. Standards can be taken as a basis legal acts, which in different years a procedure was established for the delivery and acceptance of cases for certain categories of workers (see, for example, the Instruction on the procedure for the acceptance and delivery of cases by chief accountants (senior accountants with the rights of chief accountants) of centralized accounting departments (accounting departments), institutions, enterprises and organizations of the system of the USSR Ministry of Health, approved Ministry of Health of the USSR 28.05.1979 N 25-12/38).

More on the topic 1.4. Work Transmission:

1. 4.2. Arbitration court: potential, review of arbitration courts of the Russian Federation, specifics of the case, examples of arbitration clauses. Transfer Restrictions. Consideration by the arbitration court of disputes from loan agreements and on foreclosure on the subject of mortgage. Transition of the arbitration clause upon assignment of rights
2. 62. Procedural order of consideration of cases on administrative offenses.
3. 64. Consideration of the case by way of supervision in the Presidium of the Supreme Arbitration Court of the Russian Federation, powers of the Presidium.
4. 35. Territorial jurisdiction and its types. The procedure for transferring a case from one court to another court.
5. The concept and types of jurisdiction. Types of territorial jurisdiction. Consequences of non-compliance with the rules of jurisdiction. Transfer of cases to another court.
6. Ticket number 31 1. The consequences of non-compliance with the rules of jurisdiction. Transfer of a case to another court.
7. The order of appeal and consideration of cases in the European Court of Human Rights. Acts of the Court and their execution.
8. Suspension of court proceedings on a case, execution of a court decision

- Copyright - Advocacy - Administrative law - Administrative process - Antimonopoly and competition law - Arbitration (economic) process - Audit - Banking system - Banking law - Business - Accounting - Property law - State law and management - Civil law and process - Monetary circulation, finance and credit - Money - Diplomatic and consular law - Contract law - Housing law - Land law - Suffrage law - Investment law - Information law - Enforcement proceedings - History of state and law - History of political and legal doctrines - Competition law - Constitutional law - Corporate Law - Criminalistics - Criminology - Marketing -

When leaving the service at will or dismissal for any other reason of the chief accountant or other financially responsible person, this may cause a disruption in the work of a subsidiary or the entire enterprise. In order to insure and reduce the possible consequences, they try to document and transfer cases, even if there is no replacement for the leaving employee yet. In this article, we will try to consider what constitutes an act of transfer of cases upon dismissal and how it should be correctly drawn up.

In existing legislation Russian Federation practically nothing is mentioned about the organization, any actions whatsoever, at the time of the dismissal of the chief accountant or just an ordinary financially responsible employee of an enterprise or its branch. In this regard, the head of the enterprise establishes the necessary package of documents independently. However, as a rule, at the same time, an act of acceptance of the transfer of documents upon dismissal and a number of additional documents are necessarily created:

1. Registration of an order for acceptance - transfer;
2. Carrying out a complete inventory, as forms strict accountability, and assets, liabilities;
3. Performance full check accounting;
4. Actually, the product of the transmission itself;
5. And in conclusion - drawing up and signing by the parties of the act of acceptance - transfer of cases.

When at the time of dismissal of the employee is taken new employee all responsibilities are transferred directly to him. If a new employee is not accepted to fill a vacant position, then all cases and functional responsibilities resigning fall on another working employee, or on the director of the branch with additional, necessary duties and powers assigned to him. All appointments must be strictly accompanied by orders or instructions for the enterprise or branch. At the time of acceptance vacant position new employee, the cases and duties performed by the previously replacing employee are transferred to him. I would like to note that the transfer of all cases should take place on the day a new employee is hired.

The act of transferring cases is also drawn up due to the dismissal of an employee, when transferring him to another job, etc. The basis for the preparation of this act is various administrative business papers on the reason for the acceptance - transfer of cases. An act is drawn up by the members of the commission, the full composition of which is appointed and approved by a special order of an authorized person of the representative of the management of the enterprise, if it is a branch or by the head himself. Full list all the names of the members of the appointed commission and the people present at the time of the transfer of cases are announced in the act, according to alphabetical order. In the accompanying text of the act, all the work done and the actions that have taken place are transmitted in the most detailed way.

Usually, the act of accepting the transfer of cases upon dismissal has a list of certain, specific items. The total number of copies of the act is determined by the number of parties involved. Additions that accompany the act are filled in in the form of additions to the act.

The act of acceptance of the transfer upon dismissal is fixed by signatures, representatives of the receiving and surrendering parties, the signature of the chairman of the commission and all members of the appointed commission. Finally, it is submitted for approval to the head of the enterprise.

Documents included in the act of transfer of cases upon dismissal

The act itself contains whole line related documents, including a link to the order to transfer cases upon dismissal, as well as a list of working documents showing the full circumstances financial accounting organization, or, as a variant of the audit.

At least a certain number of people in the enterprise are directly interested in drawing up and signing the act. These include: the head of the enterprise itself, the person who leaves the enterprise, and the person who gets a job at the vacant workplace.

The act of acceptance and transfer of documents upon dismissal, in its essence, does not have any clearly established rules for its preparation. According to the legislation of the Russian Federation, there is no special, definite form for compiling this document. Most often, the act looks like a regular accounting inventory of certain cases. By and large, these include the following documents:

• Accounting system adopted at the enterprise;
• Movement accounting Money for the enterprise (correct completion and maintenance of certain accounting documents - checkbook, cash book, etc.);
• Documentary confirmation of the resulting monetary transactions, for example: checks, bills of exchange, postage stamps, etc.;
• Proper conditions for storing funds at the enterprise, timely registration of incoming cash;
• Correctness of filling out and maintaining contracts, acts of reconciliation of mutual settlements, bank statements;
• Classification of the state of depreciable property;
• Accounting for various material assets and the relevance of the inventory, and the use of its results in the accounting report of the enterprise or branch;
• Conducting settlements with employees of the enterprise, execution of employment contracts, the relevance of payment of wages to employees, staffing etc.;
• Submission of the enterprise's accounting report to the tax authorities within the specially allotted time;
• Maintenance and storage of various additional accounting documentation.

During the transfer of cases, a commission is convened, whose representatives discuss the act and the documents accompanying it and the auditors' additions. After that, the document is endorsed with the signatures of the leaving employee and the newly hired employee, as well as representatives of the commission and the head of the organization.

The number of questions that arise during the transfer of cases is entirely determined by the size of the enterprise and the functions of the person leaving. The responsibility of the manager is to create conditions for the transfer of cases.

Order on the transfer of cases upon dismissal

The transfer of cases is carried out on the basis of an order issued by the head of the enterprise. When the transfer of cases and the dismissal of an employee occurs in a branch, the order can be issued by the head of the main branch or the head structural unit. The order usually states:

• The reason why the reception is carried out is the transmission, and the time period for the transmission itself is also set;

• Determined responsible person which is responsible for carrying out the transfer of cases and their reception;
• The composition of the commission is approved, the chairman of the commission is approved;

• A time period is assigned for which the act of acceptance and transfer of cases upon dismissal will come into force.

The handover period is usually set no later than the date of termination of the employee who relieves himself of responsibility. Most often, if an employee wishes to quit of his own free will, then the employment contract is terminated within two weeks from the next day of writing the letter of resignation. Therefore, the referral period can last up to fourteen days. But it should be taken into account that Labor Code The Russian Federation allows you to terminate the contract without waiting for the expiration of a two-week period, by agreement of the parties (Article 80 of the Labor Code of the Russian Federation). Then the document on acceptance - transfer should take place in a shorter time.

The procedure for the transfer of cases is inevitable when employees of all ranks are dismissed: from ordinary employees to managers and personnel officers.

Unfortunately, this procedure rarely takes place peacefully, without mutual claims and insults.

In such a conflict, two sides are involved: the person who receives the cases, and the person who transfers them.

Most often, as practice shows, employees express dissatisfaction not with the very fact of the transfer of cases, but only with the way this process is organized.

How to act, what is the plan and procedure for the procedure, is it necessary to develop a provision on the transfer?

Let's define the purpose of the transfer procedure. The purpose is that the resigning person thus informs surrounding former colleagues about the state of work affairs at the time of his dismissal.

Thus, the employee, as it were, carries out a report on the work and at the same time gives his reasonable recommendations, instructions and tasks to the person appointed as his successor.

Employee leaving leadership position, who bears material property liability, transfers to his receiver:

• legal framework;
• documentary base;
• material base.

Important! According to the law (part 1, article No. 192 of the Labor Code of the Russian Federation), the procedure for transferring cases is not mandatory.

But in the event that there is an employment agreement providing for this procedure, then ignoring it is regarded as a disciplinary offense.

Most managers include in the employment agreement a clause obliging, in the event of dismissal, to transfer cases.

But, it should be recognized that this paragraph refers to the party leaving the company and therefore does not make much sense.

Sample Plan

Russian legislation does not provide for a procedure called “Transfer of cases upon dismissal”.

But the worker holding a responsible administrative or material position must still carry out this process. According to the transferred cases, the manager will be able to judge their condition.

Do not forget! Obligations of employees are governed only by the conditions labor agreement(or labor instruction), according to art. TK RF.

The dismissal process includes the following steps:

1. Writing by an employee resignation notices.
2. Issuance of an order on behalf of management regarding the appointment of an inventory of cases and property issued to a departing employee.
3. Implementation inventory process.
4. Comparison of the results obtained upon verification with the original data.
5. Implementation of the transfer of cases either to an authorized person or to a new employee.
6. approval and signing the act of acceptance and transfer.
7. Final settlement with the departing employee.

For convenience, a documented version of the handover plan may be created and may include:

Is it necessary to develop a regulation?

The answer to this question is definitely yes, despite the fact that the process of transferring cases is, in fact, a formality that is not always followed in a company.

But at the same time, there is a list of key positions, in relation to the dismissal of which requires a formal order (order) and a plan for the transfer of cases:

Keep in mind! Upon dismissal of such an employee, the company publishes. This order, regardless of the position, must be issued strictly before the day of termination of the employment agreement.

After termination, former employee will not be obliged to visit his former place of work and spend personal time on other people's business.

The universal sample order for the transfer of cases must contain:

• Date and place of compilation.
• Grounds for issuing an order.
• Indication of the position, name of the responsible persons.
• Other important points.
• At the end - the visa of the head and the seal.

Procedure for the departure of a director

The dismissal of the head is a phased procedure, a key component of which is the transfer of affairs to the new management.

One document can be taken as the legal basis of the procedure is the Law of 1990 “On Banks and Banking Activities” No. 395 - 1.

The general director (head) of the company is the person who liability.

Therefore, before transferring cases, make a property inventory.

Required in 2018 drawing up an act of acceptance and transfer.

Important! The act of acceptance - transfer should be as detailed as possible.

According to this act the transfer of the originals of the following documents is audited:

• constituent documentation;
• bank documentation;
• documents confirming the company's rights to own property;
• license package and other permissive documentation.

Note! In accordance with the inventory, which is attached to the act of acceptance - transfer, new leader accepts from the hands of the former: stamps and seals, keys to safes and bank cells, company values, equipment and all contact information for partners.

The procedure for drawing up the act should be carried out by a special commission. It includes employees of the company holding responsible positions.

Upon termination of the contract with the chief accountant

The chief accountant bears a colossal measure of responsibility, therefore the law regulates the process of transferring accounting cases from a departing specialist to a new one.

Starting from 2011, according to the law of the Federal Law of the Russian Federation "On Accounting" No. 402, an accountant must keep records and generate all financial statements.

Upon dismissal, it is reasonable to assume that he will transfer all cases to his successor in detail on the basis of. But in 2018 The employer has no right to demand this from the accountant.

Therefore, often use one true and proven way: accept for the period of working out the former assistant specialist. This assistant, being next to the accountant, delving into all matters, automatically accepts them.

Read more about the dismissal of the chief accountant .

If the MOL leaves

The order of the management to dismiss the financially responsible employee is the reason for the audit. The revision process includes the following steps:

The procedure for transferring property values ​​from a previous employee to a new one must be accompanied by an act of acceptance and transfer. The act is endorsed by two parties:

• Outgoing employee.
• New employee.

Keep in mind! After the act is endorsed, the contract with the previous employee on his liability loses all force, and responsibility passes to the new specialist.

The transfer of valuable property must be carried out within 14 days- during the working time. Keeping and not releasing an employee who wants to quit, even while maintaining his salary, is considered illegal.

More about the dismissal of a materially responsible person and transfer of property at the same time.

Useful video

On the rules for the transfer of cases upon dismissal of the chief accountant and the procedure for taking up the position of a new employee, is described in this video:

findings

Recall that the main thing that should not be forgotten is that it is illegal to force the transfer of an employee’s affairs after the end of his working day or after the immediate dismissal.

For this reason, it is necessary to order the acceptance - transfer of the documentary base in advance, without reference to the date of entry to work of a new employee.

It should also be remembered that it is impossible to require mandatory participation in the transfer procedure of a future employee if an employment contract has not yet been concluded with him.

The law allows you to accept an employee on a temporary basis for a vacant position, but, be sure to warn him that he must take part in the procedure for accepting and transferring cases.

What to do in a frequent situation when an employee quits without transferring his affairs to anyone?

The law does not regulate this situation and does not provide for any sanctions. The only reasonable course of action is to make an inventory of all the documents and material assets left at the time the new employee arrives.

It is the procedure for actually providing documents, databases, programs and information. And also the receiving party (new employee) can at the same time find out the nuances of the work of the departing employee. This is ideal, but in fact it usually comes down to drawing up a simple act that contains a formal register.

The goals are:

• guarantee of the continuity of the work process;
• the ability to show the upcoming scope of work;
• assess the current state of affairs;
• setting boundaries of responsibility.

In practice, the procedure plays an important role in further relations with a new employee. If he accepted the cases and documents, then this will save you from conflict situations like “I didn’t do this, I don’t know.”

Initially, an order is issued or a plan is developed - at the choice of the employer. The documents are similar in content. It is important to include the following:

• sides;
• terms;
• thing.

Sample handover plan for termination

Whom does it concern

There are usually two participants: a retiring employee and a newly hired one. There are exceptions. If a replacement is not found, then any employee appointed by order of the head will take over the cases.

In practice, specialists from different sectors are involved in the process. They are united by one thing: the presence of completed cases or documents that can be left for further work. For example, a specialist in the PTO department sends drawings, diagrams, topographic surveys, and the results of geodetic surveys. Lawyer - cases, including archives, contracts, office notes, correspondence within its functionality. Personnel officer - work books, personal cards of employees and orders.

Features of the departure of the chief accountant

Chief accountants have increased responsibility, therefore, at the legislative level, they were entrusted with the obligation to transfer cases upon dismissal. So, earlier this issue was directly regulated by the Decree of the USSR Council of Ministers dated January 24, 1980 No. 59 “On measures to improve the organization of accounting and increase its role in the rational and economical use of material, labor and financial resources". Then there was the law "On Accounting" No. 129-FZ, which became invalid.

Since 2011, the Federal Law “On Accounting” No. 402 has been in force, according to which the accountant keeps records and generates accounting (financial) statements (if the functions of the accountant are not performed by the manager personally). That is, it is fair and logical to demand from the accountant a detailed transfer of information and cases. But now the employer has no such right of demand. The way out is possible: to take on the time of working out the retiring chief accountant assistant, who will actually be nearby and will be able to understand the specifics of the work.

What is regulated

The Labor Code does not contain requirements for the transfer of cases upon dismissal, which means that it is impossible to oblige a departing employee.

Some employers do this: include in the text of the employment contract a clause on the obligation to transfer cases upon dismissal. But since this paragraph concerns the departing party, it usually does not make much sense.

Transfer of cases is considered a formality that organizations do not always follow. However, there are a number of positions, upon dismissal from which an official order is necessary:

• Director. This person has the most responsibility. In his hands founding documents, seals, licenses, contracts, powers of attorney. To avoid disputes in the future, to clearly identify the list of transferred cases and papers, an appropriate order is issued.
• Chief Accountant. He is responsible for the safety of all accounting documents, registers and reports. The need to transfer the affairs of the chief accountant is spelled out in Part 4 of Ch. 4 federal law No. 402-FZ.
• Personnel department worker. HR documentation - securities, the transfer of which is necessarily carried out by inventory and drawing up an act of acceptance and transfer from the previous personnel officer to the new one.
• Head of Department. The person holding this position is responsible for solving all issues directly related to production and subordinate personnel.
• An employee who is liable. This may be the chief cashier, head of the warehouse.

The order to transfer the affairs of an employee, regardless of position, is issued before the actual termination of the employment contract, since then the employee is not required to come to the previous workplace and deal with other people's affairs.

The structure of the transfer order

Not a single normative act regulates the need to issue an order for the transfer of cases, therefore there are no strict requirements for its structure either.

To keep the document informative and useful in the future, the following structure can be followed:

1. In the header: organization name, city, date, order number.
2. Name of the order: on the acceptance and transfer of cases. You can check the position here.
3. The reason for issuing the order (dismissal,).
4. Name of the transferring case and the receiving one.
5. The period allotted for the transfer of cases.
6. The place allotted for this process (office, conference room, reception, etc.).
7. Full name of the person responsible for carrying out the procedure and drawing up the act of acceptance and transfer of the person. As a rule, this person is one of the deputy heads, employees involved in the transfer of cases, or one of them who remains in the company.
8. The date on which the act of acceptance and transfer of cases with a list of all documents must be provided.
9. Additional instructions. This may be an audit, inventory, analysis of indicators.
10. Full name CEO, signature.
11. A note on familiarization with the order of all persons mentioned in it: full name and signature.

The order is always signed by the current head of the organization, even if he himself leaves the post and hands over the affairs. Depending on the specifics of the company's activities, notes and clarifications may be made to the text.

Disputes and claims arising as a result of dismissal can be settled not only by state regulations, but also by internal documents of the enterprise. A handover order is a document that clearly defines the scope of responsibility to be transferred and received, indicating timelines that can later be used to resolve problems.