Regulations on the Procedure for Conducting
an Internal Official Investigation
at National Aerospace University
«Kharkiv Aviation Institute»
QMS KHAI-LA-R/001:2018
Effective Date: February 14, 2018
Revision No. 1
1. General Provisions
1.1 The Regulations on the Procedure for Conducting an Internal Official Investigation (hereinafter – the Regulations) at National Aerospace University «Kharkiv Aviation Institute» (hereinafter – the University) is a local normative document that regulates the procedure for conducting an internal official investigation and has been developed in accordance with Resolution of the Cabinet of Ministers of Ukraine dated June 13, 2000 No. 950 (as amended) «On Approval of the Procedure for Conducting an Official Investigation Regarding Persons Authorized to Perform Functions of the State or Local Self-Government, and Persons Who for the Purposes of the Law of Ukraine “On Prevention of Corruption” Are Equated to Persons Authorized to Perform Functions of the State or Local Self-Government», the Statute, the Anti-Corruption Program of KHAI, and other regulatory legal acts of Ukraine and the University.
1.2 These Regulations apply to all employees who are officials working at the University and holding permanently or temporarily positions associated with the performance of organizational, managerial, administrative, or financial functions, or performing such functions under special authority (hereinafter – Officials).
1.3 Definition of terms:
1) Internal official investigation is the process of organizing and implementing a set of measures conducted within the scope of competence and statutory activities of the University to clarify the causes, conditions, and circumstances that contributed to the commission of unlawful actions (misdeeds) by Officials of the University.
2) Internal official investigation commission (hereinafter – the Commission) is a permanent or temporary working body established by order of the Rector for the purpose of conducting an internal official investigation. The size of the Commission may vary, but must not be less than three persons. The Chair of the Commission is appointed by the Rector from among officials whose personal duties and personal interests are not related to the subject of the investigation.
3) Result of the internal official investigation is a final document (report/act) on the completed official investigation containing substantiated results of each investigation and proposals regarding ways to eliminate the identified deficiencies. The internal official investigation report is signed by all members of the Commission and submitted for approval to the Rector or the person acting on their behalf.
1.4 Based on the results of the internal official investigation, the Rector of the University, within the scope of their granted authority, may hold the Official disciplinarily or financially liable, transfer the investigation materials in the prescribed manner to law enforcement agencies or the court, or recognize the allegations or suspicions against the Official as groundless.
2. Organization of the Internal Official Investigation
2.1 The legal basis for ordering and conducting an internal official investigation at the University is the Constitution of Ukraine, the legislation of Ukraine, and these Regulations.
2.2 Principles of conducting an internal official investigation:
- legality;
- presumption of innocence;
- impartiality;
- transparency (the person regarding whom the internal official investigation is conducted has the right to participate in it, review the formulated conclusions prior to their approval, express their own position, and provide comments/objections without exerting pressure on the members of the Commission or on persons providing testimony; implementation of the principle of transparency must not violate the requirements for protecting restricted information (state, commercial, or official secrets, personal data, etc.);
- voluntariness;
- professionalism and competence of the individuals involved in conducting the internal official investigation.
2.3 Timeframe for conducting an internal official investigation:
1) The start date of the internal official investigation must be specified in the Rector's order appointing the internal official investigation. If the start of the internal official investigation is not specified as a separate date, it shall be determined by the date of the order for its conduct. It cannot last longer than one month (30 calendar days) from the date of its commencement.
2) If necessary, the established timeframe for conducting the internal official investigation may be extended by order of the Rector, but for no more than one month (30 calendar days).
3) The timeframe of the internal official investigation does not include the time the person (persons) regarding whom the internal official investigation has been ordered is on leave, on a business trip, on sick leave, as well as the time of absence for other valid reasons.
4) The completion of an internal official investigation is the date of signing the relevant act by all members of the commission or by a special order of the Chair of the Commission on the impossibility of collecting part of the signatures.
2.4 Grounds for ordering an internal official investigation may include:
1) Data on the occurrence of negative consequences as a result of non-fulfillment or improper fulfillment by an Official of their duties, or abuse of power, which led to the loss of assets, material (financial) damage, as well as in case of detecting an unauthorized leak of restricted information.
2) Information on facts of gross violation of the established order and safety rules for conducting work/providing services, mass educational, scientific, cultural, sports events, conferences, competitions, etc.
3) Receipt of information about the fact of non-fulfillment or improper fulfillment by an Official of the requirements of the legislation of Ukraine or the legislation of the country of temporary stay, which led to reputational damage or property losses of the University.
4) Receipt of information about specific facts of abuse of office by an Official, commission (attempted commission) of misappropriation of funds, property, official forgery, obtaining improper advantage, and other unlawful acts, unless this directly falls under the competence of law enforcement agencies.
5) Written request of an Official to refute groundless, from their point of view, allegations or suspicions against them in order to protect their rights, honor, dignity, and business reputation, if the case is not yet being considered by law enforcement agencies.
6) Submission from a specially authorized body in the field of anti-corruption, or a prescription from the National Agency on Corruption Prevention, or another requirement received by the University from a public authority.
An internal official investigation may also be conducted upon the occurrence of conflict situations in structural units (between structural units) of the University, in order to identify and eliminate the causes and circumstances that contributed to the emergence of these situations.
An internal official investigation may be conducted in case of detecting a shortage of cash funds, inventory items, damage to equipment, machinery, motor transport, or other material assets of the University, their partial or complete loss (based on acts of inventory commissions, internal audits, work of audit or fiscal services, etc., official statements of employees or heads of University units).
An internal official investigation may be conducted based on complaints and applications from employees and guests of the University in case of theft (loss) of their personal belongings, property, or funds while on the premises (on the territory) of the University, which damages the image of the University.
An internal official investigation is not conducted based on anonymous reports, applications, and complaints, except in cases where an anonymous report concerns a violation of the requirements of the Law of Ukraine “On Prevention of Corruption” and the information contained therein relates to a specific person and contains factual data that can be verified.
3. Procedure for Conducting an Internal Official Investigation
3.1 The decision to order an internal official investigation is made by the Rector of the University in the form of an order. A separate clause of this order must contain the decision to form the Commission, its composition and Chair of the Commission, and the start and end times of the Commission's work. The Rector controls the work of the Commission and, if necessary, gives mandatory instructions. If necessary, specialists (experts) from various fields of knowledge may be involved in conducting an internal official investigation, including on a contractual basis. University employees, regardless of their position, are not involved in conducting an internal official investigation if circumstances indicate their personal interest in the results of the investigation. Members of the Commission, in the event of the existence or occurrence of an actual or potential conflict of interest, are obliged to notify the Rector of the University in writing.
3.2 Members of the Commission bear personal responsibility in accordance with the legislation for the completeness, comprehensiveness, and objectivity of the conclusions of the official investigation and the non-disclosure of information related to such an investigation.
3.3 Members of the Commission are granted the right to:
- obtain oral or written explanations from employees, higher education students of the University, and other persons regarding the Official, as well as specialist consultations on official investigation matters;
- review and study relevant documents on site, take copies thereof if necessary, and attach them to the materials of the official investigation;
- obtain and collect information related to the official investigation from other legal entities and individuals in accordance with the legislation, based on a request from the Rector of the University;
- use technical audio and video equipment, upon agreement with persons being interviewed (providing explanations or consultations) on matters of the official investigation, to record their explanations and testimony;
- keep minutes of the Commission's meetings.
In case of refusal of the Official regarding whom the official investigation is conducted to provide explanations, members of the Commission shall draw up a relevant act.
3.4 The Chair of the Commission is obliged to:
- familiarize the members of the Commission with all materials on the basis of which the internal official investigation was ordered;
- organize the distribution of duties among the members of the Commission, conduct an instruction session with them, and determine the scope of documents required for study;
- determine the circle of persons whose testimony is necessary for conducting the internal official investigation;
- notify the members of the Commission of the location and time of the Commission's work;
- ensure compliance with security protocols, as well as the preservation and non-dissemination of obtained information regarding the progress of the internal official investigation;
- inform the Rector of the University about the progress of the internal official investigation;
- organize work on the proper preparation of the internal official investigation act;
- organize the preservation of materials obtained during the internal official investigation and their subsequent transfer for archiving;
- ensure compliance with legality and the working principles of the Commission.
3.5 An Official regarding whom an official investigation is conducted has the right to:
1) receive information regarding the grounds for conducting such an investigation;
2) provide oral or written explanations, make statements, and submit documents necessary for conducting the official investigation;
3) submit a motion to interview other persons who are aware of circumstances examined during the official investigation, as well as to attach additional documents and other tangible media containing information relevant to the subject of the official investigation;
4) submit written comments regarding the conduct of the official investigation or the actions or inaction of persons conducting it;
5) submit a reasoned motion in written form to the Rector to recuse/remove persons with an actual or potential conflict of interest from the Commission, and receive written notification of the decision taken based on the consideration of their motion.
3.6 An official investigation is conducted either with the suspension of the Official regarding whom the official investigation is being conducted from exercising their position's powers, or without such suspension. The decision on suspension is made by the Rector of the University in accordance with the requirements of the legislation of Ukraine, taking into account the specific circumstances of the case.
3.7 Requests to other institutions, organizations, and law enforcement agencies regarding internal official investigation materials are sent over the signature of the Rector of the University based on a motion by the Chair of the Commission.
3.8 All materials regarding the conduct of an internal official investigation constitute restricted information; its disclosure or dissemination (duplication) is permitted only with the permission of the Rector.
3.9 Based on the results of the internal official investigation, an internal official investigation act is drawn up, which must contain:
- the facts and substance of the allegation or suspicion that formed the basis for ordering the investigation; the position, surname, first name, patronymic, year of birth, education, work experience, and length of service in the position, as well as a list of incentives and penalties;
- conclusions of the internal official investigation, mitigating or aggravating circumstances, characteristics of damage caused to the University, causes and conditions that led to violations and encroachments on property, or threats related to further activities, as well as measures taken or proposed to eliminate circumstances that relieve the person of groundless allegations or suspicions;
- reasoned proposals for eliminating identified violations and bringing guilty persons to liability in accordance with the legislation of Ukraine, measures to compensate for damages caused, resolution of conflict situations, and proposals for eliminating the causes and conditions that contributed to the violation.
Prior to submitting the act for approval to the Rector, the Chair of the Commission, in the presence of its members, is obliged to familiarize the person regarding whom the internal official investigation was conducted with the internal official investigation act. During this time, the specified person may set forth their comments and objections, which shall be attached to the act and form an integral part thereof. The internal official investigation act may be reviewed in the absence of the Official regarding whom the internal official investigation was conducted, about which a corresponding act is drawn up, signed by the attending members of the Commission, indicating the reason for making such a decision.
3.10 The internal official investigation act, together with relevant documents and information obtained using technical audio and video recording equipment, is stored in the file of the authorized unit (person) for corruption prevention and detection of the University in accordance with the current nomenclature of files. The storage period for internal official investigation materials is 5 (five) years from the date of approval of the internal official investigation act. Access of other persons to familiarize themselves with the internal official investigation act is granted upon written permission of the Rector.
4. Making Management Decisions Based on the Results of the Internal Official Investigation
4.1 Based on the results of the internal official investigation, the Rector, within a ten-day period from the date of approval of the internal official investigation act, makes a corresponding management decision, which is brought to the attention of the Official regarding whom such investigation was conducted.
4.2 Materials of the internal official investigation may also serve as a basis for bringing other employees of the University (other than the Official regarding whom the investigation was conducted) to disciplinary liability in accordance with the current legislation of Ukraine.
4.3 The decision made based on the materials of the internal official investigation may be appealed to court in accordance with the procedure established by legislation by a University employee (including the Official regarding whom the investigation was conducted) who has been brought to liability under the current legislation of Ukraine.
4.4 Based on the results of the completed internal official investigation, the Rector of the University decides on the possibility and expediency of transferring its results to law enforcement agencies.
5. Final Provisions
5.1 The Regulations are approved by order of the Rector of the University.
5.2 Amendments and/or additions to these Regulations are introduced in the manner established for its adoption.