on the development and adoption of measures by organizations

on preventing and combating corruption

I. Introduction

Guidelines on the development and adoption by organizations of measures to prevent and combat corruption (hereinafter referred to as the Methodological Recommendations) were developed in pursuance of subparagraph "b" of paragraph 25 of the Decree of the President of the Russian Federation of April 2, 2013 No. 309 "On measures to implement certain provisions of the Federal Law" On combating corruption "and in accordance with Article 13.3 of the Federal Law of December 25, 2008 No. 273-FZ" On Combating Corruption ".

The purpose of the Methodological Recommendations is to form a unified approach to ensuring work to prevent and combat corruption in organizations, regardless of their forms of ownership, organizational and legal forms, industry affiliation and other circumstances.

informing organizations about the legal framework for anti-corruption work and responsibility for committing corruption offenses;
determination of the basic principles of combating corruption in organizations;
methodological support development and implementation of measures aimed at preventing and combating corruption in the organization.

2. Terms and definitions

Corruption - abuse of office, giving a bribe, accepting a bribe, abuse of authority, commercial bribery or other illegal use by an individual of his official position contrary to the legitimate interests of society and the state in order to obtain benefits in the form of money, valuables, other property or services of a property nature, other property rights for themselves or for third parties or illegal provision of such benefits to the specified person by other individuals. Corruption is also the commission of the listed acts on behalf of or in the interests of a legal entity (paragraph 1 of Article 1 of the Federal Law of December 25, 2008 No. 273-FZ "On Combating Corruption").

Anti-corruption - activities of federal government bodies, government bodies of the constituent entities of the Russian Federation, local government bodies, institutions civil society, organizations and individuals within their powers (paragraph 2 of Article 1 of the Federal Law of December 25, 2008 No. 273-FZ "On Combating Corruption"):

a) for the prevention of corruption, including the identification and subsequent elimination of the causes of corruption (prevention of corruption);

b) on detection, prevention, suppression, disclosure and investigation of corruption offenses (fight against corruption);

c) to minimize and (or) eliminate the consequences of corruption offenses.

Organization – entity regardless of the form of ownership, organizational and legal form and industry affiliation.

Counterparty - any Russian or foreign legal or natural person with whom the organization enters into contractual relationship, excluding labor relations.

Bribe - receipt by an official, a foreign official or an official of a public international organization personally or through an intermediary of money, securities, other property, or in the form of illegal provision of services of a property nature to him, provision of other property rights for actions (inaction) in favor of the bribe giver or persons represented by him, if such actions (inaction) are included in the official powers of the official a person or if, by virtue of his official position, he can facilitate such actions (inaction), as well as for general patronage or connivance in the service.

Commercial bribery - illegal transfer of money, securities, other property to a person performing managerial functions in a commercial or other organization, the provision of property services to him, the provision of other property rights for actions (inaction) in the interests of the giver in connection with the official position held by this person ( Part 1 of Article 204 of the Criminal Code of the Russian Federation).

Conflict of interest - a situation in which the personal interest (direct or indirect) of the employee (representative of the organization) affects or may affect the proper performance of his official (labor) duties and in which a contradiction arises or may arise between the personal interest of the employee (representative of the organization) and the rights and legal the interests of the organization, which can lead to harm to the rights and legitimate interests, property and (or) business reputation of the organization, of which he is an employee (representative of the organization).

Personal interest of the employee (representative of the organization) - the interest of the employee (representative of the organization) associated with the possibility of obtaining the employee (representative of the organization) when performing job duties income in the form of money, valuables, other property or services of a property nature, other property rights for oneself or for third parties.

3. The circle of subjects for which the Methodological Recommendations have been developed

These Guidelines have been developed for use in organizations regardless of their forms of ownership, organizational and legal forms, industry affiliation and other circumstances. At the same time, the Methodological Recommendations are primarily designed for use in organizations for which the legislation of the Russian Federation is not established special requirements in the field of anti-corruption (that is, in organizations that are not federal government bodies, state authorities of the constituent entities of the Russian Federation, local authorities, state corporations (companies), state extra-budgetary funds, other organizations created The Russian Federation on the basis of federal laws, as well as organizations created to fulfill the tasks assigned to federal state bodies).

The management of the organization can use the Methodological Recommendations in order to:

obtaining information about the basic procedures and mechanisms that can be implemented in the organization in order to prevent and combat corruption;
obtaining information about the role, functions and responsibilities that the organization's management needs to assume for the effective implementation of anti-corruption measures in the organization.
development of the foundations of anti-corruption policy in the organization.

Those responsible for the implementation of anti-corruption policies in the organization can use these Guidelines to:

development and implementation in the organization of specific measures and activities aimed at preventing and combating corruption, including the development and implementation of relevant regulatory documents and methodological materials.

Employees of the organization can use the Methodological Recommendations in order to:

obtaining information about the responsibilities that may be assigned to employees of the organization in connection with the implementation of anti-corruption measures.

II. Regulatory legal support

1. Russian legislation in the field of preventing and combating corruption

1.1. Obligation of organizations to take measures to prevent corruption

The fundamental regulatory legal act in the field of combating corruption is the Federal Law of December 25, 2008 No. 273-FZ "On Combating Corruption" (hereinafter - Federal Law No. 273-FZ).

Part 1 of Article 13.3 of Federal Law No. 273-FZ establishes the obligation of organizations to develop and take measures to prevent corruption. The measures recommended for use in organizations are contained in part 2 of this article.

1.2. Liability of legal entities

General norms

The general rules establishing the liability of legal entities for corruption offenses are enshrined in Article 14 of Federal Law No. 273-FZ. In accordance with this article, if, on behalf of or in the interests of a legal entity, the organization, preparation and commission of corruption offenses or offenses that create conditions for the commission of corruption offenses are carried out, measures of responsibility may be applied to the legal entity in accordance with the legislation of the Russian Federation.

At the same time, the application of measures of responsibility for a corruption offense to a legal entity does not relieve the guilty individual from responsibility for this corruption offense. Bringing a natural person to criminal or other liability for a corruption offense does not exempt a legal entity from liability for this corruption offense. In cases stipulated by the legislation of the Russian Federation, these norms apply to foreign legal entities.

Illegal remuneration on behalf of a legal entity

Article 19.28 of the Code of the Russian Federation on administrative offenses(hereinafter - the Code of Administrative Offenses of the Russian Federation) establishes measures of responsibility for illegal remuneration on behalf of a legal entity (illegal transfer, offer or promise on behalf of or in the interests of a legal entity to an official, a person performing managerial functions in a commercial or other organization, a foreign official or an official a public international organization of money, securities, other property, the provision of property services to it, the provision of property rights for the commission in the interests of this legal entity by an official, a person performing managerial functions in a commercial or other organization, a foreign official or an official of a public international organization actions (inaction) related to their official position shall entail the imposition of an administrative fine on the legal entity).

Article 19.28 of the Code of Administrative Offenses of the Russian Federation does not establish a list of persons whose illegal actions may lead to the imposition of administrative responsibility on the organization under this article. Judicial practice shows that usually the heads of organizations become such persons.

Illegal attraction to labor activity former state (municipal) employee

Organizations must take into account the provisions of Article 12 of Federal Law No. 273-FZ, which establish restrictions for a citizen who replaced the position of a state or municipal service, when he or she concludes an employment or civil contract.

In particular, the employer, when concluding an employment or civil law contract for the performance of work (provision of services) with a citizen who replaced the positions of the state or municipal service, the list of which is established by the regulatory legal acts of the Russian Federation, within two years after his dismissal from the state or municipal service is obliged within ten days to inform the representative of the employer (employer) of a state or municipal employee at the last place of his service about the conclusion of such an agreement.

The procedure for employers to provide this information is enshrined in the Decree of the Government of the Russian Federation dated September 8, 2010 No. 700.

The named requirements based on the provisions paragraph 1 Decree of the President of the Russian Federation of July 21, 2010 No. 925 "On Measures to Implement Certain Provisions of the Federal Law" On Combating Corruption " public service included in Section I or section II the list of positions of the federal civil service, upon appointment to which citizens and upon replacement of which federal civil servants are required to submit information about their income, property and property obligations, as well as information about income, property and property obligations of their spouse and minor children, approved by the Decree of the President of the Russian Federation of May 18, 2009 No. 557, or in the list of positions approved by the head of the state body in accordance with section III the named list. Lists of positions in the state civil service of the constituent entities of the Russian Federation and municipal service are approved by the state authorities of the constituent entities of the Russian Federation and local self-government bodies ( point 4 Decree of the President of the Russian Federation of July 21, 2010 No. 925).

Failure by the employer to fulfill the obligation provided for in Part 4 of Article 12 of Federal Law No. 273-FZ is an offense and entails, in accordance with Article 19.29 of the Administrative Code of the Russian Federation, liability in the form of an administrative fine.

1.3. Responsibility of individuals

Responsibility of individuals for corruption offenses is established by Article 13 of Federal Law No. 273-FZ. Citizens of the Russian Federation, foreign citizens and stateless persons for committing corruption offenses bear criminal, administrative, civil and disciplinary responsibility in accordance with the legislation of the Russian Federation. Relevant excerpts from regulatory legal acts are given in Appendix 1 to these Methodological Recommendations.

Labor legislation does not provide for special grounds for bringing an employee of the organization to disciplinary responsibility in connection with the commission of a corruption offense in the interests of or on behalf of the organization.

However, the Labor Code of the Russian Federation
(hereinafter referred to as the Labor Code of the Russian Federation) there is a possibility of bringing an employee of the organization to disciplinary responsibility.

So, according to Article 192 of the Labor Code of the Russian Federation, disciplinary sanctions, in particular, include the dismissal of an employee on the grounds provided for paragraphs 5, or 10 of the first part of Article 81 , paragraph 1 of Article 336, as well as paragraphs 7 or 7.1 part one of article 81 Of the Labor Code of the Russian Federation in cases where the culpable actions giving grounds for the loss of confidence were committed by the employee at the place of work and in connection with the performance of his labor duties. Labor contract may be terminated by the employer, including in the following cases:

a single gross violation of labor duties by an employee, expressed in the disclosure of a secret protected by law (state, commercial and other) that has become known to the employee in connection with the performance of his labor duties, including the disclosure of personal data of another employee (subparagraph "c" of paragraph 6 of part 1 of article 81 of the Labor Code of the Russian Federation);
the commission of guilty actions by an employee directly serving monetary or commodity values, if these actions give rise to the loss of confidence in him on the part of the employer (clause 7 of part one of Article 81 of the Labor Code of the Russian Federation);
making an unreasonable decision by the head of the organization (branch, representative office), his deputies and the chief accountant, which entailed a violation of the safety of property, its unlawful use or other damage to the property of the organization (paragraph 9 of part one of Article 81 of the Labor Code of the Russian Federation);
a single gross violation by the head of the organization (branch, representative office), his deputies of their job duties (paragraph 10 of part one of Article 81 of the Labor Code of the Russian Federation).

2. Foreign legislation

Organizations and their employees should take into account that they may be subject to norms and sanctions established not only by Russian, but also by foreign anti-corruption legislation, in particular:

in relation to a Russian organization, the anti-corruption legislation of those countries in which the organization operates can be applied;
in a relationship foreign organization for committing a corruption offense on the territory of the Russian Federation, liability measures provided for by the anti-corruption legislation of the country in which the organization is registered or with which it is otherwise associated may be applied.

In this regard, Russian organizations are advised to carefully study the anti-corruption legislation of the countries in which they operate. Close attention should be paid to possible cases of bringing an organization to responsibility for committing a corruption offense on the territory of such a country. Organizations should take into account the provisions of the laws of the countries of which they are residents.

At the same time, legislation aimed at combating bribery of foreign officials is of particular importance. General approaches to combating this crime are enshrined in the Organization's Convention economic cooperation and the development of anti-bribery of foreign officials in international business transactions. Information about the named Convention is given in Appendix 2 to these Methodological Recommendations.

A number of foreign countries have adopted legislative acts on the fight against corruption and bribery, which have extraterritorial effect. Organizations registered and (or) operating on the territory of the Russian Federation that fall under the influence of such regulatory legal acts must also take into account the requirements and restrictions established by them. Appendix 2 to these Guidelines provides short review the US Foreign Corrupt Practices Act (1977 - FCPA) and the UK Bribery Act (2010).

When there is difficult situations related to bribery of foreign officials, Russian organizations operating outside the territory of the Russian Federation may seek advice and support from the diplomatic and trade missions of the Russian Federation abroad.

The appeal can be carried out, including for the purpose of reporting about the renowned organizations information on the facts of bribery of foreign officials Russian organizations or to obtain support when an organization is faced with cases of extortion of a bribe or receiving (giving) a bribe from foreign officials.

III. Basic principles of combating corruption in the organization

When creating a system of anti-corruption measures in an organization, it is recommended to be based on the following key principles:

1. The principle of compliance of the organization's policy with current legislation and generally accepted norms.

Compliance of the implemented anti-corruption measures with the Constitution of the Russian Federation, international treaties concluded by the Russian Federation, the legislation of the Russian Federation and other regulatory legal acts applicable to the organization.

2. The principle of personal leadership example.

The key role of the organization's leadership in the formation of a culture of intolerance to corruption and in the creation of an intra-organizational system for preventing and combating corruption.

3. The principle of employee involvement.

Awareness of the organization's employees about the provisions of anti-corruption legislation and their active participation in the formation and implementation of anti-corruption standards and procedures.

4. The principle of proportionality of anti-corruption procedures to the risk of corruption.

The development and implementation of a set of measures to reduce the likelihood of involvement of the organization, its leaders and employees in corruption activities is carried out taking into account the corruption risks existing in the activities of this organization.

5. The principle of the effectiveness of anti-corruption procedures.

The use in the organization of such anti-corruption measures that are low cost, ensure ease of implementation and bring significant results.

6. The principle of responsibility and inevitability of punishment.

The inevitability of punishment for employees of the organization, regardless of the position held, length of service and other conditions in the event that they commit corruption offenses in connection with the performance of their work duties, as well as the personal responsibility of the organization's management for the implementation of the internal anti-corruption policy.

7. The principle of business openness.

Informing counterparties, partners and the public about anti-corruption business standards adopted in the organization.

8. The principle of constant control and regular monitoring.

Regular monitoring of the effectiveness of the implemented anti-corruption standards and procedures, as well as control over their implementation.

IV. Anti-corruption policy of the organization

1. General approaches to the development and implementation of anti-corruption policy

An organization's anti-corruption policy is a set of interrelated principles, procedures and specific measures aimed at preventing and suppressing corruption offenses in the activities of this organization. Information about the anti-corruption policy implemented in the organization is recommended to be consolidated in a single document with the same name - "Anti-corruption policy (name of the organization)".

It is recommended to adopt the anti-corruption policy and other documents of the organization that regulate the issues of preventing and combating corruption in the form of local regulations, which will ensure that they are mandatory for all employees of the organization.

In the development and implementation of anti-corruption policy as a document, the following should be highlighted stages :

development of a draft anti-corruption policy;
discussion of the project and its approval;
informing employees about the anti-corruption policy adopted in the organization;
implementation of the anti-corruption measures provided for by the policy;
analysis of the application of anti-corruption policy and, if necessary, its revision.

Development of a draft anti-corruption policy

The developer of the anti-corruption policy can be an official or structural unit of the organization, which is planned to be entrusted with the functions of preventing and combating corruption. Organizations of large and medium-sized businesses with sufficient financial resources can engage external experts in the development and subsequent implementation of anti-corruption policies.

In addition to the persons directly responsible for the development of the draft anti-corruption policy, it is recommended to actively involve a wide range of employees of the organization in its discussion. To do this, it is necessary to ensure that employees are informed about the possibility of participating in the preparation of the project. In particular, the draft policy can be posted on the corporate website. It is also helpful to have face-to-face discussions and consultations.

Coordination of the project and its approval

The draft anti-corruption policy, prepared taking into account the proposals and comments received, is recommended to be coordinated with the personnel and legal departments of the organization, representatives of employees, and then submit it to the management of the organization.

The final version of the project is subject to approval by the management of the organization. The adoption of the policy in the form of a local normative act will ensure that all employees of the organization must comply with it, which can also be ensured by including these requirements in labor contracts as the responsibility of employees.

Informing employees about the anti-corruption policy adopted in the organization

The approved anti-corruption policy of the organization is communicated to all employees of the organization, including through e-mail notification. It is recommended to arrange for familiarization with the policy of employees hired by the organization, against signature. You should also ensure that employees can freely access the text of the policy, for example, place it on the corporate website of the organization. It is also useful to provide for a "transition period" from the moment the anti-corruption policy is adopted until the start of its operation, during which the organization's employees are trained on the implemented standards of conduct, rules and procedures.

Implementation of anti-corruption measures in the policy

The approved policy is subject to direct implementation and application in the activities of the organization. Exclusively great importance at this stage, has support for anti-corruption activities and initiatives by the leadership of the organization. The head of the organization, on the one hand, must demonstrate a personal example of compliance with anti-corruption standards of conduct, and on the other hand, act as a guarantor of the implementation of anti-corruption rules and procedures in the organization.

Analysis of the application of anti-corruption policy and, if necessary, its revision

It is recommended to regularly monitor the progress and effectiveness of the implementation of the anti-corruption policy. In particular, an official or structural unit of the organization, who is entrusted with the functions of preventing and combating corruption, may annually submit a report to the management of the organization. If the monitoring results raise doubts about the effectiveness of the anti-corruption measures being implemented, it is necessary to make changes and additions to the anti-corruption policy.

A revision of the adopted anti-corruption policy can be carried out in other cases, such as amending the Labor Code of the Russian Federation and anti-corruption legislation, changing the organizational and legal form of an organization, etc.

goals and objectives of the implementation of anti-corruption policy;
concepts and definitions used in politics;
basic principles of anti-corruption activities of the organization;
the scope of the policy and the circle of persons falling under its influence;
determination of officials of the organization responsible for the implementation of anti-corruption policy;
determination and consolidation of the duties of employees and organizations related to the prevention and combating of corruption;
establishment of a list of anti-corruption measures, standards and procedures implemented by the organization and the procedure for their implementation (application);
responsibility of employees for non-compliance with anti-corruption policy requirements;
the procedure for reviewing and making changes to the anti-corruption policy of the organization.

Scope of the policy and the circle of persons falling under its effect

The main circle of persons falling under the policy are employees of the organization who are with it in labor relations, regardless of the position held and the functions performed. However, the policy may fix the cases and conditions under which its effect applies to other persons, for example, individuals and (or) legal entities with whom the organization enters into other contractual relations. It should be borne in mind that these cases, conditions and obligations must also be enshrined in contracts concluded by the organization with counterparties.

Securing the responsibilities of employees and organizations related to preventing and combating corruption

The duties of the employees of the organization in connection with the prevention and combating of corruption can be general for all employees of the organization or special, that is, they can be established for certain categories of employees.

Examples of the general responsibilities of employees in relation to preventing and combating corruption include the following:

refrain from committing and (or) participating in committing corruption offenses in the interests of or on behalf of the organization;
refrain from behavior that can be interpreted by others as a willingness to commit or participate in the commission of a corruption offense in the interests or on behalf of the organization;
immediately inform the immediate manager / person responsible for the implementation of anti-corruption policy / management of the organization about incidents of persuading an employee to commit corruption offenses;
immediately inform the immediate supervisor / person responsible for the implementation of anti-corruption policy / management of the organization about information that has become known to the employee about cases of corruption offenses by other employees, counterparties of the organization or other persons;
inform the immediate superior or other responsible person about the possibility of a conflict of interest or a conflict of interest for the employee.

In order to ensure the effective performance of the duties assigned to employees, it is necessary to clearly regulate the procedures for their observance. So, in particular, the procedure for notifying the employer about cases of persuading an employee to commit corruption offenses or about information that has become known to the employee about cases of committing corruption offenses should be enshrined in the organization's local regulatory act. This document should provide for the channels and forms for submitting notifications, the procedure for their registration and the terms of consideration, as well as measures aimed at ensuring the confidentiality of the information received and the protection of persons who reported corruption offenses. As methodological material When preparing a local normative act, we propose to use the Methodological Recommendations on the procedure for notifying a representative of an employer (employer) about the facts of treatment in order to induce a state or municipal employee to commit corruption offenses, including a list of information contained in notifications, issues of organizing verification of this information and the procedure for registering notifications.

Special responsibilities in connection with preventing and combating corruption can be established for the following categories of persons working in the organization: 1) the organization's management; 2) persons responsible for the implementation of anti-corruption policy; 3) employees whose activities involve corruption risks; 3) persons exercising internal control and audit, etc.

Based on the provisions of Article 57 of the Labor Code of the Russian Federation, by agreement of the parties, the labor contract may also include the rights and obligations of the employee and the employer established by labor legislation and other regulatory legal acts containing labor law norms, local regulations, as well as the rights and obligations of the employee and the employer, arising from the terms of the collective agreement, agreements.

In this regard, both general and special duties are recommended to be included in the employment contract with the employee of the organization. Provided that the obligations of the employee in connection with the prevention and counteraction of corruption are enshrined in the employment contract, the employer has the right to apply disciplinary measures to the employee, including dismissal, if there are grounds provided for by the Labor Code of the Russian Federation, for committing illegal actions that entailed failure to fulfill the labor duties assigned to him.

Establishing a list of anti-corruption measures carried out by the organization and the procedure for their implementation (application)

It is recommended that the organization's anti-corruption policy include a list of specific measures that the organization plans to implement in order to prevent and combat corruption. The range of such activities can vary and depend on the specific needs and capabilities of the organization.

An organization may approve a plan for the implementation of anti-corruption measures as an integral part or an appendix to the anti-corruption policy. When drawing up such a plan, it is recommended for each event to indicate the timing of its holding and the responsible executor.

2. Determination of units or officials responsible for combating corruption

It is recommended that the organization determine the structural unit or officials responsible for combating corruption, based on its own needs, tasks, specifics of activities, staffing levels, organizational structure, material resources and other signs.

The tasks, functions and powers of the structural unit or officials responsible for combating corruption should be clearly defined.

For example, they can be installed:

in the anti-corruption policy of the organization and other regulatory documents establishing anti-corruption procedures;
in employment contracts and job descriptions responsible employees;
in the regulation on the unit responsible for combating corruption.

It is recommended to ensure the direct subordination of such structural divisions or officials to the management of the organization, as well as to give them powers sufficient to carry out anti-corruption measures in relation to persons holding leadership positions In the organisation. When forming a structural unit responsible for combating corruption, it is necessary to pay close attention to determining the number of staff sufficient to perform the functions assigned to this unit, as well as to provide it with the necessary technical resources.

The responsibilities of a structural unit or official, for example, may include:

development and submission for approval to the head of the organization of drafts of local regulations of the organization aimed at the implementation of measures to prevent corruption (anti-corruption policy, code of ethics and official conduct of workers

Appendix 1. Collection of provisions of normative legal acts establishing measures of responsibility for committing corruption offenses Appendix 2. International agreements on combating corruption in commercial organizations and methodological materials of international organizations Appendix 3. Regulatory legal acts of foreign states on combating corruption that have extraterritorial effect Appendix 4. Overview of typical situations of conflict of interest Appendix 5. Model declaration of conflict of interest Appendix 6. Anti-corruption charter of Russian business

I. Introduction

Methodological recommendations for the development and adoption by organizations of measures to prevent and combat corruption (hereinafter - Methodological recommendations) were developed in pursuance of subparagraph "b" of paragraph 25 of the Decree of the President of the Russian Federation of April 2, 2013 N 309 "On measures to implement certain provisions of the Federal Law" On Anti-Corruption "and in accordance with Article 13.3 of the Federal Law of December 25, 2008 N 273-FZ" On Anti-Corruption ".

Informing organizations about the regulatory framework for anti-corruption work and responsibility for committing corruption offenses;

Determination of the basic principles of combating corruption in organizations;

Methodological support for the development and implementation of measures aimed at preventing and combating corruption in the organization.

The commission of guilty actions by an employee directly serving monetary or commodity values, if these actions give rise to a loss of confidence in him on the part of the employer (paragraph 7 of part one of Article 81 of the Labor Code of the Russian Federation);

The adoption of an unreasonable decision by the head of the organization (branch, representative office), his deputies and the chief accountant, which entailed a violation of the safety of property, its unlawful use or other damage to the property of the organization (paragraph 9 of the first part of Article 81 of the Labor Code of the Russian Federation);

One-time gross violation by the head of the organization (branch, representative office), his deputies of their labor duties (paragraph 10 of the first part of Article 81 of the Labor Code of the Russian Federation).

2. International agreements on anti-corruption issues in commercial organizations and foreign legislation

In relation to a Russian organization, the anti-corruption legislation of those countries where the organization operates may be applied;

In relation to a foreign organization for committing a corruption offense on the territory of the Russian Federation, liability measures provided for by the anti-corruption legislation of the country in which the organization is registered or with which it is otherwise associated may be applied.

In this regard, Russian organizations are encouraged to study the anti-corruption legislation of the countries in which they operate in terms of the grounds for bringing the organization to responsibility for corruption offenses.

At the same time, legislation aimed at combating bribery of foreign officials is of particular importance. General approaches to combating this crime are enshrined in the Organization for Economic Cooperation and Development Convention on Combating Bribery of Foreign Officials in International Business Transactions. Information about the named Convention is given in Appendix 2 to these Methodological Recommendations.

In the event of difficult situations involving bribery of foreign officials, Russian organizations operating outside the territory of the Russian Federation may seek advice and support from the diplomatic and trade missions of the Russian Federation abroad.

The appeal can be carried out, among other things, for the purpose of reporting information that has become known to the organization about the facts of bribery of foreign officials by Russian organizations or to obtain support when the organization is faced with cases of extortion of a bribe or receiving (giving) a bribe from foreign officials.

On the territory of Russia, the Investigative Committee of the Russian Federation has exclusive competence to investigate the facts of bribery of foreign officials (giving a bribe and receiving a bribe). In this regard, it is recommended to inform the investigative bodies of the Investigative Committee of the Russian Federation about the facts of bribery of foreign officials by individuals and legal entities.

A number of foreign countries have adopted legislative acts on the fight against corruption and bribery, which have extraterritorial effect. Organizations registered and (or) operating on the territory of the Russian Federation that are subject to such regulatory legal acts should take into account the requirements and restrictions established by them. Appendix 3 to these Guidelines provides a brief overview of the ForeigNCorrupt Practices Act (1977 - FCPA) and the UK Bribery Act (2010).

III. Basic principles of combating corruption in the organization

When creating a system of anti-corruption measures in an organization, it is recommended to be based on the following key principles:

1. The principle of compliance of the organization's policy with current legislation and generally accepted norms.

2. The principle of personal example of leadership.

The key role of the organization's leadership in the formation of a culture of intolerance to corruption and in the creation of an intra-organizational system for preventing and combating corruption.

3. The principle of employee involvement.

4. The principle of proportionality of anti-corruption procedures to the risk of corruption.

5. The principle of the effectiveness of anti-corruption procedures.

The use in the organization of such anti-corruption measures that are low cost, ensure ease of implementation and bring significant results.

6. The principle of responsibility and inevitability of punishment.

7. The principle of business openness.

Informing counterparties, partners and the public about anti-corruption business standards adopted in the organization.

8. The principle of constant control and regular monitoring.

Regular monitoring of the effectiveness of the implemented anti-corruption standards and procedures, as well as control over their implementation.

IV. Anti-corruption policy of the organization

1. General approaches to the development and implementation of anti-corruption policy

An organization's anti-corruption policy is a set of interrelated principles, procedures and specific measures aimed at preventing and suppressing corruption offenses in the activities of this organization. Information about the anti-corruption policy implemented in the organization is recommended to be consolidated in a single document, for example, with the same name - "Anti-corruption policy (name of the organization)".

The systematic introduction of anti-corruption measures in an organization is associated with certain costs, but in the medium and long term, it can bring a number of significant benefits to the organization.

In particular, an organization's dedication to the law and high ethical standards in business dealings helps build its reputation with other companies and clients. At the same time, the reputation of the organization can to some extent serve as a protection against corruption attacks on the part of unscrupulous representatives of other companies and public authorities: the latter can refrain from offering or extortion of illegal remuneration, since they will know that such an offer will be rejected.

In addition, the implementation of anti-corruption measures significantly reduces the risks of applying liability measures to an organization for bribery of officials, including foreign ones. It should be especially noted that the prevention of corruption in the selection of counterparty organizations and building relationships with them reduces the likelihood of imposing sanctions on the organization for improper actions of intermediaries and partners.

The refusal of an organization to participate in corrupt deals and the prevention of corruption also contribute to the conscientious behavior of its employees in relation to each other and to the organization itself. Conversely, an organization’s loyalty to illegal and unethical behavior towards counterparties can lead to employees feeling that such behavior is acceptable in relation to their employer and colleagues.

In the development and implementation of anti-corruption policy as a document, the following stages should be distinguished:

Development of a draft anti-corruption policy;

Coordination of the project and its approval;

Informing employees about the anti-corruption policy adopted in the organization;

Implementation of the anti-corruption measures stipulated by the policy;

Analysis of the application of anti-corruption policy and, if necessary, its revision.

Development of a draft anti-corruption policy

Coordination of the project and its approval

Informing employees about the anti-corruption policy adopted in the organization

The approved anti-corruption policy of the organization is communicated to all employees of the organization, including through e-mail notification. It is recommended to arrange for familiarization with the policy of employees hired by the organization, against signature. You should also ensure that employees can freely access the text of the policy, for example, place it on the corporate website of the organization. It is also useful to provide for a "transitional period" from the moment the anti-corruption policy is adopted until the start of its operation, during which the organization's employees are trained on the implemented standards of conduct, rules and procedures.

Implementation of anti-corruption measures in the policy

The approved policy is subject to direct implementation and application in the activities of the organization. It is extremely important at this stage to support anti-corruption measures and initiatives by the organization's leadership. The head of the organization, on the one hand, must demonstrate a personal example of compliance with anti-corruption standards of conduct, and on the other hand, act as a guarantor of the implementation of anti-corruption rules and procedures in the organization.

Analysis of the application of anti-corruption policy and, if necessary, its revision

It is recommended to regularly monitor the progress and effectiveness of the implementation of the anti-corruption policy. In particular, an official or structural unit of the organization, who is entrusted with the functions of preventing and combating corruption, may annually submit an appropriate report to the management of the organization. If the monitoring results raise doubts about the effectiveness of the anti-corruption measures being implemented, it is necessary to make changes and additions to the anti-corruption policy.

Goals and objectives of anti-corruption policy implementation;

Concepts and definitions used in politics;

Basic principles of anti-corruption activities of the organization;

The scope of the policy and the circle of persons falling under its effect;

Determination of officials of the organization responsible for the implementation of anti-corruption policy;

Determination and consolidation of the duties of employees and the organization related to the prevention and combating of corruption;

Establishing a list of anti-corruption measures, standards and procedures implemented by the organization and the procedure for their implementation (application);

Responsibility of employees for non-compliance with anti-corruption policy requirements;

The procedure for reviewing and making changes to the anti-corruption policy of the organization.

Scope of the policy and the circle of persons falling under its effect

The main circle of persons falling under the policy are employees of the organization who are in labor relations with it, regardless of the position held and the functions performed. However, the policy may fix the cases and conditions under which its effect applies to other persons, for example, individuals and (or) legal entities with whom the organization enters into other contractual relations. It should be borne in mind that these cases, conditions and obligations must also be enshrined in contracts concluded by the organization with counterparties.

Securing the responsibilities of employees and organizations related to preventing and combating corruption

Examples of the general responsibilities of employees in relation to preventing and combating corruption include the following:

Refrain from committing and (or) participating in committing corruption offenses in the interests of or on behalf of the organization;

Refrain from behavior that can be interpreted by others as a willingness to commit or participate in the commission of a corruption offense in the interests of or on behalf of the organization;

Immediately inform the immediate manager / person responsible for the implementation of anti-corruption policy / management of the organization about cases of persuading an employee to commit corruption offenses;

Immediately inform the immediate supervisor / person responsible for the implementation of anti-corruption policy / management of the organization about information that has become known to the employee about cases of corruption offenses by other employees, contractors of the organization or other persons;

Inform the immediate superior or other responsible person about the possibility of a conflict of interest or a conflict of interest for the employee.

In order to ensure the effective performance of the duties assigned to employees, it is necessary to clearly regulate the procedures for their observance. So, in particular, the procedure for notifying the employer about cases of persuading an employee to commit corruption offenses or about information that has become known to the employee about cases of committing corruption offenses should be enshrined in the organization's local regulatory act. This document should provide for the channels and forms for submitting notifications, the procedure for their registration and the terms of consideration, as well as measures aimed at ensuring the confidentiality of the information received and the protection of persons who reported corruption offenses. As a methodological material in the preparation of a local normative act, we propose to use the Methodological Recommendations on the procedure for notifying a representative of an employer (employer) about the facts of treatment in order to induce a state or municipal employee to commit corruption offenses, including a list of information contained in notifications, issues of organizing verification of this information and the procedure for registering notifications.

Table 1 - Indicative list of anti-corruption measures

Direction	Event
Regulatory support, enshrining standards of conduct and declaration of intent	Development and adoption of a code of ethics and service conduct for employees of the organization
	Development and implementation of a conflict of interest clause, a declaration of a conflict of interest
	Development and adoption of rules governing the exchange of business gifts and business hospitality
	An indicative list of precautions aimed at minimizing the threats of violation of the basic principles of ethics created by a conflict of interest (clause 2.34.4); An indicative list of possible approaches to disclosing information on the existence of a conflict of interest and obtaining the consent of clients to be provided by an audit organization professional services(paragraph 2.34.5), etc. Normative legal acts that determine legal position organizations of certain organizational and legal forms Use of standard anti-corruption clauses in joint agreements; Public refusal from joint business activities with persons (organizations) involved in corruption crimes; Organization and implementation of joint training on prevention and combating corruption. The Anti-Corruption Charter is open for all-Russian, regional and industry associations to join, as well as Russian companies and foreign companies operating in Russia. At the same time, companies can join the Anti-Corruption Charter both directly and through the associations of which they are members. Based on the Anti-Corruption Charter and taking into account these Methodological Recommendations, associations of entrepreneurs can develop independent guidelines for the implementation of specific measures to prevent and combat corruption, depending on the industry, direction economic activity or the size of the businesses they combine. On the issues of prevention and combating corruption, organizations, among other things, can interact with the following associations: Chamber of Commerce and Industry of the Russian Federation and its regional associations (www.tpprf.ru); Russian Union of Industrialists and Entrepreneurs (www.rspp.ru); All-Russian public organization " Business Russia"(www.deloros.ru); All-Russian public organization of small and medium-sized businesses "OPORA RUSSIA" (www.opora.ru). _____________________________ * Letter of the Ministry of Health and Social Development of Russia of September 20, 2010 N 7666-17 "On methodological recommendations on the procedure for notifying a representative of an employer (employer) about the facts of appeal in order to induce a state or municipal employee to commit corruption offenses, including a list of information contained in notifications, questions the organization of verification of this information and the procedure for registering notifications "is published in the reference legal systems Consultant Plus and GARANT, as well as on the official website of the Ministry of Labor of Russia at: http://www.rosmintrud.ru/ministry/programms/gossluzhba/antikorr/1. The text of the Review is posted on the official website of the Ministry of Labor and social protection Russian Federation (http://www.rosmintrud.ru/ministry/programms/gossluzhba/antikorr/2/2). * The text of the Anti-Corruption Charter and the Roadmap describing the mechanism for joining the charter are given in Appendix 5 to the Methodological Recommendations.

MINISTRY OF LABOR AND SOCIAL PROTECTION OF THE RUSSIAN FEDERATION
November 8, 2013
GUIDELINES

FOR THE DEVELOPMENT AND ADOPTION OF MEASURES BY ORGANIZATIONS

FOR PREVENTING AND ANTI-CORRUPTION
I. Introduction
1. Goals and objectives of the Methodological Recommendations

Informing organizations about the regulatory framework for anti-corruption work and responsibility for committing corruption offenses;

Determination of the basic principles of combating corruption in organizations;

Methodological support for the development and implementation of measures aimed at preventing and combating corruption in the organization.
2. Terms and definitions

Corruption - abuse of office, giving a bribe, accepting a bribe, abuse of authority, commercial bribery or other illegal use by an individual of his official position contrary to the legitimate interests of society and the state in order to obtain benefits in the form of money, valuables, other property or services of a property nature, etc. property rights for oneself or for third parties, or illegal provision of such benefits to the specified person by other individuals. Corruption is also the commission of the listed acts on behalf of or in the interests of a legal entity (paragraph 1 of Article 1 of the Federal Law of December 25, 2008 N 273-FZ "On Combating Corruption").

Anti-corruption - the activities of federal government bodies, government bodies of the constituent entities of the Russian Federation, local government bodies, civil society institutions, organizations and individuals within their powers (paragraph 2 of Article 1 of the Federal Law of December 25, 2008 N 273-FZ " On Anti-Corruption "):

a) for the prevention of corruption, including the identification and subsequent elimination of the causes of corruption (prevention of corruption);

b) on detection, prevention, suppression, disclosure and investigation of corruption offenses (fight against corruption);

c) to minimize and (or) eliminate the consequences of corruption offenses.

Organization - a legal entity, regardless of the form of ownership, organizational and legal form and industry affiliation.

Counterparty - any Russian or foreign legal or natural person with whom the organization enters into contractual relations, with the exception of labor relations.

Bribe - receipt by an official, a foreign official, or an official of a public international organization personally or through an intermediary of money, securities, other property or in the form of illegal provision of services of a property nature, provision of other property rights for committing actions (inaction) in favor of the bribe-giver or the persons represented by him, if such actions (inaction) are included in the official powers of the official, or if, by virtue of his official position, he can contribute to such actions (inaction), as well as for general patronage or connivance in the service.

Commercial bribery - illegal transfer of money, securities, other property to a person performing managerial functions in a commercial or other organization, the provision of property services to him, the provision of other property rights for actions (inaction) in the interests of the giver in connection with the official occupied by this person regulation (part 1 of article 204 of the Criminal Code of the Russian Federation).

Conflict of interest - a situation in which the personal interest (direct or indirect) of an employee (representative of the organization) affects or may affect the proper performance of his official (labor) duties and in which a contradiction arises or may arise between the personal interest of the employee (representative of the organization) and the rights and the legitimate interests of the organization, which can lead to harm to the rights and legitimate interests, property and (or) business reputation of the organization of which he is an employee (representative of the organization).

Personal interest of an employee (representative of an organization) - the interest of an employee (representative of an organization) associated with the possibility of an employee (representative of an organization) receiving income in the form of money, valuables, other property or services of a property nature, other property rights for himself or for third parties in the performance of official duties. persons.
3. The circle of subjects for which the Methodological Recommendations have been developed

These Guidelines have been developed for use in organizations regardless of their forms of ownership, organizational and legal forms, industry affiliation and other circumstances. At the same time, the Methodological Recommendations are primarily designed for use in organizations for which the legislation of the Russian Federation does not establish special requirements in the field of combating corruption (that is, in organizations that are not federal state bodies, state authorities of the constituent entities of the Russian Federation, bodies local government, state corporations (companies), state off-budget funds, other organizations created by the Russian Federation on the basis of federal laws, as well as organizations created to fulfill the tasks assigned to federal state bodies).

The management of the organization can use the Methodological Recommendations in order to:

Obtaining information on the basic procedures and mechanisms that can be implemented in the organization in order to prevent and combat corruption;

Obtaining information about the role, functions and responsibilities that the organization's management needs to assume for the effective implementation of anti-corruption measures in the organization;

Development of the foundations of anti-corruption policy in the organization.

Those responsible for the implementation of anti-corruption policies in the organization can use these Guidelines to:

Development and implementation in the organization of specific measures and activities aimed at preventing and combating corruption, including the development and implementation of relevant regulatory documents and methodological materials.

Employees of the organization can use the Methodological Recommendations in order to:

Obtaining information about the responsibilities that may be assigned to employees of the organization in connection with the implementation of anti-corruption measures.
II. Regulatory legal support
1. Russian legislation in the field of preventing and combating corruption
1.1. Obligation of organizations to take measures to prevent corruption

The fundamental regulatory legal act in the field of combating corruption is the Federal Law of December 25, 2008 N 273-FZ "On Combating Corruption" (hereinafter - Federal Law N 273-FZ).

Part 1 of Article 13.3 of Federal Law N 273-FZ establishes the obligation of organizations to develop and take measures to prevent corruption. The measures recommended for use in organizations are contained in part 2 of this article.
1.2. Liability of legal entities
General norms

The general rules establishing the liability of legal entities for corruption offenses are enshrined in Article 14 of Federal Law N 273-FZ. In accordance with this article, if, on behalf of or in the interests of a legal entity, the organization, preparation and commission of corruption offenses or offenses that create conditions for the commission of corruption offenses are carried out, measures of responsibility may be applied to the legal entity in accordance with the legislation of the Russian Federation.

Article 19.28 of the Code of Administrative Offenses of the Russian Federation (hereinafter referred to as the Code of Administrative Offenses of the Russian Federation) establishes measures of responsibility for illegal remuneration on behalf of a legal entity (illegal transfer, offer or promise on behalf of or in the interests of a legal entity to an official, a person performing managerial functions in a commercial or other organization, a foreign official or an official of a public international organization of money, securities, other property, the provision of property services to it, the provision of property rights for the commission in the interests of this legal entity by an official, a person performing managerial functions in a commercial or other organization, a foreign by an official or an official of a public international organization, an action (inaction) related to their official position shall entail the imposition of an administrative fine on the legal entity).

Organizations must take into account the provisions of Article 12 of Federal Law N 273-FZ, which establish restrictions for a citizen who replaced the position of a state or municipal service, when he concludes an employment or civil contract.

The procedure for employers to provide this information is enshrined in the Decree of the Government of the Russian Federation of September 8, 2010 N 700.

The above requirements, based on the provisions of clause 1 of the Decree of the President of the Russian Federation of July 21, 2010 N 925 "On measures to implement certain provisions of the Federal Law" On Combating Corruption ", apply to persons who replaced the positions of the federal public service included in Section I or section II of the list of positions of the federal civil service, upon appointment to which citizens and upon replacement of which federal civil servants are required to submit information on their income, property and property obligations, as well as information on income, property and property obligations of their spouses (spouse ) and minor children, approved by Decree of the President of the Russian Federation of May 18, 2009 N 557, or in the list of positions approved by the head of a state body in accordance with section III the named list. The lists of positions of the state civil service of the constituent entities of the Russian Federation and the municipal service are approved by the state authorities of the constituent entities of the Russian Federation and local authorities (clause 4 of the Decree of the President of the Russian Federation of July 21, 2010 N 925).

Failure by the employer to fulfill the obligation provided for in Part 4 of Article 12 of Federal Law N 273-FZ is an offense and entails liability in the form of an administrative fine in accordance with Article 19.29 of the Administrative Code of the Russian Federation.
1.3. Responsibility of individuals

Responsibility of individuals for corruption offenses is established by Article 13 of Federal Law N 273-FZ. Citizens of the Russian Federation, foreign citizens and stateless persons for committing corruption offenses bear criminal, administrative, civil and disciplinary responsibility in accordance with the legislation of the Russian Federation. Relevant excerpts from regulatory legal acts are given in Appendix 1 to these Methodological Recommendations.

Nevertheless, in the Labor Code of the Russian Federation (hereinafter referred to as the Labor Code of the Russian Federation) there is a possibility of bringing an employee of an organization to disciplinary responsibility.

So, according to Article 192 of the Labor Code of the Russian Federation, disciplinary sanctions, in particular, include the dismissal of an employee on the grounds provided for in paragraphs 5, 6, 9 or 10 of part one of Article 81, paragraph 1 of Article 336, as well as paragraphs 7 or 7.1 of the first part of Article 81 of the Labor Code RF in cases where the culpable acts giving grounds for the loss of confidence were committed by the employee at the place of work and in connection with the performance of his labor duties. An employment contract may be terminated by the employer, including in the following cases:

One-time gross violation of labor duties by an employee, expressed in the disclosure of secrets protected by law (state, commercial and other), which became known to the employee in connection with the performance of his labor duties, including the disclosure of the personal data of another employee (subparagraph "c" of paragraph 6 of part 1 of article 81 of the Labor Code of the Russian Federation);

In relation to a Russian organization, the anti-corruption legislation of those countries where the organization operates may be applied;

on the development and adoption of measures by organizations

on preventing and combating corruption

	Introduction ……………………………………………………………………

	2. Terms and definitions …………………………………………… ..
	3. The circle of subjects for which the Methodological Recommendations have been developed ……………………………………………………… ...…
	Regulatory legal support …………………………………… ..
	1. Russian legislation in the field of preventing and combating corruption ……………………………………………… ...
	2. Foreign legislation …………………………………………
	Basic principles of combating corruption in the organization …….
	Anti-corruption policy of the organization …………………………….
	1. General approaches to the development and implementation of anti-corruption policy ……………………………………………………………………
	2. Determination of units or officials responsible for combating corruption ………………………………………… ..
	3. Assessment of corruption risks ……………………………………… ..
	4. Identification and settlement of conflicts of interest …………………
	5. Implementation of standards of conduct for employees of the organization …………
	6. Consulting and training of employees of the organization …………….
	7. Internal control and audit …………………………………………
	8. Taking measures to prevent corruption when interacting with counterparty organizations and affiliated organizations ………
	9. Cooperation with law enforcement agencies in the field of combating corruption …………………………………………… ...
	10. Participation in collective anti-corruption initiatives ………………………………………………………………….
	Appendix 1. A collection of provisions of normative legal acts establishing measures of responsibility for committing corruption offenses ……………………………………… ..
	Appendix 2. Normative legal acts of foreign states on anti-corruption issues having extraterritorial effect …………………………………………….
	Appendix 3. Overview of typical situations of conflict of interest ……….
	Appendix 4. Standard Declaration of Conflict of Interests …………….
	Appendix 5. Anti-Corruption Charter Russian business with the Regulation on the conditions and procedure for the implementation of the provisions of the Anti-Corruption Charter of Russian Business (Charter Roadmap) ……………………………………………………………………… ..

I. Introduction

Methodological recommendations for the development and adoption by organizations of measures to prevent and combat corruption (hereinafter - Methodological recommendations) were developed in pursuance of subparagraph "b" of paragraph 25 of the Decree of the President of the Russian Federation of April 2, 2013 No. 309 "On measures to implement certain provisions of the Federal Law" On Combating Corruption "and in accordance with Article 13.3 of the Federal Law of December 25, 2008 No. 273-FZ" On Combating Corruption ".

· Informing organizations about the normative legal support of anti-corruption work and responsibility for committing corruption offenses;

· Determination of the basic principles of combating corruption in organizations;

· Methodological support for the development and implementation of measures aimed at preventing and combating corruption in the organization.

2. Terms and definitions

Illegal recruitment of a former state (municipal) employee

The procedure for employers to provide this information is enshrined in the Decree of the Government of the Russian Federation dated September 8, 2010 No. 700.

The above requirements, based on the provisions of clause 1 of the Decree of the President of the Russian Federation of July 21, 2010 No. 925 "On measures to implement certain provisions of the Federal Law" On Combating Corruption ", apply to persons who replaced the positions of the federal public service included in Section I or section II of the list of positions of the federal civil service, upon appointment to which citizens and upon replacement of which federal civil servants are required to submit information on their income, property and property obligations, as well as information on income, property and property obligations of their spouses (spouse ) and minor children, approved by the Decree of the President of the Russian Federation of May 18, 2009 No. 557, or in the list of positions approved by the head of the state body in accordance with Section III of the named list. The lists of positions of the state civil service of the constituent entities of the Russian Federation and the municipal service are approved by the state authorities of the constituent entities of the Russian Federation and local authorities (clause 4 of the Decree of the President of the Russian Federation of 01.01.01, No. 925).

1.3. Responsibility of individuals

So, according to Article 192 of the Labor Code of the Russian Federation, disciplinary sanctions, in particular, include the dismissal of an employee on the grounds provided for in paragraphs 5, 6, 9 or 10 of part one of Article 81, paragraph 1 of Article 336, as well as paragraphs 7 or 7.1 of the first part of Article 81 of the Labor Code RF in cases where the culpable acts giving grounds for the loss of confidence were committed by the employee at the place of work and in connection with the performance of his labor duties. An employment contract may be terminated by the employer, including in the following cases:

· One-time gross violation of labor duties by an employee, expressed in the disclosure of secrets protected by law (state, commercial and other), which became known to the employee in connection with the performance of his labor duties, including the disclosure of personal data of another employee (subparagraph "c" of paragraph 6 of part 1 Article 81 of the Labor Code of the Russian Federation);

The commission of guilty actions by an employee directly serving monetary or commodity values, if these actions give rise to the loss of confidence in him on the part of the employer (clause 7 of part one of Article 81 of the Labor Code of the Russian Federation);

· Making an unreasonable decision by the head of the organization (branch, representative office), his deputies and the chief accountant, which entailed a violation of the safety of property, its unlawful use or other damage to the property of the organization (paragraph 9 of part one of Article 81 of the Labor Code of the Russian Federation);

· A single gross violation by the head of the organization (branch, representative office), his deputies of their labor duties (paragraph 10 of part one of Article 81 of the Labor Code of the Russian Federation).

2. Foreign legislation

· In relation to a Russian organization, the anti-corruption legislation of those countries in which the organization operates can be applied;

· In relation to a foreign organization for committing a corruption offense on the territory of the Russian Federation, liability measures provided for by the anti-corruption legislation of the country in which the organization is registered or with which it is otherwise associated may be applied.

At the same time, legislation aimed at combating bribery of foreign officials is of particular importance. General approaches to combating this crime are enshrined in the Organization for Economic Cooperation and Development Convention on Combating Bribery of Foreign Officials in International Business Transactions. Information about the named Convention is given in Appendix 2 to these Methodological Recommendations.

A number of foreign countries have adopted legislative acts on the fight against corruption and bribery, which have extraterritorial effect. Organizations registered and (or) operating on the territory of the Russian Federation that fall under the influence of such regulatory legal acts must also take into account the requirements and restrictions established by them. Appendix 2 to these Guidelines provides a brief overview of the US Foreign Corrupt Practices Act (1977 - FCPA) and the UK Bribery Act (2010).

The appeal can be carried out, including for the purpose of reporting information that has become known to the organization about the facts of bribery of foreign officials by Russian organizations or to obtain support when the organization is faced with cases of extortion of a bribe or receiving (giving) a bribe from foreign officials.

III. Basic principles of combating corruption in the organization

When creating a system of anti-corruption measures in an organization, it is recommended to be based on the following key principles:

1. The principle of compliance of the organization's policy with current legislation and generally accepted norms.

2. The principle of personal leadership example.

The key role of the organization's leadership in the formation of a culture of intolerance to corruption and in the creation of an intra-organizational system for preventing and combating corruption.

3. The principle of employee involvement.

4. The principle of proportionality of anti-corruption procedures to the risk of corruption.

5. The principle of the effectiveness of anti-corruption procedures.

The use in the organization of such anti-corruption measures that are low cost, ensure ease of implementation and bring significant results.

6. The principle of responsibility and inevitability of punishment.

7. The principle of business openness.

Regular monitoring of the economic feasibility of spending in areas with a high corruption risk: exchange of business gifts, hospitality expenses, charitable donations, remuneration to external consultants

Engaging experts

Periodic external audit

Involvement of external independent experts in the implementation of economic activities of the organization and the organization of anti-corruption measures

Assessment of the results of ongoing anti-corruption work and distribution of reporting materials

Conducting a regular assessment of the results of anti-corruption work

Preparation and distribution of reporting materials on the work carried out and the results achieved in the field of combating corruption

2. Determination of units or officials responsible for combating corruption

The organization is recommended to determine the structural unit or officials responsible for combating corruption, based on their own needs, tasks, specifics of activities, staff size, organizational structure, material resources and other signs.

The tasks, functions and powers of the structural unit or officials responsible for combating corruption should be clearly defined.

For example, they can be installed:

· In the anti-corruption policy of the organization and other regulatory documents establishing anti-corruption procedures;

· The refusal of the employee from his personal interest, which generates a conflict with the interests of the organization;

· Dismissal of an employee from the organization on the initiative of the employee;

· The dismissal of an employee at the initiative of the employer for a disciplinary offense, that is, for failure to perform or improper performance by the employee through his fault of the labor duties assigned to him.

The above list of ways to resolve conflicts of interest is not exhaustive. In each specific case, by agreement between the organization and the employee who disclosed information about the conflict of interest, other forms of its settlement can be found.

When resolving the existing conflict of interest, you should choose the most “soft” settlement measure possible, taking into account the existing circumstances. More stringent measures should be used only when it is caused by a real need or in the event that "softer" measures were not effective enough. When deciding on the choice of a specific method for resolving conflicts of interest, it is important to take into account the significance of the employee's personal interest and the likelihood that this personal interest will be realized to the detriment of the interests of the organization.

Identification of persons responsible for receiving information about a conflict of interest and consideration of this information

Determination of officials responsible for receiving information on emerging (existing) conflicts of interest is an essential element in the implementation of anti-corruption policy. Such a person may be the immediate superior of an employee, an employee of the personnel service, a person responsible for combating corruption. It is advisable to consider the information received collectively: the above-mentioned persons, a representative of the legal department, a higher-level manager, etc., can take part in the discussion.

5. Implementation of standards of conduct for employees of the organization

An important element of work to prevent corruption is the introduction of anti-corruption standards of employee behavior into the corporate culture of the organization. For these purposes, the organization is encouraged to develop and adopt a code of ethics and service conduct for employees of the organization. It should be borne in mind that such a code has a wider range of actions than the regulation of issues directly related to the prohibition of the commission of corruption offenses. As a rule, the code establishes a number of rules and standards of employee conduct that affect the general ethics of business relations and are aimed at fostering ethical, conscientious behavior in employees and the organization as a whole.

Codes of ethics and official conduct can vary significantly in terms of the severity of the established regulations. On the one hand, the code can only enshrine the core values and principles that the organization intends to cultivate in its activities. On the other hand, the code may establish specific, binding rules of conduct. The organization should develop a code of ethics and service conduct based on its own needs, objectives and specifics of activities. The use of standard solutions is undesirable. At the same time, when preparing its code, an organization can use the codes of ethics and official conduct adopted in this professional community.

A code of ethics and official conduct can enshrine both general values, principles and rules of conduct, and special ones aimed at regulating behavior in certain areas. Examples of common values, principles and rules of conduct that can be enshrined in a code are:

· Adherence to high ethical standards of conduct;

· Maintaining high standards of professional activity;

· Adherence to the best corporate governance practices;

· Creating and maintaining an atmosphere of trust and mutual respect;

· Adherence to the principle of fair competition;

· Adherence to the principle of social responsibility of business;

· Observance of legality and assumed contractual obligations;

· Observance of the principles of objectivity and honesty when making personnel decisions.

Common values, principles and rules of conduct can be disclosed and detailed for individual areas (types) of activity. For example, in the field of personnel policy, the principle of promotion to a higher position may be enshrined only on the basis of the employee's business qualities, or a ban may be imposed on working in an organization of relatives on the condition of their direct subordination to each other. At the same time, rules for the implementation of certain procedures aimed at maintaining the declared standards and determining the terminology used can be introduced into the code. For example, when consolidating the principle of promotion to a higher position only on the basis of the employee's business qualities, a procedure for the employee's appeal with a complaint about a violation of this principle may be established. When establishing a ban on working in an organization, relatives, on the condition of their direct subordination to each other, may be given precise definition the concept of "relatives", that is, the circle of persons to whom this prohibition applies is clearly defined. Thus, a code of ethics and official conduct can not only declare certain values, principles and standards of conduct, but also establish rules and procedures for their implementation into the practice of an organization.

6. Consulting and training of employees of the organization

When organizing training for employees on prevention and combating corruption, it is necessary to take into account the goals and objectives of training, the category of trainees, the type of training, depending on the time of its implementation.

The goals and objectives of the training determine the topic and form of classes. Training can, in particular, be carried out on the following topics:

· Corruption in the public and private sectors of the economy (theoretical);

· Legal responsibility for committing corruption offenses;

· Familiarization with the requirements of the legislation and internal documents of the organization on anti-corruption issues and the procedure for their application in the activities of the organization (applied);

· Identification and resolution of conflicts of interest in the performance of job duties (applied);

· Behavior in situations of corruption risk, in particular in cases of extortion of a bribe by officials of state and municipal and other organizations;

· Interaction with law enforcement agencies on prevention and combating corruption (applied).

When organizing training, the category of trainees should be taken into account. The following groups of trainees are usually distinguished: persons responsible for combating corruption in the organization; executives; other employees of the organization. In small organizations, the problem of forming study groups... In this case, it may be recommended to replace training in groups with individual counseling or training in conjunction with other organizations by agreement.

Depending on the time of the course, the following types of training can be distinguished:

· Training on prevention and combating corruption immediately after hiring;

Training when appointing an employee to another, more high position that involves the performance of duties related to the prevention and combating of corruption;

· Periodic training of employees of the organization in order to maintain their knowledge and skills in the field of combating corruption at the proper level;

· Additional training in the event of failures in the implementation of anti-corruption policy, one of the reasons for which is the lack of knowledge and skills of employees in the field of anti-corruption.

Counseling on anti-corruption issues is usually carried out on an individual basis. In this case, it is advisable to identify the persons of the organization who are responsible for such consultation. It is recommended that you confidentially advise on anti-corruption and conflict-of-interest issues.

7. Internal control and audit

Federal Law of December 6, 2011 No. 402-FZ
"On Accounting" established the obligation for all organizations to carry out internal control of business operations, and for organizations whose financial statements are subject to mandatory audit, also the obligation to organize internal control of accounting and preparation of financial statements.

An organization's internal control and audit system can help prevent and detect corruption offenses in the organization's activities. At the same time, the implementation of such tasks of the internal control and audit system as ensuring the reliability and reliability of the financial (accounting) statements of the organization and ensuring the compliance of the organization's activities with the requirements of regulatory legal acts and local regulatory acts of the organization is of the greatest interest. To do this, the internal control and audit system must take into account the requirements of the anti-corruption policy implemented by the organization, including:

· Verification of compliance with various organizational procedures and rules of activity, which are significant from the point of view of work on the prevention and prevention of corruption;

· Control of documenting operations of the organization's economic activities;

· Checking the economic feasibility of the operations carried out in the areas of corruption risk.

Verification of the implementation of organizational procedures and business rules that are significant from the point of view of work on the prevention and prevention of corruption can cover both specific anti-corruption rules and procedures (for example, those listed in Table 1), and other rules and procedures that have an indirect significance (for example, (see some general norms and standards of conduct as outlined in the organization's code of ethics and performance).

Control over the documentation of business operations is primarily associated with the obligation to maintain financial (accounting) statements of the organization and is aimed at preventing and detecting relevant violations: drawing up unofficial reports, using forged documents, recording non-existent expenses, lack of primary accounting documents, corrections in documents and reporting, destruction documents and reports earlier than the deadline, etc.

The economic feasibility check of the operations carried out in the areas of corruption risk can be carried out in relation to the exchange of business gifts, hospitality expenses, charitable donations, remuneration to external consultants and other areas. In this case, one should pay attention to the presence of circumstances - indicators of illegal actions, for example:

· Payment for services, the nature of which is not defined or is in doubt;

· Provision of expensive gifts, payment for transport, entertainment services, issuance of loans on preferential terms, provision of other values or benefits to external consultants, government or municipal employees, employees of affiliated persons and counterparties;

· Payment of a fee to the intermediary or external consultant that exceeds the usual fee for the organization or fee for this type of service;

· Purchases or sales at prices significantly different from market prices;

· Questionable cash payments.

As part of the ongoing anti-corruption measures, the management of the organization and its employees should also pay attention to the provisions of the legislation governing anti-money laundering, including:

· Acquisition, possession or use of property, if such property is known to constitute proceeds of crime;

· Concealment or concealment of the true nature, source, location, method of disposal, transfer of rights to property or its belonging, if it is known that such property is the proceeds of crime.

The Federal Law of August 7, 2001 "On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism" established a list of organizations obliged to participate in the fulfillment of the requirements said document... So, in particular, financial organizations are obliged to ensure proper identification of the identity of customers, owners, beneficiaries, to submit reports of suspicious transactions to the authorized bodies, to take other mandatory actions aimed at combating corruption.

8. Taking measures to prevent corruption when interacting with counterparty organizations and affiliated organizations

In the anti-corruption work carried out in cooperation with counterparty organizations, one can conditionally distinguish two areas. The first is to establish and maintain business relationships with those organizations that conduct business relationships in a conscientious and honest manner, care for their own reputation, demonstrate support for high ethical standards in doing business, implement their own anti-corruption measures, and participate in collective anti-corruption initiatives. ... In this case, the organization needs to implement special procedures for checking counterparties in order to reduce the risk of the organization being involved in corrupt activities and other unfair practices in the course of relations with counterparties. In its simplest form, such a check can be the collection and analysis of open access information about potential counterparty organizations: their reputation in the business community, length of activity in the market, participation in corruption scandals, etc. Attention should also be paid when assessing corruption risks when interacting with counterparties when concluding mergers and acquisitions.

Another direction of anti-corruption work when interacting with counterparty organizations is to disseminate among the counterparty organizations programs, policies, standards of conduct, procedures and rules aimed at preventing and combating corruption that are applied in the organization. Certain provisions on compliance with anti-corruption standards may be included in contracts concluded with counterparty organizations.

The dissemination of anti-corruption programs, policies, standards of conduct, procedures and rules should be carried out not only in relation to counterparty organizations, but also in relation to dependent (controlled) organizations. The organization, in particular, can ensure that anti-corruption measures are taken in all subsidiaries it controls.

In addition, it is recommended to organize informing the public about the degree of implementation and success in the implementation of anti-corruption measures, including by posting relevant information on the official website of the organization.

In the presence of joint ventures that are not controlled by the organization, the organization can inform partners about the measures it takes to prevent and combat corruption and stimulate the adoption of similar measures in the joint venture. In general, the possibility of introducing anti-corruption programs should be discussed at the stage of organizing a joint venture. The relevant agreement may also include a clause stating that in the event that a joint venture has committed corruption offenses, the organization should be able to withdraw from the agreement, since the continuation of the business relationship could otherwise damage its reputation.

9. Cooperation with law enforcement agencies in the field of combating corruption

Cooperation with law enforcement agencies is an important indicator of an organization's true adherence to declared anti-corruption standards of conduct. This cooperation can be carried out in various forms.

First, an organization can take on a public obligation to report to the appropriate law enforcement agencies about cases of corruption offenses that the organization (employees of the organization) became aware of. When contacting law enforcement agencies, one should take into account the jurisdiction of the crimes, which is described in more detail in Appendix 1 to these Methodological Recommendations.

The need to report to the relevant law enforcement agencies about cases of corruption offenses, which became known to the organization, can be assigned to the person responsible for preventing and combating corruption in this organization.

An organization should commit itself to refrain from any sanctions against its employees who have reported to law enforcement agencies about information that they become aware of during the performance of their work duties about the preparation or commission of a corruption offense.

Cooperation with law enforcement agencies can also take the form of:

Rendering assistance to authorized representatives of control and supervisory and law enforcement when they conduct inspections of the organization's activities in the field of preventing and combating corruption;

· Rendering assistance to authorized representatives of law enforcement agencies in carrying out measures to suppress or investigate corruption crimes, including operational-search measures.

The management of the organization and its employees should provide support in identifying and investigating corruption facts by law enforcement agencies, take the necessary measures to preserve and transfer to law enforcement agencies documents and information containing data on corruption offenses. When preparing application materials and replies to inquiries from law enforcement agencies, it is recommended to involve specialists in the relevant field of law in this work.

Management and employees should not allow interference with the implementation official duties judicial or law enforcement officials.

10. Participation in collective anti-corruption initiatives

Organizations can not only implement measures to prevent and combat corruption on their own, but also take part in collective anti-corruption initiatives.

Participation in the following events is recommended as joint anti-corruption actions:

· Joining the Anti-Corruption Charter of Russian Business;

· Use of standard anti-corruption clauses in joint agreements;

· Participation in the formation of the Register of reliable partners;

· Public refusal from joint business activities with persons (organizations) involved in corruption crimes;

· Organizing and conducting joint training on prevention and combating corruption.

The Anti-Corruption Charter is open for all-Russian, regional and industry associations, as well as Russian companies and foreign companies operating in Russia to join. At the same time, companies can join the Anti-Corruption Charter both directly and through the associations of which they are members.

Based on the Anti-Corruption Charter and taking into account these Methodological Recommendations, associations of entrepreneurs can develop independent guidelines for the implementation of specific measures to prevent and combat corruption, depending on the industry, direction of economic activity or the size of the enterprises that they combine.

On the issues of prevention and combating corruption, organizations, among other things, can interact with the following associations:

· The Chamber of Commerce and Industry of the Russian Federation and its regional associations (www. *****);

· Russian Union of Industrialists and Entrepreneurs (www. *****);

· All-Russian public organization "Business Russia" (www. *****);

· All-Russian public organization of small and medium-sized businesses "OPORA RUSSIA" (www. *****).

Letter of the Ministry of Health and Social Development of Russia dated September 20, 2010 No. 000-17 "On methodological recommendations on the procedure for notifying a representative of an employer (employer) about the facts of treatment in order to induce a state or municipal employee to commit corruption offenses, including a list of information contained in notifications, organization questions verification of this information and the procedure for registering notifications ”is published in the reference legal systems Consultant Plus and GARANT, as well as on the official website of the Ministry of Labor of Russia at: http: // www. ***** / ministry / programs / gossluzhba / antikorr / 1.

The text of the Anti-Corruption Charter and the Roadmap describing the mechanism for joining the charter are given in Appendix 5 to the Methodological Recommendations.

Detailed information about the Register of Trusted Partners can be found at the Internet address: http: // ***** /.

Note to the document

ConsultantPlus: note.

The text of the document is given in accordance with the publication on the website http://www.rosmintrud.ru as of 11.11.2013.

(approved by the Ministry of Labor of Russia on 08.11.2013)

MINISTRY OF LABOR AND SOCIAL PROTECTION OF THE RUSSIAN FEDERATION

FOR THE DEVELOPMENT AND ADOPTION OF MEASURES BY ORGANIZATIONS

FOR PREVENTING AND ANTI-CORRUPTION

I. Introduction

Informing organizations about the regulatory framework for anti-corruption work and responsibility for committing corruption offenses;

Determination of the basic principles of combating corruption in organizations;

Methodological support for the development and implementation of measures aimed at preventing and combating corruption in the organization.

2. Terms and definitions

a) for the prevention of corruption, including the identification and subsequent elimination of the causes of corruption (prevention of corruption);

b) on detection, prevention, suppression, disclosure and investigation of corruption offenses (fight against corruption);

c) to minimize and (or) eliminate the consequences of corruption offenses.

Organization - a legal entity, regardless of the form of ownership, organizational and legal form and industry affiliation.

Counterparty - any Russian or foreign legal or natural person with whom the organization enters into contractual relations, with the exception of labor relations.

3. The circle of subjects for which the Methodological Recommendations have been developed

These Guidelines have been developed for use in organizations regardless of their forms of ownership, organizational and legal forms, industry affiliation and other circumstances. At the same time, the Methodological Recommendations are primarily designed for use in organizations for which the legislation of the Russian Federation does not establish special requirements in the field of combating corruption (that is, in organizations that are not federal state bodies, state authorities of the constituent entities of the Russian Federation, bodies local government, state corporations (companies), state off-budget funds, other organizations created by the Russian Federation on the basis of federal laws, as well as organizations created to fulfill the tasks assigned to federal state bodies).

The management of the organization can use the Methodological Recommendations in order to:

Obtaining information on the basic procedures and mechanisms that can be implemented in the organization in order to prevent and combat corruption;

Development of the foundations of anti-corruption policy in the organization.

Those responsible for the implementation of anti-corruption policies in the organization can use these Guidelines to:

Employees of the organization can use the Methodological Recommendations in order to:

Obtaining information about the responsibilities that may be assigned to employees of the organization in connection with the implementation of anti-corruption measures.

Information provided by the company "ConsultantPlus"

The provided documents are included in the ConsultantPlus System

2. Terms and definitions

3. The circle of subjects for which the Methodological Recommendations have been developed

1. Russian legislation in the field of preventing and combating corruption

1. General approaches to the development and implementation of anti-corruption policy

2. Determination of units or officials responsible for combating corruption

3. The circle of subjects for which the Methodological Recommendations have been developed ……………………………………………………… ...…

Regulatory legal support …………………………………… ..

1. Russian legislation in the field of preventing and combating corruption ……………………………………………… ...

Basic principles of combating corruption in the organization …….

Anti-corruption policy of the organization …………………………….

1. General approaches to the development and implementation of anti-corruption policy ……………………………………………………………………

2. Determination of units or officials responsible for combating corruption ………………………………………… ..

3. Assessment of corruption risks ……………………………………… ..

4. Identification and settlement of conflicts of interest …………………

5. Implementation of standards of conduct for employees of the organization …………

6. Consulting and training of employees of the organization …………….

7. Internal control and audit …………………………………………

8. Taking measures to prevent corruption when interacting with counterparty organizations and affiliated organizations ………

9. Cooperation with law enforcement agencies in the field of combating corruption …………………………………………… ...

10. Participation in collective anti-corruption initiatives ………………………………………………………………….

I. Introduction

2. Terms and definitions

III. Basic principles of combating corruption in the organization

2. Determination of units or officials responsible for combating corruption

5. Implementation of standards of conduct for employees of the organization

6. Consulting and training of employees of the organization

7. Internal control and audit

8. Taking measures to prevent corruption when interacting with counterparty organizations and affiliated organizations

9. Cooperation with law enforcement agencies in the field of combating corruption

10. Participation in collective anti-corruption initiatives