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THE ORDER OF THE NATIONAL AGENCY ACCORDING TO THE PREVENTION OF CORRUPTION OF UKRAINE

of December 28, 2021 No. 830/21

About enhancement of process of management of corruption risks

According to Items 7, 12 parts one of Article 11, of Item 5 parts one of Article 12, of Articles 19, 63 Laws of Ukraine "About prevention of corruption" ORDER:

1. Approve enclosed:

Methodology of management of corruption risks;

Procedure for submission of Anti-corruption programs, changes in them on approval in the National agency concerning prevention of corruption and implementation of their approval;

Standard anti-corruption program (program of respectability) of the legal entity. 

2. Recognize to invalid:

the decision of the National agency concerning prevention of corruption of December 2, 2016 No. 126 "About approval of Methodology of assessment of corruption risks in activities of authorities", registered in the Ministry of Justice of Ukraine on December 28, 2016 for No. 1718/29848;

the decision of the National agency concerning prevention of corruption of December 8, 2017 No. 1379 "About approval of the Procedure for preparation, submission of Anti-corruption programs on approval in the National agency concerning prevention of corruption and implementation of their approval", registered in the Ministry of Justice of Ukraine on January 22, 2018 for No. 87/31539 (with changes).

3. To submit to department of prevention and identification of corruption in accordance with the established procedure this order on state registration to the Ministry of Justice of Ukraine.

4. I reserve control of execution of this order.

5. This order becomes effective in three months from the date of its official publication.

Approved by the Order of the National agency concerning prevention of corruption of Ukraine of December 28, 2021 No. 830/21

Methodology of management of corruption risks

I. General provisions

1. This Methodology determines control algorithm of corruption risks in activities of state bodies, local government bodies, other subjects in which Anti-corruption programs according to article 19 of the Law of Ukraine "About prevention of corruption" are adopted (further - the organization) which includes assessment procedures of corruption risks, preparation, monitoring, assessment of execution and review of Anti-corruption programs.

This Methodology can be applied to management of corruption risks in activities of other legal entities, irrespective of their form of business.

2. In this Methodology terms are used in such values:

assets of the organization - the means, property, corporate, other rights and resources belonging to the organization;

The anti-corruption program - the complex Anti-corruption document of strategic type which determines process of management of corruption risks taking into account the corruption risks and the state Anti-corruption policy identified in the organization;

internal concerned parties - the head and other employees of the organization; persons who serve, training or training in the organization; territorial authorities (branches, representations) organizations and their workers; consultative, advisory and other facilitative branches which are formed in the organization, and members of such bodies;

source of corruption risk - circumstance or their set which can entail or allow emergence of corruption risk;

corrective action on corruption risk - the measure directed to elimination, minimization of corruption risk;

outer concerned parties - physical persons and/or legal entities, their associations, other subjects which are not internal concerned parties with which the organization interacts or can interact in the course of accomplishment of the functions;

the circle of the organization is set of internal and external factors which characterize organization activity and have or can have influence on goal achievement of its activities;

corruption risk - probability of making of the corruption or connected with corruption offense which will negatively influence organization activity;

amount of assessment of corruption risks - set of functions of the organization and processes, potentially vulnerable to corruption, in its activities;

working group - the working group on assessment of corruption risks formed in the organization for the purpose of identification, the analysis, determination of levels of corruption risks in organization activities and developments of corrective actions on them;

management of corruption risks - the purposeful, coordinated organization activity on identification, elimination, minimization of corruption risks in the activities.

The scheme of process of management of corruption risks in organization activity is given in appendix 1 to this Methodology.

Other terms in this Methodology are used in the values given in the Law of Ukraine "About prevention of corruption" (further - the Law).

3. Principles of management of corruption risks:

integration - inherence of management of corruption risks from organization activity, its implementation in general management system the organization; accounting of resource requirement, corrective actions, necessary for accomplishment, on corruption risks, during planning and management of financial resources of the organization; accounting of provisions of the Anti-corruption program in case of decision making and preparation of the regulatory legal acts and administrative documents regulating organization activity; involvement of the representative of division (authorized person) for prevention and identification of corruption (further - authorized division (authorized person)) to management of corruption risks;

inclusiveness - implementation of management of corruption risks on each function of the organization taking into account its structure and distribution of powers between its independent structural divisions of the organization, interrelations between different functions of the organization;

adaptedness - accounting of features of the circle of the organization under management of corruption risks;

inclusivity - proper and timely attraction to all components of process of management of corruption risks of outer and internal concerned parties for the purpose of exchange of information and carrying out consultations;

dynamism - implementation of management of corruption risks on system and regular basis, accounting of changes in the circle of the organization, response to new corruption risks and timely and effective adjustment of corrective actions on corruption risks, including by modification of the Anti-corruption program;

sufficiency of information - implementation of management of corruption risks based on all information which is available in the organization;

continuous improvement - improvement of process of management of corruption risks thanks to the acquired knowledge and practical experience of elimination, minimization of corruption risks for the purpose of gradual decrease in amount of such risks or their levels in organization activity.

II. Task of the head of the organization and other persons in management of corruption risks

1. Task of the head of the organization in management of corruption risks:

1) demonstration of leader line item in implementation of management of corruption risks in all fields of activity of the organization;

2) support directly prevention and anti-corruption in organization activity, demonstration by own example of zero tolerance to corruption, personal participation in Anti-corruption actions of the organization;

3) adoption of administrative documents concerning prevention and anti-corruption, including the Anti-corruption program and changes in it;

4) assistance to distribution of information on importance of implementation of management of corruption risks to all fields of activity of the organization;

5) formation of independent and functionally independent authorized division (determination/appointment of the authorized person) and his (her) organizational, material and other resources sufficient for effective implementation of the tasks assigned to he (she); providing guarantees of independence and periodic advanced training of the representative of division (authorized person) as coordinator of work on management of corruption risks;

6) implementation of the common directorship and control of process of management of corruption risks, efficiency analysis of management of corruption risks;

7) initiation of carrying out regular assessment of corruption risks in organization activity (further - assessment of corruption risks), creations of working group, investment with its appropriate authority;

8) providing with the resources necessary for effective management of corruption risks;

9) assistance to continuous improvement of processes of management of corruption risks;

10) timely response to the possible facts of violations of the Anti-corruption program, the corruption or connected with corruption offenses, other violations of the law.

2. Tasks of authorized division (authorized person) in management of corruption risks:

1) coordination of interaction of participants of process of management of corruption risks;

2) ensuring involvement of internal and outer concerned parties to process of management of corruption risks, including in structure of the working group;

3) organization of activities of working group:

provision of offers to the head of the organization concerning members of working group;

implementation of preparation of meetings of working group;

ensuring maintaining protocols of meetings of working group;

holding introduction training and rendering the methodical help to workgroup members concerning management of corruption risks;

ensuring exchange of information between workgroup members;

4) coordination of assessment work of corruption risks and development of corrective actions on corruption risks;

5) preparation of offers on determination of Anti-corruption policy of the organization;

6) preparation of the Anti-corruption program, changes in it and other documents provided by this Methodology;

7) implementation of monitoring and assessment of accomplishment of the Anti-corruption program;

8) implementation of monitoring of the circle of the organization, timely response to the changes influencing origin new or change of the existing corruption risks;

9) ensuring interaction of the organization with the National agency for prevention of corruption (further - the National agency) on the questions provided by the Law and this Methodology.

3. Task of working group in management of corruption risks:

1) work planning according to corruption risks;

2) circle research of the organization and scoping of assessment of corruption risks;

3) exchange of information and carrying out consultations with internal and outer concerned parties, including by their poll (questioning), interviewing;

4) implementation of identification, analysis and determination of levels of corruption risks;

5) development of corrective actions on corruption risks.

4. Task of heads of independent structural divisions of the organization in management of corruption risks:

1) ensuring interaction of independent structural division of the organization with authorized division (authorized person);

2) identification and accounting of the corruption risks arising in activities of independent structural division of the organization in case of decision making and making of actions; informing on such corruption risks of authorized division (authorized person) and head of the organization;

3) periodic advanced training;

4) personal observance and ensuring compliance by subordinate workers of Anti-corruption policy with the organization, provisions of the Anti-corruption program;

5) encouragement of subordinate workers to the message on the possible facts of the corruption or connected with corruption offenses, other violations of the law, informing on non-compliance with Anti-corruption policy of the organization, provisions of the Anti-corruption program.

5. Task of employees of the organization in management of corruption risks:

1) observance of Anti-corruption policy of the organization, the Anti-corruption program during execution of job responsibilities;

2) provision to workgroup members of reliable information concerning the circle of the organization, corruption risks in its activities; participation in polls (questioning), interviewings provided by this Methodology;

3) passing of periodic training in questions of prevention and anti-corruption;

4) provision of suggestions for improvement of Anti-corruption policy of the organization, Anti-corruption program;

5) the notification in the procedure established by the legislation on the possible facts of the corruption or connected with corruption offenses, other violations of the law, non-compliance by internal concerned parties of Anti-corruption policy with the organization, the Anti-corruption program.

6. Involvement of outer concerned parties to management of corruption risks is performed on purpose:

receipts of information which will promote understanding of the circle of the organization;

knowledge sharing and experience for effective estimation of corruption risks;

public control over effective management of corruption risks and increase in trust to the organization.

7. Participation of outer concerned parties in management of corruption risks is performed in such forms, in particular:

entry into structure of the working group;

participation in polls (questioning), interviewings concerning organization activity and possible corruption risks;

participation in consultations according to the draft of the Anti-corruption program;

attraction to assessment of accomplishment of the Anti-corruption program.

III. Assessment of corruption risks

1. Purpose of assessment of corruption risks and its stages

1. Assessment of corruption risks is carried out for the purpose of establishment of probability of making by the corruption and connected with corruption of offenses employees of the organization, establishment of the reasons, conditions and effects of possible making of such offenses, and also efficiency analysis of the existing control measures directed to prevention of realization of corruption risks.

Assessment of corruption risks is basis for preparation and, if necessary, further enhancement of the Anti-corruption program.

2. Evaluation stages of corruption risks is:

preparation for assessment of corruption risks;

circle research of the organization and scoping of assessment of corruption risks;

identification of corruption risks;

analysis of corruption risks;

determination of levels of corruption risks.

2. Preparation for assessment of corruption risks

1. Preparation for assessment of corruption risks is performed for the purpose of informing and involvement of internal and outer concerned parties to assessment of corruption risks.

2. Preparation for assessment of corruption risks is performed in such sequence:

edition head of the organization of the administrative document on evaluating corruption risks;

forming (updating) of members of working group (in case of evaluating corruption risks in self-assessment format);

holding introduction training for workgroup members (in case of evaluating corruption risks in self-assessment format);

approval by the working group of organizational issues of the activities (in case of evaluating corruption risks in self-assessment format);

scheduling of assessment of corruption risks and preparation of the Anti-corruption program (further - the plan of assessment).

3. The administrative document on evaluating corruption risks determines:

1) purpose of evaluating corruption risks;

2) format of assessment of corruption risks:

self-assessment - implementation of assessment of corruption risks by the organization independently, including with involvement of experts (if necessary);

external estimation - implementation of assessment of corruption risks by the expert (experts) involved (attracted) on a contract basis;

3) term of evaluating corruption risks and preparation of the Anti-corruption program;

4) terms of provision by heads of independent structural divisions of the organization to the head of authorized division (authorized person) of candidates for inclusion in structure of the working group (in case of decision making about evaluating corruption risks in self-assessment format);

5) the term of provision by representatives of outer concerned parties (public) of candidates for inclusion in structure of the working group which constitutes at least 10 days from the date of publication of the administrative document on evaluating corruption risks and also method of provision of the list of such candidates (it is specified in case of decision making about evaluating corruption risks in self-assessment format).

4. The administrative document on evaluating corruption risks is brought to the attention of employees of the organization, its territorial authorities no later than 3 working days from the date of its acceptance and is at the same time posted on the official website of the organization (in the presence), other information resources.

5. For the purpose of realization by the National agency of the powers determined in Item 7 parts one of article 11 of the Law, the organization determined in article 19 of the Law informs the National agency on the beginning of evaluating corruption risks by the direction of the corresponding letter with hyperlink to the administrative document on evaluating corruption risks posted on the official website of the organization (in case of availability).

6. In case of evaluating corruption risks in format of self-assessment the working group is created.

In case of evaluating corruption risks in format of external estimation the expert (experts) performs (perform) the actions provided by this Methodology for working group.

7. The working group is formed according to the decision of the head of the organization who approves its members and regulations on it.

The sample of regulations on the working group on assessment of corruption risks is given in appendix 2 to this Methodology.

The decision on formation of working group, statement of its members (modification of its members) is accepted not earlier than the expiration of provision by outer concerned parties of candidates in its structure.

8. The chairman of working group determines, as a rule, the head of authorized division (authorized person).

As a rule, include employees of all independent structural divisions of the organization who on the business, moral qualities and professional level are capable to fulfill duties of workgroup members in structure of the working group and to provide objective and impartial results of assessment of corruption risks.

Include representatives of outer concerned parties in structure of the working group (in case of receipt of relevant proposals) if they have knowledge of the circle of the organization and/or have work experience in the field of organization activity and/or in the field of prevention and/or anti-corruption.

For inclusion in structure of the working group treat candidates:

representatives of the institutes of civil society exercising public control over organization activity;

experts who have special knowledge in the field of organization activity and/or in the field of prevention and/or anti-corruption;

representatives of the legal entities interacting with the organization or being consumers of the administrative services provided by the organization (in case of provision of such services).

Do not include outer concerned parties and their representatives in case of availability of information about them in the Unified state register of persons who made the corruption or connected with corruption offenses in structure of the working group.

In case of refusal in inclusion in structure of the working group of person who is not the employee of the organization or its exceptions of structure of the working group such decision shall be reasonable, be brought to the attention of person and the outer concerned party which presented its candidate (in case of availability).

9. The decision on creation of working group, statement of its members (modification), regulations on working group are posted on the official website of the organization (in case of availability) no later than the next working day from the date of their acceptance.

10. At any evaluation stage of corruption risks other employees of the organization, including employees of its territorial authorities can be involved in activities of working group.

11. For the purpose of preparation for assessment of corruption risks the employee of authorized division (authorized person) provides introduction training for workgroup members.

The expert can be involved in holding introductory training.

During the introduction training the representative of authorized division (authorized person) and/or the involved expert:

explains according to the current legislation of determination of the terms "corruption", "corruption offense", "offense connected with corruption"; specifies the list of the corruption and connected with corruption offenses established by the legislation; gives, in case of availability, cases of making of the corruption and connected with corruption offenses in organization activity which came to light in previous periods (from one to three years); provides the overview of the corruption risks determined in the Anti-corruption program for previous period, and condition of their elimination, minimization;

explains the purpose, the principles and assessment procedure of corruption risks and preparation of the Anti-corruption program;

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