of October 7, 2014 No. 3414-U
About procedure for acceptance by bank clerks of Russia for measures for prevention and settlement of conflicting interests
Based on the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, the Art. 3634, No. 30, the Art. 4219), article 11.1 of the Federal Law of December 25, 2008 No. 273-FZ "About anti-corruption" (The Russian Federation Code, 2008, No. 52, Art. 6228; 2011, No. 29, Art. 4291; No. 48, Art. 6730; 2012, No. 50, Art. 6954; No. 53, Art. 7605; 2013, No. 19, Art. 2329; No. 40, Art. 5031; No. 52, the Art. 6961) (further - the Federal Law "About Anti-corruption") and according to the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of September 26, 2014 No. 28) are established by this Instruction procedure for acceptance by bank clerks of Russia for measures for prevention of possibility of conflict of interest and to settlement of the arisen conflict of interest (further - measures for prevention and settlement of conflicting interests).
1.1. In this Instruction the terms "conflict of interest" and "personal interest" are used in the value established by the Federal Law "About Anti-corruption".
1.2. For the purposes of this Instruction the following concepts are used:
territorial offices of the Bank of Russia - head departments of the Central bank of the Russian Federation, national banks, departments, departments - national banks of head departments of the Central bank of the Russian Federation, except for Departments 1 - 4 Head departments of the Central bank of the Russian Federation across Central Federal District Moscow;
divisions on work with personnel - divisions on work with personnel of Department of field organizations, territorial offices of the Bank of Russia and other divisions of the Bank of Russia;
the HR specialist - the employee of other division of the Bank of Russia in whom the staff list does not provide division on work with personnel to which duties work with personnel belongs;
the employer's representative - the official of the Bank of Russia who in the procedure established in the Bank of Russia is granted the right of position assignment and dismissal of the bank clerk of Russia;
the immediate superior - the head of the structural unit performing according to the job responsibilities management of the bank clerk of Russia without intermediate key elements;
benefit - receipt by the bank clerk of Russia of the income in type of money, values, other property or services of property nature, other property rights;
possibility of conflict of interest - situation in case of which personal interest of the bank clerk of Russia in case of further execution of job responsibilities by it can cause conflict of interest.
2.1. Prevention and settlement of conflicting interests in the Bank of Russia provides the following measures.
2.1.1. The notification the bank clerk of Russia of the immediate superior about possibility of conflict of interest or about the arisen conflict of interest which party it is.
2.1.2. Consideration of the notification of the bank clerk of Russia on possibility of conflict of interest or about the arisen conflict of interest.
2.1.3. Acceptance by results of consideration of the notification of the bank clerk of Russia on possibility of conflict of interest or about the arisen conflict of interest of measures for prevention and settlement of conflicting interests.
2.1.4. Control of taking measures to prevention and settlement of conflicting interests.
2.2. The bank clerk of Russia shall take measures for non-admission of any possibility of conflict of interest. The bank clerk of Russia shall in writing, established by appendix 1 to this Instruction, to notify the immediate superior on the arisen conflict of interest or on possibility of its origin as soon as he knows of it.
In case of finding of the bank clerk of Russia not in case of execution of job responsibilities by it and out of place of employment it notifies in writing the immediate superior on the arisen conflict of interest or on possibility of its origin on arrival to the place of permanent job.
2.3. The copy of the notification is at the same time addressed:
in central office of the Bank of Russia - in Department of personnel policy and ensuring work with bank staff of Russia (further - Department);
in territorial and field offices of the Bank of Russia, other divisions of the Bank of Russia - in the relevant division on work with personnel (HR specialist).
2.4. The immediate superior (the higher chief, the representative of employer), if he knew of origin at the bank clerk of Russia of personal interest which brings or can lead to conflict of interest, shall take measures for prevention and settlement of conflicting interests.
2.5. If the immediate superior has no necessary ex-officio full powers for acceptance of the specific measures for prevention or settlement of conflicting interests which are not connected with change of conditions of the employment contract of the bank clerk of Russia, it submits the notification and proposals on taking measures to prevention and settlement of conflicting interests to the higher chief.
If prevention or settlement of conflicting interests requires taking measures, the conditions of the employment contract of the bank clerk of Russia connected with change, the immediate superior (the higher chief) submits the notification and proposals on taking measures to prevention and settlement of conflicting interests to the representative of employer.
2.6. The notification shall be taken cognizance by the immediate superior (the higher chief, the representative of employer) in day of its receipt.
In case of receipt of the notification during week-end and non-working holidays it shall be considered no later than the first working day following behind day of its receipt.
2.7. Based on the analysis of the arrived materials one of the following decisions which are not connected with change of conditions of the employment contract of the bank clerk of Russia is accepted by the immediate superior (the higher chief).
2.7.1. About the offer to the bank clerk of Russia to refuse the benefit received or assumed to obtaining which was origin of conflict of interest.
2.7.2. About strengthening of control of execution by the bank clerk of Russia of the job responsibilities in case of which accomplishment there can be conflict of interest.
2.7.3. About restriction of access for the bank clerk of Russia to specific information which possession can lead to conflict of interest.
2.7.4. About discharge of the bank clerk of Russia from execution of the order which brings or can lead to emergence of conflict of interest, and also from participation in discussion and decision making process according to the specified order.
2.7.5. About modification of the job description of the bank clerk of Russia.
2.7.6. About leaving of the notification without further reaction if information on possibility or emergence of conflict of interest did not prove to be true.
2.8. The immediate superior (the higher chief) makes the decision, the stipulated in Item 2.7 presents of the Instruction, no later than five working days from registration date of the notification in the procedure established in the Bank of Russia and informs Department, division on work with personnel (HR specialist) on the made decision.
2.9. The representative of employer based on the analysis of the arrived materials makes the decision on leaving of the notification without further reaction (if information on possibility or emergence of conflict of interest did not prove to be true) or one of the following decisions connected with change of conditions of the employment contract of the bank clerk of Russia.
2.9.1. About transfer of the bank clerk of Russia into other work both in structural division, and in other division of the Bank of Russia.
2.9.2. About change of job responsibilities of the bank clerk of Russia without change of post.
2.9.3. About discharge of the bank clerk of Russia from execution of job responsibilities (separate job responsibilities) before elimination of conditions of emergence of conflict of interest or its settlement.
3.1. The bank clerk of Russia can transfer the notification to the immediate superior and to the divisions (specialist) specified (specified) in Item 2.3 of this Instruction personally or:
in central office of the Bank of Russia - through the structural division (worker) responsible (responsible) for record keeping;
in territorial and field office, other divisions of the Bank of Russia - through service of documentary ensuring management (further - service of preschool educational institution) or the worker responsible for documentary ensuring management (further - responsible for preschool educational institution).
3.2. The notification which arrived from the bank clerk of Russia is subject to obligatory registration in the procedure established in the Bank of Russia in System of automation of document flow and clerical work of the Bank of Russia by structural division (worker) responsible for record keeping, service of preschool educational institution or the worker responsible for preschool educational institution.
The registered notification is transferred for decision making to the addressee no later than the working day following behind day of its registration.
The structural division (worker) responsible (responsible) for record keeping, service of preschool educational institution or responsible for preschool educational institution without fail send the copy of the notification to Department, the relevant division on work with personnel (HR specialist).
3.3. The copies of notifications arriving in Department, divisions on work with personnel (HR specialist) are considered in day of receipt in the Register of notifications on possibility at the bank clerk of Russia of conflict of interest or about the arisen conflict of interest (further - the Magazine) in the form given in appendix 2 to this Instruction.
On the copy of the notification the mark "The Notification Is Considered" with indication of date and accounting number of the notification, surname, initials is given, to position and the signature of person which accepted the notification on accounting.
3.4. Registration and accounting of notifications and their copies is performed with providing additional measures for restriction of access to registration and accounting data.
The refusal in acceptance, registration and accounting of the notification is not allowed.
3.5. Sheets of the Magazine shall be numbered, stitched and certified by the signature of the worker appointed responsible for maintaining the Magazine and impress of a seal of Department, division on work with personnel (in the absence of that - seal of other structural division according to the decision of the representative of employer). The magazine joins in the nomenclature of cases of structural division within which competence accounting of the arriving notifications and their copies is, and is stored within five years from the date of accounting in it the last notification.
3.6. It is forbidden to reflect in the Magazine of the data on private life of the bank clerk of Russia who transferred or directed the notification, and also the data which are its personal and family secret.
3.7. The notifications and materials relating to them are stored in the relevant structural divisions, and copies of notifications together with information on the made decisions and other materials on them are stored in Department, division on work with personnel (in the absence of that - in structural division according to the decision of the representative of employer) within five years from the date of decision making according to the last notification with providing additional measures for restriction of access to data then are liable to destruction in the procedure established in the Bank of Russia.
4.1. Failure to carry out by bank clerks of Russia of the obligations provided Items 2.2by - 2.9 of this Instruction, is the offense attracting application of measures of disciplinary responsibility according to the Labor Code of the Russian Federation (The Russian Federation Code, 2002, No. 1, the Art. 3), Employment policies and procedures of the Central bank of the Russian Federation (Bank of Russia).
4.2. Restriction of access to the data on conflict of interest containing in notifications and materials and also the taken measures for its prevention or settlement is performed by the immediate superior (the higher chief, the representative of employer) from the date of receipt of documents to them by providing the adequate organizational measures.
Specified persons bear the personal responsibility for their disclosure in accordance with the legislation of the Russian Federation.
5.1. This Instruction becomes effective from the date of its official publication in "the Bulletin of the Bank of Russia".
Chairman of the Central bank of the Russian Federation
E. S. Nabiullina
to the Instruction of the Bank of Russia of October 7, 2014 No. 3414-U "About procedure for acceptance by bank clerks of Russia for measures for prevention and settlement of conflicting interests"
________________________________________________
(position, First name, middle initial, last name immediate superior)
________________________________________________
________________________________________________
________________________________________________
________________________________________________
(Department; division on work
with personnel; position, First name, middle initial, last name specialist
on work with personnel)
________________________________________________
from _____________________________________________
(name of position, structural
divisions)
________________________________________________
(Surname, name, patronymic)
________________________________________________
(contact telephone number)
Notification
about possibility at the bank clerk of Russia
conflict of interest or the arisen conflict of interest
I report that:
1. ________________________________________________________________________
(the description of personal interest which brings or can
lead to emergence of conflict of interest)
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
2. ________________________________________________________________________
(the description of job responsibilities on which execution can
it is negative to affect or negatively personal interest influences
bank clerk of Russia)
___________________________________________________________________________
___________________________________________________________________________
3. ________________________________________________________________________
(additional data which the bank clerk of Russia considers
necessary to specify)
___________________________________________________________________________
___________________________________________________________________________
____________ _______________ ____________________________
(date) (signature) (initials and surname)
to the Instruction of the Bank of Russia of October 7, 2014 No. 3414-U "About procedure for acceptance by bank clerks of Russia for measures for prevention and settlement of conflicting interests"
Register of notifications on possibility at the bank clerk of Russia of conflict of interest or about the arisen conflict of interest
___________________________________________________________________________
(Department of personnel policy and ensuring work with personnel,
division on work with personnel of Department of field organizations
Bank of Russia, territorial office or other division
The Bank of Russia (other structural division according to the decision
representative of employer)
___________________________________________________________________________
It is begun "__" with ______________ 20 __.
It is ended "__" by ______________ 20 __.
On ____ sheets.
|
№ of payment order |
Registration number of the notification |
Date and time of accounting of the notification |
Surname, name, middle name, position, contact telephone number of the bank clerk of Russia who submitted the notification |
Summary of the notification |
Surname, initials of person which accepted the notification |
Data on the made decision |
Note |
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The document ceased to be valid since October 8, 2017 according to the Instruction of the Central bank of the Russian Federation of August 30, 2017 No. 4510-U