Position on the anti-corruption compliance service at the State Communal state-owned enterprise "Association of Museums of the Almaty Region" State Institution "Department of Culture and Archives and Documentation of the Almaty Region"

                                                                                                               

Position

on the anti-corruption compliance service at the State Communal

state-owned enterprise "Association of Museums of the Almaty Region" State Institution "Department of Culture and Archives and Documentation of the Almaty Region"

 

Chapter 1. General Provisions

1. This regulation on anti-corruption compliance services in the SCSE "Association of Museums of the Almaty Region" (hereinafter referred to as the Regulation) was developed in accordance with Article 16 of the Law of the Republic of Kazakhstan, paragraph 3 "On Combating Corruption" (hereinafter referred to as the Law).
2. This regulation defines the goals, objectives, principles, functions and powers of structural divisions or persons performing the functions of anti-corruption compliance services in the State Enterprise “Association of Museums of the Almaty Region”.
3. The SCSE "Association of Museums of the Almaty Region", based on the specifics of its activities, approves the regulation on anti-corruption compliance services, taking into account this Model Regulation.
4. The regulation on anti-corruption compliance services is posted on the official Internet resource of the State Enterprise "Association of Museums of the Almaty Region" and brought to the attention of all employees.
5. The following basic concepts are used in this provision:

1) anti-corruption compliance - a function to ensure compliance in the State Enterprise "Association of Museums of the Almaty Region" and its employees with the legislation of the Republic of Kazakhstan on combating corruption;

2) internal analysis of corruption risks - identification and study of the causes and conditions that contribute to the commission of corruption offenses;

3) conflict of interest - a contradiction between the personal interests of persons holding a responsible public position, persons authorized to perform state functions, persons equated to them, officials and their official powers, in which the personal interests of these persons may lead to non-performance and (or) improper performance by them of their official duties;

4) corruption offense - an unlawful guilty act (action or inaction) that has signs of corruption, for which administrative or criminal liability is established by law;

5) corruption risk - the possibility of occurrence of causes and conditions conducive to the commission of corruption offenses;

6) prevention of corruption - the activities of anti-corruption entities to study, identify, limit and eliminate the causes and conditions that contribute to the commission of corruption offenses by developing and implementing a system of preventive measures;

7) authorized body for combating corruption - a state body that carries out the formation and implementation of the anti-corruption policy of the Republic of Kazakhstan and coordination in the field of combating corruption, as well as the prevention, detection, suppression, disclosure and investigation of corruption offenses, and its territorial divisions.

6. The SCSE "Association of Museums of the Almaty Region" defines a structural unit or a responsible person that performs the functions of an anti-corruption compliance service, the main task of which is to ensure compliance by this organization and its employees with the legislation of the Republic of Kazakhstan on combating corruption. At the same time, the responsible person performing the functions of the anti-corruption compliance service is determined taking into account the potential conflict of interest.
7. The structural subdivision or the responsible person performing the functions of the anti-corruption compliance service is determined by the decision of the board of directors, the supervisory board (if any) or other independent management body of the subject of the SCME "Association of Museums of the Almaty Region", in the absence of these bodies, by the head of the subject of the quasi-state sectors.
8. The anti-corruption compliance service exercises its powers independently of the executive body, officials of the State Enterprise "Association of Museums of the Almaty Region", is accountable to the board of directors, the supervisory board (if any) or other independent management body and is independent in ensuring compliance with the requirements of the legislation of the Republic of Kazakhstan on combating corruption.
9. Methodological support to the anti-corruption compliance service is provided by the authorized body for combating corruption and its territorial divisions.
10. It is not allowed to combine the function of the anti-corruption compliance service with the functions of other structural divisions of the State Enterprise “Association of Museums of the Almaty Region”.
11. In the event that the Law, international standards in the field of combating corruption establish requirements and approaches to the organization of anti-corruption compliance that are not provided for by this regulation, these requirements and approaches are approved by the board of directors, the supervisory board (if any) or another independent governing body of a subject of the quasi-public sector , in the absence of these bodies, by the head of the State Enterprise "Association of Museums of the Almaty Region".

Chapter 2. Goals, objectives, principles, functions and powers of anti-corruption compliance services.

12. The main goal of the anti-corruption compliance service is to ensure compliance by the relevant subject of the quasi-public sector and its employees with the legislation of the Republic of Kazakhstan on combating corruption, as well as monitoring the implementation of anti-corruption measures.
13. Tasks of the anti-corruption compliance service:

1) ensuring the implementation of tools for the prevention and prevention of corruption offenses of the State Enterprise "Association of Museums of the Almaty Region" and its employees;

2) effective implementation of the system of measures to combat corruption in the State Enterprise "Association of Museums of the Almaty Region";

3) ensuring the conduct of an internal analysis of corruption risks in the SCOPE "Association of Museums of the Almaty Region";

4) ensuring compliance with external regulatory requirements and best international practices on combating corruption;

5) ensuring compliance with the basic principles of combating corruption in accordance with the Law.

14. The SCSE "Association of Museums of the Almaty Region", when introducing and exercising the functions of anti-corruption compliance, is guided by the following principles:

1) sufficiency of powers and resources allocated to perform the functions of anti-corruption compliance;

2) the interest of management in the effectiveness of anti-corruption compliance;

3) information openness of the activities of the anti-corruption compliance service;

4) independence of the anti-corruption compliance service;

5) continuity of anti-corruption compliance;

6) improvement of anti-corruption compliance;

7) continuous improvement of the competencies of specialists performing the functions of anti-corruption compliance.

15. Functions of the anti-corruption compliance service:

1) provides development:

internal policy of combating corruption in the SCOPE "Association of Museums of the Almaty Region";

anti-corruption instructions for employees of the State Enterprise "Association of Museums of the Almaty Region"; internal policy of identifying and resolving conflicts of interest in the subject of the quasi-public sector;

anti-corruption standard, in accordance with the anti-corruption legislation;

internal action plan on anti-corruption issues;

a document regulating the procedure for informing employees of a quasi-public sector entity about facts or possible violations of anti-corruption legislation;

a document regulating issues of corporate ethics and conduct;

2) collects, processes, summarizes, analyzes and evaluates information regarding the effectiveness of the anti-corruption policy in the State Enterprise "Association of Museums of the Almaty Region";

3) coordinates the conduct of an internal analysis of corruption risks in the activities of the SCME "Association of Museums of the Almaty Region" in accordance with the Model Internal Analysis of Corruption Risks, the rules approved by the order of the Chairman of the Agency of the Republic of Kazakhstan for Civil Service Affairs and Anti-Corruption dated October 19, 2016 No. 12 " On Approval of the Model Rules for Conducting an Internal Analysis of Corruption Risks” (registered in the Register of State Registration of Regulatory Legal Acts under No. 14441);

4) participates in an external analysis of corruption risks in the activities of the SCME "Association of Museums of the Almaty Region", carried out by a joint decision of the first heads of the authorized body for combating corruption and the SCSE "Association of Museums of the Almaty Region";

5) monitors the identified corruption risks in the State Enterprise "Association of Museums of the Almaty Region" and the measures taken to mitigate and eliminate them;

6) conducts explanatory activities on the issues of combating corruption and the formation of an anti-corruption culture in the State Enterprise “Association of Museums of the Almaty Region”;

7) organizes anti-corruption training seminars for employees of the State Enterprise "Association of Museums of the Almaty Region";

8) provides control over the observance by the employees of the State Enterprise "Association of Museums of the Almaty Region" of the anti-corruption policy and issues of corporate ethics and behavior;

9) contributes to the formation of a culture of relationships that corresponds to generally accepted moral and ethical standards in the team of the State Enterprise "Association of Museums of the Almaty Region";

10) ensures compliance by persons equated with persons authorized to perform public functions, financial control measures and anti-corruption restrictions established by the Law, within the competence of the anti-corruption compliance service;

11) develops and monitors the implementation by the structural subdivisions of the State Enterprise "Association of Museums of the Almaty Region" of the internal action plan on combating corruption;

12) takes measures to identify, monitor and resolve conflicts of interest, including in matters of employment, procurement and business processes of the State Enterprise "Association of Museums of the Almaty Region";

13) takes measures to regulate the issues of giving and receiving gifts in the SCOPE "Association of Museums of the Almaty Region last";

14) carries out a comprehensive due diligence of counterparties;

15) conducts internal audits based on applications (complaints) about facts of corruption in the State Enterprise "Association of Museums of the Almaty Region" and / or participates in them;

16) monitors and analyzes changes in anti-corruption legislation, judicial practice in cases related to corruption in the State Enterprise “Association of Museums of the Almaty Region”;

17) evaluates the effectiveness of the implementation of anti-corruption measures by structural units and employees of the State Enterprise "Association of Museums of the Almaty Region";

18) listens to information from structural divisions and employees of the State Enterprise "Association of Museums of the Almaty Region" on issues of combating corruption;

19) makes recommendations to the head of the SCOPE "Association of Museums of the Almaty Region" on eliminating identified corruption risks, improving the efficiency of internal processes for organizing the activities of the SCCE "Association of Museums of the Almaty Region";

20) depending on the specifics of the activities of the SCSE "Association of Museums of the Almaty Region" performs functions related to compliance, business ethics, sustainable development, if such functions do not affect independence and do not create a conflict of interest;

21) interacts with the authorized body for combating corruption and government agencies, the State Enterprise "Association of Museums of the Almaty Region", public associations, as well as other individuals and legal entities.

16. By decision of the board of directors, the supervisory board (if any) or another independent governing body of the SCOPE "Association of Museums of the Almaty Region", in the absence of these bodies, the head of the SCEC "Association of Museums of the Almaty Region" appoints the head of the anti-corruption compliance service and determines the term his powers, the amount of remuneration and conditions of remuneration.
17. The head of the anti-corruption compliance service ensures the fulfillment of the tasks assigned to the anti-corruption compliance service.
18. By the decision of the head of the subject of the quasi-public sector, on the proposal of the head of the anti-corruption compliance service, the structure, staffing (quantity composition), term of office, work procedure and other conditions for remuneration of employees of the anti-corruption compliance service are determined and their appointment is carried out.
19. The functional duties, rights and responsibilities of the head and employees of the anti-corruption compliance service are determined by job descriptions or documents defining the employee’s official rights and obligations, developed on the basis of the Regulations on anti-corruption compliance services and approved by the head of the State Enterprise “Association of Museums of the Almaty Region”.
20. The head of the anti-corruption compliance service submits to the board of directors, the supervisory board (if any) or another independent governing body of the SCME "Association of Museums of the Almaty Region" a proposal on the structure and staffing of the anti-corruption compliance service, in the absence of these bodies, to the head of the SCSE " Association of museums of Almaty region.
21. Documents and requests sent on behalf of the anti-corruption compliance service to other structural divisions of the State Enterprise "Association of Museums of the Almaty Region", departments and subordinate organizations on issues within the competence of the anti-corruption compliance service, are signed by the head of the anti-corruption compliance service.
22. The head and employees of the anti-corruption compliance service must constantly improve their professional skills by participating in training events held by authorized bodies and professional organizations in the field of compliance.
23. Anti-corruption compliance service within the framework of its activities:

1) requests and receives from the structural subdivisions of the State Enterprise "Association of Museums of the Almaty Region" information and materials, including those constituting commercial and official secrets;

2) initiates the submission of issues related to their competence for consideration by the board of directors, the supervisory board (if any) or other independent governing body of the SCOPE "Association of Museums of the Almaty Region", in the absence of these bodies, to the head of the SCEC "Association of Museums of the Almaty Region" ;

3) conducts internal checks on incoming reports of possible corruption offenses or violations of the legislation of the Republic of Kazakhstan on combating corruption;

4) requires managers and other employees of the State Enterprise "Association of Museums of the Almaty Region" to submit written explanations as part of internal investigations;

5) develop proposals for improving the anti-corruption legislation of the Republic of Kazakhstan and send them to the authorized body for combating corruption;

6) participates in the development of draft internal documents within its competence;

7) creates information channels for communication by employees of the subject of the SCSE "Association of Museums of the Almaty Region And"

  on the facts of the presence or potential violation of anti-corruption legislation in the SCOPE "Association of Museums of the Almaty Region", or making proposals to improve the effectiveness of anti-corruption measures in the SCEC "Association of Museums of the Almaty Region";

24. In carrying out its activities, the anti-corruption compliance service:

1) maintains the confidentiality of information about the State Enterprise "Association of Museums of the Almaty Region" and its affiliates, insider information that became known during the period of anti-corruption compliance functions, if it does not contain data on an impending and (or) committed corruption offense;

2) ensures the confidentiality of persons who applied on alleged or actual facts of corruption, violations of the corporate code of ethics and other internal documents on combating corruption in the State Enterprise "Association of Museums of the Almaty Region";

3) promptly informs the board of directors, the supervisory board (if any) or other independent governing body of the SCOPE "Association of Museums of the Almaty Region", and in the absence of these bodies, the SCEC "Association of Museums of the Almaty Region" of any situations related to the presence or potential the possibility of violating anti-corruption laws;

4) brings to the attention of the authorized body for combating corruption the remaining known cases of preparing, committed or committed corruption offenses;

5) does not interfere with the established mode of operation of the SCOPE "Association of Museums of the Almaty Region";

6) observes official and professional ethics.

25. Employees of the anti-corruption compliance service must not:

1) participate in process audits in which they have participated in the previous three years;

2) engage in activities that could damage the impartiality of the inspection or be perceived as causing such damage;

3) use confidential information for personal interests;

4) violate the norms of business ethics;

5) accept gifts and use services that may result in damage to the independence, objectivity and impartiality of the anti-corruption compliance service, or which may be perceived as causing such damage;

6) take part in inspections, internal investigations and other activities that may lead to a conflict of interest.

26. The management of the SCSE "Association of Museums of the Almaty Region" needs to:

1) contribute to the creation of an effective environment for the implementation of the activities of the anti-corruption compliance service, assist in the fulfillment of its goals, tasks, functions and responsibilities, in the exercise of rights;

2) carry out administrative (organizational and technical) support for the activities of the anti-corruption compliance service, including providing the necessary opportunities for its activities, assets and resources, including information systems and applications (access to the necessary databases) and other goods, works, services;

3) provide the head and employees of the anti-corruption compliance service with training and certification opportunities on the activities of the anti-corruption compliance service, social and communication skills and competencies.

27. The interaction of the anti-corruption compliance service with the structural subdivisions of the State Enterprise "Association of Museums of the Almaty Region" is built on the basis of mutual courtesy and correctness in work.
28. Employees of the structural subdivisions of the State Enterprise "Association of Museums of the Almaty Region" provide assistance to the anti-corruption compliance service by:

1) provision of documents and information necessary for the implementation of the tasks and functions of the anti-corruption compliance service, taking into account the specifics established by subparagraph 1) of paragraph 14 of this Model Regulation;

2) an objective discussion of identified risks and violations;

3) joint solution of emerging issues and problems.

Chapter 3. Reporting of anti-corruption compliance services

29. The anti-corruption compliance service quarterly sends information on the anti-corruption measures taken to the State Enterprise "Association of Museums of the Almaty Region" to the authorized body for combating corruption. At the request of the authorized body for combating corruption, additional information on the anti-corruption measures taken is sent to the State Enterprise “Association of Museums of the Almaty Region”.
30. The anti-corruption compliance service periodically reports to the board of directors, the supervisory board (if any) or other independent governing body of the SCOPE "Association of Museums of the Almaty Region", determined by the legislation of the Republic of Kazakhstan, and in the absence of these bodies, to the head of the SCEC "Association of Museums Almaty region". In the event of possible corruption offenses on the part of the head of the State Enterprise "Association of Museums of the Almaty Region", the anti-corruption compliance service applies to the authorized state bodies in accordance with paragraph 1 of Article 24 of the Law.