Description of the assessment of the risks of corruption manifestations. Assessment of corruption risks by international organizations. fatf methodology

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Introduction

2.3 Country experience. Montenegro

2.4 Country experience. Hungary

Chapter 3. Development of a methodology for assessing corruption risks in Russia

Chapter 4. Possible analysis of corruption risks on the example of the functions of state bodies

4.1 Analysis of corruption risks on the example of the functions of the Territorial Administration of the Federal Agency for State Property Management

4.2 Analysis of corruption risks on the example of the functions of the Department of the Federal Service for State Registration, Cadastre and Cartography in the Moscow Region

4.3 Analysis of corruption risks on the example of the functions of the Ministry of Defense of the Russian Federation

Conclusion

Bibliographic list

Appendix

Introduction

Currently, when formulating anti-corruption policies, international organizations and the governments of many countries are paying increasing attention to possible approaches to assessing corruption risks. Risk assessment is often presented as one of the most effective preventive mechanisms for combating corruption and as a way to ensure that the developed anti-corruption measures are consistent with real corruption patterns in a particular country.

At the same time, there is no single methodology that would allow a systematic assessment of corruption risks.

Foreign experience in the fight against corruption demonstrates the need to identify potential "corruption-causing" factors, to determine the functions of public administration that are most at risk of corruption in a particular state body.

Conducting such an analysis of corruption risks is necessary for the further development of anti-corruption legislation, the creation and implementation of an appropriate anti-corruption strategy.

The study of approaches to risk assessment, the development and implementation of an assessment methodology have recently become of particular relevance in Russia.

Currently, the Ministry of Labor and Social Protection has presented Methodological recommendations for conducting corruption risk assessment, which is the first attempt to fix the assessment of corruption risks at the legislative level.

The Russian experience historically gravitates toward standard solutions, in this regard, the declaration and nominal implementation of certain norms does not lead to a decrease in the level of corruption. The publication of standard documents, recommendations, in accordance with which activities in all government bodies should be carried out, does not lead to limiting opportunities for corruption in the public service.

However, further development of the methodology for assessing corruption risks, its implementation and application on a regular basis, along with annual monitoring and the formation of analytical reports, could contribute to an effective fight against corruption.

In order to achieve positive results in the fight against corruption, it is necessary to ensure that anti-corruption mechanisms are “linked” to specific corruption components, due to the specific functions of state bodies.

It is necessary to clearly identify the purpose for which certain anti-corruption measures are being implemented, to identify groups of persons performing public functions that are targeted by these measures, and to determine the desired result from the use of these methods. These tasks are designed to solve the assessment of corruption risks.

This paper is devoted to the problem of assessing corruption risks. The purpose of this study is to describe possible approaches to their assessment and determine the applicability of risk assessment in the activities of state bodies in Russia.

The main hypothesis of this work is the possibility of using a situational analysis of crime prevention to assess corruption risks in the activities of state bodies.

The research method is a situational analysis of corruption risks, which will be applied to consider the specific functions of state bodies.

The object of the study is the existing approaches and methods for assessing corruption risks.

The subject of the study is the assessment of corruption risks in the implementation of state functions in Russia and foreign countries.

The main objectives of this work:

Define the concept of "risk" and "risk assessment"

· Provide an overview of international experience in the implementation of corruption risk assessment;

· Determine the methodology for their assessment in general terms;

· Conduct a specific analysis of corruption risks on the example of the function of a state body;

· Describe the problem of applicability of the assessment methodology in Russia

The first chapter will discuss the theory of risk assessment and the basics of risk management.

The second chapter will present the corruption risk assessment methodologies proposed by international organizations, foreign governments, and explore the process of developing and implementing the methodology.

The third chapter will study the problem of developing and applying a methodology for assessing corruption risks in Russia.

The fourth chapter will identify the existing risks in the course of the implementation of specific functions of state bodies, will present an analysis within the proposed corruption risk map, where we will try to characterize the causes of corruption risks and identify effective anti-corruption measures.

In conclusion, conclusions will be drawn about the possibility of using mechanisms for assessing corruption risks in the activities of state bodies to reduce the level of corruption in Russia.

corruption risk assessment international

Chapter 1. Definition of the concept of "risk", analysis of the main approaches to the problem of risk, the possibility of assessing risks

Historically, different points of view and approaches to the definition of the concept of "risk" have been formed.

The German sociologist Niklas Luhmann believed that this term was widely used already in the 16th century, “risk” was understood as the presence of dangers and threats, probable losses for the individual, the term was actively used during the development of navigation and maritime trade relations.

Later, the problem of choice under uncertainty formed the basis of decision theory, within which it was proposed for the first time to quantify risks. The need to measure the degree of risk was due to the emergence of insurance relations in trade. Already in the 17th century, mathematical models began to be used for calculation, which subsequently should have made it possible to calculate the most “safe” decisions and minimize the risks of their adoption.

Decision theories have been used in public administration studies since the middle of the 20th century. In Herbert Simon's article "Management Sayings", decision making was defined as "the essence of the management process". At the same time, the effectiveness of public administration could be achieved through the training of officials in the methods of making rational decisions. However, in the study of the decision-making process, more attention was paid to the problem of choice, rather than the presence of risks.

At the same time, the development of industry and trade, the formation of market relations and the emergence of financial systems have led to the transformation of certain provisions of the theory of decision making. Subsequently, they formed the basis of the developed game theory, which was supposed to improve the possibility of assessing and calculating risks when making a decision.

The basis of game theory was the mathematical approaches to games proposed by John Nash in his work "Essays on game theory" (Nash, John F., Essays on game theory, 1949), where the risk is considered primarily from an economic point of view, and its assessment used to calculate probabilistic benefits and costs. Also, John von Neumann and Oskar Morgenstern in the monograph “Game Theory and Economic Behavior” (Oskar Morgenstern, John von Neumann. Theory of Games and Economic Behavior, 1944) proposed methods for calculating the optimal behavior strategy. A quantitative assessment of uncertainty and risks should have made it possible to develop a behavior strategy depending on the situational model - the type of games. Further, game theory developed as an independent branch of mathematics.

With the development of the social sciences in the 20th century, the problem of risk began to be studied within a number of disciplines, including sociology, political science, psychology, and organizational behavior. The presence of a large number of uncertainties and the need for a qualitative assessment have become significant obstacles to the calculation of risks in practice.

In sociological analysis, risk and its negative outcome began to be perceived as the consequences of irrational human behavior. In sociology, risk has been defined as "the purposeful behavior of a social subject, carried out under conditions of uncertainty of its outcomes." According to this approach, the role of an individual or a social group, expectations, and characteristics of a situation may prompt one to make a risky choice.

In psychology and organizational behavior, an opinion has been formed about the need to take into account personal characteristics, since "the nature of risky behavior is associated with volitional qualities, the focus of control, motivational orientation and the level of claims of the individual."

The study of risk within various disciplines has led to the formation of several approaches to the problem. In addition, the risks were classified according to the areas of occurrence: political, technogenic, entrepreneurial, etc.

Currently, there are no works that would oppose the main provisions of approaches to the problem of risks, however, within the framework of our study, their general characteristics and distinctive features will be considered.

In mathematics, economics and statistics, the main attention is paid to the definition of theoretical (statistical) risk, the study of which is based on scientific and technical assessments. This approach is actively used in the assessment of business risks. Economic data is formed under the influence of a number of uncontrollable factors that "may take on random values from a certain set of values and thereby cause the randomness of the data they determine." Methods of probability theory and mathematical statistics are used to quantify entrepreneurial risks.

A different approach is used in the social sciences: psychology, political science, organizational behavior study effective risk. “The development of modern societies, expressed in the abstract systems of modernity (information, monetary systems)”, has led to the formation of areas with high and low risks. In this case, risk is considered as a factor that depends on human perception and is determined by behavioral characteristics. The presence of individual characteristics of a person leads to the possibility of risk in various situations, which, according to this approach, does not allow assessing probabilities and uncertainties in a general way, since the “riskness” of the “social action” itself, which arises as a result of an individual’s decision, is assessed.

Within the framework of a new approach in the theory of probability, the concept of eventological risk has appeared, which combines the characteristics of theoretical and effective risks. Along with quantitative analysis, a qualitative risk analysis takes place, which allows you to determine the main risk factors. The individual features of situations are also considered by conducting an "event" analysis, which makes it possible to identify common characteristics of "sets of events occurring at different points in time and space". The risk is studied within the framework of a set of typical variable situations, taking into account the specifics of a particular stage of work, while the regularity of the actions taken makes it possible to calculate general indicators and assess the probability of risk.

The developed approaches to the definition of the concept and risk assessment have characteristic features, however, they define risk as an everyday phenomenon, involving the expectation of possible losses associated with the adoption of some decision. The term itself is characterized by the presence of "expected losses", in this regard, their minimization is of particular importance. Depending on the approach, attention is focused on the possibility of quantitative calculation of the probability of a negative result, the analysis of behavioral characteristics or the qualitative analysis of factors and the mathematical study of variable situations.

The result of the work on the study of risks within the framework of various approaches has become technologies developed on the basis of game theory and decision theory, which are actively used at present. One of the key applied solutions was risk management, the main provisions of which will be used in this work.

Risk management is based on a number of mathematical and statistical models. It has received special application in such areas as: business, industry, health care, education, insurance, security, etc.

As part of risk management, to determine "anticipated" or "unforeseen" losses, theories have been developed aimed at assessing risks, determining the degree of probability and magnitude of potential losses. Risk management includes the management of economic (financial) relations that arise in the process of management, forming an integral system that includes the strategy and tactics of risk management.

Risk management combines processes that are associated with the analysis, assessment, forecasting of risks and direct decision-making. One of the tasks of risk management is to maximize positive and minimize negative consequences when risk events occur.

Risk analysis as part of risk management is aimed at developing an optimal solution. Qualitative and quantitative risk analysis allows you to determine the potential degree of influence of the decision on the implementation of activities.

During the analysis, it is proposed to consider a specific action, assess the degree of risk, analyze the consequences of the occurrence of possible risks, identify costs-benefit and create a model for optimizing the decision-making process, which will make it possible to make the most appropriate decision in accordance with the available criteria.

Risk assessment can be carried out by applying a risk filter: initially, a system analysis is performed, those actions that can lead to risk minimization are identified, and the probability of reducing negative consequences is determined.

Risk management studies an extensive list of possible risk factors in various areas: insurance, healthcare, natural and man-made disasters. However, regardless of the area under consideration, a single algorithm is applied: the degree of risk is assessed for each factor and the potential impact of these factors on the activity as a whole is analyzed. A key element of risk management is risk assessment; for the public administration, it is possible to use corruption risk assessment.

There are several points of view on the possibility of risk assessment, however, representatives of the scientific community agree that in order to ensure high-quality risk management and strategy formation, it is necessary to identify and analyze existing and potential risks.

As part of our study, the risk will be considered as the probability of occurrence of unpleasant events. At the same time, we will pay attention to situational features that influence the onset of negative consequences. The concept of "risk" in our work will be used to denote the "danger from future harm." The risk will be analyzed by studying the situational component, which is used in the framework of risk management.

Within the framework of this work, the assessment of the corruption risk of the state function being implemented and the analysis of the negative consequences of making a corrupt decision will be of interest.

The nature of corruption risks has a number of features: the decision is influenced by the environment, in most cases the individual is aware of the consequences of the decision and can independently assess the costs and benefits for himself and the state, determine the likely consequences and sanctions for violation.

The use of a situational approach will allow us to consider the risks not for the individual performing the action, but for third parties who may suffer damage as a result of corrupt actions of officials that arise in the course of the implementation of the functions of a state body. At the same time, we will define risk assessment as an analysis tool that aims to identify “information about the probabilities of various possible outcomes and about possible damages.”

Corruption risk assessment is one of the priority tasks on the agenda of international organizations such as the United Nations (UN), the World Bank, the Organization for Economic Cooperation and Development (OECD), the Group of Countries against Corruption (GRECO), etc.

According to a study by the United States Agency for International Development (USAID), a corruption risk assessment is necessary to provide an understanding of the corruption situation in a country, identify and prioritize the goals and objectives of anti-corruption programs, and formulate the desired results of anti-corruption activities.

There are a large number of definitions of corruption that are offered by organizations that carry out analytical work to combat corruption and develop anti-corruption mechanisms. The World Bank has defined corruption as "the abuse of office for personal gain". According to the OECD definition, corruption is “the active or passive abuse of the powers of public officials (appointed or elected) for private financial or other gain.” ANO Center Transparency International - R (Transparency International - R) defines corruption as "a complex of phenomena associated with the use by officials of their official position for personal gain."

The presence of a large number of definitions is associated with different interpretations of corruption crimes and violations from a legal point of view in different countries.

Thus, 4 types of corruption crimes are defined in the US criminal law: bribery, which is an encroachment on the activities of public administration; 2) commercial bribery; 3) bribery related to the activities of trade unions; 4) bribery in the field of sports competitions.

German criminal law has an extended list of corruption offenses and sanctions for their commission in accordance with the position held, for example, restricting competition during a competition or promising violation of official duties with a potential receipt of a bribe will lead to imprisonment for the highest group of positions.

In the Criminal Code of the Russian Federation, crimes against state power, the interests of public service and service in local governments include: abuse of official powers, abuse of official powers, taking a bribe, giving a bribe, official forgery.

To describe the methodology for assessing corruption risks in the course of the study, we will analyze the types of corruption crimes that arise as a result of the implementation of state functions. Under corruption crimes in the framework of this work, we will understand specific acts that may entail punishment in accordance with the Criminal Code of the Russian Federation: abuse of official powers that entailed grave consequences; receiving a bribe; embezzlement (theft) on an especially large scale.

In this paper, we will adhere to the broad definition of corruption proposed by the Financial Action Task Force on Money Laundering (FATF): “corruption is the use of public office for personal gain”, while we will consider corruption from a functional rather than a legal point of view .

A number of scientific publications demonstrate that the reduction of risks and corruption in general is possible through the establishment of a clear “framework” for activities.

Corruption risks are assessed to further fight corruption and reduce its level. "Targeting" in this case allows you to set indicators that need to be achieved and evaluate the results of activities. In such a situation, the risks become apparent, and the actor can more accurately assess the consequences of making a decision.

However, the establishment of such "boundaries" does not always lead to a reduction in risks. Regulation may establish loose language for the exercise of powers, lead to a nominal consolidation of duties, ignoring the definition of corrupt functions.

Thus, the regulation of the activities of state bodies by introducing administrative regulations for a clear description of the functionality in Russia was aimed at reducing the corruption component, but in practice a number of state bodies acted formally: the functions performed were reformulated, which made it possible to maintain the possibility of implementing the previous corruption schemes. In this regard, the regulation of activities can be considered as a corrupt tool that contributes to the emergence of risks.

In turn, the assessment of corruption risks is aimed at identifying situational factors that contribute to or hinder corrupt activities. It allows experts to identify problem areas in the public sector as a whole and control the possibility of a conflict of interest, abuse of power.

In order to identify corruption risks in the implementation of specific government functions, in this paper we will analyze the economic and situational nature of risks. In the future, based on the results of creating a map of corruption risks and conducting an initial analysis, it is possible to use mathematical methods to determine the likelihood of a corruption risk in the implementation of public administration functions. After the preliminary analytical assessment has been carried out, it will be necessary to introduce interviewing mechanisms, which can also help to identify corrupt areas of public administration.

To determine the parameters that can later be used in the framework of mathematical analysis, we propose to assess corruption risks as part of a situational analysis of crime prevention.

It arose in criminology in the middle of the 20th century as a “theoretical and practical approach to solving the problem of preventing crimes”, subsequently it was proposed to use this method as a preventive measure.

The approach was further developed in sociology in the work on situational analysis of crime prevention by Christopher Birberk, Gary LaFrey and Ronald Clark.

Scientists have suggested that all elements of crime prevention can be manifested as a result of the directed activities of specific subjects, which include individuals, society and the state as a whole. Crime prevention requires the specification of specific forms of crime, the systematic management of environmental factors, and the increase in barriers to committing a crime. In this case, the impact can occur through the use of technological, educational, informational, financial and other methods. The civil society can participate voluntarily in crime prevention.

The analysis of crime prevention distinguishes between reflections on the commission of a crime and the direct fact of its commission. There are factors that influence the formation of the environment and can provoke a person. Preventive preventive measures in such a situation can eliminate the conditions for the possible commission of a crime.

The situational analysis of crime prevention is based on rational choice theory. To carry out the analysis, methods are determined that reduce the possibility of committing a crime in a given situation.

This model does not use mathematical indicators, the focus is on economic instruments that determine risks when making decisions in a general way. The decision-making process at each stage is characterized by the presence of a specific environment, a set of factors that affect the situation and the behavior of the individual.

During the analysis of crime prevention, the following is carried out:

Collection of data on the nature and essence of crimes in a certain area;

An overview of the environmental conditions that allow, facilitate or provoke the commission of a crime;

Systematic study of ways to block such provocative factors;

Risk assessment of the implementation of this crime and analysis of economic consequences;

Preparation of measures to counteract the commission of crimes;

Monitoring of performance results for further use of the experience gained.

This approach can be applied to many types of crimes, including corruption. Analysis of crime prevention suggests not only considering the environment and existing prerequisites, but also allows you to analyze in detail the individual elements of corruption and situational components.

Despite the relevance of the approach, it should be noted that there are no studies on the possibility of applying a situational analysis of crime prevention in the field of combating corruption in the public sector in Russia. Only a few works of foreign authors, such as Clark, Sidebottom, Greykar, were associated with the use of situational analysis in the study of corruption crimes.

Figure 1 shows the diagram proposed by Ronald Clark in Situational Crime Prevention, where the "opportunity structure for crime" was discussed in detail.

The author analyzes in detail the situational features that contribute to the commission of a crime. He argues that the desire to commit an illegal act is significantly different from the fact of committing a crime.

Rice. 1 Opportunity structure for committing a crime

The fact of criminogenic behavior, according to the author, can be triggered by a number of factors, the key of which are: the socio-economic and political environment, the characteristics of the individual's daily activities, the physical and technological capabilities available to the individual.

According to the traditional criminological theory considered in the work, the influence of subculture, the lack of control, confidence in impunity can stimulate the commission of a crime. Clarke specified a "crime opportunity structure": a crime is more likely to be committed if the weakness of its victim is clearly defined, there is a clear purpose for the illegal act, and there are certain characteristics that contribute to its commission. To reduce the number of crimes, it is planned to use a situational approach to their prevention as a preventive measure. By searching and modeling situations, potential violators who are in the "risk zone" are identified.

Active work to inform such individuals, limiting the number of negative factors that contribute to the commission of a crime, ensuring a high degree of control by the state and society can eliminate opportunities for the implementation of illegal actions.

For this work, we modified the scheme (Figure 2) proposed by Clark, and finalized it taking into account the provisions of the situational analysis of the prevention of corruption crimes, which allowed us to study the structure of corruption opportunities.

Corruption crimes have a number of features, including the very nature of corruption risks. Thus, in order to determine corrupt functions in a state body, it is necessary to study the socio-economic environment within which state activities are carried out. The level of corruption risk can be determined both by analyzing the influence of the subculture and determining the degree of internal and social control, and in the course of identifying public positions with unlimited administrative resources in the exercise of specific powers.

In accordance with this scheme, the analysis of corruption risks should take into account the influence of the environment on the adoption of a particular decision.

Rice. 2 Structure of corrupt opportunities for committing a crime

Particular attention is paid to the structure of the possibilities of committing crimes. A corrupt act can be provoked by the presence of special impersonal “victims”, because often the fact of corruption does not harm any particular citizen, but negatively affects the federal budget and the situation in the economy and society as a whole. Clearly articulated goals, such as the expectation of receiving and the certainty of a large bribe, can encourage corrupt behaviour. The presence of concomitant factors, such as the ease of implementation of corruption schemes, the absence of criminal punishment for committing a crime, also leads to an increase in corruption opportunities committed by an official.

In accordance with Clarke's analysis of opportunities for committing a crime, corrupt areas of activity can be identified and problematic factors that contribute to the growth of corrupt activity can be identified.

One of the few papers that uses crime prevention situational analysis to assess corruption is the article "Corruption and Control: An Approach to Reducing Corruption" by Adam Greycar and Aiden Sidebottom.

Abuse of power for personal gain is common in public administration in different countries. At the same time, the causes of corruption can be both “social” and “structural” in nature.

Under the "structural" reasons is understood the influence of the political regime, various institutional models, a number of historical and cultural factors. In such a situation, the fight against corruption is possible only in the course of a complete reform of the public administration system, a change in the political regime, etc.

The “social” causes of corruption include direct incentives that encourage a person to participate in corrupt practices. Researchers argue that an actor is more likely to be prone to corrupt behavior if he has monopoly power to provide some kind of good or service.

In this view, incentives for corrupt practices can be reduced by limiting monopoly power or the degree of ownership of administrative resources, which can be achieved through increased competition or the introduction of new accountability mechanisms. The analysis of "social causes" underlies most anti-corruption strategies, but it does not take into account a number of psychological incentives and behavioral characteristics of the individual.

Reflecting on the criminalization of acts of corruption, scientists have come to the following conclusion: to understand corrupt behavior in the context of a situational analysis will allow the identification of a number of common components.

The corruption crime itself is “broken down” into small schematic structural units. Building on Clarke's earlier work, which dealt with crime in general terms, scholars emphasize the possibility of using situational analysis of the prevention of corruption crimes in the study of the determinants of specific events in a crime.

Scientists also talk about the features of committing corruption crimes: an individual agrees to commit a corrupt act when the expected risks exceed the potential losses or costs.

The use of situational analysis to study the possibilities of preventing corruption crimes allowed scientists to identify and consider individual manifestations of corruption.

Various methods of analysis combine 5 groups of mechanisms aimed at reducing the incentives of a potential criminal to commit a corruption crime:

1. increase in the effort expended (on the part of the criminal);

2. increase in potential risks;

3. reduction in the expected reward;

4. reducing the number of provocations and possible irritants;

5. elimination of excuses, tougher punishment.

This analysis leads to the identification of practical ways to reduce the level of corruption crimes, reduce or eliminate opportunities for their commission.

In the work, the authors analyze both systemic and private corruption opportunities for committing a crime, separately considering the specific conditions that contribute to corrupt activity. For example: lack of a coherent structure of public administration and the will to combat corruption in the public and private sectors, non-enforcement or lack of ethical codes, acceptance of patronage and patronage, the complexity and complexity of the public administration system and public administration bodies, in particular, the weakness of the legislative framework, financial control, underdevelopment management institutions, the remoteness of control and supervisory bodies, the lack of monitoring in decision-making, etc.

The article deals with reducing the level of corruption by eliminating corruption schemes and minimizing the opportunities that contribute to corrupt activity. Scientists propose to carry out the analysis within the framework of the TASP model (Type, Activities, Sectors and Places): specification of a corruption offense, type of activity, sector of the economy and the place where the act was carried out. In the future, we will adhere to this model for the analysis of corruption risks in Russia.

The authors refer to corruption the following types of corruption offenses: bribery, extortion, misappropriation, use of one's official position in one's own interests, patronage, arbitrariness, patronage, patronage and patronage (favoritism). At the same time, they speak about the prevalence of certain offenses in specific conditions, in this regard, the use of a situational approach can give positive results in the fight against corruption.

The situational analysis of the prevention of corruption offenses should include a specification of the type of activity of the official, such as: appointment of personnel, public procurement, implementation of programs or services, production of goods and services (for example, construction), disaster relief activities, licensing and other control and supervisory activities , administration (in the field of justice). Scientists argue that in order to analyze and identify corruption risks, it is also necessary to identify belonging to a specific sector of the economy, be it taxation, the forestry industry, education, energy, etc. At the same time, it is necessary to take into account the place where the corruption crime was committed: country, region, local conditions, availability of jobs, territorial features of the region.

One of the examples described in the work in accordance with the proposed model is the case of bribery in the department for the control of lifting equipment. The New York State Assistant Inspector General was convicted of bribery: he received a cash reward for issuing false licenses to companies that rent mobile cranes to pass an inspection that was not actually carried out.

In this case, there was an abuse of power, with limited control over the activities of the person at the local level, since the number of civil servants in New York is more than 300,000 people. In the considered example, the inspector monopolized his power and, possessing an unlimited administrative resource, committed a crime.

The reduction of corruption risks in the activities of this state body can be achieved by limiting the opportunities for committing such crimes. For example, information on issued licenses can be made available on the Internet, allowing civil society to respond immediately if any inconsistencies are identified. The presence of such a factor in the environment of the inspector will not change the discretionary powers, but will significantly limit his corrupt opportunities.

Currently, there is no information on licensed companies on the website of the Department of Labor, Security and Health Unit, which still indicates the presence of high corruption risks in the performance of functions in this state body.

Risk assessment is a necessary component for risk management, however, the corruption environment is characterized by certain features, for the analysis of which it is necessary to use a situational approach. International organizations are actively developing a methodology aimed at conducting a comprehensive assessment of corruption risks.

In the next chapter, we will analyze international experience and try to identify effective practices that can be applied in Russia in the future.

Chapter 2. Review of international experience in assessing corruption risks

The considered theories and existing approaches to risk assessment can be used to develop a unified methodology for assessing corruption risks in the activities of state bodies.

Corruption risk assessment is carried out by national governments or international organizations both before the development of anti-corruption programs and during the implementation of anti-corruption strategies.

Currently, there are several methods for assessing corruption risks proposed by international organizations. The number of European countries that use corruption risk assessment mechanisms is growing every year, but there is no specific methodology containing assessment mechanisms. The World Bank is actively developing a common methodology for assessing corruption risks.

The European Union invites countries to use the following general mechanisms to identify “corruption” factors in the activities of officials: methods of direct observation of activities, analysis of powers, surveys and interviews. The proposed examinations within the framework of the institutional assessment can be carried out both by state bodies within the country through self-assessment, and by international organizations during an external assessment. At the same time, it is possible to determine the "frequency and severity of corruption" by identifying the most "problematic" areas and factors in the course of surveys within departments (see Annex 1). Identification of the corruption of individual state functions allows for a targeted anti-corruption policy, reforming problematic areas and influencing key decisions made at a high level.

Within the framework of existing methodologies for assessing corruption risks, two approaches can be distinguished: the “maximum approach” and the “minimum approach”, to which certain developments gravitate.

The “maximum” approach involves considering the functions of state bodies as concrete sequential steps. At each stage of the implementation of functions, on the basis of statistics on criminal offenses, problem areas prone to corruption are identified.

Further, information is collected and analyzed, social surveys and interviews of officials are carried out, which makes it possible to identify a list of “corruptogenic” positions that are key to the implementation of corruption schemes and the commission of corruption offenses. Such an analysis is aimed at identifying the subject of corrupt relations, the main methods of corrupt payments in the implementation of a specific state function.

Identification of problematic "gray areas" makes it possible to develop measures to minimize and eliminate risks. The methodologies developed on the basis of this approach contain various measures to reduce corruption risks: reengineering of the relevant public administration function, preventing corruption payments, etc.

The development and application of a methodology based on this approach can lead to a significant result, but it is a costly process and requires time, technical and human resources for its implementation.

2.1 Assessment of corruption risks by international organizations. USAID Methodology with the World Bank

One of the most comprehensive documents containing the provisions of the “maximum approach” is the “Manual for assessing corruption risks”, presented by USAID jointly with the World Bank.

It was prepared in 2006 by the US government and is being used for USAID missions in other countries. One of the objectives of this document is to demonstrate the possibility of applying new approaches in the fight against corruption, including a strategic analysis of corruption risks.

The risk assessment methods described in this guide are based on a systematic approach to understanding the nature of corruption. The manual takes into account the role of situational factors, different levels of government corruption, specifics of country and interspecific corruption, and differences in institutional development.

It is assumed that the presented policy recommendations, based on the best international practices, can be used in both developed and developing countries. The proposed methodology is quite flexible and can be supplemented and adjusted taking into account the characteristics of individual states. This approach to assessment takes into account the possibility of developing and maintaining corrupt systems, the presence of administrative corruption and low political will among the main participants.

The presented methodology is based on the understanding of a number of features of corruption. Corruption occurs in all sectors of the economy and is both a public (political) and economic problem. Corruption can exist at all levels of government and manifest itself in the form of administrative, large-scale, petty corruption. The study proposes to characterize the dynamics of corruption as a "syndrome".

The presented USAID guidelines consider four types of corruption syndrome: corruption in "mature states" - developed democracies with strong economies, "elitist states" - countries with elite rule, "weak developing countries" that lack developed institutions, "weak non-democratic countries" whose political, social and economic situation is unstable. The presence of certain fundamental patterns of corruption and the description of its dynamics in one country makes it possible to identify identical characteristics in other states. The application of the “corruption syndrome” approach makes it possible to use common mechanisms for risk assessment and implement a set of similar anti-corruption measures for groups of countries with the same prerequisites.

The proposed assessment methodology is divided into four stages, each of which contains the tools and techniques needed to carry out the analysis.

The first stage includes the collection and integration of relevant information, the creation of guidelines for the assessment team. At this stage, it is necessary to characterize the current conditions, identify existing economic, political and social problems that may reduce the effectiveness of anti-corruption reforms.

At the second stage, it is supposed to create a “strategic perspective”, which will allow further development of an individual anti-corruption program and implement a methodology for assessing corruption risks. At this stage, it is necessary to form and develop legal, institutional, economic conditions that will contribute to the successful implementation of anti-corruption reforms. Along with building the capacity of state institutions, it is important to promote the development of civil society and strengthen political will in the fight against corruption. In the course of the work of local experts, with the support and preparation of recommendations by international organizations, it is necessary to monitor the development of corruption in the country and analyze the dynamics of the tendency to specific types of corruption. Based on the conducted strategic analysis, it is necessary to determine the degree of corruption of state activities in various sectors of the economy: education, healthcare, public finance, etc.; and identify government functions with high corruption risks.

The third stage is characterized by a detailed diagnosis of selected areas of state activity that are vulnerable to corruption and, at the same time, are distinguished by the possibility of reforms. After conducting a sectoral and functional assessment, USAID proposes to organize meetings with representatives of the state and business involved in this industry and assess corruption risks by conducting social surveys, analyzing reports and documentation, interviewing government officials, studying the specifics of the activities of key actors in the implementation of functions. The subject of corruption relations is revealed, and corruption opportunities for certain public positions are analyzed. Based on the results of the third stage, a report is prepared, which examines in detail the risks arising from the performance of the function by civil servants, and offers recommendations that can be applied to minimize them.

At the fourth stage, “additional programming parameters” of corruption risks are set. Recommendations from the sectoral, functional and “strategic perspective” analyzes are used to formulate the provisions of the national anti-corruption plan. At this stage, an intersectoral analysis is carried out to identify common problem areas and apply unified anti-corruption mechanisms, and specific measures are proposed to eliminate corruption opportunities in the implementation of public functions. Cases are also analyzed to study the consequences of the implementation of recommendations, their changes and additions. In addition, additional tools proposed by international organizations can be applied. The conclusions and results of the implementation of the recommendations can be integrated and used for further study by the international community.

Within the framework of the document, measures are given to minimize risks by reforming and introducing restrictions for the implementation of corruption schemes. This guide does not offer a specific methodology for assessing corruption risks in a general way and does not define best practices for assessment, however, it consistently describes the assessment process in the form of administrative procedures to identify corruption-prone functions performed by a public body.

To use the methodology, it is necessary to take into account such factors as the degree of corruption of certain functions of government bodies, the prevalence of specific types of corruption crimes.

For a successful assessment of corruption risks and further work to minimize them, along with the existence of conditions conducive to the formation and strengthening of the corruption component, there should be the possibility of practical reforms in this area of activity.

2.2 Assessment of corruption risks by international organizations. FATF methodology

Along with the assessment of corruption risks from the point of view of the “maximum approach”, there is the “minimum” approach, within which, from general considerations, types of state functions that are dangerous for the emergence of corruption are singled out.

The main attention is paid to identifying sufficiently significant influence of an official to extract "corruption profits" in the course of exercising his powers in the exercise of a public function. Positions with administrative resources and a high degree of influence in making a particular decision are included in the list of "corruption" positions, which is regularly updated taking into account law enforcement practice, citizens' appeals, media reports, etc.

The FATF methodology tends to this approach, which is based on the study of individual cases of corrupt practices (cases). The manual considers only certain sectors of the economy and initially limits the scope of identifying and assessing corruption risks.

Description of corruption from a functional point of view and analysis of known corruption crimes form an understanding of the characteristics of corruption risks, but does not make it possible to formulate recommendations for assessment in a general way.

During the study of corruption cases, the works of non-governmental organizations, publications of experts and the scientific community were used. The main conclusions were presented in the FATF methodology. The FATF study focuses on the problem of money laundering, in this regard, first of all, it analyzes the risks associated with money laundering by public officials and other officials, the risks associated with the use of corporate structures to hide assets.

The document defines the factors to be analyzed when assessing the risk of money laundering. The “client risk factors” include the internal features of conducting financial activities within government structures: the active use of cash payments, the use of legal entities and other entities to manage accounts and funds, the complexity of the structure of the body, the presence of circumstances that make it difficult to conduct business relations. "Country or geographic risk factors" characterize the development of systems in the field of combating money laundering, the presence of a high level of corruption in the country according to international organizations. “Risk factors associated with products, services, transactions or supply chains” relate to the possibility of anonymous transactions or transactions and the availability of private banking.

In accordance with the proposed factors, the risks arising from the implementation of public functions by politicians and other public officials are assessed. The possibility of creating risk-oriented systems to identify "corruption positions" is being considered.

The nature of the position held, the availability of administrative resources, often enables officials to exert influence, use their position to achieve personal gain, in this regard, it is necessary to impose certain restrictions and ensure "control over the existing mechanisms aimed at preventing and detecting such crimes."

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Description of the assessment of the risks of corruption manifestations. Assessment of corruption risks by international organizations. fatf methodology

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