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Phase 2 Report on Implementing the OECD Anti-Bribery Convention In PHASE 2 REPORT ON IMPLEMENTING THE OECD ANTI -BRIBERY CONVENTION IN THE RUSSIAN FEDERATION October 2013 This Phase 2 Report on the Russian Federation by the OECD Working Group on Bribery evaluates and makes recommendations on the Russian Federation's implementation of the OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions and the 2009 Recommendation of the Council for Further Combating Bribery of Foreign Public Officials in International Business Transactions. It was adopted by the Working Group on 11 October 2013. This document and any map included herein are without prejudice to the status of or sovereignty over any territory, to the delimitation of international frontiers and boundaries and to the name of any territory, city or area. 2 TABLE OF CONTENTS EXECUTIVE SUMMARY ............................................................................................................................. 5 A. INTRODUCTION ................................................................................................................................ 7 1. The On-Site Visit .................................................................................................................................. 7 2. General Observations............................................................................................................................ 8 (a) Economic background and international economic relations ...................................................... 8 (b) Political and Legal Systems ......................................................................................................... 9 (c) Implementation of the Convention and the 2009 Recommendations ........................................ 10 3. Overview of corruption trends and recent measures ....................................................................... 10 (a) Corruption overview ................................................................................................................. 10 (b) Cases Involving the Bribery of Foreign Public Officials .......................................................... 11 4. Outline of the Report .......................................................................................................................... 12 B. PREVENTION, DETECTION AND AWARENESS OF FOREIGN BRIBERY ............................. 12 1. General Efforts to Raise Awareness ................................................................................................... 12 (a) Government initiatives ............................................................................................................. 12 (b) Private Sector Initiatives to Raise Awareness ........................................................................... 15 2. Reporting and whistleblowing ............................................................................................................ 17 (a) Reporting of suspicions of transnational bribery by public employees ..................................... 17 (b) Reporting of suspicions of transnational bribery by whistle-blowers in the private sector ....... 18 3. Officially Supported Export Credits ................................................................................................... 20 (a) Awareness-Raising Efforts ........................................................................................................ 20 (b) Detection and Reporting of Foreign Bribery ............................................................................. 20 4. Official Development Assistance (ODA) ........................................................................................... 21 5. Defence Exports.................................................................................................................................. 22 (a) Awareness-Raising Efforts ........................................................................................................ 23 (b) Detection and Reporting of Foreign Bribery ............................................................................. 23 6. Foreign Diplomatic Representations .................................................................................................. 24 (a) Awareness-Raising Efforts ........................................................................................................ 24 (b) Detection and Reporting of Foreign Bribery ............................................................................. 24 7. Tax Authorities ................................................................................................................................... 25 (a) Non-Deductibility of Bribes ...................................................................................................... 25 (b) Awareness, training and detection ............................................................................................. 25 (c) Mechanisms to facilitate reporting to law enforcement............................................................. 26 (d) Sharing of Information .............................................................................................................. 27 8. Accounting and Auditing .................................................................................................................... 28 (a) Awareness and Training ............................................................................................................ 28 (b) Accounting and Auditing Standards .......................................................................................... 29 (c) Internal controls, corporate codes and audit committees ........................................................... 29 (d) External Auditing ...................................................................................................................... 31 (e) Duty to Report Foreign Bribery ................................................................................................. 32 9. Detection through Anti-Money Laundering mechanisms................................................................... 35 (a) Suspicious transactions reporting and customer due diligence measures .................................. 35 (b) Resources and training............................................................................................................... 37 (c) Awareness and exchange of information ................................................................................... 37 C. INVESTIGATION, PROSECUTION AND SANCTIONING OF FOREIGN BRIBERY AND RELATED OFFENCES ................................................................................................................................ 39 3 1. Investigation and Prosecution ............................................................................................................. 39 (a) Institutional Framework ............................................................................................................ 39 (b) The Conduct of Criminal Investigations and Prosecutions ....................................................... 48 (c) Principles of investigation and prosecution ............................................................................... 53 (d) Jurisdiction ................................................................................................................................ 55 (e) Statute of limitations .................................................................................................................. 57 (f) Mutual Legal Assistance and Extradition .................................................................................. 59 2. The Offence of Foreign Bribery ......................................................................................................... 63 (a) Background ................................................................................................................................ 63 (b) Elements of the Offence ............................................................................................................ 64 3. Liability of legal persons .................................................................................................................... 75 (a) The legal basis for liability of legal persons in Russia .............................................................. 75 (b) Investigation and prosecution of corruption offences committed by legal persons................... 79 4. Adjudication and sanction of the foreign bribery offence .................................................................. 81 (a) Sanctions against natural persons .............................................................................................. 81 (b) Sanctions against legal persons ................................................................................................. 83 (c) Confiscation ............................................................................................................................... 84 5. The Offence of Money Laundering .................................................................................................... 86 (a) Scope of the Money Laundering Offence .................................................................................. 86 (b) Sanctions for Money Laundering and enforcement of the Money Laundering Offence ........... 87 6. Accounting offences ..........................................................................................................................
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