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The procedure for assessing corruption risks in an institution. Assessment of corruption risks by international organizations

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

The main attention is paid to identifying a sufficiently significant influence of a particular official to extract “corruption profits” in the course of exercising his powers in the exercise of public functions. Positions that have 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, which is based on the study of individual cases of corrupt practices (cases), gravitates towards this approach. The manual covers only certain sectors of the economy and initially limits the scope of identifying and assessing corruption risks.

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

During the study of corruption cases, the works of non-governmental organizations, publications of experts and the scientific community were used. The main findings were presented in the FATF methodology. The FATF study focuses on the problem of laundering the proceeds of corruption, 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 identifies factors to be analyzed when assessing the risk of laundering corruption proceeds. “Client risk factors” include internal features conducting financial activities within government structures: 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 anti-money laundering systems and 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 presence of private banking.

In accordance with the proposed factors, the risks arising from the implementation of government functions by politicians and other government officials are assessed. The possibility of creating risk-based systems to identify “corrupt positions” is being considered.

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

The very implementation of functions that are vulnerable to corruption does not mean that a particular person holding a public position is corrupt, but increased attention, monitoring and control over the implementation of this activity can reduce the possibility of committing a corruption crime.

The degree of risk is also influenced by the economic sector within which the activity is carried out. FATF experts argue that the construction, mining and public procurement sectors are susceptible to corruption, which means that minimizing risks in order to combat corruption is possible by implementing preventive measures and ensuring increased control in these areas. Within the framework of the work under consideration, the corrupt areas included: the sale and transfer of state property and the provision of humanitarian assistance, promotion of innovation and development. Openness and transparency of procedures when carrying out activities in these sectors of the economy can reduce the degree of corruption and eliminate the possibility of using one’s official position for the purpose of obtaining personal gain.

The document itself analyzes specific anti-corruption measures. To further understand the problem, this work should focus on Special attention measures such as the disclosure of financial information by government officials through the declaration of income and expenses and the disclosure of interests and business relationships, which helps to identify and suppress conflicts of interest. Ensuring openness and transparency in public procurement is also an effective measure: disclosing information about government contracts significantly reduces the possibility of corruption.

In the work under review, FATF experts described the main factors that are subject to analysis when assessing corruption risks. Researchers at real examples proved the dependence of corruption of officials in some sectors of the economy on the implementation of certain types of government activities in the presence of appropriate conditions.

This analysis does not allow us to isolate specific functions of civil servants that have an increased risk of corruption, but it does provide an opportunity to conduct research in individual economic sectors and identify common risk factors characteristic of social, economic and political conditions in the country.

The mechanisms proposed by international organizations are the subject of active discussion among politicians and the public. At the same time, at present, different countries are increasingly trying to implement mechanisms for assessing corruption risks proposed in the theoretical works of international organizations. Thus, the methodology for assessing corruption risks was implemented in Montenegro, Hungary, Latvia and Moldova.

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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 using the example of functions government agencies

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

4.2 Analysis of corruption risks using the example of the functions of the Department Federal service state registration, cadastre and cartography for the Moscow region

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

Conclusion

Bibliography

Application

Introduction

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

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

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

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

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

Currently, the Ministry of Labor and Social Protection has presented Methodological recommendations for assessing corruption risks, which are the first attempt to consolidate the assessment of corruption risks at the legislative level.

Russian experience historically gravitates towards standard solutions, in this regard, the declaration and nominal implementation of certain norms do not lead to a reduction in the level of corruption. The publication of standard documents and recommendations, in accordance with which activities should be carried out in all government bodies, does not lead to a limitation of corruption opportunities 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 generation of analytical reports, could contribute to effective counteraction to corruption.

To achieve positive results in the fight against corruption, it is necessary to ensure that anti-corruption mechanisms are “linked” to specific corruption components determined by the specific functions of government bodies.

It is necessary to clearly define the purpose for which certain anti-corruption measures are being implemented, to identify groups of persons performing government functions at whom these measures are aimed, and to determine the desired result from the use of these methods. Corruption risk assessment is designed to solve these problems.

This work 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 government agencies in Russia.

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

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

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

The subject of the study is the assessment of corruption risks in the implementation of government 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 implementing corruption risk assessment;

· Determine the methodology for their assessment in general terms;

· Carry out a specific analysis of corruption risks using the example of the function of a government body;

· Characterize the problem of applicability of 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 methodologies for assessing corruption risks proposed by international organizations and 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 existing risks during the implementation of specific functions of government bodies, and will present an analysis within the framework of 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 government 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, possibility of risk assessment

Historically, different points of view and approaches to defining the concept of “risk” have emerged.

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

Later, the problem of choice under conditions of uncertainty formed the basis of the theory of decision making, within the framework of which it was first proposed to carry out a quantitative assessment of 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 research since the mid-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 training officials in methods of making rational decisions. However, when studying the decision-making process, more attention was paid to the problem of choice rather than to 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 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 ability to assess and calculate risks when making decisions.

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 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 behavioral strategy. A quantitative assessment of uncertainty and risks should have made it possible to develop a strategy of behavior depending on the situational model - the type of games. Further, game theory developed as an independent branch of mathematics.

With the development of 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. Availability large quantity uncertainties and the need for qualitative assessment have become significant obstacles to risk assessment 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 the individual or social group, expectations, characteristics of the situation can encourage risky choices.

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

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

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

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 assessing business risks. Economic data is formed under the influence of a number of uncontrollable factors, which “can take random values from a certain set of values and thereby determine the randomness of the data they determine.” To quantify business risks, methods of probability theory and mathematical statistics are used.

A different approach is used in the social sciences: psychology, political science, and organizational behavior study effective risk. "Development modern societies, expressed in abstract systems of modernity (information, monetary systems)” 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 arising in various situations, which, according to this approach, does not allow assessing probabilities and uncertainties in a general form, since the “riskogenicity” of the “social action” itself, which arises as a result of the individual’s decision-making, is assessed.

As part of the new approach in probability theory, the concept of eventological risk has appeared, which combines the characteristics of theoretical and effective risks. Along with the quantitative analysis, a qualitative risk analysis takes place, which allows us to identify the main risk factors. Also considered individual characteristics situations by conducting an “event” analysis, which allows us to identify the general 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 carried out makes it possible to calculate general indicators and assess the likelihood of risk.

The developed approaches to defining the concept and assessing risks have characteristics, at the same time, they define risk as everyday occurrence, which involves waiting possible losses associated with making a 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, analysis of behavioral characteristics or qualitative analysis of factors and mathematical study of variable situations.

The result of work on the study of risks within the framework of various approaches has become technologies developed on the basis of game theory and decision-making 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 particular application in such areas as: business, industry, healthcare, education, insurance, security, etc.

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

Risk management combines processes that are associated with analysis, assessment, risk forecasting 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 within the framework of risk management is aimed at developing an optimal solution. Qualitative and quantitative risk analysis allows us to determine the potential degree of influence of decision-making on the implementation of activities.

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

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

Risk management studies an extensive list of possible risk factors in various fields: insurance, healthcare, natural and man-made disasters. However, regardless of the area under consideration, a single algorithm is applied: the degree of risk for each factor is assessed 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 public administration, it is possible to use a corruption risk assessment.

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

In our study, risk will be considered as the probability of occurrence 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 mean "danger of future harm." The risk will be analyzed by studying the situational component, which is used within the framework of risk management.

Within the framework of this work, it will be of interest to assess the corruption risk of the government function being implemented and analyze the negative consequences of making a corrupt decision.

The nature of corruption risks has a number of features: the environment influences decision-making; 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 risks not for the individual carrying out the action, but for third parties who may suffer damage as a result of corrupt actions of officials arising in the course of implementing the functions of a government body. At the same time, we will define risk assessment as an analysis tool that is aimed at identifying “information about the probabilities of various possible outcomes and possible damages.”

Assessing corruption risks is one of the priorities 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 the 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 public office for personal gain.” The OECD defines corruption as “the active or passive abuse of power by public officials (appointed or elected) to obtain private financial or other benefit.” ANO Center for 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, the US criminal legislation defines 4 types of corruption crimes: 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 expanded list of corruption crimes and sanctions for their commission in accordance with the position held, for example, restricting competition during a competition or promising a breach of official duties while potentially accepting a bribe will lead to imprisonment for higher group positions.

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

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

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

A number of scientific publications demonstrate that reducing risks and corruption in general is possible through the establishment of clear “frameworks” of activity.

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

However, establishing such “boundaries” does not always lead to risk reduction. Regulations can establish loose formulations for the implementation of powers, lead to nominal consolidation of responsibilities, ignoring the definition of functions susceptible to corruption.

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

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

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

To determine parameters that can subsequently be used within the framework of mathematical analysis, we propose to conduct an assessment of corruption risks as part of a situational analysis of crime prevention.

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

The approach was later developed in sociology in the works on situational analysis of crime prevention by Christopher Birberk, Gary LaFree and Ronald Clark.

Scientists have suggested that all elements of crime prevention can manifest themselves as a result of the targeted activities of specific subjects, which include individuals, society and the state as a whole. Crime prevention requires the specification of specific forms of crime, systematic management of the factors that form environment, increasing barriers to crime. Impact can occur through the use of technological, educational, information, financial and other methods. The civil community can voluntarily participate in crime prevention.

Crime prevention analysis distinguishes between thoughts about committing a crime and the immediate fact of its commission. There are factors that influence the formation of the environment and can provoke a person. Preventive measures in such a situation make it possible to eliminate the conditions for the possible commission of a crime.

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 main focus is on economic instruments that determine risks when making decisions in a general manner. The decision-making process at each stage is characterized by the presence of a specific environment, a set of factors influencing the situation and behavior of the individual.

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

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

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

Systematic study of ways to block such provocative factors;

Assessment of the risks of the implementation of this crime and analysis of the economic consequences;

Preparation of measures to combat crimes;

Performance monitoring for further use the experience gained.

This approach can be applied to many types of crimes, including corruption-related ones. Crime prevention analysis suggests not only considering the environment and existing preconditions, but also allows for detailed analysis individual elements corruption and situational components.

Despite the relevance of the approach, it is necessary to note the lack of research on the possibility of using situational analysis of crime prevention in the field of combating corruption in the public sector in Russia. Only a few works by 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 framework proposed by Ronald Clark in Situational Crime Prevention, which examined in detail the “crime opportunity structure.”

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 actual commission of a crime.

Rice. 1 Structure of opportunities for committing a crime

The fact of criminogenic behavior, according to the author, can be provoked 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 discussed in the work, the influence of a subculture, an insufficient degree of control, and 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 identified, there is a clear purpose for the illegal act, and certain characteristics are present that facilitate its commission. To reduce the number of crimes, it is proposed 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 negative factors facilitating the commission of a crime, ensuring a high degree of control on the part of 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 modified 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, to determine corruption functions in a government agency, it is necessary to study the socio-economic environment within which government 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 government positions with unlimited administrative resources in the exercise of specific powers.

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

Rice. 2 Structure of corruption opportunities for committing a crime

Particular attention is paid to the structure of opportunities to commit crimes. Corruption 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 defined goals, such as the expectation of receiving and the certainty of receiving a large bribe, can contribute to corrupt behavior. The presence of accompanying 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 the possibility of corruption committed by an official.

In accordance with Clark's proposed crime opportunity analysis, corrupt areas of activity can be identified and problematic factors contributing to the growth of corrupt activities 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 Graycar and Aiden Sidebottom.

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

“Structural” reasons mean the influence of the political regime, various institutional models, and a number of historical and cultural factors. In such a situation, the fight against corruption is possible only through 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 engage in corrupt behavior if he has monopoly power to provide a good or service.

Adhering to this point of view, it is possible to reduce incentives for the implementation of corrupt practices 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.

Thinking about the criminalization of acts of corruption, scientists came to to the following conclusion: Understanding 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. Based on more early works Clark, which examined crimes in general terms, scientists emphasize the possibility of using situational analysis of the prevention of corruption crimes as part of the study of the determinants of specific events in the crime.

Scientists also talk about the peculiarities 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 analysis methods combine 5 groups of mechanisms aimed at reducing the incentives of a potential criminal to commit a corruption crime:

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

2. increase in potential risks;

3. reduction in expected reward;

4. reducing the number of provocations and possible irritants;

5. Elimination of excuses, toughening of 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 conducive to corruption activity. For example: the lack of a coherent structure of public administration and the will to combat corruption in the public and private sectors, non-implementation or absence of ethical codes, acceptance of patronage and patronage, the complexity and intricacy of the public administration system and public administration bodies, in particular, the weakness of the legislative framework, financial control, underdevelopment of management institutions, remoteness of control and supervisory bodies, lack of monitoring when making decisions, etc.

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

The authors classify the following types of corruption offenses as corruption: bribery, extortion, misappropriation, use of official position in one’s own interests, patronage, arbitrariness, patronage, patronage and protection (favoritism). At the same time, they talk 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 crimes should include a specification of the type of activity of the official, such as: appointment of personnel, government procurement, implementation of programs or services, production of goods and services (for example, construction), disaster response activities, licensing and other control and oversight 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, forestry, education, energy, etc. At the same time, it is necessary to take into account the location of the corruption crime: 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 control of lifting equipment. A New York State assistant inspector was convicted of bribery for allegedly providing mobile crane rental companies with false licenses for inspections that were not carried out.

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

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

Currently, there is no information on licensed companies on the website of the Department of Labor, Division of Safety and Health, which still indicates the presence of high corruption risks when performing functions in this government 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 government bodies.

Corruption risk assessments are 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 using corruption risk assessment mechanisms is growing every year, but there is no specific methodology containing assessment mechanisms. The World Bank is currently actively developing a general methodology for assessing corruption risks.

The European Union proposes that countries use the following general mechanisms to identify “corruption-producing” 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 institutional assessment can be carried out both by government bodies within the country through self-assessment, and by international organizations during external evaluation. At the same time, it is possible to determine the “frequency and severity of corruption” by identifying the most “problematic” areas and factors through surveys within departments (see Appendix 1). Identifying the corruption of individual government functions allows for targeted anti-corruption policies, reforming problem 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 government bodies as specific sequential steps. At each stage of implementation of functions, problem areas susceptible to corruption are identified based on statistics on criminal offenses.

Next, information is collected and analyzed, social surveys and interviews of officials are conducted, which makes it possible to identify a list of “corruption-prone” 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 corruption relations, the main methods of corruption payments in the implementation of a specific government function.

Identifying problematic “gray areas” makes it possible to develop measures to minimize and eliminate risks. Methodologies developed on the basis of this approach contain various measures to reduce corruption risks: reengineering of the relevant public administration function, preventing the implementation of corrupt payments, etc.

The development and application of a methodology based on this approach can lead to significant results, 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 in collaboration with the World Bank

One of the most comprehensive documents containing the provisions of the “maximum approach” is the “Corruption Risk Assessment Manual”, presented by USAID jointly with the World Bank.

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

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

It is intended that the policy recommendations presented, based on international best 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 assessment approach takes into account the possibility of the development and persistence of corrupt systems, the presence of administrative corruption and low political will among the main participants.

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

This USAID manual discusses four types of corruption syndrome: corruption in “mature states” - developed democracies with strong economies, “elite 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 models of corruption and a description of its dynamics in one country makes it possible to identify identical characteristics in other states. The use 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 necessary to carry out the analysis.

The first stage involves collecting and integrating relevant information, creating 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 planned to create a “strategic perspective”, which will make it possible to further develop 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 successful implementation anti-corruption reforms. Along with building the capacity of government 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 propensity for specific types of corruption. Based on the strategic analysis carried out, it is necessary to determine the degree of corruption of government activities in various sectors of the economy: education, healthcare, public finance, etc.; and identify functions of government bodies with high corruption risks.

The third stage is characterized by a detailed diagnosis of selected areas of government activity that are vulnerable to corruption and, at the same time, have the ability to carry out reforms. After conducting a sectoral and functional assessment, USAID proposes to organize meetings with government and business representatives involved in this industry and assess corruption risks by conducting social surveys, analyzing reports and documentation, interviewing government officials, and studying the specifics of the activities of key actors in the implementation of functions. The subject of corruption relations is identified, 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 that arise when performing functions as a civil servant, and offers recommendations that can be used to minimize them.

At the fourth stage, “ Extra options programming" corruption risks. Recommendations prepared during industry and functional analysis and “strategic perspective” analysis are used in formulating the provisions of the national anti-corruption plan. At this stage, an intersectoral analysis is carried out to identify common problem areas and apply common mechanisms to combat corruption, and specific measures are proposed to eliminate corruption opportunities in the implementation of government functions. Cases are also analyzed to study the consequences of implementing recommendations, their changes and additions. In addition, additional tools proposed by international organizations may be used. The findings and results of the implementation of the recommendations can be integrated and used for further study by the international community.

The document provides measures to minimize risks by reforming and introducing restrictions for the implementation of corruption schemes. This guide does not propose a specific methodology for assessing corruption risks in general terms and does not define best practices for assessment, but consistently describes the assessment process in the form of administrative procedures to identify corruption-prone functions performed by a government agency.

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

To successfully conduct a corruption risk assessment and further work to minimize them, along with the presence of conditions conducive to the formation and strengthening of the corruption component, there must be the possibility of practical implementation of reforms in this area of activity.

2.2 Assessment of corruption risks by international organizations. FATF methodology

The document identifies factors to be analyzed when assessing the risk of laundering corruption proceeds. “Client risk factors” include internal features of conducting financial activities within government agencies: 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 complicate the conduct of business relations. “Country or geographic risk factors” characterize the development of anti-money laundering systems and 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 presence of private banking.

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The procedure for assessing corruption risks in an institution. Assessment of corruption risks by international organizations

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