COMPLIANCE POLICY OF OAT LLC GROUP ORGANIZATIONS
1. Basic notions and definitions
Compliance - conformity of the activities of the Company and organizations of the OAT LLC group (hereinafter referred to as the Company), as well as the Company's employees to the requirements of international, Russian, and in the case of activities outside the Russian Federation, applicable foreign legislation, as well as internal regulatory and administrative documents, decisions Company management bodies.
The Compliance system of the Company is a set of elements of the corporate culture, organizational structure, rules and procedures regulated by the internal regulatory documents of the Company, ensuring compliance with the principles of compliance by employees of the Company regardless of their position.
The priority domains for the development of the Company's compliance system are the areas of combating corruption and legalization (“laundering”) of proceeds from crime.
Corruption is an abuse of official position, giving bribe, taking bribe, mediation in bribery, abuse of authority, corrupt business practices, illegal transfer, offer or promise of remuneration on behalf of or in the interests of the Company, or other illegal use by the Company employee of his/her official position contrary to the legitimate interests of the Company in order to obtain benefits in the form of money, valuables, services, payment of entertainment, recreation, travel expenses, other property or property-related services, other property rights for themselves or for third parties, or the illegal provision of such benefits to a specified person by other individuals, as well as comitting these acts on behalf of or for the benefit of the Company.
“A person connected with the state” - a) the state; (б) a public authority; (в) a public official; (г) a close relative of a public official, or of the person referred to in sections (д) and (e) of this paragraph; (д) the ultimate beneficiary (owning 20% or more), the head, as well as the employee * of the commercial organization, which is directly or indirectly controlled by the state or the Public Authority; (е) an employee *, the head of a nonprofit organization that is established or of which the state, the Public Authority or the Public Official is a member; (ж) a commercial organization the ultimate beneficiary or manager of which (including members of the Board of Directors or another similar governing body) is the person referred to in paragraphs (а), (б), (в), (г), (д) and (е), owning 20% and more.
In relation to a legal entity, “control” means the right of a person to ensure that strategic, financial and operational decisions are made in accordance with the instructions of such a controlling person:
(a) by virtue of the possession of shares (stakes) in the authorized capital of a given or any other legal entity or the exercise of voting rights in respect of this or any other legal entity; or
(b) by virtue of any authority granted by constituent, internal or regulatory documents governing the activities of this or any other legal entity, or by any other documents.
“Public official” is a person *, elected to a public authority at any level, a judge, as well as candidates for the position of public official.
“Public authorities” are (a) government bodies of the Russian Federation, government bodies of constituent entities of the Russian Federation and other state bodies formed in accordance with the laws of the Russian Federation and the laws of constituent entities of the Russian Federation, including legislative, judicial and executive (including law enforcement agencies, Armed Forces of the Russian Federation, other troops, military units and bodies); (b) bodies directly elected by the population or formed by the representative or executive body of the municipality, endowed with their own powers to resolve issues of local importance; (c) state authorities of a foreign state, formed and recognized as such in accordance with the legislation of a foreign state, including, but not limited to, legislative, executive, judicial and other bodies, as well as political parties and public organizations; (d) international public organizations; (e) political parties and public organizations; e) non-profit organizations with the participation of a person associated with the state.
“International Public Organization” is an association established on the basis of joint activities to protect common interests and achieve statutory goals in the civil, political, cultural, social and economic spheres, the members of which are entities from different countries.
“Close relatives” are persons connected by the blood line (parents, children, grandchildren, half-brothers and siblings, grandfathers, grandmothers) and lateral kinship (cousins, aunts, uncles, nephews, spouses of siblings) or a family legal relationship (spouses, close relatives of spouses, adoptive parents, adopted children, spouses of children). ”
* constantly, temporarily or by special authority performing organizational and administrative and regulatory and / or administrative and business functions.
Administrative and regulatory functions include, for example, team leadership, appointment and selection of personnel, organization of work or service of subordinates, maintaining discipline, applying incentive measures and imposing disciplinary sanctions.
The administrative and business functions may include, in particular, the authority to manage and dispose of property and funds on the balance sheets and bank accounts of organizations and institutions, military subunits and elements, as well as other actions: making decisions on payroll, premiums, exercising control over the movement of material assets, determining the procedure for their storage, and etc.
2. Principles of compliance system:
2.1. Intolerance to corruption in any form
The Company considers unacceptable any practices of corruption in the course of its production, investment and any other activities. Intolerance to corruption means a strict prohibition for any persons acting on behalf of the Company or in its interests, directly or indirectly, personally or through any mediation, to participate in corruption actions, regardless of the practice of doing business in a particular country.
2.2. Full compliance
The requirements of applicable law and internal regulatory and administrative documents must be unconditionally and strictly observed by all employees of the Company, regardless of their position, work duration, status and other relationships with the Company.
2.3. The inevitability of punishment
The company makes every reasonable and legal effort to quickly and inevitably hold liable for corruption and other violations of the requirements of international, Russian, and in the case of activities outside the Russian Federation, applicable foreign legislation and internal regulatory and administrative documents in the field of compliance, irrespective of the size and form of such violations.
The company reserves the right to make public information about persons held liable for corruption in the prescribed manner.
3. Fundamental elements of a compliance system
3.1. Employee Relations
The Company expects that all its employees share the principles of the Company as set forth in this Policy and the Code of Corporate Ethics of organizations of the OAT LLC group of organizations, and unconditionally comply with all requirements of the current legislation and internal regulatory and administrative documents of the Company.
The Company guarantees that no punitive measures will be applied to employees who refused to perform an act that, in accordance with the law, could be regarded as an act of corruption, even if as a result of such a refusal the Company did not receive additional tangible or intangible benefits and / or incurred losses, to avoid which was possible only by violation of the requirements of the law or this Policy.
The Company considers it unacceptable and seeks to promptly identify and suppress illegal retaliatory measures within the Company to employees who have faithfully reported an alleged fact of corruption committed by another employee or against an employee of the Company.
3.2. Relations with counterparties
The company prefers cooperation with business partners who stick to the same values as the organization of the OAT LLC group.
To implement this statement the Company takes due diligence when engaging counterparties, and also informs you about the requirements of this policy.
3.3. Relations with public officials and persons related to the state
The Company considers it unacceptable to pay or reimburse any expenses of public officials and / or persons associated with the state or public bodies, providing them or in their interests any property or other benefits, with the direct or indirect purpose of obtaining any illegal advantages in the course of conducting its activities.
3.4. The implementation of entertainment expenses and gifts
The Company considers it unacceptable to make hospitality expenses, giving and receiving gifts if such expenses or gifts have a direct or indirect effect on the adoption by public officials and / or persons associated with the state or public bodies of decisions to provide illegal benefits to organizations of the OAT LLC group .
Hospitality expenses and business gifts are allowed only if they do not contradict the norms of international, Russian, and in the case of activities outside the Russian Federation - applicable foreign legislation and internal regulatory documents of organizations of the OAT LLC group, in particular, Compliance Policy and the Code of corporate ethics of the OAT LLC group organizations.
3.5. Participation in charity and sponsorship
The Company does not participate in charity and sponsorship projects, political activities with direct or indirect purpose of influencing decisions by public officials and persons associated with the state and public bodies on granting illegal benefits to organizations of the OAT LLC group. Information on all expenses of the Company for the provision of charity and sponsorship assistance, as well as on expenses for political activities is open.
3.6. Conducting accounting and management records
All financial and business operations and transactions are accurately, correctly and with a sufficient level of detail reflected in accounting records, documented and available for inspection in the statutory order.
The company does not allow the implementation of business operations without reflecting them in accounting records, distortion or falsification of accounting data, managerial and other types of accounting or supporting documents.
3.7. Compliance system risk assessment
The company conducts a regular risk assessment of the compliance system in order to timely monitor business processes that are potentially exposed to the risk of corruption. The company recognizes the need to manage the risk of involvement in corruption activities regardless of the size of potential violations.
The company provides an opportunity for employees and other third parties to confidentially and optionally anonymously report possible violations through the “hot line” by phone +7 (8552) 37-18-37.
Compliance with legal requirements and internal regulations is a priority for all enterprises within the OAT Group. In order to collect reports of unlawful actions, as well as conduct objective investigations, a Hotline is functioning. Employees of OAT Group enterprises and counterparties can contact the Hot Line and report possible violations of compliance and anti-corruption laws (for example, bribery, violation of antitrust laws, violation of business ethics, violation of laws or regulations, cases of conflict of interest, fraud, and etc. ).
When processing messages and conducting investigations, complete confidentiality is guaranteed, but if desired, the applicants can indicate their contacts for feedback.
Receiving messages on the Hot Line is carried out twenty four / seven through the following channels:
- by phone of OAT LLC +7 (8482) 69-10-02;
PAO KAMAZ PJSC +7 (8552) 37-18-37
- email address of OAT LLC email@example.com;
PAO KAMAZ firstname.lastname@example.org
Please note, that the more detailed the message on the hotline is, the more effective the investigation and the results are!