Rector's Directive No. 49/2015 ****************************************************************************************** * ****************************************************************************************** Implementing: - Date of effect: 1 October 2015 ****************************************************************************************** * Charles University’s Principles against Corruption ****************************************************************************************** *========================================================================================= * Article 1 Purpose of the Fundamental Principles *========================================================================================= 1.Charles University in Prague (the “University”) adopts these “Principles against Corrupt “Principles”) for the purpose of preventing criminal activity and promoting the ethical standards of the representatives of the University, employees, and persons in similar po as “employees”) and other persons in this area. 2.These Principles are based primarily on Act no. 40/2009 Sb., the Criminal Code, as amend “Criminal Code”) and Act no. 418/2011 Sb., on the criminal liability of legal entities a against them, as amended (the “Criminal Liability Act”). 3.In the area of preventing the criminal liability of the University as a legal entity, al required to uphold the anti-corruption measures and to actively engage in the prevention activity insofar as, for offences relating to bribery, among others, the criminal liabil entity cannot be extinguished by remedying the consequences of the criminal offence, i.e effective repentance (compare Section 11(2) of the Criminal Liability Act). *========================================================================================= * Article 2 Corruption and Conflict of Interest *========================================================================================= 1.Although the term corruption is not defined under Czech law, it is possible with respect legal system to use the content of the Criminal Code, which addresses corruption in vari Corruption-related offences include in particular corruption, i.e. the acceptance of bri 331 of the Criminal Code), bribery (Section 332 of the Criminal Code), indirect corrupti 333 of the Criminal Code), and other forms of scheming in insolvency proceedings (Sectio Criminal Code), violation of regulations relating to the rules of economic competition [ of the Criminal Code], negotiating advantageous conditions when awarding public contract public tenders and auctions (Section 256(1 and 3) of the Criminal Code), scheming when a contracts and during public tenders [Section 257(1 b and c) of the Criminal Code], or sc public auction [Section 258(1 b and c) of the Criminal Code]. Criminal offences relating of obligation during the administration of foreign assets (Section 220 and Section 221 o Code) and the abuse of information and positions in business affairs (Section 255 of the for example, may also be categorized as criminal offices having the characteristics of c certain special situations. 2.A risk factor that should be prevented in the context of anti-corruption measures is con interest. Interest is understood in this context as personal interest and interest that of those personal interests are required to promote or defend due to their status or pos interest is understood as interest that provides to its subject a personal benefit or th reduction in assets or other benefits. 3.The possible existence of a conflict of interest does not automatically exclude a third having relations with the University. However, if a conflict of the University’s interes a personal interest, the subject of these interests must not give their personal interes over the interests that they are required to promote and defend as an employee. Moreover be apparent from the situation that this third party did not acquire any benefit as a re relations with an employee of the University. For this reason, the rules establish the f procedures for situations where there is a risk of a conflict of interest: • The affected employees are required to report to their superiors, to the maximum degre under law, the situation leading to the inception of the actual or alleged conflict of • The superiors of the affected employees are then responsible for resolving the actual conflict of interests; • A person who is involved in the conflict of interests must not in any way participate included in the decision-making relating to the conflict of interests; • The solution to the conflict of interests must be duly documented. *========================================================================================= * Article 3 Objectives of Anti-Corruption Efforts *========================================================================================= 1.An objective of anti-corruption efforts is to create an environment where corruption is and honest and fair conduct is promoted, which leads to the protection of the University reputation and the protection of its assets. 2.The systematic conditions for achieving this objective include organizational transparen appropriately established accountability, good internal and external communication, and transparency of certain processes. It is very important that all employees uphold the le and internal regulations of the University, know the importance of the ethical principle the performance of their work and abide by these principles. The representatives of the encourage conduct that rejects corruption, emphasizes the importance of protecting the U assets, and minimizes the damage that is caused by the illegal conduct of others. The re the University must lead by example and be a model of good conduct. 3.In the area of employee education, systematic training at a professional level must be i respect to the fight against corruption. For all employees, knowledge of the “obligatory necessary (see Article 3, clause 4 of these Principles). Head employees should improve t identify in time the signs of corruption or a corrupt environment and adopt in its compe measures to minimize them. 4.The obligatory minimum is understood as the ability to explain: the term corruption, the of the types of corruption and their forms, the possible areas of the occurrence of corr the concept of practical examples of corruption, including the correct reaction from emp additional to general information, periodic training must focus on practical instruction assessing, correcting, and monitoring corruption risks at the workplace, on the correct the monitoring and control mechanism, on the options for remedies and the importance of implementation of these measures, etc. *========================================================================================= * Article 4 Control Mechanisms *========================================================================================= 1.The regular testing of the control and monitoring mechanisms relating to a significant c is important in order to determine how these mechanisms are effective for identifying an corruption. 2.The responsibilities of all head employees include monitoring the areas at their workpla risk of the occurrence of corruption (i.e. places of significance) and activities with a corruption and adopting measures to prevent them. *========================================================================================= * Article 5 Anti-Corruption Measures *========================================================================================= 1.A specific objective in this area is to minimize losses caused by corruption and to prev reoccurrence of a similar corruption event. A detailed analysis of the causes of corrupt for strengthening the preventive mechanisms which reduce the risk of corruption reoccurr 2.An objective of the measures is to ensure that employees are entitled to file complaints suggestions, and other submissions relating to conduct that is in contradiction with law regulations of the University or relating to unethical conduct, or for proposing measure improvement. 3.Remedial measures are understood as the adjustment of internal regulations, adoption of measures, resolving any incurred damage, and informing employees of the steps taken in r confirmed corruption as well as any unethical and illegal conduct (including determining damage). 4.University officials declare their readiness to adopt adequate remedial measures upon th any misconduct. 5.A basic pillar of anti-corruption measures is that every head employee of the University respect to quality and quantity the fulfilment of the obligations arising from the anti- measures, their effectiveness, and the implementation of measures for remedying the situ alternatively makes a proposal for updating the Code of Ethics for these Principles agai or other anti-corruption measures. *========================================================================================= * Article 6 Indicators of Corruption *========================================================================================= 1.Indicators of corruption are signs and warning signals of the possible occurrence of cor Although a higher presence of these signs and signals is not evidence of criminal or oth activity, it should lead to the increased vigilance of employees. 2.In general, warning signals of corruption are: • The extravagant lifestyles of people who are involved in the specific process; • Additional employment that substantially threatens their work performance for the Univ • Refusing a promotion outside their current employment position, resistance to a change or reassignment, especially if it is connected with an increase in salary or at least for an increase in salary; • Increased detachment, sudden changes in behaviour, especially towards colleagues, supe students; • Identifying less with superiors and assigned tasks; • Circumvention of or “disregard” for regulations and instructions; • Attempts to radically change internal regulations; • Noticeable deviations from usual procedures; • Not reacting to suspicious moments and events or tolerance of illegal conduct; • Social problems, personal weaknesses (addiction to alcohol or drugs, gambling); • Frequent unjustified personal contact between the employee and the person involved in making activity; • Overly friendly tone or conspicuously backing down when dealing with a counterparty; • Any other conduct that is unreasonable towards counterparties; • Hospitable gestures from third parties (special conditions for purchases, vouchers for shops, invitations to private or commercial events of business partners); • Non-existent controls in places where there is a risk of corruption; • Repeated grievances directed to specific people; • Verbal instead of written agreements, missing documentation for demonstrating the proc to a matter; • An excessive amount of tasks given to one specific person; • Insufficient transparency. *========================================================================================= * Article 7 Rules for Offering and Accepting Personal Gifts and Hospitality *========================================================================================= 1.Offering and accepting gifts and hospitality is generally an accepted component of build relationships. However, this is only true when the established conditions for preventing corruption occurring by way of these activities are fulfilled. 2.The item or service provided must always be modest, transparent, and must serve a purpos in contradiction with law and that is in the interest of the University or in building r Without exception, the item or service provided must always be reasonable. 3.Hospitality is defined as an invitation from a third party or inviting a third party to party, a social event (the opera, golf, or other social or athletic events, etc.) or to 4.Offering or accepting personal gifts must be reasonable and must always relate to the ac University. 5.It is not admissible to accept or offer any gift (money, checks, or vouchers) or to offe hospitality or presents that are in contradiction with law or that violate the values of or the rules set out in the Code of Ethics. 6.Employees have a reporting duty to the University when accepting or offering personal gi hospitality in contradiction with the rules set out in the Code of Ethics. 7.When considering any hospitality and personal gift, all of the circumstances for the off must be taken into account. Thus the value of the hospitality or gift is not the only fa *========================================================================================= * Article 8 Final Provisions *========================================================================================= The Principles against Corruption must be interpreted in relation to the significance of t conceived by criminal law, and also taking into consideration the principles of honest and and the customs in the specific areas in question. Prague, 21 September 2015 Prof. MUDr. Tomáš Zima, DrSc., MBA Rector These are offences related to accepting a bribe, in accordance with Section 331 of the Cri bribery, in accordance with Section 332 of the Criminal Code, and indirect corruption, in Section 333 of the Criminal Code.