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USSR COUNCIL OF MINISTERS

RESOLUTION

ON THE APPROVAL OF RULES FOR THE PROTECTION OF ELECTRIC

NETWORKS WITH VOLTAGE UP TO 1000 VOLTS

The Council of Ministers of the USSR decides:

1. Approve the attached Rules for the protection of electrical networks with voltage up to 1000 volts.

The Ministry of Energy and Electrification of the USSR and the Councils of Ministers of the Union Republics should organize a wide familiarization of the population with the said Rules and ensure control over their implementation.

2. The State Committee of the Council of Ministers of the USSR for Publishing, Printing and Book Trade and the State Committee of the Council of Ministers of the USSR for Cinematography to ensure, on orders from the Ministry of Energy and Electrification of the USSR, respectively, the publication of posters, the release of films and film magazines on issues compliance with the requirements of the Rules for the protection of electrical networks voltage up to 1000 volts.

3. Instruct the Councils of Ministers of the Union Republics to consider the issue of administrative liability for violation of the requirements of the Rules for the Protection of Electrical Networks with Voltages up to 1,000 Volts and submit appropriate proposals to the presidiums of the Supreme Soviets of the Union Republics.

Chairman of the board

Ministers of the USSR

A.KOSYGIN

Manager

Council of Ministers of the USSR

M.SMIRTYUKOV

Approved

Decree

Council of Ministers of the USSR

PROTECTION OF ELECTRIC NETWORKS WITH VOLTAGE UP TO 1000 VOLTS

1. These Rules are introduced in order to ensure the safety of electrical networks with voltage up to 1000 volts and to prevent accidents. The rules are mandatory for the design, construction and operation of overhead, underground and underwater power lines, input and distribution devices.

2. For the protection of electrical networks with voltage up to 1000 volts, the following are installed:

a) security zones:

along overhead power lines (with the exception of branches to the inputs to buildings) in the form of a plot of land bounded by parallel straight lines, spaced from the projections of the extreme wires on the earth's surface (if their position is not deflected) by 2 meters on each side;

along underground cable power lines in the form of a plot of land bounded by parallel straight lines spaced from the outermost cables by 1 meter on each side, and when cable lines pass in cities under sidewalks - by 0.6 meters towards buildings and structures and by 1 meter in side of the roadway;

along submarine cable power lines in the form of a section of water space from the water surface to the bottom, enclosed between vertical planes spaced from the extreme cables by 100 meters on each side;

b) the minimum allowable distances between power lines with a voltage of up to 1000 volts and the nearest buildings and structures, as well as tree and other perennial plantations, determined by the Electrical Installation Rules approved by the USSR Ministry of Energy and Electrification.

3. If power lines with voltage up to 1000 volts pass through forest areas, pruning of trees growing in close proximity to the wires is carried out by the organization operating the power lines. When power lines pass through parks, gardens and other perennial plantings, pruning of trees is carried out by the organization operating the power lines, and by mutual agreement of the parties - by the organization in charge of these plantations, or by individual owners of gardens and other perennial plantations in the manner determined by the organization, operating transmission line.

4. Within the security zones of power lines with voltage up to 1000 volts, without the written consent of the organization operating these lines, it is prohibited:

a) carry out construction, assembly, blasting and irrigation works, plant and cut down trees, arrange sports grounds and playgrounds, store fodder, fertilizers, fuel and other materials;

b) arrange berths for the parking of ships, barges and floating cranes, produce loading and unloading, dredging and dredging, drop anchors, pass with anchors and trawls released, allocate fishing areas, catch fish, as well as aquatic animals and plants with bottom fishing gear, arrange watering places, split and harvest ice (in the protection zones of underwater cable power lines );

c) arrange passages for vehicles and mechanisms having a total height with or without cargo from the road surface of more than 4.5 meters, as well as parking for automobile and horse-drawn vehicles, vehicles and mechanisms (in the security zones of overhead power lines);

d) perform earthworks at a depth of more than 0.3 meters and level the soil with the help of bulldozers, excavators and other earthmoving machines (in the security zones of cable power lines).

The security zones of power lines with a voltage of up to 1000 volts passing through the territory of experimental agricultural stations, variety testing plots, production facilities of collective farms, state farms and other agricultural enterprises and organizations, as well as production facilities of the Selkhoztekhnika regional associations, can be used by the enterprise or organization that owns these stations, sections and facilities, without the consent of the organization operating the transmission lines, but with the obligatory maintenance of the safety of these lines andcompliance with security measures.

5. It is forbidden to perform any kind of actions that may disrupt the normal operation of electrical networks or lead to their damage, and in particular:

a) throw on the wires, attach and tie foreign objects to the supports and wires, climb on the supports, block up the approaches to them and dump snow from the roofs of buildings onto the wires;

b) dump heavy weights (over 5 tons), pour out solutions of acids, alkalis and salts, arrange all kinds of dumps along the route of cable power lines;

c) open the premises of electric grid structures, make connections and switchovers in electric networks, make fire near input and distribution devices, overhead power lines and in the security zones of cable power lines;

d) carry out demolition or reconstruction of buildings, bridges, tunnels, railways and highways and other structures in places where overhead and cable power lines pass or input and distribution devices are installed, without preliminary removal of these lines and devices by developers in agreement with organizations operating Electricity of the net.

6. The land area of ​​the security zones of power transmission lines with voltage up to 1000 volts is not subject to withdrawal from land users, but is used by them with mandatory compliance with the requirements of these Rules.

Enterprises, organizations, institutions and individual citizens on land plots granted to them for use, along which power lines with a voltage of up to 1000 volts pass, are obliged to take all measures in their power to help ensure the safety of these lines.

7. If wires of overhead power lines with voltage up to 1000 volts and lines of other purposes belonging to different organizations are suspended on common supports, each of the organizations carrying out line repairs that may cause damage to another organization or require the presence of its representative must notify in advance of organization concerned.

8. Enterprises and organizations performing any work (explosive, construction and others) that can cause damage to electrical networks with voltage up to 1000 volts are obliged to coordinate their conduct with the organization operating electrical networks no later than 3 days before the start of work. , and take steps to secure these networks.

The conditions for carrying out these works within the security zones of power transmission lines with voltages up to 1000 volts, necessary to ensure the safety of these lines, are established by the USSR Ministry of Energy and Electrification (in terms of construction work - in agreement with the USSR Gosstroy).

9. Performing work near overhead power lines using various types of mechanisms is allowed only if the distance by air from the mechanism or from its lifting or retractable part, as well as from the load being lifted in any of their positions (including at the maximum rise or departure) to the nearest live wire, there will be at least 1.5 meters.

The distance from the cable to the place of excavation is determined in each individual case by the organization operating the cable power line.

If it is impossible to comply with the conditions ensuring the safety of work, the voltage must be removed from the section of the electrical network.

10. Enterprises and organizations performing earthworks, upon detecting a cable not specified in the technical documentation for the performance of these works, are obliged to immediately stop work, take measures to ensure the safety of the cable and inform the organization operating electrical networks about this.

11. The technical personnel of organizations operating electrical networks with voltage up to 1000 volts are granted the right of unhindered access to electrical networks for their repair and maintenance. If electrical networks are located on the territory of prohibited zones and special facilities, then the relevant organizations must issue passes to employees servicing these networks for inspection and repair work at any time of the day.

12. Organizations that operate power lines with voltage up to 1000 volts are allowed to carry out earthworks in security zones necessary for the repair of these lines.

These works in the right of way of roads and railways are carried out in agreement with the authorities in charge of the roads.

To eliminate accidents on power lines with a voltage of up to 1000 volts, it is allowed to cut down individual trees in forest areas adjacent to the route of these lines, followed by the issuance of logging tickets (orders) in the prescribed manner and with the cleaning of felling sites from logging residues.

13. Scheduled work on the repair and reconstruction of power lines with a voltage of up to 1000 volts passing through agricultural land is carried out in agreement with land users and, as a rule, during the period when these land are not occupied by agricultural crops or when it is possible to ensure the safety of these crops.

Works on elimination of accidents and operational maintenance of power transmission lines can be carried out at any time.

After the performance of the above works, organizations operating power transmission lines must bring the land into a condition suitable for use for its intended purpose, as well as compensate land users for losses caused during the work. The procedure for determining losses is established by the USSR Ministry of Agriculture jointly with the USSR Ministry of Energy and Electrification and in agreement with other interested ministries and departments.

14. Scheduled work on the repair and reconstruction of cable power lines that cause violation of road surfaces can be carried out only after prior agreement on the conditions for their implementation with the authorities in charge of the roads, and within cities and other settlements - with the executive committees of the Soviets of People's Deputies . The terms of the work must be agreed upon within 3 days.

In urgent cases, it is allowed to carry out work on the repair of cable power lines that cause violation of road surfaces, without prior agreement, but with simultaneous notification of the authorities in charge of the roads, or the executive committees of the Soviets of People's Deputies of Working People.

Organizations performing these types of work must organize detours of work sites with the installation of warning signs for vehicles and pedestrians and, after completion of work, level the ground and restore road surfaces.

15. The procedure for the operation of power lines with voltage up to 1000 volts on the territory of industrial enterprises, at intersections with railways and roads, in the right of way of railways and at the approaches to airfields must be coordinated by organizations operating power lines with the relevant enterprises and organizations.

On motor roads of categories I - IV with the movement of machines and mechanisms having a total height with or without cargo from the road surface of more than 4.5 meters, at the intersection of roads with overhead power lines, on both sides of these lines, signal signs indicating the permissible the height of the moving vehicle. Signal signs are installed by the organization in charge of the road, in agreement with the organization operating the power lines.

The places where power lines cross with navigable and raftable rivers must be marked on the banks with signal signs in accordance with the charter of inland water transport. Signal signs are installed by the organization that operates the power transmission lines, in agreement with the basin administrations of the waterway and are included by the latter in the list of navigation conditions and pilot charts.

16. In cases where electrical networks with voltage up to 1000 volts are located on the territory or near the construction sites of the buildings and structures being designed, the projects and estimates for the construction of these facilities, in agreement with the organizations operating electrical networks, should provide for measures to ensure the safety of these networks.

17. Organizations that perform work that necessitate the reorganization of electrical networks or protect them from mechanical damage are obliged to perform work on the reconstruction or protection of networks at the expense of their materials and means in agreement with the organization operating electrical networks.

18. In case of lifting the cable with an anchor, fishing gear or in any other way, the captains of the ships are obliged to take measures to free the cable and immediately report this to the nearest port, indicating the coordinates of the place and time of lifting the cable. The port that received this report is obliged to report the incident to the nearest energy supply enterprise.

Citizens who have discovered a broken, lying on the ground or sagging wire of an overhead power line, as well as the danger of falling poles or broken wires, are obliged to immediately inform the nearest energy supply business or local government.

19. Enterprises and organizations in charge of existing and under construction structures that are sources of stray currents must take measures to limit the leakage of electric current into the ground. Organizations in charge of cable transmission lines under construction and operating must take measures to protect these lines from stray currents.

20. Organizations operating electric networks have the right to suspend work in the protected zone of power lines performed by other organizations in violation of these Rules.

21. The executive committees of the Soviets of Working People's Deputies, as well as the militia bodies, within the limits of their powers, are obliged to assist organizations operating electrical networks with voltage up to 1000 volts in preventing damage to these networks and in ensuring that all enterprises, organizations, institutions and citizens comply with the requirements of these Rules.

22. In case of destruction of electrical networks caused by natural disasters (ice, flood, ice drift, hurricane, forest fire and others), the executive committees of the Soviets of Working People's Deputies, within their powers, are obliged to involve citizens and vehicles in the work to eliminate the destruction of these networks. Payment for restoration work is made by organizations operating electrical networks.

23. Officials and citizens guilty of failure to comply with the requirements of these Rules, as well as in violation of the normal operation of electrical networks with voltage up to 1000 volts, are held liable in the prescribed manner.

GOVERNMENT OF THE RUSSIAN FEDERATION

RESOLUTION
dated 06/30/12 No. 667

ON APPROVAL OF REQUIREMENTS


FUNDS OR OTHER PROPERTY (EXCEPT FOR CREDIT
ORGANIZATIONS), AND INDIVIDUAL ENTREPRENEURS,
AND ABOUT THE RECOGNITION AS VOID OF SOME
ACTS OF THE GOVERNMENT OF THE RUSSIAN FEDERATION

In accordance with the Federal Law "On counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism", the Government of the Russian Federation decides:

1. Approve the attached requirements for internal control rules developed by organizations that carry out transactions with cash or other property, and individual entrepreneurs.
(as amended by Decrees of the Government of the Russian Federation of 06/21/2014 N 577, of 04/10/2015 N 342, of 09/17/2016 N 933)

2. Establish that the internal control rules in force prior to the entry into force of this resolution are subject to bringing organizations engaged in transactions with funds or other property (except for credit institutions) in line with the requirements approved by this resolution within one month.

3. Recognize as invalid:

Decree of the Government of the Russian Federation of January 8, 2003 N 6 "On the procedure for approving the rules of internal control in organizations carrying out transactions with cash or other property" (Sobraniye Zakonodatelstva Rossiyskoy Federatsii, 2003, N 2, Art. 188);

paragraph 4 of the amendments that are being made to the acts of the Government of the Russian Federation on countering the legalization (laundering) of proceeds from crime and the financing of terrorism, approved by Decree of the Government of the Russian Federation of October 24, 2005 N 638 (Collected Legislation of the Russian Federation, 2005, N 44, article 4562);

Decree of the Government of the Russian Federation of June 10, 2010 N 967-r (Collected Legislation of the Russian Federation, 2010, N 26, Art. 3377).

Prime Minister
Russian Federation
D. MEDVEDEV

Approved
Government Decree
Russian Federation
dated June 30, 2012 N 667

REQUIREMENTS
TO THE INTERNAL CONTROL RULES DEVELOPED
ORGANIZATIONS CARRYING OUT OPERATIONS WITH CASH
FUNDS OR OTHER PROPERTY (EXCEPT
CREDIT ORGANIZATIONS), AND INDIVIDUAL
ENTREPRENEURS

(as amended by Decrees of the Government of the Russian Federation of June 21, 2014 N 577,
No. 342 dated April 10, 2015, No. 933 dated September 17, 2016, No. 1081 dated September 11, 2018)

1. This document defines the requirements for the development of organizations engaged in transactions with cash or other property (hereinafter referred to as organizations), as well as individual entrepreneurs engaged in the purchase, sale and purchase of precious metals and precious stones, jewelry from them and scrap of such products, and individual entrepreneurs providing intermediary services in the implementation of real estate purchase and sale transactions (hereinafter referred to as individual entrepreneurs), internal control rules carried out in order to counteract the legalization (laundering) of proceeds from crime, the financing of terrorism and the financing of the proliferation of weapons of mass destruction (hereinafter referred to as internal control rules).

This document does not apply to credit institutions, professional participants in the securities market, insurance companies specified in paragraph four of part one of Article 5 of the Federal Law "On countering the legalization (laundering) of proceeds from crime and the financing of terrorism" (hereinafter referred to as the Federal Law ), insurance brokers, management companies of investment funds, mutual investment funds and non-state pension funds, credit consumer cooperatives, including agricultural credit consumer cooperatives, microfinance organizations, mutual insurance companies, non-state pension funds and pawnshops.

(clause 1 as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

1(1). The head of the organization and the individual entrepreneur ensure control over the compliance of the applied internal control rules with the requirements of the legislation of the Russian Federation.

The internal control rules must be brought into line by the organization and the individual entrepreneur with the requirements of regulatory legal acts on combating the legalization (laundering) of proceeds from crime and the financing of terrorism no later than one month after the date of entry into force of the specified regulatory legal acts, unless otherwise established by such regulations. normative legal acts.

(clause 1(1) was introduced by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

2. Internal control rules are developed in accordance with the legislation of the Russian Federation.

3. The internal control rules are a document that is drawn up on paper and which:

a) regulates the organizational framework for the work aimed at countering the legalization (laundering) of proceeds from crime, the financing of terrorism and the financing of the proliferation of weapons of mass destruction in the organization;
(as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

b) establishes the duties and procedures of the head of the organization, individual entrepreneur and employees of the organization, individual entrepreneur in order to exercise internal control;
(As amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

c) determines the deadlines for fulfilling obligations for the purpose of exercising internal control, as well as the persons responsible for their implementation.

4. The internal control rules include the following internal control programs:

a) a program that determines the organizational basis for the implementation of internal control (hereinafter referred to as the program for organizing internal control);

b) a program for identifying clients, representatives of clients and (or) beneficiaries, as well as beneficial owners (hereinafter referred to as the identification program);

c) a program for assessing the degree (level) of the risk of the client making transactions related to the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as the risk assessment program);

d) a program for identifying transactions (transactions) subject to mandatory control and transactions (transactions) that have signs of connection with the legalization (laundering) of proceeds from crime or the financing of terrorism (hereinafter referred to as the program for detecting transactions);

e) a program for documenting information;

f) a program regulating the procedure for suspending operations in accordance with the Federal Law (hereinafter referred to as the program for suspending operations);

g) a program for the training and education of personnel in the field of combating the legalization (laundering) of proceeds from crime, the financing of terrorism and the financing of the proliferation of weapons of mass destruction;

h) a program for checking the implementation of internal control;

i) a program for the storage of information and documents obtained as a result of the implementation of programs for the implementation of internal control in order to combat the legalization (laundering) of proceeds from crime, the financing of terrorism and the financing of the proliferation of weapons of mass destruction (hereinafter referred to as the information storage program);
(as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

j) the program of studying the client when hiring and servicing (hereinafter referred to as the program of studying the client);
(clause "k" was introduced by Decree of the Government of the Russian Federation of 06/21/2014 N 577)

k) a program that regulates the course of action in case of refusal to execute the client's order to complete a transaction;
(paragraph "l" was introduced by Decree of the Government of the Russian Federation of June 21, 2014 N 577)

l) a program that regulates the procedure for applying measures to freeze (block) funds or other property.
(paragraph "m" as amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

5. The internal control rules establish the powers, as well as the duties assigned to a special official responsible for the implementation of the internal control rules (hereinafter referred to as the special official).

6. The rules of internal control are approved by the head of the organization, individual entrepreneur.
(clause 6 as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

7. The program for the organization of internal control is developed taking into account the following conditions:

a) a special official is appointed in an organization and an individual entrepreneur in accordance with paragraph 2 of Article 7 of the Federal Law;
(as amended by Decrees of the Government of the Russian Federation of 10.04.2015 N 342, of 17.09.2016 N 933)

b) in the organization (taking into account the peculiarities of its structure, staffing, client base and the degree (level) of risks associated with the organization's clients and their operations), a structural unit may be formed or determined to perform the functions of countering the legalization (laundering) of income received crime, financing of terrorism and financing of the proliferation of weapons of mass destruction;
(as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

c) the program contains a description of the internal control system in the organization and its branch (branches) (if any) and in the individual entrepreneur, as well as the procedure for interaction between the organization's structural divisions (employees of the individual entrepreneur) on the implementation of internal control rules.

8. The identification program includes the following procedures for the implementation of measures to identify the client, the representative of the client and (or) the beneficiary, as well as the beneficial owner:
(as amended by Decree of the Government of the Russian Federation of 06/21/2014 N 577)

a) establishing in relation to the client, the representative of the client and (or) the beneficiary the information specified in Article 7 of the Federal Law, and verifying the accuracy of this information before accepting the client for service;
(clause "a" as amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

a(1)) taking reasonable and accessible measures in the circumstances to identify and identify beneficial owners, including measures to establish, in relation to these owners, the information provided for by subparagraph 1 of paragraph 1 of Article 7 of the Federal Law, and to verify the accuracy of the information received;
(paragraphs "a (1)" as amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

b) verification of the presence or absence in relation to the client, the representative of the client and (or) the beneficiary, as well as the beneficial owner of information about their involvement in extremist activities or terrorism, proliferation of weapons of mass destruction, received in accordance with paragraph 2 of Article 6, paragraph 2 of Article 7.4 and paragraph two of paragraph 1 of Article 7.5 of the Federal Law;
(paragraph "b" as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

c) determination of belonging of an individual who is being serviced or accepted for service to the number of foreign public officials, officials of public international organizations, as well as persons replacing (holding) public positions of the Russian Federation, positions of members of the Board of Directors of the Central Bank of the Russian Federation, positions in the federal civil service, appointment and dismissal from which are carried out by the President of the Russian Federation or the Government of the Russian Federation, or positions in the Central Bank of the Russian Federation, state corporations and other organizations created by the Russian Federation on the basis of federal laws, included in the lists of positions determined by the President Russian Federation;
(clause "c" as amended by Decree of the Government of the Russian Federation of June 21, 2014 N 577)

d) identification of legal entities and individuals who, respectively, are registered, domiciled or located in a state (on the territory) that does not comply with the recommendations of the Financial Action Task Force on Money Laundering (FATF), or using bank accounts registered in the specified state (on the specified territory);

e) assessment and assignment to the client of the degree (level) of the risk of the client performing operations related to the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as risk), in accordance with the risk assessment program;

f) updating information obtained as a result of identification of clients, representatives of clients of beneficiaries and beneficial owners.

9. The identification program may additionally provide for the establishment and recording of the following data received by an organization and an individual entrepreneur in accordance with clause 5(4) of Article 7 of the Federal Law:

a) the date of state registration of the legal entity;

b) postal address of the legal entity;

c) the composition of the founders (participants) of the legal entity;

d) the composition and structure of the legal entity's management bodies;

e) the size of the authorized (share) capital or the size of the authorized fund (share contributions).
(As amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

10. When identifying a legal entity (with its consent), it may be envisaged to establish and fix codes for the forms of federal state statistical observation.

11. The identification program in order to implement the requirements established by Article 7.3 of the Federal Law provides for:

the procedure for identifying among individuals being served or accepted for servicing, foreign public officials, their spouses and close relatives, officials of public international organizations, as well as persons replacing (holding) public positions of the Russian Federation, positions of members of the Board of Directors of the Central Bank of the Russian Federation, positions in the federal civil service, the appointment and dismissal of which are carried out by the President of the Russian Federation or the Government of the Russian Federation, or positions in the Central Bank of the Russian Federation, state corporations and other organizations created by the Russian Federation on the basis of federal laws, included in the lists of positions determined by the President of the Russian Federation;
(as amended by Decrees of the Government of the Russian Federation of 06/21/2014 N 577, of 09/17/2016 N 933)

the procedure for accepting foreign public officials for service, as well as measures to determine the sources of origin of funds or other property of foreign public officials;

the procedure for accepting for service, as well as reasonable and accessible measures in the circumstances to determine the sources of origin of funds or other property of an official of a public international organization or a person replacing (holding) a public position of the Russian Federation, the position of a member of the Board of Directors of the Central Bank of the Russian Federation, position federal civil service, appointment to and dismissal from which are carried out by the President of the Russian Federation or the Government of the Russian Federation, or a position in the Central Bank of the Russian Federation, a state corporation or other organization created by the Russian Federation on the basis of a federal law, included in the corresponding list of positions determined by the President Russian Federation, in cases specified in paragraph 3 of Article 7.3 of the Federal Law.
(the paragraph was introduced by Decree of the Government of the Russian Federation of 21.06.2014 N 577; as amended by Decree of the Government of the Russian Federation of 17.09.2016 N 933)

12. The identification program determines the methods and forms of recording information (information) received by an organization and an individual entrepreneur as a result of identifying clients, client representatives, beneficiaries and beneficial owners, carrying out the activities provided for in paragraph 8 of this document, as well as the procedure for updating the specified information.

12(1). The client study program provides for activities aimed at obtaining information about the client specified in subparagraph 1.1 of paragraph 1 of Article 7 of the Federal Law.

At the same time, the definition of the business reputation of the client, provided for by the specified subparagraph, is understood to be his assessment based on publicly available information.

(Clause 12(1) was introduced by Decree of the Government of the Russian Federation No. 577 of June 21, 2014)

13. The risk assessment program defines the procedures for assessing and assigning a degree (level) of risk to a client, taking into account the requirements for its identification:

a) before accepting a client for service;
(clause "a" as amended by Decree of the Government of the Russian Federation of 06/21/2014 N 577)

b) in the course of customer service (as operations (transactions) are performed);

c) in other cases stipulated by the internal control rules.
(clause "c" as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

14. The risk assessment program provides for the risk assessment of clients based on information obtained as a result of the implementation of the client study program, as well as signs of transactions, types and conditions of activity that have an increased risk of clients performing transactions for the purpose of legalization (laundering) of proceeds from crime, and terrorist financing, taking into account the recommendations of the Financial Action Task Force on Money Laundering (FATF).
(As amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

15. The risk assessment program provides for the procedure and frequency for monitoring operations (transactions) of the client in order to assess the degree (level) of risk and subsequent control over its change.

16. The program for identifying transactions provides for procedures for identifying:

a) operations (transactions) subject to mandatory control in accordance with Article 6 and Clause 1 of Article 7.5 of the Federal Law;
(as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

b) operations (transactions) subject to documentary recording in accordance with paragraph 2 of Article 7 of the Federal Law on the grounds specified therein;

c) unusual transactions (transactions), including those falling under the criteria for identifying and signs of unusual transactions, the implementation of which may be aimed at the legalization (laundering) of proceeds from crime or the financing of terrorism.

17. The program for identifying transactions in order to identify transactions (transactions) provided for in paragraph 16 of this document (hereinafter referred to as transactions subject to control), provides for ongoing monitoring of transactions (transactions) of clients.

18. The program for identifying transactions in order to identify unusual transactions, the implementation of which may be aimed at the legalization (laundering) of proceeds from crime, or the financing of terrorism, provides for increased attention (monitoring) to transactions (transactions) of clients classified as a high-risk group .

19. The program for detecting transactions in order to identify transactions (transactions), the implementation of which may be aimed at legalization (laundering) of proceeds from crime or financing of terrorism, includes criteria for identifying unusual transactions and their signs.

19(1). The transaction detection program includes a list of criteria and signs indicating the unusual nature of the transaction, established by the Federal Financial Monitoring Service, to identify transactions in respect of which there are suspicions that they are carried out for the purpose of legalization (laundering) of proceeds from crime or financing terrorism, based on the nature, scale and main activities of the organization, individual entrepreneur and their clients. An organization and (or) an individual entrepreneur has the right to submit proposals for supplementing the list of criteria and signs indicating the unusual nature of the transaction. The decision to recognize a client's transaction as suspicious is made by an organization and (or) an individual entrepreneur based on information about the financial and economic activities, financial position and business reputation of the client, characterizing his status, the status of his representative and (or) beneficiary, as well as the beneficial owner.
(Clause 19(1) was introduced by Decree of the Government of the Russian Federation of June 21, 2014 N 577)

20. The program for identifying transactions provides for the procedure for informing an employee of an organization, an individual entrepreneur (employee of an individual entrepreneur), who has identified a transaction (transaction) subject to control, a special official (except for cases of independent performance by an individual entrepreneur of the functions of a special official) for the latter to make a decision on further actions in relation to the operation (transaction) in accordance with the Federal Law, this document and the rules of internal control.
(clause 20 as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

21. The program for identifying transactions provides for the identification of signs of an unusual transaction (transaction) of the client, an analysis of other transactions (transactions) of the client, as well as information available to the organization, individual entrepreneur about the client, the client’s representative and the beneficiary (if any), the beneficial owner in in order to confirm the reasonableness of suspicions in the implementation of an operation (transaction) or a number of operations (transactions) for the purpose of legalization (laundering) of proceeds from crime or financing of terrorism.
(As amended by Decrees of the Government of the Russian Federation of 06/21/2014 N 577, of 04/10/2015 N 342)

22. The Transaction Identification Program provides for the study of the grounds and purposes of all detected unusual transactions (transactions), as well as recording the results obtained in writing.
(as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

23. The program for identifying transactions provides for the procedure and cases for taking the following additional measures to study the identified unusual operation (transaction):
(as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

a) obtaining from the client the necessary explanations and (or) additional information explaining the economic meaning of the unusual operation (transaction);

b) ensuring increased attention (monitoring) in accordance with this document to all operations (transactions) of this client in order to obtain confirmation that their implementation can be aimed at legalization (laundering) of proceeds from crime or financing of terrorism.

24. The program for identifying transactions provides for the decision by the head of the organization, individual entrepreneur or a person authorized by them to:
(as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

a) on recognition of a client's operation (transaction) as subject to mandatory control in accordance with Article 6 and Clause 1 of Article 7.5 of the Federal Law;
(as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

b) on recognition of the identified unusual operation (transaction) as a suspicious operation (transaction), the implementation of which may be aimed at the legalization (laundering) of proceeds from crime or the financing of terrorism;

c) about the need to take additional measures to study the unusual operation (transaction) of the client;

d) on the submission of information on the transactions provided for in subparagraphs "a" and "b" of this paragraph to the Federal Financial Monitoring Service.

25. The program of documentary fixation of information provides for the procedure for obtaining and fixing information (information) on paper and (or) other media in order to implement the Federal Law, other regulatory legal acts in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism and internal control rules.
(as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

26. The program of documentary fixation of information provides for documentary fixation of information:

a) on an operation (transaction) subject to mandatory control in accordance with Article 6 and Clause 1 of Article 7.5 of the Federal Law;
(as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

b) about an operation (transaction) that has at least one of the criteria and (or) signs indicating the unusual nature of the operation (transaction);

c) on an operation (transaction) in respect of which there are suspicions that it is carried out for the purpose of legalization (laundering) of proceeds from crime or financing of terrorism;

d) about the operation (transaction) obtained during the implementation of the client research program.

(Clause 26 as amended by Decree of the Government of the Russian Federation of June 21, 2014 N 577)

27. The program for documenting information provides for the preparation by an employee of an organization, an individual entrepreneur (employee of an individual entrepreneur), who have identified an operation (transaction) subject to control, an internal message - a document containing the following information about such an operation (transaction) (hereinafter referred to as the internal message):
(as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

a) category of operation (transaction) (subject to mandatory control or unusual operation), criteria (signs) or other circumstances (reasons) for which the operation (transaction) can be classified as operations subject to mandatory control, or unusual operations (transactions) ;

c) information about the person, foreign structure without the formation of a legal entity, conducting the operation (transaction);
(clause "c" as amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

d) information about the employee who compiled the internal message about the operation (transaction), and his signature;

e) the date of drawing up the internal message on the operation (transaction);

f) a record (mark) on the decision of the special official made in relation to the internal report on the operation (transaction), and its reasoned justification;

g) a record (mark) on the decision of the head of the organization, an individual entrepreneur or a person authorized by them, made in relation to an internal message in accordance with paragraph 24 of this document, and its reasoned justification;

h) a record (mark) on additional measures (other actions) taken in relation to the client in connection with the identification of an unusual operation (transaction) or its signs.
(as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

28. The form of an internal message, the procedure, terms and method of its transmission to a special official or a responsible employee of a structural unit that performs the functions of combating the legalization (laundering) of proceeds from crime, the financing of terrorism and the financing of the proliferation of weapons of mass destruction, are determined by the organization and the individual entrepreneur independently and are reflected in the program of documentary fixation of information.
(as amended by Decrees of the Government of the Russian Federation of 10.04.2015 N 342, of 17.09.2016 N 933, of 11.09.2018 N 1081)

28(1). The program that regulates the course of action in case of refusal to execute a client's order to complete a transaction includes:

a) a list of grounds for such a refusal, established by the organization and the individual entrepreneur, taking into account the requirements of paragraph 11 of Article 7 of the Federal Law;

b) the procedure for making a decision to refuse to execute a client's order to make a transaction, as well as documenting information on cases of refusal to fulfill a client's order to make a transaction;

c) the procedure for further actions in relation to the client in case of refusal to execute the client's order to complete the transaction;

d) the procedure for submitting information to the Federal Financial Monitoring Service on cases of refusal to execute a client's order to complete a transaction.

(clause 28(1) as amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

29. The suspension program includes:

a) the procedure for identifying among the participants in a transaction with cash or other property individuals or legal entities specified in paragraph two of clause 10 of Article 7 of the Federal Law, or individuals carrying out a transaction with cash or other property in accordance with subparagraph 3 of clause 2.4 of Article 6 Federal Law, or individuals or legal entities specified in the first paragraph of paragraph 8 of Article 7.5 of the Federal Law;
(as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

b) the procedure for actions aimed at suspending transactions with funds or other property in accordance with paragraph 10 of Article 7 and paragraph 8 of Article 7.5 of the Federal Law;
(as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

c) the procedure for actions related to the suspension of a transaction with funds or other property in the event of a court decision issued on the basis of part four of Article 8 of the Federal Law;

d) the procedure for submitting to the Federal Financial Monitoring Service information on suspended transactions with cash or other property;

e) the procedure for the implementation of the requirements established by paragraph five of clause 10 of Article 7 and paragraph three of clause 8 of Article 7.5 of the Federal Law, and related to the implementation of a transaction or further suspension of a transaction with cash or other property in the event of receipt of a decision of the Federal Service for Financial monitoring published on the basis of part three of Article 8 of the Federal Law;
(as amended by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

f) the procedure for informing the client about the impossibility of making a transaction with funds or other property at his disposal due to the suspension of the said transaction.

(Clause 29 as amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

29(1). The program regulating the procedure for applying measures to freeze (block) funds or other property provides for:

a) the procedure for obtaining information from the Federal Financial Monitoring Service about organizations and individuals included in accordance with Article 6 of the Federal Law in the list of organizations and individuals in respect of which there is information about their involvement in extremist activity or terrorism or in respect of which in accordance with Article 7.4 of the Federal Law, the interdepartmental coordinating body exercising the functions of combating the financing of terrorism has made a decision to freeze (block) funds or other property;

a(1)) the procedure for obtaining information from the Federal Financial Monitoring Service on organizations and individuals included in accordance with Article 7.5 of the Federal Law in the list of organizations and individuals in respect of which there is information about their involvement in the proliferation of weapons of mass destruction;
(clause a(1) was introduced by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

b) the procedure for making a decision on the application of measures to freeze (block) funds or other property;

c) the procedure and frequency of carrying out measures to verify the presence or absence among their clients of organizations and individuals in respect of which measures to freeze (block) funds or other property have been applied or should be applied;

d) informing the Federal Financial Monitoring Service of the measures taken to freeze (block) funds or other property and the results of inspections of the presence or absence of organizations and individuals among their clients in respect of which measures to freeze (block) funds have been applied or should be applied or other property;

e) the procedure for interaction with organizations and individuals in respect of which measures to freeze (block) funds or other property have been applied or should be applied, including the procedure for informing them about the measures taken to freeze (block) funds or other property;

f) the procedure for fulfilling the requirements established by paragraph 4 of Article 7.4 of the Federal Law, when an appropriate decision is made by the interdepartmental coordinating body that performs the functions of combating the financing of terrorism;

g) the procedure for making a decision aimed at fulfilling the requirements of paragraphs two and three of paragraph 2.4 of Article 6 of the Federal Law;

h) the procedure for making a decision aimed at fulfilling the requirements of paragraph two of clause 2.5 of Article 6, paragraph four of clause 4 and paragraph two of clause 7 of Article 7.5 of the Federal Law.
(clause "h" was introduced by Decree of the Government of the Russian Federation of September 11, 2018 N 1081)

(clause 29(1) as amended by Decree of the Government of the Russian Federation of September 17, 2016 N 933)

30. The program for the training and education of personnel in the field of combating the legalization (laundering) of proceeds from crime, the financing of terrorism and the financing of the proliferation of weapons of mass destruction is being developed in accordance with the legislation of the Russian Federation.
(as amended by Decrees of the Government of the Russian Federation of 10.04.2015 N 342, of 11.09.2018 N 1081)

31. The program for checking the implementation of internal control ensures that the organization (employees of the organization) and the individual entrepreneur (employees of the individual entrepreneur) comply with the legislation of the Russian Federation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, internal control rules and other organizational - administrative documents of an organization, an individual entrepreneur, adopted for the purpose of organizing and exercising internal control.
(Clause 31 as amended by Decree of the Government of the Russian Federation of April 10, 2015 N 342)

32. The program for checking the implementation of internal control provides for:

a) carrying out on a regular basis, but at least once every six months, internal audits of compliance with the organization's and individual entrepreneur's internal control rules, the requirements of the Federal Law and other regulatory legal acts;
(clause "a" as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

b) submission to the head of the organization, individual entrepreneur based on the results of inspections of written reports containing information on all identified violations of the legislation of the Russian Federation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, internal control rules and other organizational and administrative documents of the organization, individual entrepreneur, adopted for the purpose of organizing and exercising internal control;
(clause "b" as amended by Decree of the Government of the Russian Federation of 04/10/2015 N 342)

c) taking measures aimed at eliminating violations identified as a result of inspections.

33. The information storage program provides storage for at least 5 years from the date of termination of relations with the client:

a) documents containing information about the client, the client's representative, the beneficiary and the beneficial owner, received on the basis of the Federal Law, other regulatory legal acts of the Russian Federation adopted for the purpose of its implementation, as well as internal control rules;
(As amended by Decrees of the Government of the Russian Federation of 06/21/2014 N 577, of 04/10/2015 N 342)

b) documents relating to operations (transactions), information about which was submitted to the Federal Financial Monitoring Service, and reports on such operations (transactions);

c) documents relating to transactions subject to documentary recording in accordance with Article 7 of the Federal Law and this document;

d) documents on transactions for which internal messages were compiled;

e) internal messages;

f) the results of studying the grounds and purposes of the identified unusual operations (transactions);

g) documents relating to the activities of the client (to the extent determined by the organization, individual entrepreneur), including business correspondence and other documents at the discretion of the organization, individual entrepreneur;
(paragraph "g" as amended by Decree of the Government of the Russian Federation of 10.04.2015 N 342)

h) other documents obtained as a result of applying the internal control rules.

34. The information storage program provides for the storage of information and documents in such a way that they can be timely available to the Federal Financial Monitoring Service, as well as other state authorities in accordance with their competence in cases established by the legislation of the Russian Federation, and taking into account the possibility of their use as evidence in criminal, civil and arbitration proceedings.

35. The internal control rules provide for ensuring the confidentiality of information obtained as a result of the application of internal control rules, as well as measures taken by an organization and an individual entrepreneur in the implementation of such rules in accordance with the legislation of the Russian Federation.
(Clause 35 as amended by Decree of the Government of the Russian Federation of April 10, 2015 N 342)

Decree of the Government of the Russian Federation of 05.08.2013 N 667 "On maintaining a unified database for the implementation of measures," (together with the "Rules for maintaining a unified database for the implementation of measures related to ensuring the safety of donor blood and its components, development, organization and promotion of blood donation and its components")

"On maintaining a unified database for the implementation of activities related to ensuring the safety of donor blood and its components, the development, organization and promotion of donation of blood and its components" (together with the "Rules for maintaining a unified database for the implementation of activities related to ensuring the safety of donor blood and its components, development, organization and promotion of blood donation and its components")

GOVERNMENT OF THE RUSSIAN FEDERATION

RESOLUTION

ABOUT MANAGEMENT

UNIFIED DATABASE FOR THE IMPLEMENTATION OF ACTIVITIES,

BLOOD SECURITY RELATED

AND ITS COMPONENTS, DEVELOPMENT, ORGANIZATION AND PROMOTION

DONATION OF BLOOD AND ITS COMPONENTS

In accordance with Part 2 of Article 21 of the Federal Law "On Donation of Blood and Its Components", the Government of the Russian Federation decides:

1. Approve the attached Rules for maintaining a unified database for the implementation of activities related to ensuring the safety of donated blood and its components, development, organization and promotion of donation of blood and its components.

2. Determine that:

a single database for the implementation of activities related to ensuring the safety of donor blood and its components, the development, organization and promotion of donation of blood and its components is the state information system of the blood service;

The Ministry of Health of the Russian Federation carries out general coordination of the maintenance of the specified unified database, and the Federal Medical and Biological Agency - its maintenance and development;

the executive authorities of the constituent entities of the Russian Federation in the field of health protection ensure the coordination of the activities of the relevant state organizations of the constituent entities of the Russian Federation and municipal organizations related to their participation in the maintenance of the said unified database.

3. The implementation of the powers arising from this resolution is carried out by the relevant federal executive bodies within the limits established by the Government of the Russian Federation of the maximum number of employees of their central offices and budgetary allocations provided for in the federal budget for leadership and management in the field of established functions.

Prime Minister

Russian Federation

D. MEDVEDEV

Approved

Government Decree

Russian Federation

MAINTAINING A SINGLE DATABASE FOR THE IMPLEMENTATION OF ACTIVITIES,

BLOOD SECURITY RELATED

AND ITS COMPONENTS, DEVELOPMENT, ORGANIZATION AND PROMOTION

DONATION OF BLOOD AND ITS COMPONENTS

1. These Rules establish the procedure for maintaining a unified database on the implementation of measures related to ensuring the safety of donor blood and its components, the development, organization and promotion of donation of blood and its components (hereinafter referred to as the database of donation of blood and its components), including the maintenance federal register of donors (hereinafter referred to as the register), the terms and form of submission of information for placement in the database of donation of blood and its components, as well as the procedure for accessing information contained in the database of donor blood and its components, and its use.

2. Maintaining and ensuring the functioning of the database of blood donation and its components is carried out by the Federal Medical and Biological Agency (hereinafter referred to as the operator).

3. Placement in the database of blood donation and its components of information, its processing, storage, use, as well as access to such information and its protection are carried out by the operator and organizations engaged in activities in the field of circulation of donor blood and (or) its components, in compliance with the requirements of the legislation of the Russian Federation on information, information technologies and on the protection of information and the legislation of the Russian Federation in the field of personal data.

4. The database of blood donation and its components is maintained using the infrastructure of the automated transfusiology information system, which, among other things, makes it possible to process information based on the use of common formats.

5. In the database of donation of blood and its components in real time, the daily collection of information is provided:

a) on the volume of donated blood and its components;

b) on the stock of donor blood and its components, indicating the blood type, Rh-affiliation and phenotype;

d) circulation of donor blood and (or) its components;

e) on the activities of the subjects of circulation of donor blood and (or) its components (from January 1, 2016);

f) on the number of cases of donated blood and (or) its components and their volume donated to organizations located outside the territory of the Russian Federation;

g) about persons (personal data) who have medical contraindications (temporary or permanent) for donating blood and (or) its components.

6. The database of donation of blood and its components contains a register in which the following information is entered daily about each donor after he performs the donor function:

a) surname, name and patronymic, in case of their change - other surname, name and patronymic;

b) date of birth;

d) information on registration at the place of residence or stay;

e) details of a passport or other identity document;

f) date of inclusion in the register;

g) blood group, Rh-affiliation, information about the studied antigens and the presence of immune antibodies;

h) information about previous donations;

i) information about past infectious diseases, being in contact with infectious patients, staying in territories where there is a threat of the emergence and (or) spread of mass infectious diseases or epidemics, about the use of narcotic drugs, psychotropic substances, about working with harmful and (or ) hazardous working conditions, as well as vaccinations and surgical interventions performed within one year before the day of donating blood and (or) its components;

j) information on awarding the badges "Honorary Donor of the USSR" and "Honorary Donor of Russia".

7. The database of blood donation and its components contains:

a) the information specified in subparagraphs "a" - "f" of paragraph 5 and subparagraphs "a" - "h" of paragraph 6 of these Rules - by organizations engaged in activities in the field of circulation of donated blood and (or) its components;

b) the information specified in subparagraph "k" of paragraph 6 of these Rules - by the operator.

8. The information specified in subparagraph "g" of paragraph 5 and in subparagraph "i" of paragraph 6 of these Rules is transmitted daily by specialized medical organizations (anti-tuberculosis, dermatovenerological, narcological, neuropsychiatric dispensaries, centers for the prevention and control of AIDS and infectious diseases , centers of hygiene and epidemiology of the Federal Service for Supervision of Consumer Rights Protection and Human Welfare, as well as centers of hygiene and epidemiology of the Federal Medical and Biological Agency) to the operator or the relevant organization operating in the field of circulation of donated blood and (or) its components, which place it in the database of blood donation and its components.

9. The information required to maintain a database of blood donation and its components is submitted in the form of an electronic document signed with an electronic signature, or a paper document, the form of which is approved by the Ministry of Health of the Russian Federation.

10. Placement in the database of blood donation and its components of information is carried out by the operator and organizations engaged in activities in the field of circulation of donor blood and (or) its components, by making a register entry on the day of receipt of the relevant information. The register entry is automatically assigned a unique number, and the date of its entry is indicated.

11. Changes to the information contained in the database of donation of blood and its components are carried out in the manner prescribed by the operator, while maintaining a unique register entry number.

12. Access to the information contained in the database of blood donation and its components is carried out using software and hardware tools that allow identifying the person accessing the information.

13. Storage in the database of blood donation and (or) its components of information is carried out for 30 years from the date of its placement.

14. The authorized persons of the operator who operate the database of blood donation and its components and have access to the information contained in it, appoint persons responsible for ensuring the measures provided for by the legislation of the Russian Federation to protect this information.

Active Edition from 30.06.2012

Decree of the Government of the Russian Federation of 30.06.2012 N 667 "On approval of requirements for internal control rules, developed by organizations carrying out operations with cash or other property (with the exception of credit institutions), and recognition of some acts of the Government of the Russian Federation invited

Decree

In accordance with the Federal Law "On counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism", the Government of the Russian Federation decides:

1. Approve the attached requirements for internal control rules developed by organizations that carry out transactions with cash or other property (except for credit institutions).

2. Establish that the internal control rules in force prior to the entry into force of this resolution are subject to bringing organizations engaged in transactions with funds or other property (except for credit institutions) in line with the requirements approved by this resolution within one month.

3. Recognize as invalid:

Decree of the Government of the Russian Federation of January 8, 2003 N 6 "On the procedure for approving the rules of internal control in organizations carrying out transactions with cash or other property" (Sobraniye Zakonodatelstva Rossiyskoy Federatsii, 2003, N 2, Art. 188);

paragraph 4 of the amendments that are being made to the acts of the Government of the Russian Federation on countering the legalization (laundering) of proceeds from crime and the financing of terrorism, approved by Decree of the Government of the Russian Federation of October 24, 2005 N 638 (Collected Legislation of the Russian Federation, 2005, N 44, article 4562);

Decree of the Government of the Russian Federation of June 10, 2010 N 967-r (Collected Legislation of the Russian Federation, 2010, N 26, Art. 3377).

Prime Minister
Russian Federation
D. MEDVEDEV

APPROVED
Government Decree
Russian Federation
dated June 30, 2012 N 667

1. This document defines the requirements for the development of internal control rules by organizations (with the exception of credit institutions, including those that are professional participants in the securities market) that carry out transactions with cash or other property (hereinafter referred to as the organization, internal control rules, respectively) in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism.

2. Internal control rules are developed in accordance with the legislation of the Russian Federation.

3. Internal control rules are a document that:

a) regulates the organizational framework for work aimed at countering the legalization (laundering) of proceeds from crime and the financing of terrorism in the organization;

b) establishes the duties and procedure for the actions of officials and employees for the purpose of exercising internal control;

C) determines the terms for fulfilling obligations for the purpose of internal control, as well as the persons responsible for their implementation.

4. The internal control rules include the following internal control programs:

a) a program that determines the organizational basis for the implementation of internal control (hereinafter referred to as the program for organizing internal control);

b) the program for identification of clients, representatives of clients and (or) beneficiaries (hereinafter referred to as the identification program);

C) a program for assessing the degree (level) of the risk of the client performing transactions related to the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as the risk assessment program);

d) a program for identifying transactions (transactions) subject to mandatory control and transactions (transactions) that have signs of connection with the legalization (laundering) of proceeds from crime or the financing of terrorism (hereinafter referred to as the program for detecting transactions);

E) a program for documenting information;

E) a program regulating the procedure for suspending operations in accordance with the Federal Law "On Combating the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism" (hereinafter, respectively, the Federal Law, the program for suspending operations (transactions));

g) a training and education program for employees of the organization in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism;

h) a program for checking the implementation of internal control;

i) a program for storing information and documents obtained as a result of the implementation of programs for the implementation of internal control in order to combat the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as the information storage program).

5. The internal control rules establish the powers, as well as the duties assigned to a special official responsible for the implementation of the internal control rules (hereinafter referred to as the special official).

6. The internal control rules are approved by the head of the organization.

7. The program for the organization of internal control is developed taking into account the following conditions:

a) a special official is appointed in the organization in accordance with paragraph 2 of Article 7 of the Federal Law;

B) in an organization (taking into account the peculiarities of its structure, staffing, client base and the degree (level) of risks associated with the organization's clients and their operations), a structural unit can be formed or determined that performs the functions of countering the legalization (laundering) of income received crime and financing of terrorism;

C) the program contains a description of the internal control system in the organization and its branch (branches) (if any), the procedure for interaction between the structural divisions of the organization on the implementation of internal control rules.

8. The identification program includes the following procedures for the implementation of measures to identify the client, client representative and (or) beneficiary:

A) the establishment of information specified in Article 7 of the Federal Law in relation to the client, the representative of the client and (or) the beneficiary;

b) verification of the presence or absence in relation to the client, the representative of the client and (or) the beneficiary of information about their involvement in extremist activities or terrorism, obtained in accordance with paragraph 2

C) determination of whether the client, the representative of the client and (or) the beneficiary belongs to the number of foreign public officials;

D) identification of legal entities and individuals who, respectively, are registered, domiciled or located in a state (on the territory) that does not comply with the recommendations of the Financial Action Task Force on Money Laundering (FATF), or using bank accounts registered in the specified state (on the specified territory);

e) assessment and assignment to the client of the degree (level) of the risk of the client performing operations related to the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as risk), in accordance with the risk assessment program;

f) updating the information obtained as a result of identifying the organization's clients, establishing and identifying beneficiaries.

9. The identification program may additionally provide for the establishment and recording of the following data received by the organization in accordance with paragraph 5.4 of Article 7 of the Federal Law:

a) the date of state registration of the legal entity;

b) postal address of the legal entity;

c) the composition of the founders (participants) of the legal entity;

d) the composition and structure of the legal entity's management bodies;

e) the size of the authorized (share) capital or the size of the authorized fund.

10. When identifying a legal entity (with its consent), it may be envisaged to establish and fix codes for the forms of federal state statistical observation.

11. The identification program in order to implement the requirements established by Article 7.3 of the Federal Law provides for:

the procedure for identifying foreign public officials, as well as their spouses and close relatives among individuals who are or are accepted for service;

the procedure for accepting foreign public officials for service, as well as measures to determine the sources of origin of funds or other property of foreign public officials.

12. The identification program determines the methods and forms of fixing the information (information) received by the organization as a result of identifying customers, customer representatives, beneficiaries, carrying out the activities provided for in paragraph 8 of this document, as well as the procedure for updating the specified information.

13. The risk assessment program defines the procedures for assessing and assigning a degree (level) of risk to a client, taking into account the requirements for its identification:

A) in the event of a contractual relationship with the client (accepting him for service);

b) in the course of customer service (as operations (transactions) are performed);

c) in other cases provided for by the organization in the rules of internal control.

14. The risk assessment program provides for the risk assessment of clients based on the characteristics of transactions, types and conditions of activity that have an increased risk of clients performing transactions for the purposes of legalization (laundering) of proceeds from crime and financing of terrorism, taking into account the recommendations of the Financial Action Task Force money laundering (FATF).

15. The risk assessment program provides for the procedure and frequency for monitoring operations (transactions) of the client in order to assess the degree (level) of risk and subsequent control over its change.

16. The program for identifying transactions provides for procedures for identifying:

a) operations (transactions) subject to mandatory control in accordance with Article 6 of the Federal Law;

B) operations (transactions) subject to documentary fixation in accordance with paragraph 2 of Article 7 of the Federal Law on the grounds specified therein;

c) unusual transactions (transactions), including those falling under the criteria for identifying and signs of unusual transactions, the implementation of which may be aimed at the legalization (laundering) of proceeds from crime or the financing of terrorism.

17. The program for identifying transactions in order to identify transactions (transactions) provided for in paragraph 16 of this document (hereinafter referred to as transactions subject to control), provides for ongoing monitoring of transactions (transactions) of clients.

18. The program for identifying transactions in order to identify unusual transactions, the implementation of which may be aimed at the legalization (laundering) of proceeds from crime, or the financing of terrorism, provides for increased attention (monitoring) to transactions (transactions) of clients classified as a high-risk group .

19. The program for detecting transactions in order to identify transactions (transactions), the implementation of which may be aimed at legalization (laundering) of proceeds from crime or financing of terrorism, includes criteria for identifying unusual transactions and their signs.

20. The program for identifying transactions provides for the procedure for informing a special official by an employee of the organization who has identified a transaction (transaction) subject to control for the latter to make a decision on further actions in relation to the transaction (transaction) in accordance with the Federal Law, this document and internal control rules.

21. The transaction detection program provides for the identification of signs of an unusual transaction (transaction) of the client, an analysis of other transactions (transactions) of the client, as well as information available to the organization about the client, the client’s representative and the beneficiary (if any) in order to confirm the validity of suspicions in the implementation operations (transactions) or a number of operations (transactions) for the purpose of legalization (laundering) of proceeds from crime or financing of terrorism.

22. The program for identifying transactions provides for the study by the organization of the grounds and goals for performing all identified unusual transactions (transactions), as well as fixing the results in writing.

23. The program for identifying transactions provides for the procedure and cases for the organization to take the following additional measures to study the identified unusual transaction (transaction):

A) obtaining from the client the necessary explanations and (or) additional information explaining the economic meaning of an unusual operation (transaction);

B) ensuring increased attention (monitoring) in accordance with this document to all operations (transactions) of this client in order to obtain confirmation that their implementation can be aimed at legalization (laundering) of proceeds from crime or financing of terrorism.

24. The program for detecting transactions provides for the decision by the head of the organization or an official authorized by him:

A) on the recognition of the operation (transaction) of the client subject to mandatory control in accordance with Article 6 of the Federal Law;

b) on recognition of the identified unusual operation (transaction) as a suspicious operation (transaction), the implementation of which may be aimed at the legalization (laundering) of proceeds from crime or the financing of terrorism;

C) about the need to take additional measures to study the unusual operation (transaction) of the client;

d) on the submission of information on the transactions provided for in subparagraphs "a" and "b" of this paragraph to the Federal Financial Monitoring Service.

25. The program of documentary fixation of information provides for the procedure for obtaining and fixing information (information) on paper and (or) other information carriers in order to implement the Federal Law, other regulatory legal acts in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism , as well as the internal control rules of the organization.

26. The program for documenting information provides for documenting information when signs of a client committing:

a) an operation (transaction) subject to mandatory control in accordance with Article 6 of the Federal Law;

b) an operation (transaction) falling under the criteria for identifying and (or) signs of an unusual operation (transaction);

C) another operation (transaction) in respect of which there are suspicions that it is carried out for the purpose of legalization (laundering) of proceeds from crime or financing of terrorism.

27. The program of documenting information provides for the preparation by an employee of the organization who has identified an operation (transaction) subject to control of an internal message - a document containing the following information about such an operation (transaction) (hereinafter referred to as the internal message):

A) category of operation (transaction) (subject to mandatory control or unusual operation), criteria (signs) or other circumstances (reasons) for which the operation (transaction) can be attributed to operations subject to mandatory control, or unusual operations (transactions) ;

c) information about the person (persons) conducting the operation (transaction);

d) information about the employee who compiled the internal message about the operation (transaction), and his signature;

E) the date of drawing up an internal message about the operation (transaction);

f) a record (mark) on the decision of the special official made in relation to the internal report on the operation (transaction), and its reasoned justification;

G) a record (mark) on the decision of the head of the organization or an official authorized by him, taken in relation to the internal report on the operation (transaction) in accordance with paragraph 24 of these requirements, and its reasoned justification;

h) a record (mark) on additional measures (other actions) taken by the organization in relation to the client in connection with the identification of an unusual operation (transaction) or its signs.

28. The form of an internal message, the procedure, terms and method of its transmission to the responsible person are determined by the organization independently and are reflected in the program for documenting information.

29. The program for the suspension of operations (transactions) provides for the terms and procedure for the organization to take measures aimed at:

A) suspension in accordance with paragraph 10 of Article 7 of the Federal Law of operations (transactions), in which one of the parties is an organization or an individual included in the list of organizations and individuals in respect of which there is information about their participation in extremist activities or terrorism, and informing the Federal Financial Monitoring Service in accordance with paragraph 2 of Article 6 of the Federal Law;

B) suspension of operations (transactions) of the client in the event of receipt of a decision of the Federal Financial Monitoring Service on the suspension of operations with cash or other property, issued on the basis of Article 8 of the Federal Law;

c) suspension of operations (transactions) of the client for an additional period in the event of receipt of a court decision on the suspension of operations with cash or other property, issued on the basis of Article 8 of the Federal Law.

30. The training and education program for employees of the organization in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism is developed in accordance with the legislation of the Russian Federation.

31. The internal control verification program ensures that the organization and its employees comply with the legislation of the Russian Federation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, internal control rules and other organizational and administrative documents of the organization adopted for the purposes of the organization and implementation of internal control.

32. The program for checking the implementation of internal control provides for:

a) carrying out on a regular basis, but at least once every six months, internal audits of compliance with the organization's internal control rules, the requirements of the Federal Law and other regulatory legal acts;

B) submission to the head of the organization based on the results of inspections of written reports containing information on all identified violations of the legislation of the Russian Federation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, internal control rules and other organizational and administrative documents of the organization adopted for the purpose of organization and implementation of internal control;

C) taking measures aimed at eliminating violations identified as a result of inspections.

33. The information storage program provides storage for at least 5 years from the date of termination of relations with the client:

a) documents containing information about the client of the organization, the representative of the client, the beneficiary, obtained on the basis of the Federal Law, other regulatory legal acts of the Russian Federation adopted for the purpose of its implementation, as well as internal control rules;

B) documents relating to operations (transactions), information about which was submitted to the Federal Financial Monitoring Service, and reports on such operations (transactions);

c) documents relating to transactions subject to documentary recording in accordance with Article 7 of the Federal Law and this document;

d) documents on transactions for which internal messages were compiled;

e) internal messages;

f) the results of studying the grounds and purposes of the identified unusual operations (transactions);

G) documents relating to the activities of the client (to the extent determined by the organization), including business correspondence and other documents at the discretion of the organization;

h) other documents obtained as a result of applying the internal control rules.

34. The information storage program provides for the storage of information and documents in such a way that they can be timely available to the Federal Financial Monitoring Service, as well as other state authorities in accordance with their competence in cases established by the legislation of the Russian Federation, and taking into account the possibility of their use as evidence in criminal, civil and arbitration proceedings.

35. The internal control rules provide for ensuring the confidentiality of information obtained as a result of the application of internal control rules, as well as measures taken by the organization in the implementation of such rules in accordance with the legislation of the Russian Federation.

The "Zakonbase" website presents a decree of the Government of the Russian Federation of 30.06.2012 N 667 "On approval of requirements for internal control rules, developed by organizations carrying out operations with cash or other property (with the exception of credit institutions), and recognition by invalid the strength of some acts of the Government of the Russian FEDERATION" in the most recent edition. It is easy to comply with all legal requirements if you familiarize yourself with the relevant sections, chapters and articles of this document for 2014. To search for the necessary legislative acts on a topic of interest, you should use convenient navigation or advanced search.

On the site "Zakonbase" you will find a decree of the Government of the Russian Federation of 30.06.2012 N 667 "On approval of requirements for the rules of internal control, developed by organizations carrying out transactions with cash or other property (with the exception of credit institutions), and recognition of certain acts of government OF THE RUSSIAN FEDERATION" in a fresh and complete version, in which all changes and amendments have been made. This guarantees the relevance and reliability of the information.

At the same time, the Decree of the Government of the Russian Federation dated June 30, 2012 No. 667 "On approval of requirements for internal control rules, developed by organizations carrying out transactions with cash or other property (with the exception of credit institutions), and recognition of some acts of the Government of the Russian Federation invited completely free, both completely and in separate chapters.

On September 22, 2016, the text of Decree of the Government of the Russian Federation of September 17, 2016 N 933 “On Amendments to Certain Acts of the Government of the Russian Federation” was published on the official Internet portal of legal information http://www.pravo.gov.ru.

This legal act shall enter into force seven days after the day of their first official publication. Thus, the effective date of Decree N 933 is September 30, 2016.

Decree N 933 amends the previously adopted acts of the Government of the Russian Federation, regulating both the organization and implementation of internal control in order to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as AML/CFT).

In particular, significant changes are being made to the Requirements for internal control rules developed by organizations engaged in transactions with cash or other property, and individual entrepreneurs, approved by Decree of the Government of the Russian Federation of June 30, 2012 N 667.

In addition, the Regulations on the submission of information to the Federal Financial Monitoring Service by organizations engaged in transactions with cash or other property, and individual entrepreneurs and the submission by the Federal Financial Monitoring Service of requests to organizations engaged in transactions with funds or other property, have been amended and supplemented. and individual entrepreneurs, approved Decree of the Government of the Russian Federation of March 19, 2014 N 209.

Amendments to the above acts of the Government of the Russian Federation are due to the need to bring them into line with the provisions of the wording of Federal Law No. 115-FZ of 07.08.2001 “On Counteracting the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism”, which entered into force on 01/10/2016.

Recall that the main novelties of this edition of Federal Law N 115-FZ:

• a new type of client is provided - a foreign structure without forming a legal entity, - an appropriate concept is introduced, and the corresponding requirements for identification are established;
• the list of documents that can be required from clients during identification has been expanded
• the obligation to document and submit to the authorized body information on all cases of refusal to conduct transactions on the grounds specified in clause 11 of Article 7 of Federal Law N 115-FZ has been extended to all AML/CFT entities (previously it was mandatory only for credit institutions, as well as non-credit financial institutions supervised by the Bank of Russia);
• general provisions on the procedure for the formation and communication to credit institutions, as well as non-credit financial institutions supervised by the Bank of Russia, of the so-called “black list of refuseniks” are fixed.

However, in order to implement a number of provisions of Federal Law N 115-FZ, as amended on 01/10/2016, amendments to by-laws were required, which was done by the Resolution N 933 under consideration after only eight months.

Let us consider in more detail the content of the changes and additions that come into force on September 30, 2016.

Decree of the Government of the Russian Federation of June 30, 2012 N 667

The following fundamental and important changes can be distinguished.

1) It is established that "The head of the organization and the individual entrepreneur ensure control over the compliance of the applied internal control rules with the requirements of the legislation of the Russian Federation." This addendum establishes a specific person who is responsible for the content of the internal control rules and the timing of their updating in accordance with changes in legislation.

It should be noted that it is a long-established practice to bring to administrative responsibility (including for non-compliance of the content of internal control rules with the requirements of the law) precisely the leading officials.

“The internal control rules must be brought by an organization and an individual entrepreneur into compliance with the requirements of regulatory legal acts on combating the legalization (laundering) of proceeds from crime and the financing of terrorism no later than one month after the date of entry into force of the specified regulatory legal acts, unless otherwise established such regulatory legal acts.

A period has been established during which AML/CFT entities not supervised by the Bank of Russia must have their own internal control rules.

Earlier, Rosfinmonitoring, referring to the lack of legislative regulation of this issue, repeatedly recommended that AML / CFT entities make appropriate changes to their internal control rules within 30 calendar days from the date of entry into force of changes affecting the content of internal control rules in Federal Law No. 115- Federal Law or other regulatory legal acts in the field of AML / CFT (Information letter of Rosfinmonitoring dated 03.09.2012 N 20, Information message dated 05.17.2016).

Previously, in practice, there were cases when the supervisory authority, during the audit, qualified under Part 1 of Art. 15.27 of the Code of Administrative Offenses of the Russian Federation, the absence of an immediate update of the internal control rules after the entry into force of changes in legislation.

Thus, in particular, the Interregional Department of the Federal Financial Monitoring Service for the Southern Federal District, following the results of the inspection of the activities of the real estate agency, in the Inspection Act dated 06/30/2015, in addition to other identified violations, indicated that “at the time of the inspection, the company uses internal control rules from 01/01/2015. At the same time, these internal control rules do not comply with the current legislation in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism, since they are not brought into line with the amendments made by Federal Law No. 140 dated 08.06.2015.”

The Arbitration Court, considering the application for declaring illegal and canceling the decision to bring to administrative responsibility in the form of an administrative fine in the amount of 50,000 rubles, indicated that “the Company uses the internal control rules of 01/01/2015 in its work, however, these rules do not comply with current legislation , since they are not brought into line with the amendments made by Federal Law No. 140-FZ dated 08.06.2015.”

The decision of the court of appeal states the following: “In the opinion of the company, in accordance with the Decree of the Government of the Russian Federation dated June 30, 2012 No. 667, the company independently determines the deadline for amending internal rules, if such a changes. According to the program for organizing the internal control of the company, such changes are made within 30 days from the date of entry into force of the regulatory legal act. Thus, the obligation to bring the internal control rules in line could be fulfilled before 07/09/2015. However, the documents, the results of the study of which revealed an imputed violation, are submitted for verification before the expiration of the specified period - 06/25/2015.

This argument of the company is not accepted by the court of appeal. The relevant regulatory legal act, to which the applicant refers, does not contain a provision providing for the right of the organization to independently determine the period for bringing the internal control rules in line with the current legislation. Amendments to Law No. 115-FZ were made by Federal Law No. 140-FZ of June 8, 2015, which entered into force on the day of official publication (published on the official Internet portal of legal information http://www.pravo.gov.ru - 08.06. 2015). At the time of the audit, these changes were in effect, but the company did not take them into account in the internal control rules.”

The court of cassation terminated the proceedings on the complaint, referring to the fact that in the case under consideration, judicial acts cannot be appealed to the court of cassation.

Currently, the complaint of the real estate agency has been accepted for consideration by the Supreme Court of the Russian Federation.

We note that the position of the Supreme Court of the Russian Federation on the case under consideration (if the complaint is considered on the merits) can have a significant impact on the practice of applying the provisions of Federal Law N 115-FZ to the activities of realtors, since one of the arguments of the cashier is that the activities of the company in the audited period is not subject to Federal Law N 115-FZ.

2) Another innovation is the indication that internal control rules must be drawn up on paper.

3) The requirements for the content of the program for identifying customers, customer representatives and (or) beneficiaries, as well as beneficial owners have been changed. Most of the changes are of a technical and stylistic nature, aimed at eliminating inaccuracies in the wording.

4) The requirements for the content of other internal control programs have been specified and supplemented:

• a program that regulates the course of action in case of refusal to execute a client's order to complete a transaction;
• a program that regulates the procedure for suspending operations in accordance with the Federal Law;
• a program that regulates the procedure for applying measures to freeze (block) funds or other property.

Decree of the Government of the Russian Federation of March 19, 2014 N 209

The main change is an indication of the need to submit to the Federal Financial Monitoring Service information on cases of refusal to execute a client's order to complete a transaction with cash or other property on the grounds specified in paragraph 11 of Article 7 of the Federal Law.

Other changes relate to the elimination of inaccuracies in the wording and clarification of references to specific provisions of the Federal Law N 115-FZ.

The next step to ensure the possibility of implementing in practice the obligation of AML / CFT entities to inform the authorized body about cases of refusal to execute the client's order to complete the transaction should be to introduce changes:

• in the Order of Rosfinmonitoring dated April 22, 2015 N 110 “On approval of the Instruction on the submission to the Federal Service for Financial Monitoring of information provided for by the Federal Law of August 7, 2001 N 115-FZ “On counteracting the legalization (laundering) of proceeds from crime, and financing of terrorism” (with subsequent registration with the Ministry of Justice);
• in the Order of Rosfinmonitoring of August 27, 2015 N 261 "On approval of the description of the formats of formalized electronic messages, the direction of which is provided for by the Instruction on the submission to the Federal Financial Monitoring Service of information provided for by the Federal Law of August 7, 2001 N 115-FZ "On counteracting the legalization ( laundering) of proceeds from crime and financing of terrorism”, approved by order of the Federal Financial Monitoring Service of April 22, 2015 N 110, and recommendations for filling them out”.

NEED TO MAKE CHANGES

INTERNAL CONTROL RULES FOR AML/CFT PURPOSE

For non-bank financial institutions, no changes to the internal control rules are required.

For AML/CFT entities not supervised by the Bank of Russia, when determining the deadline for making changes to the internal control rules, now one should be guided by the provisions of paragraph 1 (1) of Decree of the Government of the Russian Federation No. 667 dated June 30, 2012.

Thus, the internal control rules should be updated no later than October 30, 2016.

INTERNAL TRAINING IS REQUIRED

Non-credit financial organizations

Despite the fact that the changes made to Decree of the Government of the Russian Federation of March 19, 2014 N 209, in essence, do not apply to the relevant areas of activity of non-bank financial institutions, in order to minimize the risks of subjective claims from employees of supervisory authorities, we recommend that targeted (unscheduled) briefings be carried out in until October 05, 2016 (Clause 3.4 of Bank of Russia Ordinance No. 3471-U dated December 5, 2014 “On Requirements for Training and Education of Personnel in Non-Bank Financial Institutions”):

Other AML/CFT entities

The legislation does not establish the terms for additional briefing when changing the existing regulatory legal acts of the Russian Federation in the field of AML / CFT, as well as when the organization approves new or changes the existing ICR.

Therefore, it is advisable to conduct such briefing as soon as possible.

The current legislation does not require the issuance of any administrative act (order or instruction) for conducting internal training in the field of AML/CFT.

Thus, it is enough to draw up a document confirming the fact of the training, containing an indication of the date of the corresponding briefing, its subject, as well as the signature of the employee who underwent the training.