I. General Provisions
 

1.   Ethics Commission of the State Audit Office (hereafter – Ethics Commission) has been established in order to strengthen norms of professional ethics in line with the aims and objectives of the State Audit Office and to facilitate activities of the officials and employees (hereafter – employees) of the State Audit Office in accordance with the requirements of the Code of Ethics of the State Audit Office (hereafter Code of Ethics).

2.   Objective of the Ethics Commission is to review complaints in respect of the actions of the State Audit Office employees.

II. Functions and Rights

3.   Ethics Commission fulfils the following functions:

3.1. submits proposals and takes part in improving the Code of Ethics;

3.2. analyses and solves conflicts of ethical character;

3.3. reviews and evaluates complaints submitted in respect of the actions of the State Audit Office employees;

3.4. provides an opinion to the Auditor General on the offence of norms of behavior determined by the Code of Ethics.

4.   Ethics Commission has the following rights:

4.1. within the scope of its competency request and receive information from the employees;

4.2. invite employees to the meetings of the Ethics Commission in order to provide information and suggestions on the issues concerning ethics;

4.3. take decisions on suggestions for improvement and enhancement of internal regulatory enactments determining ethics;

4.4. depending on the nature of the offence, make suggestions to the Auditor General on the application of disciplinary penalty against the employee offending the norms of the Code of Ethics.

III. Work Organisation

5.   In the event of employee’s offence of the Code of Ethics an application or complaint can be submitted to the Ethics Commission by:

5.1. the employee of the State Audit Office;

5.2. the representative of the audited entity;

5.3. the representative of another state or local authority institution;

5.4. another person whose interests have been directly infringed by the actions of the State Audit Office employee.

6.   The person initiating the case on the offence of the Code of Ethics submits his/ her application or complaint to the Personnel Department of the State Audit Office for registration and Personnel Department hands over this document to the Auditor General in order to call the meeting of the Ethics Commission.

7.   Composition of the Ethics Commission is approved annually by the Council of the State Audit Office and Chairman of the Ethics Commission is appointed from among the members of the Ethics Commission. Decisions of the Ethics Commission carry advisory character to the Auditor General.

8.   Work of the Ethics Commission takes place at its meetings. Meetings of the Ethics Commission are called by the Chairman of the Commission within ten working days of receipt of complaint on the action of the State Audit Office employee.

9.   Materials required for the meeting are submitted to the Chairman of the Ethics Commission by the Auditor General or employee authorised by the Auditor General not less than five working days in advance of the meeting. Chairman of the Ethics Commission ensures sending of materials to the members of Certification Commission not less than three working days in advance of the meeting.

10. Chairman of the Ethics Commission informs on the place and time of the meeting by e-mailing the members of the Commission or informing them orally three working days in advance of the meeting.

11. Meetings of the Ethics Commission take place in the form of closed meetings. Ethics Commission has the right to take decisions if its meeting is attended by more than half of the Ethics Commission members. Ethics Commission takes its decisions with the majority of votes present. In the event of votes splitting in equal parts, vote of the Chairman of the Ethics Commission is decisive.

12. Commission member can not participate in the meeting of the Ethics Commission if he/ she has a direct or indirect interest (personal, resulting from position subordination) in the outcome.

13. Minutes of the Meetings of the Ethics Commission are taken by the Head of Personnel Department and include the following information:

13.1. place and timing of the meeting;

13.2. participants;

13.3. course and content of the discussions on the issues covered;

13.4. voting results, identifying vote of each member of the Ethics Commission for each decision - ‘for’ or ‘against’.

13.5. decisions taken.

14. Minutes of the Ethics Commission meetings are signed by the Commission members participating in the respective meeting of the Ethics Commission.

15. If necessary for providing additional explanations Ethics Commission invites to the meeting person who has submitted complaint as well as the employee on whom the complaint has been submitted. Refusal of the employee who has been complained on to cooperate is considered to be an offence of the norms of ethics.

16. In the event of inviting the person submitting complaint and the employee being complained on to the meeting of the Ethics Commission, they have the right to give explanations and express their opinion as well as invite to the meeting of the Ethics Commission one trustee of their own choice. Responding to the demand of the respective employee, Ethics Commission shall ensure hearing out of the employee at a different time.

17. Resulting from the review of the submitted complaint, Ethics Commission takes decision either to bring an action or refuse to bring an action.

18. In case of bringing an action the case is reviewed by the Ethics Commission not later than within the period of one month of the day of bringing an action and one of the following decisions (opinions) is provided:

18.1. on the dismissal of the case;

18.2. suggestion to apply disciplinary penalty;

18.3. suggestion to express a verbal warning.

19. Creating any unfavourable consequences to the employees in respect of submission of complaint is inadmissible.

20. Ethics Commission shall observe confidentiality. Decision on publicising decisions of the Ethics Commission is taken by the Auditor General in each particular case.

21. Persons involved are introduced with the decision of the Ethics Commission.

IV. Accountability

22.  Ethics Commission is responsible for fulfilment of functions provided for in this Regulation.

23.  Ethics Commission is responsible for compliance of its decisions with the norms of the Code of Ethics as well as requirements of other regulatory enactments.

Auditor General                                                                                                 I. Sudraba