GENERAL ISSUE

Internal rules (hereinafter - Code of ethics) prescribe basic principles of ethical conduct with a view to promoting the ethical awareness, culture of work and behaviour of officials and employees of the Enterprise Register of the Republic of Latvia (hereinafter - Register), strengthening professional ethics, creating a positive image of the Register in society and increasing public confidence in the Register, rights and obligations, actions aimed at preventing conflict of interest, procedures for publishing information on lobbyists and for examining breaches of the rules of the Code of Conduct.

BASIC PRINCIPLES FOR ETHICAL ACTION

1. principle of independence and neutrality:
   1. The employee is independent and neutral in judgments, decisions and actions, in compliance with the Constitution of the Republic of Latvia, external and internal regulatory enactments and basic principles of ethical action;
   2. Neutrality as an ethical position is a prerequisite for the establishment of the overall image of the Register in society;
   3. The employed person in his or her professional activity and, in particular, in taking decisions, shall not be affected by the parties, political movements or organisations of affiliation, as well as by personal financial interest;
   4. The behaviour of the employee complies with the norms of professional ethics and creates confidence in the ability to control any situation;
   5. The employee shall evaluate any invitation and hospitality offer, taking into account the benefits of accepting such invitations to the Register as a whole and whether it is not related to an interest in obtaining any favours to the applicant.
2. principle of objectivity and precision:
   
   1. the examination of questions in the Register shall be carried out in substance, in an objective manner, taking into account the information which has been correctly verified;
   2. The worker shall respect the accuracy of his work, which is an expression of respect and attention towards himself, colleagues, clients and the general public;
   3. The employee excludes formal approach in the examination of matters, as well as behaviour that interferes with the constructive consideration of matters;
   4. The principle of openness and loyalty;
   5. The employee has been professionally disclosed to colleagues and the general public in accordance with external and internal regulatory enactments, while respecting the specified confidentiality and respecting privacy;
3. The employee shall take all necessary steps to prevent unauthorized retrieval of information at the disposal of the Register;
   1. The employee shall be loyal to the Register in its public statements and to its operational objectives, collegial relations and the demands of corporate culture, with respect to the work done by colleagues. When expressing his or her opinion, the Employee shall clearly state whether he or she expresses his or her personal or the views of the Register. Conflict situations between employees should not affect public opinion and should be resolved within the Register, if necessary by associating the Staff Department.
4. the principle of fairness and fairness:
   1. compliance with the principle of fairness in the Register is a prerequisite for balancing client interests with the public interest in general;
   2. fairness is the norm of relations between each Employee, regardless of the position to be held;
   3. In carrying out their duties, the employee shall observe that, in order to create an objective assessment, the person's behaviour and its consequences are determined, not his or her personality and intentions;
   4. The employee shall perform his or her duties in good faith and shall not take advantage of the position of office or service for the acquisition of personal benefit to himself or another person, nor mislead other persons, giving the impression that the employee may provide them with access to the management of the Register or influence their decisions.
5. principle of equality and proportionality:
   1. The employee, in the performance of his or her direct duties, expresses equality in front of the law against all clients, without showing any special favors and avoiding any privileges and exceptions, if they are not provided for in regulatory enactments, including not providing one of the lobbyists with an advantage;
   2. Special or different treatment of a customer by an employee is not allowed;
   3. proportionality in the distribution of the duties and responsibilities of employees ensures the necessary effectiveness of the Register in its operation;
   4. fairness is the key to respect proportionality. The actual performance of the employee results from the sum of both the positive and negative assessments;
   5. The responsibility of employees shall be individual and consistent with the specific offence. When assessing the level of responsibility, the competence and position of the employee shall be taken into account.

RIGHTS OF EMPLOYED PERSON

1. An employee has the right to take independent decisions or to participate in decision-making in conformity with professional and professional competence.
2. The employee is entitled to freely express and justifiably defend personal opinion in conformity with professional and professional competence.
3. An employee has the right to inform the Ethics Commission of the Register (hereinafter - Commission) and to receive an assessment thereof, if the task or opinion of the work is expressed in an offensive or discriminatory form of the dignity, honour, self-awareness, gender, age or sexual orientation of the employee.
4. The employee has the right to submit proposals to the Commission regarding the necessary changes to the Code of Conduct.
5. The employee has the right to receive an adequate assessment of the work done and a dignified attitude.

DUTIES OF EMPLOYED PERSON

1. The employee shall comply with generally accepted behavioural norms as during the working time and outside it, knowing that each individual behaviour and behaviour of the Employee constitutes the overall image of the Register in the public.
2. The employee shall respect the professional label and the work culture. Correct behaviour, appearance and posture contribute to sound public confidence in the Register.
3. The worker shall treat colleagues and other members of the public with respect to their rights and obligations. The employee shall provide his or her assistance in the settlement of conflicts in the Register, if necessary, and shall promote collegial relations.
4. The employee does not use collegial, subordinate and managerial relationships, incompetence of colleagues, error or lack of experience for selfish purposes.
5. The employee fairly recognizes unethical behavior and corrects his or her errors.
6. The employee shall inform colleagues of professional topics and experience that may also be useful for other employees.
7. An employee shall avoid taking personal advantage of his or her position of office.
8. Employees shall avoid situations where conflict of interest or conditions favourable to corruption may arise.
9. The employee shall treat the property of the Register with care.
10. The employee is aware that the effective functioning and development of the Register depends on each employee's contribution, including professionalism and behaviour.

DUTIES OF THE DRIVER

1. In addition to the duties referred to in Chapters IV and VI of the Code of Conduct, the Chief State notary, the Deputy Chief State notary and the Head of Unit (hereinafter - Head) shall have additional duties for the achievement of the objective of the Code of Conduct.
2. The manager shall, by his or her example, motivate the successful performance of the employees and promote the responsible treatment of the employees with regard to their duties.
3. The Head shall regularly inform the subordinates about future actions and development prospects.
4. The manager shall provide employees with the necessary and other up-to-date information.
5. The manager shall plan and inform the employees about career development opportunities in the Register.
6. The Head shall contribute to the professional development of employees.
7. The driver shall be responsible for the work atmosphere in the department.
8. The leader does not allow intrigue, the formation of various destructive groups in the collective.
9. The manager shall discuss the mishandling of the employee individually with the Employee.
10. The Head shall facilitate the expression of public and material recognition to the Employee for the particularly successful performance of his or her duties.
11. The Head supports the creative approach and initiative of the Employee in the work process.
12. The Head addresses the problems in a climate of mutual respect, openness, understanding and collegiality.
13. The driver shall hear and, as far as possible, take into account the views of the Employee without touching or offending anyone personally.

EMPLOYMENT DUTIES AGAINST THE CLIENT AND THE COMPANY

1. The employee shall provide the client with the possibility to receive a quality service, in conformity with the functions of the Register specified in the regulatory enactments regarding the registration of rightholders and legal facts.
2. Quality Service is expressed in the following ways:
   1. appropriate behaviour and treatment in handling the customer both on-site and off-site;
   2. attitude when asking the customer to wait if immediate service is not possible;
   3. the ability to explain unpleasant things to the client;
   4. dressing according to the applied style;
   5. professionalism, etc.
3. The employee shall provide the customer with accurate, timely and up-to-date information. The veracity of the information within the limits of its powers shall be the responsibility of its provider.

PREVENTION OF CONFLICT OF INTEREST AND INTERCONNECTION OF POSTS

1. In organising the work of the Register, the manager shall motivate the Employee for fair and fair work.
2. The employee shall be informed of the requirements of regulatory enactments in matters of conflict of interest, as well as regarding the identification of conflict of interest and the risk areas in which such conflicts may arise when performing direct duties.
3. If a conflict of interest has occurred, the Employee shall inform the Head and suspend his or her participation in the taking of decisions. An employee refuses to perform such duties, which affect or may affect the personal or property interests of persons who are not only relatives of the employee within the meaning of regulatory enactments regarding the prevention of conflict of interest, but are a spouse other than a spouse (hereinafter - spouse), a svainībā person, friend or other person in respect of whom, in taking a decision, could be called into question the objectivity and neutrality of the behaviour of this employee in informing the Head thereof.
4. An employee may perform additional salaried work outside the Register, as well as gain income or tie up positions in cases specified in regulatory enactments regarding the prevention of conflicts of interest, only upon receipt of a written permission of the chief State notary (hereinafter - permit).
5. When working on additional work outside the Register, the Employee may not:
   1. use the means of the Register (premises, office equipment, paper, electricity, etc.);
   2. without permission to carry it out during the working hours specified by the Register.
6. In order to receive an authorisation, the Employee shall submit to the Staff Department an application, which has been agreed with his or her direct manager and the Managers, under the institutional subordination of which the Employee is located. Employees who are directly exposed to the main State notary shall submit an application to the Staff Department without co-ordinating it with the main State notary.
7. Upon receiving the application referred to in Paragraph 44 of the Code of Conduct, the Staff Department shall ensure the draft decision of the main State notary regarding the issuance of a permit or the refusal to issue the preparation and submission of permits for signature to the main State notary.
8. A decision regarding the issuance of an authorisation or refusal to issue a permit shall be drawn up in two copies, one of which shall be issued by the Staff Department to the Employee, the other - shall be stored in accordance with the nomenclature of the Register files.
9. The main State notary shall take a decision regarding the issuance of a permit or a refusal to issue a permit within one month from the date of receipt of the application of the Employee in the Staff Department.
10. If the Staff Department requires additional information for preparing the draft decision referred to in Sub-paragraph 49.1 of the Code of Conduct or providing a reconciliation, the Employee shall be required to provide it without delay.
11. If necessary, the Staff Department may request:
    1. additional information or explanations to the Direct Manager or Manager of the Employee, under the institutional subordination of which the Employee is located;
    2. The Commission's views.
12. The employee is prohibited from accepting or requesting (directly or indirectly) a gift, money or other benefit from the client.
13. If the gift has been given in a hidden way, immediately after the fact has been established, the Employee shall notify his or her direct manager thereof and shall hand over the gift. The Head shall draw up a statement regarding this fact and submit it to the main State notary. The chief state notary issues an order for future handling of the gift.
14. An employee who has become aware of the violation referred to in point 54 of the Code of Conduct shall immediately notify his or her direct manager thereof.
15. The employee does not represent an individual, merchant or organisation as a lobbyist in State or local government institutions.
16. An employed person shall not accept from a lobbyist or an organisation which pays lobbyists, gifts or other benefits for his or her or her family members or the organisation to which he or she is associated. The employee may not ask the lobbyist or the organisations that employ the lobbyist to support in material the activities organised by the Register or the organisations with which the employee or his or her relatives are associated.

PUBLICATION OF INFORMATION ON LOBBYISTS

1. When submitting the draft regulatory enactment for advertising at the meeting of State secretaries, the responsible official shall send the draft regulatory enactment, the initial impact assessment report of the draft regulatory enactment (hereinafter - annotation) and the proposals submitted by the lobbyist regarding the regulatory enactment to the public relations specialist.
2. 56. The responsible official shall, in addition, indicate the following information in an annotation of the draft regulatory enactment, which shall be transmitted to the public relations specialist:
   1. the given name, surname or legal person of the person represented by the lobbyist;
   2. a description of the process of preparing a specific decision in relation to which lobbying takes place, where such a lobbyist has indicated;
   3. the scope of the proposal submitted by the lobbyist; the way in which the
   4. consultation with the lobbyist (Advisory Board, Working Group, etc.) and justification for the consultation.
3. The public relations professional shall place an annotation on the external home page of the Register within two working days and shall provide information on the content of the proposals submitted by the lobbyists upon request.

ESTABLISHMENT AND OPERATION OF THE REGISTER ETHICS COMMISSION

1. In the event of a violation of the norms of the Code of Conduct, the Employee may submit an application to the Commission.
2. The Commission shall consist of five members of the Commission elected by the Employees in secret elections. The term of office of the Commission shall be three years. The term of office of a Member of the Commission may not exceed two consecutive terms of office.
3. If a member of the Commission refuses office in the Commission or loses the status of Employed, the Chief State notary shall appoint, for the remainder of the term of office of the Commission, the next employee who gained the most votes in the last elections to the Ethics Commission.
4. If a member of the Commission is travelling in a long-term planned absence, the Chief State notary may appoint the next Employee who gained the most votes in the last elections of the Ethics Commission to the Commission for his or her absence.
5. If the number of points obtained for the employees resulting from the elections is equal, preference shall be given to the employee who works longer in the Register.
6. The composition or changes of the Commission shall be approved by an order by the Chief State notary. The draft order shall be drawn up by the Secretary of the Commission.
7. The President of the Commission, the Vice-President of the Commission and the Secretary of the Commission shall be elected by the members of the Commission from among them within two weeks of the approval of the composition of the newly elected Commission.
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8. Commission has the following tasks:
   1. consider a written or oral submission by an employee regarding the violation or development of the norms of the Code of Conduct and, when assessing the compliance of the case or situation with the norms of the Code of Conduct, provide a reasoned response or take a decision to address the situation. The Commission decision has the nature of the recommendation to the main national notary;
   2. to make proposals to the chief national notary for the improvement of the regulation of the Code of Conduct in the event of attachment;
   3. provide advice to employees on the rules of the Code of Conduct;
   4. to provide an opinion regarding the violation of the norms of the Code of Conduct within 10 working days following a request from the Register Service or a Disciplinary Investigation Commission;
   5. ensure the elections of the Commission.
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9. Commission shall have the following rights:
   1. request and receive information from the Employee in relation to the alleged violation of the norms of the Code of Conduct;
   2. invite the applicant and the employee associated with the case to the meeting of the Commission.
10. The refusal of an employee for whom an application has been submitted to cooperate in itself is a violation of ethical norms.
11. Members of the Commission shall be required to report without delay to the Chief State notary on cases of corruption, conflict of interest situations or gross infringements of the norms of the Code of Conduct which have become known in the performance of their duties.
12. Meetings of the Commission shall be held as necessary.
13. The work of the Commission and the meetings of the Commission shall be chaired by its President and, in his absence, by the Vice-President of the Commission.
14. The meetings of the Commission are closed. The Commission shall be entitled to take decisions if not less than three members of the Commission participate in the meeting. The decision shall be taken if more than half of the members of the Commission present vote. In the case of an equal number of votes, the vote of the President of the Commission shall be decisive.
15. A Member of the Commission may not participate in the meeting of the Commission if he or she is directly or indirectly interested in examining the application.
16. The decision adopted by the Commission shall be drawn up in the form of a decision of the Commission meeting. The technical preparation of the Commission meetings and their protocols shall be ensured by the Secretary of the Commission. The minutes of the Commission meeting shall be signed by the President of the Commission and the Secretary of the Commission. The protocols shall be stored in accordance with the nomenclature of the Register's files.
17. The Secretary of the Commission shall present the minutes of the meeting of the Commission only to the persons indicated in the minutes. Only interested parties are entitled to become acquainted with the documents related to the taking of the decision (submissions, explanations, etc.).
18. The Commission shall examine the application and take a decision not later than 25 working days from receipt thereof. When examining the application, the Commission shall respect confidentiality. It is not possible to create any adverse consequences for the Employee due to the submission of an application.
19. Applications for which examination is not within the competence of the Commission shall not be examined in substance and shall be issued to the applicant, indicating the body competent to examine the matter.
20. The decision adopted by the Commission shall be binding on the entire composition of the Commission.
21. If the conduct of an employee is in contradiction with the Code of Conduct and contains signs of disciplinary violation, disciplinary proceedings shall be initiated against the employee in accordance with the procedures specified in the Internal Regulations of the Register regarding the organisation of disciplinary proceedings.

LAW ON OPENNESS OF REPRESENTATION OF INTERESTS

In order to reduce the risk that the lobbying mechanism is used for the taking of laws and decisions in the interests of individual groups and to increase transparency of decision-making, a special law has been developed in Latvia and has been in operation since 1 January 2023, which defines lobbying and ensures its openness - the Law on openness of representation of interests. Communication with interest representatives in the “Register of representation of interests”.

CLOSING ISSUE

The Internal Register Regulation No 1-9/16 of 17 June 2011 on the 'Code of Conduct for the Enterprise Register' is repealed.

General State notary performer of duties S.Karelis