UNCAC - Direct Impact on Public Administrations

Tashkent, April 2009Tashkent, April 2009

UNCAC direct impact onUNCAC direct impact on Public AdministrationsPublic Administrations

Francesco Checchi, UNDP Bratislava Regional Centre


Defining CorruptionDefining Corruption

World Bank: Misuse of public power for World Bank: Misuse of public power for private benefit; private benefit;

UNDP: Misuse of public power, office or UNDP: Misuse of public power, office or authority for private benefit – through authority for private benefit – through bribery, extortion, influence peddling, bribery, extortion, influence peddling, nepotism, fraud, speed money or nepotism, fraud, speed money or embezzlement;embezzlement;

More recently: the misuse of entrusted More recently: the misuse of entrusted power for private benefit.power for private benefit.


Defining corruption based on the causes of Defining corruption based on the causes of corruption:corruption:

Robert Klitgaard’s: C (Corruption) = M Robert Klitgaard’s: C (Corruption) = M (Monopoly) + D (Discretion) – A (Monopoly) + D (Discretion) – A (Accountability), or(Accountability), or

Corruption = (Monopoly + Discretion) – Corruption = (Monopoly + Discretion) – (Accountability + Integrity + Transparency)(Accountability + Integrity + Transparency)




The UNCAC does not define corruption – The UNCAC does not define corruption – why ? (corruption as a changing why ? (corruption as a changing phenomenon – defined by the UNCAC as a phenomenon – defined by the UNCAC as a crime)crime)

From a methodological perspective UNDP: From a methodological perspective UNDP: corruption as a “governance deficit” corruption as a “governance deficit” [reflected in the UNCAC chap.2][reflected in the UNCAC chap.2]


Corruption Corruption –– A Global Threat A Global Threat

World Bank World Bank –– More than 1 trillion US$ is paid in More than 1 trillion US$ is paid in bribes a year and the harm exceeds the proceeds bribes a year and the harm exceeds the proceeds –– US$ 1 bribes = US$ 1.7 damage US$ 1 bribes = US$ 1.7 damage

Asian Development Bank Asian Development Bank –– Cost of corruption = up Cost of corruption = up to 17% of GDPto 17% of GDP

Corruption impacts disproportionately the poor and Corruption impacts disproportionately the poor and other disadvantaged groupsother disadvantaged groups


UNCACUNCAC

In force in Uzbekistan since July 2008In force in Uzbekistan since July 2008 No self implementation of the No self implementation of the

conventionconvention The UNCAC has mandatory and non-The UNCAC has mandatory and non-

mandatory provisionsmandatory provisions


UNCAC Aims and Structure of UNCAC Aims and Structure of ConventionConvention

1. Prevent and Combat Corruption More Efficiently and Effectively

2. International Cooperation & Technical Assistance including Asset Recovery

3. Integrity, Accountability and Proper Management of Public Affairs and Property

4 pillars: Preventive Measures – criminalization and law enforcement – international cooperation – asset recovery – Plus technical assistance and information exchange


4 Important articles 4 Important articles

for the work of the academyfor the work of the academy

Art. 5 Art. 5 (1-4)(1-4) Preventive AC policies and Preventive AC policies and practices practices

Art. 7 Art. 7 (1)(1) - Measures for Public Sector - Measures for Public Sector (employment)(employment)

Art. 8 - Codes of Conduct for Public Art. 8 - Codes of Conduct for Public OfficialsOfficials

Art. 10 – Public ReportingArt. 10 – Public Reporting


UNCACUNCACArticle 5 (1) - RequirementsArticle 5 (1) - Requirements Effective and coordinated Anticorruption PoliciesEffective and coordinated Anticorruption Policies

Participation of SocietyParticipation of Society

– Respect of the Rule of LawRespect of the Rule of Law– Proper Management of Public Affairs and Public PropertyProper Management of Public Affairs and Public Property– Integrity, Transparency and AccountabilityIntegrity, Transparency and Accountability

AI

MED

reflect


Art 5 Art 5 (3-4)(3-4)

Para (4) (Subject to State’s own Domestic System)Para (4) (Subject to State’s own Domestic System)

Cooperate - International ProgramsCooperate - International Programs - Projects to implement- Projects to implement

AC Policies (e.g.ACPN)AC Policies (e.g.ACPN)

Regional & Int’l Organizations


Article 7 Article 7 (1) Measures for Public Sector (1) Measures for Public Sector (employment)(employment)

1. 1. Each State Party shall, endeavour to adopt, maintain and strengthen Each State Party shall, endeavour to adopt, maintain and strengthen systems for the recruitment, hiring, retention, promotion and systems for the recruitment, hiring, retention, promotion and retirement of civil servantsretirement of civil servants

(b)(b) That are based on principles of efficiency, transparency and objective That are based on principles of efficiency, transparency and objective criteria such as merit, equity and aptitude; States Parties should criteria such as merit, equity and aptitude; States Parties should consider:consider:

developing a system to attract and retain developing a system to attract and retain individuals of the highest individuals of the highest level of skill and integritylevel of skill and integrity. How?. How?

establishing an institutionestablishing an institution such as a public services commission to such as a public services commission to handle or provide guidance on recruitment, employment and handle or provide guidance on recruitment, employment and promotion procedures. promotion procedures.

All posts should be All posts should be openly advertised openly advertised and filled under agreed and filled under agreed recruitment procedures which would range from transparent recruitment procedures which would range from transparent procedures for selection and appointment criteria, to the procedures for selection and appointment criteria, to the confirmation of qualifications and references for successful confirmation of qualifications and references for successful candidates.candidates.


All appointments should All appointments should have stated terms and conditions of have stated terms and conditions of service, and remuneration, commensurate with the duties and service, and remuneration, commensurate with the duties and responsibilities of the postresponsibilities of the post. .

Public officials should Public officials should have proper traininghave proper training, including ethics , including ethics training, and career development as well as financial benefits training, and career development as well as financial benefits such as health insurance, vacation leave, sick leave, and such as health insurance, vacation leave, sick leave, and protection of retirement benefits. protection of retirement benefits.

There should be There should be annual evaluation of pay scalesannual evaluation of pay scales taking into taking into account cost-of-living increases as well as comparability account cost-of-living increases as well as comparability across the public sector, and taking account of salary levels across the public sector, and taking account of salary levels for similar functions in the private sector. for similar functions in the private sector.


There should also be There should also be annual performance appraisalsannual performance appraisals for for individual members of staff for determination of effectiveness, individual members of staff for determination of effectiveness, training needs, career progression and promotion.training needs, career progression and promotion.

Payroll records should be underpinned by a Payroll records should be underpinned by a centralized or centralized or institutional personnel database againstinstitutional personnel database against which to verify the which to verify the approved establishment list and the individual personnel approved establishment list and the individual personnel records (or staff files). records (or staff files).


(b) That include adequate procedures for the selection (b) That include adequate procedures for the selection and training of individuals for public positions considered and training of individuals for public positions considered especially vulnerable to corruptionespecially vulnerable to corruption and the rotation, and the rotation, where appropriate, of such individuals to other positions;where appropriate, of such individuals to other positions;

The institution for the PA should consider conducting The institution for the PA should consider conducting an an audit to:audit to:

determine which public positions or activities are determine which public positions or activities are particularly vulnerable to corruption; andparticularly vulnerable to corruption; and

prepare a report addressing the assessments and specific prepare a report addressing the assessments and specific risks within vulnerable sectors, with consequential risks within vulnerable sectors, with consequential proposals to deal with themproposals to deal with them..

Management should also introduce Management should also introduce specific support and specific support and oversight procedures for public officials in positions that oversight procedures for public officials in positions that are especially vulnerable to corruptionare especially vulnerable to corruption, including regular , including regular appraisals, confidential reporting, registration and appraisals, confidential reporting, registration and declaration of interests, assets, hospitality and giftsdeclaration of interests, assets, hospitality and gifts


(c) That promote adequate remuneration and equitable (c) That promote adequate remuneration and equitable pay scales, taking into account the level of economic pay scales, taking into account the level of economic development of the State Party;development of the State Party;

One major area of concern, particularly for developing or transitional One major area of concern, particularly for developing or transitional States Parties, is ensuring adequate remuneration for public officials.States Parties, is ensuring adequate remuneration for public officials.

Both the level and certainty of payment may encourage corruption. Both the level and certainty of payment may encourage corruption.

‘‘Adequate’ means that, at the least, pay scales should allow public Adequate’ means that, at the least, pay scales should allow public officials to meet living costs commensurate with their position and officials to meet living costs commensurate with their position and responsibilities and comparable with similar positions in other sectors.responsibilities and comparable with similar positions in other sectors.

States Parties should also ensure that the pay scales are linked to States Parties should also ensure that the pay scales are linked to career progression, qualifications and promotion opportunities.career progression, qualifications and promotion opportunities.


(d) That promote education and training programmes to (d) That promote education and training programmes to enable them to meet the requirements for proper enable them to meet the requirements for proper performance of public functions and that provide them with performance of public functions and that provide them with specialized and appropriate training on corruptionspecialized and appropriate training on corruption

all public officials should benefit from suitable courses on all public officials should benefit from suitable courses on professional ethics.professional ethics.

Training should incorporate discussion on the resolution of Training should incorporate discussion on the resolution of specific practical examples and the appropriate means for specific practical examples and the appropriate means for raising or reporting concerns. raising or reporting concerns.

adequate information to staff on their rights and duties, and adequate information to staff on their rights and duties, and on the risks of corruption or misconduct attaching to the on the risks of corruption or misconduct attaching to the performance of their functionsperformance of their functions


Art. 8 - Codes of Conduct for Public Art. 8 - Codes of Conduct for Public OfficialsOfficials

each State Party shall endeavour to apply codes or standards each State Party shall endeavour to apply codes or standards of conduct for the correct, honourable and proper of conduct for the correct, honourable and proper performance of public functions.performance of public functions.

take note of the relevant initiatives of regional, interregional take note of the relevant initiatives of regional, interregional and multilateral organizations in this areaand multilateral organizations in this area

establishing measures and systems to facilitate the reporting establishing measures and systems to facilitate the reporting by public officials of acts of corruption to appropriate by public officials of acts of corruption to appropriate authoritiesauthorities


Art 8Art 8

So it is the responsibility of the state to give the instruments and So it is the responsibility of the state to give the instruments and possibility to the civil servants to properly perform functions of the possibility to the civil servants to properly perform functions of the PAPA

The CODES of conduct: establishes clearly what is expected of a The CODES of conduct: establishes clearly what is expected of a specific public official or group of officials, thus introducing specific public official or group of officials, thus introducing fundamental standards of behavior against corruption.fundamental standards of behavior against corruption.

standarrds may include:standarrds may include:

Democratic ValuesDemocratic Values: to serve the public interest.: to serve the public interest. Professional ValuesProfessional Values:: Serving with competence, excellence, efficiency, Serving with competence, excellence, efficiency,

respect for the law, objectivity, transparency, confidentiality and respect for the law, objectivity, transparency, confidentiality and impartiality.impartiality.

Ethical ValuesEthical Values:: Acting at all times in such a way as to uphold the Acting at all times in such a way as to uphold the public trust.public trust.

People ValuesPeople Values:: Demonstrating respect, fairness and courtesy in their Demonstrating respect, fairness and courtesy in their dealings with both citizens and fellow public officials.dealings with both citizens and fellow public officials.


Art 8Art 8

Thus codes should address issues of public serviceThus codes should address issues of public service procedures to ensure fairness and transparency in procedures to ensure fairness and transparency in

providing public services and informationproviding public services and information cover acceptance of gifts, hospitality, and other cover acceptance of gifts, hospitality, and other

benefits,benefits, relating to conflicts of interest relating to conflicts of interest placing restrictions on political activities and placing restrictions on political activities and

ensuring that political activities do not influence ensuring that political activities do not influence public office dutiespublic office duties


Art 8. State Party should ensure Art 8. State Party should ensure thatthat

support mechanisms are in place to encourage the support mechanisms are in place to encourage the use of the Code;use of the Code;

compliance with the Code may be taken into compliance with the Code may be taken into account in relation to career progression, etc;account in relation to career progression, etc;

code of conduct training is ongoing;code of conduct training is ongoing; the organisation continually promotes its ethical the organisation continually promotes its ethical

culture (a code of conduct is an important but not culture (a code of conduct is an important but not the only tool for this); the only tool for this);

the Code is enforced through disciplinary action the Code is enforced through disciplinary action when necessary; when necessary;

the Code is regularly reviewed for currency, the Code is regularly reviewed for currency, relevance and accessibilityrelevance and accessibility


Art 8 Art 8 (3) (3) measures and systems to facilitate measures and systems to facilitate the reporting by public officials of acts of the reporting by public officials of acts of corruptioncorruption

States Parties are required to establish States Parties are required to establish adequate rules and procedures adequate rules and procedures facilitating officials to make such facilitating officials to make such reports. These are intended to: reports. These are intended to: encourage an official to report, to encourage an official to report, to know who to report to, and to be know who to report to, and to be shielded from possible retaliation from shielded from possible retaliation from employers or actions in the courts.employers or actions in the courts.


Art. 10 Art. 10 Public ReportingPublic Reporting

Each State Party shall introduce measures as may be necessary Each State Party shall introduce measures as may be necessary to enhance transparency in its public administration, including to enhance transparency in its public administration, including with regard to its organization, functioning and decision-with regard to its organization, functioning and decision-making processesmaking processes

These may include: Publishing information on decisions and These may include: Publishing information on decisions and legal acts that concern members of the public; legal acts that concern members of the public;

Simplifying administrative procedures, Simplifying administrative procedures, Adopting procedures or regulations allowing members of the Adopting procedures or regulations allowing members of the

general public to obtain, information on the organization, general public to obtain, information on the organization, functioning and decision-making processes of its public functioning and decision-making processes of its public administrationadministration


Art 10Art 10 key characteristics key characteristics of effective access are:of effective access are:

those responsible for decisions are publicly known;those responsible for decisions are publicly known; those decisions they are planning to take are those decisions they are planning to take are

publicly known;publicly known; people have access to information about decisions people have access to information about decisions

with technical information available in plain with technical information available in plain language;language;

people know what decisions have been taken and people know what decisions have been taken and the reasons for them; andthe reasons for them; and

there is a right to challenge or appeal any decision.there is a right to challenge or appeal any decision.


Thank you !Thank you !

UNCAC - Direct Impact on Public Administrations

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