UN Convention against Corruption - Implementation Review Mechanism

ACA Training - Belgrade,- March 2011

UN Convention Against Corruption Implementation Review Mechanism

Francesco Checchi,Anti-Corruption Project Coordinator UNDP Bratislava Regional Centre

The United Nations Convention against Corruption

Prevention

InternationalCooperation

AssetRecovery

Criminalization


Prevention of corruption according to the UNCAC


Chapter 2: prevention Prevention of corruption policies and agencies (art 5, 6)Public sector recruitment, hiring, retention (transparency,

objective criteria); training; codes of conduct (art. 7, 8) Public procurement and public finance’s management (art. 9) Public reporting, access to information, awareness raising (art

10, 13)Prevention in law enforcement activities (Art. 11)Prevention in the private sector (art 12) Prevention of money laundering (art. 14)

UNCAC Review mechanism – Terms of reference


WHO? Intergovernmental peer review:‐ 1 State under review ‐ 2 reviewing States (1 from same region)

Country pairings determined by drawing of lots

States nominate governmental experts (up to 15) & a focal point for coordination

Guiding Principles Transparent, efficient, non‐intrusive,

inclusive and impartial

Constructive: no ranking; emphasis on assistance & exchange of knowledge

Steps Selection of the experts Based on self‐assessment using

OMNIBUS software Desk review of self‐assessment by the

reviewing state parties Constructive dialogue between State under review and reviewing States

May be other steps (country visit or meeting in Vienna)

Results “Country review report” (agreed &

confidential) Executive summary (translated & publicly

available) Thematic implementation report (analytical)

Review mechanism – Phases

Process in phases:1 phase = 2 cycles of 5 years each ¼ of States Parties reviewed each year

Serbia: year 2 (2011-2012) for the first cycle


1st cycle (2010‐2015)Chapter III –Criminalization and law enforcement Chapter IV – International cooperation

2nd cycle (2015‐2020)Chapter II –Preventive measuresChapter V – Asset recovery


“The State party under review shall endeavour to prepare their responses to the comprehensive self assessment checklist through broad consultations at the national level with all relevant stakeholders, the private sector, individuals and groups outside the public sector.”COSP - November 2009

UNCAC self assessment


UNCAC self assessment checklist

http://www.unodc.org/unodc/en/treaties/CAC/index.html


Guidance Note for UNCAC self-assessment

UNDP Methodology for the implementation of the UNCAC self-assessment

Minimum: naming a focal point

and general call for stakeholders

engagement

Going beyond the minimum: Defining the responsibilities Involving a broad range of stakeholders

in the process Road map for consultation

Result: the checklist useful for Awareness raising

and a broader range of information is collectedACA Training - Belgrade,- March 2011

Methodology

Preliminary steps:1. Designation of a Lead Agency2. Establishment of a Steering Committee

Phases:1. Initial stakeholder workshop to launch and plan the process2. Data collection3. Analysis and drafting of the reports4. Validation workshop and finalization of the reports5. Publication and dissemination of the reports6. Follow-up


1. Designation of a Lead Agency / Focal PointWhich agencies to be tasked? Depends on he capacity to coordinate

(Departments within the President admin /Prime Minister, the Attorney General or the Ministry of Justice, the national Anti-Corruption Commission, in its role as the coordinator of anti-corruption policies.

It is important that there is clarity within and outside the government regarding which institution is the Lead Agency. (The Focal Point chosen for the UNCAC Review Mechanism should ideally be the same office)

2. Establishment of a Steering CommitteeOnce a Lead Agency has been identified, it will be important for that

Agency to consult across government to identify which other bodies have a stake in the UNCAC Self-Assessment > discuss the UNCAC Self-Assessment process and identify the officials who will be involved.


Identification of responsibilities, example Article 5 Preventive anti-corruption policies and practices

1. Each State Party shall, in accordance with the fundamental principles of its legal system, develop and implement or maintain effective, coordinated anticorruption policies that promote the participation of society and reflect the principles of the rule of law, proper management of public affairs and public property, integrity, transparency and accountability. [...]

Example 1.ACA2.Government Inspectorate Authority (GIA)3.Ministry of Justice (MoJ)4.Ministry of Foreign Affairs (MoFA)5.Presidential Office6.Prime Minister’s Office7.Parliament8.Public Administration School or Research Institute9.Public Administration and Civil Service Authority (PACSA)10.Ministry of Labour11.Ministry of Education12.Ministry of Finance13.Ministry of National Defence14.Ministry of Public Security15.Ministry of Information and Culture16.Ministry of Industry and Trade17.Ministry of Agriculture and Forestry 18.Ministry of Energy and Mines19.Ministry of Planning and Investment 20.Ministry of Public Works and Transportation21.Association of local authorities 22.Central Bank23.Association of Journalists24. National Business Association25.Trade Union Representative


Article 7. Public sector

1. Each State Party shall, where appropriate and in accordance with the fundamental principles of its legal system, endeavour to adopt, maintain and strengthen systems for the recruitment, hiring, retention, promotion and retirement of civil servants and, where appropriate, other non-elected public officials [...]

1.ACA2.Government Inspectorate Authority 3.Party Central Committee Organisation Board4.National Academy of Politics and Public Administration5.Public Administration and Civil Service Authority6.University Faculty of Law and Political Science7.Ministry of Justice8.Presidential Office9.Prime Minister Office


Identification of responsibilities, example

1. Initial stakeholder workshop to launch and plan the process

The Lead Agency, with support from the Steering Committee where possible, should organize the stakeholder workshop, in coordination with any relevant development partners

is the first opportunity to develop broad-based support for the process The workshop provides an opportunity to identify a Team of Technical Experts, (should

be inclusive and multi-disciplinary).

2. Data collection (a) Document gathering (background information, including relevant laws,

regulations and policies as well as reports from previous anti-corruption or governance assessments)

(b) Stakeholder consultations: consultations and discussions with government officials and specialists in various sectors including non-governmental actors such as civil society, academia and the private sector > checking the implementation and effectiveness of existing law – regulations and institutional arrangements.


Phases:


UNCAC Provisions / articles / paragraphs > as applicable Has any measure been adopted / implemented?- Yes/No/In part

Cite and summarize the law or the policyState the (other) steps taken so farWhat led to the adoption of this measure?A study? A strategy? An incident? Other?

Which institution(s) are responsible for implementation? Cite example(s) of successful implementation Has the effectiveness of this measure been assessed?If yes, by whom? When and what were the main findings?If not, cite if you need any assistance to do so.

What are the main challenges of implementation?what steps need to be taken to ensure full compliance?What technical assistance is needed, if applicable?

Guidelines for data collection

Phases 3. Analysis and drafting of the reports Report generated using the Checklist software. Contains the country’s

detailed responses to each substantive article of the Convention. It may be useful to also produce a shorter summary, should be

produced by the Team of Technical Experts, based on their analysis of the findings of the UNCAC Self-Assessment Report > it should be submitted to the Steering Committee for review and comments.

4. Validation workshop and finalization of the reports finalization of the UNCAC Self-Assessment Report and Summary

Report / opportunity to discuss with stakeholders the priorities for a national anti-corruption strategy or an UNCAC Implementation Action Plan.

Report and Summary Report updated on the bases of the feedback and comments made during the Validation Workshop


Phases

5. Publication and dissemination of the reports

The products of the UNCAC Self-Assessment process should be discussed and disseminated to all relevant stakeholders.

6. Follow-up

The Steering Committee can play an ongoing role in the progress of the government’s anti-corruption reform agenda (The next step may be the development / update of the anti-corruption strategy and implementation action plan).



Thank you!

website:http://europeandcis.undp.org/anticorruption


Francesco Checchi,UNDP Bratislava Regional Centre [email protected]

http://europeandcis.undp.org/anticorruption

http://europeandcis.undp.org/anticorruption

mailto:[email protected]

Self Improvement

UN Convention against Corruption - Implementation Review Mechanism