un convention against corruption - implementation review mechanism (undp presentation)

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

International

CooperationAsset

Recovery

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 measures

Chapter 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 collected


Methodology

Preliminary steps:

1. Designation of a Lead Agency

2. Establishment of a Steering Committee

Phases:

1. Initial stakeholder workshop to launch and plan the process

2. Data collection

3. Analysis and drafting of the reports

4. Validation workshop and finalization of the reports

5. Publication and dissemination of the reports

6. Follow-up


1. Designation of a Lead Agency / Focal Point

Which 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 Committee

Once 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. [...]

Example1. 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 policy

State the (other) steps taken so far

What 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]



mailto:[email protected]

un convention against corruption - implementation review mechanism (undp presentation)

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