un convention against corruption - implementation review mechanism (undp presentation)
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UNDP presentation from ACA Training - Belgrade,- March 2011 (by Francesco Checchi)TRANSCRIPT
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
ACA Training - Belgrade,- March 2011
Prevention of corruption
according to the UNCAC
ACA Training - Belgrade,- March 2011
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
ACA Training - Belgrade,- March 2011
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
ACA Training - Belgrade,- March 2011
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
ACA Training - Belgrade,- March 2011
“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
ACA Training - Belgrade,- March 2011
UNCAC self assessment checklist
ACA Training - Belgrade,- March 2011
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
ACA Training - Belgrade,- March 2011
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
ACA Training - Belgrade,- March 2011
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.
ACA Training - Belgrade,- March 2011
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
ACA Training - Belgrade,- March 2011
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
ACA Training - Belgrade,- March 2011
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.
ACA Training - Belgrade,- March 2011
Phases:
ACA Training - Belgrade,- March 2011
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
ACA Training - Belgrade,- March 2011
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).
ACA Training - Belgrade,- March 2011
ACA Training - Belgrade,- March 2011
Thank you!
website:
http://europeandcis.undp.org/anticorruption
ACA Training - Belgrade,- March 2011
Francesco Checchi,
UNDP Bratislava Regional Centre