UN Convention against Corruption - Implementation Review Mechanism

UN Convention Against Corruption
Implementation Review Mechanism
Francesco Checchi,
Anti-Corruption Project Coordinator
UNDP Bratislava Regional Centre

ACA Training - Belgrade,- March 2011

The United Nations Convention against
Corruption

Prevention Criminalization

Asset International
Recovery Cooperation


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? Steps
Intergovernmental peer review: Selection of the experts
‐ 1 State under review Based on self‐assessment using OMNIBUS
‐ 2 reviewing States (1 from same region) software
Desk review of self‐assessment by the
Country pairings determined by drawing reviewing state parties
of lots Constructive dialogue between State under
review and reviewing States
 States nominate governmental experts
(up to 15) & a focal point for coordination May be other steps (country visit or meeting
in Vienna)

Guiding Principles Results
Transparent, efficient, non‐intrusive, inclu “Country review report” (agreed &
sive and impartial confidential)
Executive summary (translated & publicly
Constructive: no ranking; emphasis on available)
assistance & exchange of knowledge 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
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

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

UNCAC self assessment

“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 checklist


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 Example
policies and practices 1. ACA
2. Government Inspectorate Authority (GIA)
1. Each State Party shall, in accordance 3. Ministry of Justice (MoJ)
4. Ministry of Foreign Affairs (MoFA)
with the fundamental principles of its 5. Presidential Office
legal system, develop and implement 6. Prime Minister’s Office
or maintain effective, coordinated 7. Parliament
8. Public Administration School or Research Institute
anticorruption policies that promote 9. Public Administration and Civil Service Authority (PACSA)
the participation of society and reflect 10. Ministry of Labour
the principles of the rule of law, proper 11. Ministry of Education
12. Ministry of Finance
management of public affairs and 13. Ministry of National Defence
public property, integrity, transparency 14. Ministry of Public Security
and accountability. [...] 15. Ministry of Information and Culture
16. Ministry of Industry and Trade
17. Ministry of Agriculture and Forestry
18. Ministry of Energy and Mines
19. Ministry of Planning and Investment
20. Ministry of Public Works and Transportation
21. Association of local authorities
22. Central Bank
23. Association of Journalists
24. National Business Association
25. Trade Union Representative

Identification of responsibilities, example

Article 7. Public sector 1. ACA
2. Government Inspectorate
1. Each State Party shall, where appropriate and in
Authority
accordance with the fundamental principles of its
3. Party Central Committee
legal system, endeavour to adopt, maintain and
Organisation Board
strengthen systems for the recruitment, hiring, 4. National Academy of Politics
retention, promotion and retirement of civil servants and Public Administration
and, where appropriate, other non-elected public 5. Public Administration and Civil
officials [...] Service Authority
6. University Faculty of Law and
Political Science
7. Ministry of Justice
8. Presidential Office
9. Prime Minister Office


Phases:
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.


Guidelines for data collection
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?

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
Francesco.checchi@undp.org


UN Convention against Corruption - Implementation Review Mechanism

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