irst uarter 2010 rogress eport - undp - …...april 2010. the final report will be circulated on 06...

IraqIraq

SUPPORTING IRAQI COMPLIANCE WITH

THE UNITED NATIONS CONVENTION

AGAINST CORRUPTION (UNCAC) AND

COMBATING CORRUPTION AT THE

GOVERNORATE LEVEL

FIRST QUARTER - 2010

PROGRESS REPORT # 6

IMPLEMENTED BY THE UNITED NATIONS DEVELOPMENT PROGRAMME

(UNDP) AND THE UNITED NATIONS OFFICE ON DRUGS AND CRIME (UNODC)

FUNDED BY THE UNITED STATES DEPARTMENT OF STATE

JANUARY - MARCH 2010

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Table of Contents

1. SUMMARY OF ACTIVITIES DURING THE REPORTING PERIOD 3

2. BACKGROUND TO THE PROJECT 7

3. PROGRESS ACHIEVED IN 1TH QUARTER 2010 AS PER THE PROJECT WORK PLAN 9

4. PROPOSED ACTIVITY REVISION 16

5. EXPENDITURES 17

ANNEX 1: APPROVING THE NACS BY THE GOI 18

ANNEX 2: PRESS RELEASE - UNDP, UNODC HELP IRAQ COMBAT CORRUPTION 21

ANNEX 3: CHRONOLOGY OF EVENTS FOR DEVELOPING THE IRAQ NATIONAL ANTI-CORRUPTION STRATEGY (NACS) 23

ANNEX 4: TRAINING OF TRAINERS ON THE DISSEMINATION AND THE ROLL-OUT OF THE NATIONAL ANTI-CORRUPTION STRATEGY 24

ANNEX 5- WORKSHOP ON MUTUAL LEGAL ASSISTANCE REQUESTS IN CORRUPTION INVESTIGATIONS AND ASSET RECOVERY OPERATIONS 32

ANNEX 6 - WORKSHOP ON STRENGTHENING REGIONAL COOPERATION IN THE AREA OF ASSET RECOVERY 37

ANNEX 7 – CONCLUSION OF THE CONFERENCE ON STRENGTHENING REGIONAL COOPERATION IN THE AREA OF ASSET RECOVERY 42

ANNEX 8 - REGIONAL WORKSHOP ON “STRENGTHENING RANSPARENCY INTEGRITY IN THE PRIVATE SECTOR IN ARAB COUNTRIES” 43

ANNEX 9: ENFORCEMENT PROPOSAL (DRAFT) 53

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1. Summary of Activities during the Reporting Period Introduction - In March 2008 the Government of Iraq ratified the United Nations Convention against Corruption (UNCAC) creating a framework with globally endorsed tools and standards for its commitment to combat corruption. In conjunction with the UNCAC ratification, the Government requested UNDP and UNODC to develop a comprehensive programme of assistance with the purpose to establish an effective anticorruption system in Iraq over a five year period. An integral part of this programme is a US Department of State-supported joint UNDP/UNODC programme “Supporting Iraqi Compliance with the United Nations Convention against Corruption (UNCAC), and Combating Corruption at the Governorate Level”. This is the sixth quarterly report of this programme, corresponding to the period January - March 2010.

National Anti-Corruption Strategy (NACS) – The United Nations Development Programme (UNDP) and the United Nations Office on Drugs and Crime (UNODC) provided technical assistance over the past 18 months to the Iraqi Government for the formulation of the National Anti-Corruption Strategy, which was successfully finalized in October 2009.

On 14 January 2010, the official Iraqi government spokesman Ali Al-Dabbagh declared that the Council of Ministers has approved the National Anti-Corruption Strategy (NACS) for 2010-2014and ordered its application by the all the ministries, governorates and competent authorities mentioned in the Strategy. The Government declared that the Strategy is approved in order to bring about a genuine administrative reform, materialize the principles of the rule of law, ensure the well delivery of services, develop the management of financial affairs and public property, spread the integrity, transparency and human rights culture and activate supervision and accountability procedures (Annex 1). On 24 March 2010, lead by the Prime Minister Mr. Nuri Al-Maliki, the Iraq government launched the country’s first Anti-Corruption Strategy. The Prime Minister emphasized the importance of building an anti-corruption culture across all governmental institutions and educational curriculums, as well as amongst the general public, noting the new strategy is a victory for the people of Iraq (Annex 2). A brief chronology of the events in development of the Anti-Corruption Strategy is illustrated in (Annex 3). Implementation and Roll-Out of the NACS to the Governorates – Great progress was achieved during this quarter by UNDP, UNODC and the Wide Expert Team (NACS-WET) in accordance to the agreed plan for the Roll-Out of the NACS. Under the technical assistance of UNDP/UNODC, a final training for the NACS-WET was conducted in a workshop in Amman on 14-19 February 2010. The session was attended by 42 members of the NACS-WET representing COI, BSA, IGs offices, NGOs, Shura Council - Judiciary, Academia, Media, Law Association and the Parliament. The training was facilitated jointly by UNDP and UNODC and covered the areas of methodology and expected outcome of the “Training of Trainers” exercise; overview on the

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self-assessment exercise; presenting the new comprehensive self-assessment checklist; overview of the UNCAC legal and regulatory framework: review conducted for Iraq; anti-money laundering and mutual legal assistance framework; UNCAC principles and Iraqi equivalents (Annex 4). Agreements were made on (a) approving the outline of the training curricula; (b) identifying the 18 first tier trainers from the NACS-WET; and (c) identifying the number of planned second tier trainers and the entities at which they work. The 18 first tier trainers formed three subgroups: (a) the Legislative and Institutional Frameworks for Combating Corruption Team; (b) the National Strategy for Combating Corruption Team; and (c) the Citizenship Curricula Team. Tasks and target dates were agreed on to finalize and roll out the training plan nationwide. These tasks were:

NACS-WET produced a final list of second tier trainers (260 trainers) by 15 March 2010,

The team of 18 first-tier trainers prepared the final curricula and reviewed by UNDP/UNODC by 15 April 2010,

Final training curricula were printed and dispatched to CoI on 21 April 2010.

COI will finalize plans for their nationally-owned train-the-trainer centralized plan, which will be launched for the second-tier trainers. Each of the entities participating in the first wave of training will then prepare their own training plans by 02 May 2010, and launch their campaigns in June. By the end of August, an assessment will be conducted of the trainings done to date. The second phase of the training campaign will then be rolled out in mid-September.

On 19 February 2010 (last day of the workshop), a delegation of U.S. officials from Baghdad and Washington, D.C. attended the workshop. The delegation was lead by Dr. Eric Jones (Team Leader in the Office of Iraq Economic and Assistance Affairs, Bureau of Near East Affairs, U.S. Department of State, Washington, D.C.), Ms. Patricia Bergstresser (Public Diplomacy Advisor from the Department of State), Vince Foulk (Senior Consultant –ACCO, U.S. Embassy in Baghdad) and Mark Wilson, (U.S. Embassy in Amman). Dr. Jones addressed the Iraqi delegation and was also briefed by them on the results of the workshop. He expressed his satisfaction with the progress and commitments of the GOI and UNDP/UNODC. During this workshop, it was recommended to designate a central authority in line with Article 46(13) of the UNCAC for the purposes of international cooperation. As a follow up and in response to this issue, the GOI – PM (through the Council of Ministers) issued an order on 21 Feb 2010 designating the CoI as the central authority for international cooperation under the UNCAC. Following the workshop and in order to formalize the work plan for the Roll-Out of the NACS, CoI acquired a ministerial order for the formation of the NACS- WET and the approval of its members by the Council of Minister

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Good Governance/Integrity Survey - The Integrity and Transparency Survey was carried out within the framework of the “Joint UNDP/UNODC Assistance to the Government of Iraq to Combat Corruption through Policy Support and Compliance with the United Nations Convention against Corruption (UNCAC)”. It investigates integrity and working conditions of civil servants through a newly developed survey tool. The survey was conducted by COSIT from December 2009 to January 2010 and it covered four ministries (Ministry of Trade, Ministry of Communication, Ministry of Housing, Ministry of Labor and Social Affairs) and was limited to four governorates of Iraq (Baghdad, Babil, Thi-Qar and Al-Anbar). A random sample of 4,000 employees was drawn and face-to-face interviews were held. Strict procedures were followed in order to ensure confidentiality of replies to the questionnaire and create an enabling environment for interviewees. Data were re-entered by the UNODC experts in Vienna to ensure the integrity and consistency of the data. Initial results were reviewed by the experts from UNODC and COSIT. The final report will be discussed between UNDP, UNODC, COSIT and Kurdistan Region Statistic Office (KRSO) on 27 April 2010. The final report will be circulated on 06 May 2010. Two other issues will be discussed in this meeting, these are:

Develop an appropriate work plan for the second stage - assessment at the nature, location, causes and consequence of corruption in Iraq as well as an assessment of the legal institutional and operational anti corruption capacities to be conducted in 20 key public institution.

Development of long term corruption monitoring system including pilots, feasibility study of a survey or a survey module targeting household.

Workshop on Mutual Legal Assistance Requests in Corruption Investigations and Asset Recovery Operations – In accordance with the project work plan ‘Conduct workshop on model law on anti -money laundering and counter terrorism financing’, UNDP in collaboration with UNODC and the World Bank supported and organized a special workshop for a group of 15 Iraqis from the CoI and various staff from IGs offices on “Mutual Legal Assistance Requests in Corruption Investigations and Assets Recovery Operations”, on 8-9 March 2010 (Annex 4). The workshop covered regulatory and legal framework in addition to providing training on technical electronic application (Writer Tool – AML). The followings were discussed under the regulatory and legal framework:

Mechanisms available to countries in order to confiscate assets abroad.

This included Introduction to extradition and MLA framework, recovery through international cooperation (Art. 54 of UNCAC) and to permit confiscation on basis of money-laundering related offences.

The legal and regulatory framework in Iraq and its implications for international Cooperation.

General principles and requirements of mutual legal assistance. Following the workshop, five members of the Iraqi Delegation headed by Judge Raheem Aligeeli – Commissioner of CoI attended a conference that was organized by UNODC and the World Bank (took place in the same venue) on “STRENGTHENING REGIONAL COOPERATION IN THE AREA OF ASSET RECOVERY”.

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In addition to experts from UNODC and the World Bank, the conference was attended by delegation from a number of Arab countries - Bahrain, Egypt, Iraq, Jordan, Kuwait, Lebanon, Libya, Morocco, Oman, Qatar, Saudi Arabia, Tunisia, Algeria, Palestine, Sudan and the United Arab Emirates. The aim of the conference was:

To be a forum for participants to exchange experience and address ways and means to coordinate policies and enhance cooperation, create or improve open channels for communication and prioritize technical assistance in the region.

To build upon the existing Arab anti-corruption practitioners network (ACINET). In particular, to enhance regional capacity by increasing coordination efforts in the area of international stolen asset recovery.

To provide an opportunity for the discussion of topics of regional interest raised during the third session of the Conference of the States Parties held in Doha, Qatar, from 9 to 13 November 2009.

Specific discussions and agreed outcome are documented in (Annex 7). Regional Workshop on “STRENGTHENING TRANSPARENCY INTEGRITY IN THE PRIVATE SECTOR IN ARAB COUNTRIES”- As indicated in the project work plan “training sessions for government officials and key private sector groups on the UNCAC and how to promote transparency”, UNDP in collaboration with the Programme of Governance in the Arab Region (UNDP-POGAR) and OECD supported an Iraqi delegation of five people to attend this workshop, 16-17 March 2010 in Bahrain. Other participating countries were Saudi Arabia, Lebanon, Egypt, Bahrain, Egypt and Palestine. This regional workshop was driven by the increasing attention paid by governments, the business community and international organisations on transparency and integrity in the private sector. It sought to promote international principles and best practices in this area including the requirements of the United Nations Convention against Corruption (UNCAC) which , inter alia, for preventive (article 12) and punitive (articles 22, 23) anti-corruption measures in the private sector, as well for strengthening cooperation between national authorities and the private sector (article 39). Representatives from concerned national authorities as well as the private sector, civil society and specialized media discussed current policies and practices in light of regional and global instruments that impact transparency and integrity standards in the private sector. The workshop promoted familiarising participants with international anti-corruption instruments and resulting integrity standards for the private sector, facilitating discussions on the need, usefulness and potentials of public-private consultations, raising awareness of the different international and national initiatives to increase private sector integrity, and provided examples and suggestions on how to apply the international integrity principles in the national context (Annex8). Legislative Drafting – In accordance with the Work Plan and responding to a technical request by the Commission of Integrity in the area of ‘Legislative Drafting’, UNDP-Iraq organized a program for building the legislative capacity of the legal staff of the Iraqi Commission of Integrity. As part of the program, initial training was conducted in December

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2009. An advanced and final training (Train-of-Trainers) was conducted on 15 – 25 March 2010. This training was conducted by a specialist international training centre (Sabra Group) covered the theory on the advanced technicalities of bill drafting, legal sentence, the structure of the legal sentence, and the rules of good drafting. The participants reviewed a proposed Iraqi bill on ‘Public Procurement’. The bill was analysed, evaluated and revised in view of the training received. Recommendations were made to the Iraqi Shura (Advisory) Council.

First Regional Training Session for Non-Governmental Practitioners on Anti-Corruption Assessments – UNDP supported two Iraqi NGOs representatives to attend this regional workshop which took place on 29-30 March 2010 in Beirut. The participants were introduced to basic concepts and experiences related to anti-corruption assessments, with a view to following up with a series of other activities over the next two years, specifically to the newly adopted mechanism for the review of implementation of the UNCAC, explaining the overarching need for country-led assessments to generate actionable and action-worthy data, enabling participants to distinguish three different ways of measuring corruption, explain the tradeoffs of experience and perception data, and select balanced sets of corruption indicators. The participants were also trained on using the new UNCAC Self Assessment Checklist.

2. Background to the Project

Post-conflict reconstruction is normally characterized by large scale injection of resources in an environment where the legal and institutional frameworks are weak, fragile or inexistent and expertise scarce. Detection of crime is therefore generally low and enforcement difficult. Post-conflict governing structures are characteristically weak in terms of financial, fiscal, administrative and regulatory capacities with limited oversight over informal and sometimes criminalized sectors. The institutions are often transitional in nature, carrying little legitimacy, and therefore prone to capture by the privileged elite with access to power and resources. As a general rule, this lack of popular participation in reconstruction creates vulnerabilities to corruption, waste of available scarce resources, lack of maintenance and monitoring by beneficiaries and further delegitimizes government authority. At the first international anti-corruption conference, held in Baghdad on 7-8 March 2008, the Iraqi government, represented by the Deputy Prime Minister and the heads of the main anti-corruption bodies, namely the Commission of Integrity (COI), the Board of Supreme Audit (BSA), the Inspectors General (IG), the Joint Anti-Corruption Council (JACC), and the Parliamentary Committee of Integrity (COI-COR), confirmed their commitment to the effective implementation of the United Nations Convention Against Corruption (UNCAC). In this context, the Government declared its intention to develop a comprehensive national anti-corruption strategy, to review and streamline the existing legal and institutional framework, to establish effective preventive measures, such as codes of conduct, asset declaration systems, and effective auditing standards, to promote ethical conduct, transparency and accountability throughout society, to design a public complaints and

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whistleblower protection system, and to build domestic capacities to recover the proceeds of corruption. The United Nations Convention against Corruption (UNCAC) was ratified by the Iraqi government on 17 March 2008. Consequently, there was an immediate need to strengthen the relevant legal and institutional anti-corruption framework as well as the related operational capacities of Iraq to effectively meet the requirements of the Convention and to respond to the Iraqi government’s commitment to implement the UNCAC. UNDP Iraq and UNODC jointly drafted a five year programme to support an effective anti-corruption system in Iraq, with a framework of Iraqi Compliance with the United Nations Convention Against Corruption. An integral part of this programme is a US State Department-supported joint UNDP/UNODC programme. Under the programme, two projects, as follows, were developed by UNDP and UNODC and funded by the U.S. Embassy in Baghdad: “1. Supporting Iraqi Compliance with the United Nations Convention against Corruption (UNCAC), and 2. Combating Corruption at the Governorate Level”. Project 1: Joint UNDP/UNODC assistance to the Government of Iraq to combat corruption through policy support for compliance with the United Nations Convention against Corruption, including:

I. Conduct comprehensive anti-corruption assessments; II. Development of a comprehensive national anti-corruption strategy;

III. Technical assistance and training for UNCAC compliance. Project 2: Joint UNDP/UNODC assistance to the Government of Iraq to combat corruption at the Regional and Governorate Level, including:

I. Anti-corruption training for newly elected officials; II. Anti-corruption training for middle level managers in the governorates;

III. Assist in developing prevention and enforcement capacity of BSA, CoI and the IGs at regional and governorates levels;

IV. Develop and introduce anti-corruption curricula in primary and secondary schools at regional and governorate levels.

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3. Progress Achieved in 1th Quarter 2010 as per the Project Work Plan

Output 1.1 Institutional Anticorruption Assessment and Governance Survey completed

Targets as per the work plan :

1.1.1 Baseline data on perceptions of accountability,

transparency and public participation in governance

processes to be compiled and Good Governance

Survey to be completed.

Work Plan , Q2-2009

1.1.2 Training with formation of a corruption

assessment team including COSIT, BSA, CoI, and IG

staff on development and implementation of

corruption assessment methodologies and tools;

identification of indicators and focus groups; data

analysis; presentation and research based policy

formulation to be carried out.

Work Plan Q3-2009

1.1.3 Assessment on the nature, location, causes and

consequences of corruption in Iraq as well as an

assessment of the legal, institutional and operational

anticorruption capacities to be conducted in 20 key

Public institutions.

Work Plan Q1-2011

1.1.4 Development of long-term corruption monitoring

system, including pilot/feasibility study of a survey (or

a survey module) targeting households. Work Plan Q4-2009

Status:

Ongoing-

Completion

by Q1 2010

Completed

Q1 2010

Ongoing -

On time in

accordance

to the

Work Plan

Planned

Progress/activities during the period:

1.1.1 Appointment of national researcher for the Survey.

1.1.1 Development and finalization of survey tools (sample design and questionnaire)for good governance

survey,

1.1.1 Survey fieldwork conducted in 4 ministries (Labour and Social Affairs, Trade, Housing and

Construction, Communications),

1.1.1 Survey fieldwork conducted in four governorates (Babylon, Al-Anbar, Baghdad, Thi-Qar),

1.1.1 Completed survey questionnaires checked and coded by COSIT with technical assistant by National

researcher and UNODC,

1.1.1 Completion of Phase I by 15 Feb 2010 (Phase I – conduct the survey in four ministries, in four

governorates),

1.1.1 Obtain initial evaluation of the National survey,

1.1.2 COSIT to conduct train-the-trainers on the Good Governance Survey- scheduled for 20 Jan 2010,

1.1.3 Final draft report on Phase I reviewed by COSIT, Kurdistan Regional Statistic Office (KRSO),

UNDP and UNODC, due to be issued on 22 May 2010,

Planned Activities:

1.1.3 Meeting with COSIT, KRSO, UNDP and UNODC to discuss plans, fieldwork, selection criteria

and time scale for Phase II by 27th

April 2010

1.1.1 Evaluation of Phase I (by 22 May 2010)

1.1.3 Detailed activity plan to be presented by 28th

May 2010.

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Output 1.2

National Anti-Corruption Strategy Developed


1.2.1 Establish and equip a national anticorruption

working group comprising representatives from JACC,

BSA, CoI, IGs, Central Bank and Money Laundering

Office, and CoR Commission of Integrity.

Work Plan Q2-2009.

1.2.2 Undertake national and governorate level

consultation meetings to solicit inputs for the

formulation of the national anticorruption strategy

Work Plan Q3-2009

1.2.3 National conference to present, review and

finalize the draft national anticorruption strategy

Work Plan Q3-2009

1.2.4 Print, disseminate and promote the finalized

national anticorruption strategy

Work Plan Q2-2011

Status

Completed

Q4-2009

Completed

Q3-2009

Completed

Q3-2009

Completed

Q1- 2010.


1.2.1, and 1.2.2 Activities completed as previously reported.

1.2.3 Activity completed as previously reported (national conference was replaced by an official process

of written consultation by the JACC)

1.2.4 The National Anti-Corruption Strategy (NACS) was finalized in October 2009,

1.2.4 NACS was circulated by the JACC to the Council of Representatives, Ministers, Governorates,

Provincial Councils and high level key personnel for approval,

1.2.4 Approval and positive feedback received by the JACC,

1.2.4 NACS was printed in Arabic version (1680 copies),

1.2.4 Dissemination plan for the NACS is in place pending official launching of the NACS (expected to

be launched after the March 2010 election).

1.2.4 Implementation and Roll-out plan for the NACS including the governorates was established

(Annex 1 and Annex 2).

1.2.4 Nomination and selection of experts ‘Wide Experts Team (WET)’ for the Implementation and

Roll-Out was established.

1.2.4 Developing and training WET to become master trainers (ToT basis) for the Implementation Roll-

Out to the governorates is underway. First meeting of WET in December 2009, training plan including

content agreed by WET, ToT scheduled for 14-18 February 2010.

1.2.4 The Strategy will be officially launched in March 2010 in Baghdad.

1.2.4 Hold further training sessions for WET, aiming to complete all training necessary by Q1-2010.

1.2.4 Nomination and selection of trainers in the governorates for the Roll-Out.

1.2.4 Develop material for training in accordance to the developed plan (Annex 1 &2).

Planned Activities:

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Output 1.3 Iraqi compliance with the UNCAC achieved through technical assistance and training


1.3.1 Based on the findings from the legal assessment

and self assessment, propose amendments to the

current legal framework and suggest new anti-

corruption laws.

Work Plan Q2- 2009

1.3.2 Conduct workshop on model law on anti -money

laundering and counter terrorism financing.

Work Plan Q3 - 2010

1.3.3 Representatives of relevant Iraqi Institutions to

attend a programme on legislative drafting.

Work Plan Q4-2010

Status

Completed

Q2 -2009

Completed

Q1 - 2010

Completed

Q1 - 2010


1.3.1 In depth assessment was conducted with technical assistance from UNDP and UNODC, resulting

in 39 recommendations on current legal framework.

1.3.1 Six committees were established to look into:

Financing Political parties,

Right of Information,

Civil Service Law,

Public Servants and Anti-Corruption,

Code of Conduct,

Civil Society

1.3.1Training on ‘Legislative Drafting’ conducted 14 Dec.2009-16 Jan. 2010 resulted in developing a

draft Law on Anti-Corruption.

1.3.1 Working sessions with the Wide Expert Team on amendment of the legal framework and

finalizing Draft Anti-Corruption Law.

1.3.2 Workshop conducted on Anti-Money Laundering and Counter Terrorism in July 2009. Further

workshop will take place in Q1 2010.

1.3.2 Further sessions on AML and Stolen Assets Recovery in March 2010.

1.3.3 Phase I and II of ‘Legislative Drafting’ were completed in Q4 2009 and Q1 2010 respectively. The

training consisted of Theory of Modern Legislative Drafting, practical session where existing/new laws

were drafted and finally field visits and job shadow in Lebanon. Phase II will be advanced Legislative

Drafting and ToT.

1.3.3 As a result of this training, drafts of four laws were developed;

Draft Anti-Corruption Law,

Draft Conflict of Interest Law,

Draft Witnesses and Whistleblower Protection Law,

Draft Government Procurement Law,

1.3.3 Phase II and III – Advance Training on Legislative drafting (for 10 CoI staff – March 2010).

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1.3.4 Conduct workshop on witness and whistleblower

protection.

Work Plan Q3 2009

1.3.5 - 20 training sessions for government officials

and key private sector groups on the UNCAC, and

how to promote transparency

Work Plan Q1 - 2010

1.3.6 Analyse Iraqi compliance with UNCAC and

propose amendments and new laws as appropriate Work Plan Q4-2010

Completed

ongoing

Planned

1.3.4 Held a workshop in December 2009 to assist Iraq in its efforts to create a draft law on Witness

Protection This was conducted by Sabra Group (see 1.3.3on draft legislation).

1.3.4 Reference material was provided, and included the UNODC Model Law on Witness Protection and

Arabic language copies of the 2008 UNODC publication “Good Practices on the Protection of Witnesses

in Criminal Proceedings.” Examples of witness protection laws were also provided.

1.3.4 Training on ‘Legislative Draft’ resulted in developing a draft Law on Witness and Whistleblower

Protection.

1.3.4 Provide Training on Witnesses and Whistleblower Protection through the Legislative Drafting in

Q1 2010.

1.3.5 Four sessions (as previously reported in Q2 and Q3 2009) took place where participation included

the Commission of Integrity, The Central Bank, Central Statistical and Information Office, Inspectors

general, Board of Supreme Audit, NGOs and members of the Parliament.

1.3.5 Four sessions were held in Q1 2010 in (Amman, Bahrain and Beirut).

Iraqi delegation comprising JACC, BSA, CoI and IGs were supported to participate in the annual United

Nations Conference of the State Parties COSPIII, held in Doha in November 2009.

1.3.6 Scheduled for Q1–2, 2010 in accordance to the project work-plan

Planned Activities:

1.3.5 Further two sessions on UNCAC scheduled on 02 April 2010 and 09 April 2010.

1.3.6 Scheduled for Q1–2, 2010 in accordance to the project work-plan

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Output 2.1 Public Awareness on Accountability and Integrity Enhanced, with Scrutiny of Public Decision Makers Increased


2.1.1 Two orientation workshops on public

accountability and integrity outreach to be conducted

for representatives from governorate level

administrations in Baghdad (45 governorate

representatives for each meeting)

Work Plan Q3-2009

2.1.2 Public service announcements to be prepared and

launched by governorate level representatives in

collaboration with the CoI.

Work Plan Q4-2010

Status

Planned

Planned


2.1.1. Coordination is underway between UNDP, UNODC, WET and the Commission of Integrity to hold

the first orientation workshop in Arbil in Q2-2010. Governors, provincial councils staff, governorates

judiciary staff will be invited to attend this event

Planned Activities:

2.1.1 Preparation work is underway to conduct Orientation workshops on public accountability and

integrity to be conducted for representatives from governorate level administration in Arbil Q2 - 2010.

2.1.2 In line with a proposal put to ACCO – US Embassy/Baghdad, this activity is proposed to be

curtailed to information campaigns to support the Roll-Out of the NACS that will be launched by

governorate level representatives of the locally based Commission of Integrity offices.

Output 2.2 Integrity related rights and responsibilities under the law well understood by newly elected officials

Targets as per the project plans :

2.2.1 36 workshops on ethics, responsibilities and

obligations under the law with emphasis on how to

promote transparency and accountability to be carried

out in all governorates

Work PlanQ4-2010

Status

Planned

Progress/activities during the period: 2.2.1 Workshop content and delivery modalities decided by the Experts Team in Dec 2009 and roll-out

planning underway

2.2.1 Preparation work is underway through the work-plan designed by the Wide Experts Team to

conduct workshops in each governorate on ethics, responsibilities and obligations under the law with

emphasis on how to promote transparency and accountability.

Planned Activities: 2.2.1 Multi sessions are scheduled to start 10 June 2010

Output 2.3 Accountability and Integrity related rights and responsibilities under the law well understood by Senior and Middle Level Managers of the Local

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Administrations

Target as per the work plan : 2.3.1 - 36 workshops on ethics, responsibilities and

obligations under the law, including how to practice

and promote transparency and accountability

Work Plan Q4 - 2010

Status

Planned

Q2-Q4 2010

Progress/activities during the period: 2.3.1 Workshop content and delivery modalities decided by the Experts Team in Dec 2009 and roll-out

planning underway

2.3.1 Preparation work is underway through the work-plan designed by the Wide Experts Team to

conduct workshops in each governorate on ethics, responsibilities and obligations under the law with

emphasis on how to promote transparency and accountability.

Planned Activities: 2.3.1 Multi sessions are scheduled to start 10 June 2010

Output 2.4 Prevention and Enforcement capacity of BSA, CoI and the IGs strengthened at the Regional and Governorate levels

Target as per the work plan : 2.4.1 Development of Standard Operating Procedures for

BSA audits, IG inspections, and CoI investigations for

regional and governorate level institutions

Work Plan Q4 - 2009

2.4.2 Training of trainers for BSA, CoI and IGs on the

Standard Operating Procedures

Work Plan Q2- 2010

2.4.3 Implementation of IT tools to combat corruption at the

regional level.

Work Plan Q4- 2010

Status

ongoing

ongoing

ongoing


2.4.1.& 2.4.2 UNDP sought the British National Audit Organization (NAO) technical support in developing Standard

Operating Procedures (SOP) for BSA audits, IG and CoI in the area of Performance Audit, Fraud Audit and Audit

reporting. NAO proposed a programme for developing SOPs that is under currently under discussion.

2.4.1 & 2.4.2Discussion with BSA, IGs and CoI is underway to establish need assessment for IT tools to combat

corruption at the regional level. 2.4.1 & 2.4.2 Terms Of reference are prepared in coordination with UN Procurement hiring specialist on the SOPs for

the relevant above

Planned Activities:

2.4.1 Development of Standard Operating Procedures for BSA audits, IG inspections, and CoI. 2.4.2 Training of trainers for BSA, CoI and IGs on developing Standard Operating Procedures. 2.4.3 Implementation of IT tools to combat corruption at the regional level

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Output 2.5 Anticorruption Curricula in Primary and Secondary Schools at Governorate level Developed

Targets as per the work plan : 2.5.1 Development of pilot anticorruption curriculum

for primary and secondary level schools in 3

governorates

Work Plan Q4 - 2010

2.5.2Training of Trainers for 36 teachers representing 9

primary and 9 secondary level schools from 3 pilot

governorates

Work Plan Q3-2009 toQ4- 2010

2.5.3Translation and reproduction of training and

educational material

Work Plan Q3-2009 toQ4- 2010

Status

Ongoing

Progress/activities during the period: 2.5.1 Held initial discussion with the Commission of Integrity on the requirements, curriculum and

stakeholders involved.

2.5.1Held initial discussion with the IG for the Ministry of Education to identify the appropriate

mechanism to develop the principals and the correct way to go about it

Planned Activities:

2.5.1 Development of pilot anticorruption curriculum for primary and secondary level schools in 3

governorates.

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4. Proposed Activity Revision Criminalisation and Law Enforcement – In accordance with UNCAC Chapters III, IV and V, the GoI has requested UNDP to assist anticorruption agencies and judicial practitioners to improve the practice of investigation, prosecution and trial of corruption crimes. Specifically, joint training on the UNCAC and on the criminalisation of corruption has been discussed with the COI and with the Chief Justice. Such joint training would enhance the interaction between the COI and the judiciary, in the investigation and prosecution of corruption crimes. During the reporting period, UNDP technical staff discussed with the ACCO and with Iraqi counterparts the needs and possible activities to support a more effective enforcement process within existing Iraqi laws. A draft activity plan was developed and discussed with ACCO in December 2009. Further discussions are taking place with Iraqi counterparts in the First Quarter of 2010, and a proposal for a Project Amendment will be forwarded to the Department of State Grants Officer once agreement on the proposed activities is finalised with the COI and the High Judicial Council. Attached as Annex 9 is the first draft, as developed during this reporting period. The proposed activities are planned over 18 months, as follows (see Annex 9):

1. Create an inventory for Iraq of corrupt acts and a compendium of legal instruments to prosecute corruption crimes

2. Build a shared knowledge by the Commission of Integrity and Judicial practitioners, of the inventory of corrupt acts and the compendium of legal instruments

3. Develop a common standard practice of investigation and prosecution of corruption, based on the inventory and the compendium

4. Produce benchmarks for results and quality improvement for the CoI and Judiciary 5. Provide a handbook of information on prosecution of corruption crimes to the

general public, victims and defendants.

17

5. Expenditures

ACTIVITY Planned TOTAL $ Q1 - 2009 Q2 - 2009

Q3 – 2009

Q4 - 2009

Q1 - 2010

Cumulative TOTAL $

1.1 Conduct Comprehensive AC Assessments 949,612

151,862

46,002

80,309 287,022 20,670 585,865

1.2 Development of a comprehensive National AC Strategy 889,110

-----------

44,600

104,081 370,604 286,875 806,160

1.3 Technical assistance and training for UNCAC compliance 781,630

22,327

47,618

169,911 419,389 22,385 681,630

2.1 Public information 1,062,824

0

2.2 Training in anti-corruption for newly elected public officials

688,776

100,000 100,000

2.3 Training for senior and middle managers of the local administrations

688,776

100,000 100,000

2.4 Development of the COI, BSA and IGs capacity for prevention and enforcement at the regional and governorate levels

1,168,976

1,647 1,647

2.5 Development and pilot implementation of anti-corruption curriculum in primary and secondary schools under regional or governorate administration.

410,296

758 758

Sub-total activities 6,640,000

174,189

138,219

354,301 1,277,015 332,335 2,276,060

UNDP & UNODC technical and management costs (17%) 1,360,000

42,880

25,000

60,231 217,093 56,497 401,701

GRAND TOTAL 8,000,000

217,069

163,219

414,532 1,494,107 388,833 2,677,761

18

Annex 1: Approving the NACS By the GoI

Date: 14 Jan. 2010

Al-Dabbagh: National Anti-Corruption Strategy for 2010-2014 approved by the Council of Ministers

The official Iraqi government spokesman Ali Al-Dabbagh declared that the Council of Ministers has approved the National Anti-Corruption Strategy for 2010-2014 put forward by the Joint Anti-Corruption Council in Iraq and ordered its application by the all the ministries, governorates and competent authorities mentioned in the Strategy.

Ali Al-Dabbagh pointed out that this Strategy is approved in order to bring about a genuine administrative reform, materialize the principles of the rule of law, ensure the well delivery of services, develop the management of financial affairs and public property, spread the integrity, transparency and human rights culture and activate supervision and accountability procedures.

All the necessary measures of the detailed action plan have been established in order to tackle the negative effects and fight corruption for the period 2010-2014 by activating the preventative and remedial measures to address the negative effects resulted from the performance of state institutions.

These measures have been designed in the framework of efficient and coordinated economic reform policies in consistency with the United Nations Convention against Corruption (UNCAC), which guarantees the community participation to restrain the potential or diagnosed negative effects and accurately identify their causes and distinguish between corruption as a phenomenon and poor performance.

The action plan defines corruption as a phenomenon, tracks the impact of its span, explains the purpose of tackling it, sets the necessary time-frame for that process, names the organizations in charge of implementation and follow-up an specifies the treatment indicators.

The action plan includes all the relevant areas: legislative system, political system, judicial system, elections, education, higher education, industry, mining, agriculture, irrigation, environment protection, municipalities, public works, culture, justice system, trade, labor and social affairs, health, planning, developmental cooperation, oil, religious affairs, financial affairs, public phenomena and varied phenomena.

Al-Dabbagh pointed out that the Strategy is both a vision and a mission whose roots stem from meditation and logic and is based on management and anti-crime management. This Strategy is mixed with the global experiences in this field and is considered the first of its kind in Iraq's history given that it is a road map that details the role of individuals and institutions in protecting society, tackling corruption symptoms and preventing them.

All efforts were united in Iraq to curb and contain the grave dangers of administrative corruption in the country through a number of control, legislative and executive measures.

19

Amongst these measures was the creation of Iraq Commission of Integrity (COI) and the Inspector General offices at all ministries, in addition to the Board of Supreme Audit which has been in existence since the 1920s.

The creation of the Joint Anti-Corruption Council (JACC) in 2007 to function as the all-inclusive coordinating framework of all bodies in charge of anti-corruption and law enforcement was the culmination of all these efforts.

Over the past few months the Joint Anti-Corruption Council managed to formulate the National Anti-Corruption Strategy for 2010-2014, which responds to UNCAC ratified by Iraq in 2008, in order to be a comprehensive and detailed plan and a guidebook to tackle corruption on all levels.

The Strategy has balanced preventative and deterrent elements and is designed to fight corruption from the top of the pyramid downwards.

Al-Dabbag added that the Strategy has been formulated based upon item 1 of article 5 of UNCAC ratified by Iraq by virtue of Law 35 of 2008.

Specific standards have been adopted for arranging priorities and results and analyzing the internal work environment and implementing the political program adopted by the national government.

In addition, the negative effects of corruption and corruption-related crimes have been accurately identified and defined and this process is associated with constant review, development of the capacity of performance self-control and clear-cut identification performance goals and deviations, in addition to activating the efforts of state institutions in order to guarantee the coordination of interrelated tasks and activities and the best exploitation of economic anti-corruption resources by bringing about possible changes.

The mechanisms adopted to frame the Strategy are represented by the policies and regulations in force according to the progress of work, clarification of the role of government institutions, problem diagnosis, preparedness of human resources, availability of financial resources and other key requirements, setting of a deadline to implement each of the Strategy's items, distribution of responsibilities to implement the plan and the issuance of regular task execution follow-up reports by the institutions involved in light of the plan.

The thorough analysis of the work environment and correction paths showed lowered organizational performance efficiency of all state institutions, particularly in terms of the inability to diagnose the shortcomings of the organizational environments of these institutions, the lack of organizational values for performance, status of the creativity stimulant powers in the work environment and failure to apply scientific standards in the appointment of employees, particularly leaders, as a result of the quota system, the various political considerations, lack of teamwork, individualism in management and failure to formulate the necessary strategies, set priorities, draw up action plans, not to mention the bureaucratic complications and poor performance in the public services streamlining programs and the poor standard of educational and cultural programs designed to promote the values of integrity, transparency and accountability.

Al-Dabbagh demonstrated that one of the weaknesses of the work environment is the poor communication system and the insufficient flow of the necessary information to establish the

20

required database and the lack of information necessary for a correct and rational administrative decision-making.

In addition, poor control and internal auditing procedures deprives the work environment from the necessary advanced mechanisms to protect documents from forgery, not to mention failure to maintain the forms that should be circulated exclusively inside government institutions (resulting in forgers gaining access to these original forms).

Other notable weaknesses are the lack of interministerial and intergovernmental coordination and failure to adopt the job description system due to the lack of the of ignorance of the relevant regulations since they do not serve the personal agenda of some government departments or due to the nonexistence of these regulations in the first place, as it is the case for many positions created after the 2003 change.

Jurisdictions and administrative powers are often interpreted in the work environment due to the lack of clear instructions and this situation caused confusion, administrative misinterpretations and intergovernmental contradictions despite the similarity of positions that issue these interpretations.

This reality led to the flourishing of organized crime as a result of the deteriorating security situation after 2003 and the spread of incidents of intimidation and terrorism against employees of state institutions and control authorities given their role in the reform and anti-corruption process.

Al-Dabbagh underlined that corruption is more dangerous and more lethal than any other crime since it has not only political, economic, social and human repercussions but also affect the country as a whole and undermines national security and interests and damages state and national moral values.

Thus the media has a fundamental role to play through its various tools by using scientific and knowledge-based methods to execute strategic and community-oriented tasks closely associated with the success of the convincing efforts of the media in the field of fighting corruption.

The National Anti-Corruption Strategy designed implementation mechanisms supervised and directed by COI in execution of article six of UNCAC by forming expert teams consisting of representatives from CoI, Board of Supreme Audit, Inspectors General, Central Bureau for Statistics, NGOs, High Judiciary and the Iraqi National Bank, in addition to other representatives from various civil society organizations, media community and Iraqi universities and a representative from the UN as an observer.

This team is assigned to coordinate between all the bodies in charge of implementing UNCAC, organize regular meetings to discuss all relevant issues, design progress indicators, set up structures for programs and work guides to implement the Strategy, examine, analyze and refer the reports submitted by Inspector Generals and report the progress achieved to COI.

All experts at UN anti-corruption organizations have expressed their appreciation and admiration of this great national achievement and have decided to support the action plan by providing training for Iraqi cadres in order to implement the Strategy.

21

Annex 2: Press release - UNDP, UNODC help Iraq Combat Corruption

Baghdad – After suffering for decades from poor economic oversight and ineffective

administrative practices, Iraq’s government on Wednesday launched the country’s first Anti-

Corruption Strategy, developed with support from the United Nations Development Programme

(UNDP) and the United Nations Office on Drugs and Crime (UNODC).

“This is not a theoretical strategy, but one with a clear vision and tangible steps towards

combating corruption,” Nuri Al-Maliki, Iraq’s Prime Minister, stressed when introducing his

government’s national plan to fight graft.

At the same time he emphasized the importance of building an anti-corruption culture across all

governmental institutions and educational curriculums, as well as amongst the general public,

noting the new strategy is a victory for the people of Iraq.

The Special Representative of the Secretary-General for Iraq, Ad Melkert, commended the Iraqi

authorities and civil society organizations for developing such a comprehensive national strategy

to combat fraud, reiterating the UN’s continued support to stamp out corruption in the country.

“The United Nations, through UNDP, UNODC and with the support of international donors, are

privileged to have participated in providing technical assistance for the formulation of this

remarkable National Anti-Corruption Strategy,” Mr. Melkert said, adding: “We pledge the

continued support of the UN for the implementation of this plan.”

The first of its kind in Iraq, the National Anti-Corruption Strategy was produced through a broad

collaborative effort that included the Joint Anti-Corruption Council (JACC), the Commission on

Integrity, Board of Supreme Audit, Inspectors General, Committee of Integrity of the Council of

Representatives, Central Bank and several non-governmental organizations.

Based on an assessment of the country’s concerns and vulnerabilities on corruption - utilizing

globally recognized tools developed by UNODC - the strategy includes 200 action items to

combat graft.

Starting in June this year, it will be rolled out and presented to elected officials, civil servants,

religious and community leaders, civil society representatives and journalists across Iraq,

through a series of workshops taking place in all 18 governorates of the county. The six-month

campaign, ending in December, will also launch a national rally for integrity, coordinated by the

Commission on Integrity.

The Government of Iraq became a signatory to the United Nations Convention Against

22

Corruption (UNCAC) in March 2008, declaring it would develop and implement a comprehensive

national anti-corruption strategy.

To support this important commitment, UNDP and UNODC launched a five-year programme to

help Iraq fight corruption, including supporting the country’s compliance with UNCAC and the

development of the new strategy.

23

Annex 3: Chronology of Events for Developing the Iraq National Anti-Corruption Strategy (NACS)

Mar. 2008 - GoI ratified the UN Convention Against Corruption,

Sept. 2008 – High level delegation from the Commission on Integrity (COI) and Joint Anti-Corruption Council (JACC) together with UNDP, visited UNODC headquarters and were provided with 30 samples of national anti-corruption strategies,

Sept. – Oct. 2008 – JACC tasked Salim Poles to review all samples and identify the ones with similarity to Iraq. Five were identified,

Oct. –Dec. 2008 – Structure and contents for NACS were established in consultation with UNDP and UNODC, initial drafting of the NACS commenced during this period,

Jan. 2009 - GAP Analysis and In depth Self Assessment workshop was conducted by UNDP/UNODC with Iraqi delegation from anti-corruption entities; outcomes and recommendations of the workshop were incorporated into the early draft NACS,

Jan.-Feb. 2009 – First draft of the NACS was ready, circulated by the JACC to the anti-corruption entities for feedback,

Jan.-Apr 2009 – Technical assistance provided by UNDP and UNODC during missions to Baghdad,

Mar. 2009 – Second draft was completed and circulated to 56 key Iraqi institutions (ministries and governorates) for feedback,

Apr. 2009 - Second workshop on self analysis and compliance with UNCAC, with technical assistance from UNDP/UNODC, led to further recommendations and adjustments to the draft NACS,

May-Aug 2009 – on going consultations and adjustments of the draft NACS (based on feedback received from government entities),

Sept 2009 – 3-day technical workshop (7-9 Sept) for representatives from anti-corruption entities with technical assistance from UNDP/UNODC to finalize the draft NACS,

Sept. 2009 – High-level Roundtable of Iraqi AC Principals (10 Sept) agreed a final draft of the NACS,

Oct. 2009 – Arabic copies of the NACS printed, in readiness of an official launch of the NACS,

Nov. 2009 - Copies of the NACS circulated amongst members of the Council of Ministers and high level government key personnel for their approval,

Dec. 2009 - Approval of the NACS by the Council of Ministers,

Jan. 2010 – Formal government approval was communicated to the public, declared by Ali Aldabagh (official government spokesman) to the media,

Jan. 2010 – JACC proposed the 24 March 2010 as the official launch date for the strategy, in consideration of the 7 March election date.

Mar 2010 – Lead by the Prime Minister Mr. Nuri Al-Maliki, the Iraq government launched the country’s first Anti-Corruption Strategy.

24

Annex 4: Training of Trainers on the Dissemination and the Roll-out of the National Anti-Corruption Strategy PURPOSE: a. To co-organize the workshop on “Training of Trainers on the Dissemination and the Roll-Out of the National Anti-Corruption Strategy” held for the Government of Iraq as part of our joint UNODC/UNDP anti-corruption project. B To meet with the U.S. donors from Washington, D.C. and Baghdad, who deployed to Amman to observe the training and discuss implementation of our two UNCAC projects. BACKGROUND At the first international anti-corruption conference, held in Baghdad on 17-18 March 2008, the Iraqi government, represented by their deputy prime minister and the heads of the main anti-corruption bodies, namely the commission of integrity, the board of supreme audit, the Inspectors General, the joint anti-corruption council, the parliamentary committee on integrity, confirmed their commitment to the effective implementation of the convention. As part of this commitment, Iraq ratified the United Nations Convention against Corruption (UNCAC) during the conference. Consequently, there was an immediate need to strengthen the relevant legal and institutional anti-corruption framework as well as the related operational capacities of Iraq to effectively meet the requirements of the Convention and to respond to the Iraqi government commitment to implement the UNCAC. In response, UNODC and UNDP-Iraq jointly drafted a five year programme to build an effective anti-corruption system in Iraq. Under this programme, two projects were developed, which were funded by the U.S. Embassy in Baghdad.1 “Project 1: Joint UNDP/UNODC Assistance to the Government of Iraq to Combat Corruption through Policy Support and Compliance with the United Nations Convention against Corruption” has UNODC in the lead, with support from our UNDP-Iraq partners. (“Project 2: Joint UNDP/UNODC Assistance to the Government of Iraq to Combat Corruption at the Regional and Governorate Level” has UNDP-Iraq in the lead, with support from UNODC.) Under the above-discussed Project 1, UNODC made a commitment to (a) conduct a legal and regulatory review of Iraq’s laws and institutions, and (b) support Iraq in the development of their national anti-corruption strategy and action plan. Both of these tasks have been accomplished. Project 2 also tasked the project to assist Iraq in developing a training program at the national, regional, and governorate level to train on the UNCAC and the implementation of

25

the national anti-corruption plan. This workshop was designed to fulfill this commitment and to work with Iraqi officials on a train-the-trainer model. OUTCOME: A. Workshop On “Training of Trainers on the Dissemination and the

Roll-out of the National Anti-corruption Strategy.” (Agenda is attached as Annex

The workshop was jointly organized by UNODC and UNDP/Iraq. The workshop was organized on a train-the-trainer model, with the core Iraqi trainers to be provided with information on the Iraqi National Anti-Corruption Strategy and international principles including the UNCAC for their use in designing a training curriculum that will be rolled out at the national and governorate levels, with a target audience of approximately 100,000 Iraqis. Beyond receiving consolidated training together, the participants were formed three subgroups: (a) the Legislative and Institutional Frameworks for Combating Corruption Team; (b) the National Strategy for Combating Corruption Team; and (c) the Citizenship Curricula Team. At the conclusion of the workshop, the working groups made presentations on their respective areas of the curricula. Agreements were made on (a) approving the outline of the training curricula; (b) identifying the 18 first tier trainers; and (c) identifying the number of planned second tier trainers and the entities at which they work. A concrete timeline was agreed upon to finalize and roll out the training plan nationwide. The Iraqi COI will produce a final list of second tier trainers with three weeks of their return to Iraq. During this same period, the team of 18 first-tier trainers will prepare the final curricula and forward them to UNDP/UNODC, who will then approve and publish the curricula within two weeks. In early April, the COI will finalize plans for their nationally-owned train-the-trainer centralized plan, which will be launched for the second-tier trainers in April. Each of the entities participating in the first wave of training will then prepare their own training plans by May, and launch their campaigns in June. By the end of August, an assessment will be conducted of the trainings done to date. The second phase of the training campaign will then be rolled out in mid-September. Furthermore, criteria for selecting trainers and the qualifications trainers should possess were also identified during the workshop. The workshop was facilitated jointly with UNDP Iraq, Furthermore, UNODC provided substantive backstopping to the workshop in the areas of: methodology and expected outcome of the “Training of Trainers” exercise; overview on the self-assessment exercise; presenting the new comprehensive self-assessment checklist; overview of the UNCAC legal and regulatory framework: review conducted for Iraq; anti-money laundering and mutual legal assistance framework: UNCAC principles and Iraqi equivalents. Both of these dealt with the current state of Iraq’s implementation of the UNCAC, as well as relevant international good practices. Previously, Iraq has already implemented virtually

26

all of UNODC’s recommendations on reforming their anti-corruption legal and regulatory framework, either by including them in the new anti-corruption strategy or through the development of a package of reformed laws currently before Iraq’s parliament, the Council of Representatives. (It is anticipated that these draft laws will not be adopted until after upcoming elections.) However, during this workshop, it was recommended to designate a central authority under Article 46(13) of the UNCAC for the purposes of international cooperation. On a positive note, the Iraqi Council of Ministers, in response to this issue being raised in this workshop, designated the COI as the central authority for international cooperation under the UNCAC the following week. During the workshop, UNODC also provided substantive overview on the “UNODC/World Bank StAR (Stolen Asset Recovery) Initiative.” The Iraqis remain enthusiastic and committed to fully engaging with the Initiative. The Iraqis also indicated that they will be bring an actual grand corruption case to the 8-9 March 2010 mutual legal assistance training and practical exercise to be held in Cairo. They also welcomed the opportunity to liaise concretely with regional partners in their asset recovery efforts who will be attending the 10-11 March 2010 Regional StAR Initiative Conference, also in Cairo.

27

B. Meeting with U.S. Donor Delegation from Washington, D.C. and Baghdad On 19 February 2010, the last day of the workshop, we were visited by a delegation of U.S. officials from Baghdad and Washington, D.C. (As noted above, the U.S. is the primary donor of both of our joint UNODC/UNDP anti-corruption projects.) Leading the delegation was Dr. Eric Jones, who manages the projects as the recently appointed Team Leader in the Office of Iraq Economic and Assistance Affairs, Bureau of Near East Affairs, U.S. Department of State, Washington, D.C. Also travelling from Washington was Ms. Patricia Bergstresser a Public Diplomacy Advisor from the Department of State. Vince Foulk, a long-serving anti-corruption official from the Anti-Corruption Coordination Office (ACCO) of the U.S. Embassy in Baghdad, and Mark Wilson, the Second Secretary of the U.S. Embassy in Amman, who will be redeployed to Baghdad in the summer, also participated in the delegation. Dr. Jones addressed the Iraqi delegation and was also briefed by them on the results of the workshop. He also had several meetings with the UNODC team from Vienna and our UNDP-Iraq colleagues. FOLLOW-UP ACTION:

1. Upcoming regional workshop to be held in Cairo, including the 8-9 March 2010 Mutual Legal Assistance training occurring under the auspices of both the UNODC/UNDP joint project and the StAR Initiative, as well as the 10-11 March 2010 MENA Regional StAR Conference.

2. Upcoming workshop in Iraq, which will be held end April/beginning of May 2010 as part of the UNODC/UNDP joint project.

28

TRAINING OF TRAINERS ON THE DISSEMINATION

AND THE ROLL-OUT OF THE NATIONAL ANTI-CORRUPTION STRATEGY

AMMAN-JORDAN

14-18 FEBRUARY 2010

Sunday, 14 February 2010

09:30-

09:45

Welcome Remarks, Introduction and Purpose Judge Raheem Alegeeli, Commissioner of the Commission of Integrity. Mr. Emad Alemamie, Programme Manager, UNDP Judge Hatem Aly, Senior Crime Prevention Expert, UNODC

9.15-

10.15

Overview of the UNCAC

Overview of the UNCAC

Requirements for implementation Judge Hatem Aly, Senior Crime Prevention Expert, UNODC

10.15-

11.00

Institutional efforts in the compliance with UNCAC Judge Raheem Alegeeli, Commissioner of the Commission of Integrity.

Judge Raheem Alegeeli, Commissioner of the Commission of Integrity.

11.00-

11.30 Coffee and Tea Break

11.30-

12.00

Overview on the Self Assessment exercise Judge Hatem Aly, Senior Crime Prevention Expert, UNODC

12.00-

12.30

Presentation of the comprehensive (new) self-assessment checklist2 Judge Hatem Aly, Senior Crime Prevention Expert, UNODC

2 A newly developed self-assessment checklist approved at the latest conference of states

parties to the UNCAC in which Iraq is mandated to conduct in the near future.

29

12.30-

13.30

GAP analysis

Rationale

Findings and national recommendations Ms. Jouhaida Hanano, Information Systems Assistant, UNODC

13.30-


14.15-

15.15

Overview of the National Anti-Corruption Strategy Salim Poles, Inspector General – Ministry of Industry

15.15-

16.00

NACS Implementation and Roll-Out Dr. Khalid Almamoury, Wide Expert Team

Monday, 15 February 2010

09:30-

10:15

Overview on Legal regulatory framework Mr. Erik Larson, Crime Prevention Expert, UNODC

10.15-

11.00

Overview on Legal and regulatory review conducted for Iraq Mr. Erik Larson, Crime Prevention Expert, UNODC

11.00-


11.30-

12.00

Presentations of the committees’ work and review of the progress to date.3 Mr. Dhyaa Sheet, Inspector General – Ministry of Technology Judge Raheem Alegeeli, Commissioner of the Commission of Integrity Representative of each committee.

13.30-


14.15-

16.00

Open Discussion on Legislative, Legal issues and recommendations of the In-Depth Self Assessment. Judge Hatem Aly, Senior Crime Prevention Expert, UNODC

3 Each work committee is expected to present a brief report on its scope and progress of work

to trigger a discussion on the needed follow-up action.

30

Tuesday, 16 February 2010

09:30-

10:15

Anti-Money Laundering and Mutual Legal Assistance frameworks Mr. Erik Larson, Crime Prevention Expert, UNODC (Representatives of CoI and the Central Bank)

10.15-

11.00

Asset Recovery (StAR Initiative) Mr. Erik Larson, Crime Prevention Expert, UNODC

11.00-


11.30-

12.00

Training of Trainers Methodology and expected outcome Judge Hatem Aly, Senior Crime Prevention Expert, UNODC

12.00-

13.00

Training & the Roll-Out of the NACS Dr. Sabah Alhusaini

13.00-

13.30

Presentation on Legislation and Compliance with UNCAC Mr. Salim Poles

13.30-


14.15-

15.00

Presentation on NGOs role in Anti-Corruption Mrs. Tameem Alazawi

15.30-

16.00

Presentation on Citizenship and Anti-Corruption Dr. Jasim

31

Wednesday, 17 February 2010

09:30-

10:30

Survey and measurement Ms. Kholod Al-Ubaidy, Director General, COSIT (COSIT Team)

10.30-

11.00

Presentation on Awareness and Education. DG – Office of Education and Public Relations - CoI

11.00-


11.30-

12.00

Legislative Survey Salim Poles, Inspector General – Ministry of Industry

12.00-

13.00

Practical exercise on the development of assigned training materials on each of the above topics. Participants will be divided into working groups to incorporate notes, remarks, and inputs delivered on the different topics during the training of trainers exercise.

13.30-


14.15-

15.00

Practical exercise on the development of assigned training materials on each of the above topics. Participants will be divided into working groups to incorporate notes, remarks, and inputs delivered on the different topics during the training of trainers exercise.

Thursday, 18 February 2010

09:30-

14:30

Full day practical exercise on the development of assigned training materials on each of the above topics. Participants will be divided into working groups to incorporate notes, remarks, and inputs delivered on the different topics during the training of trainers exercise.

14.30-

16.30

Presentation and discussion of outcomes. Collated material will be used in the national/ government training.

Expected outcome Glossary of training materials (papers and presentations) for each of the topics included in the national training plan.

32

Annex 5- Workshop on Mutual Legal Assistance Requests in Corruption Investigations and Asset Recovery Operations

In Cooperation with UNDP/UNODC

Joint Anti-Corruption Project in Iraq

Workshop on Mutual Legal Assistance Requests in Corruption

Investigations and Asset Recovery Operations

8-9 March 2010

Cairo, Egypt

33

AGENDA

MONDAY, 8 MARCH 2010

08:45-09:15 Registration of Participants

09:15-09:45 Welcome and Opening Remarks

H.E. Judge Raheem al-Igeeli

Chief, Iraqi Commission on Integrity

Mr. Erik Larson & Mr. Hatem Aly

Crime Prevention Experts, UNODC

Mr. Emad Alemamie

Programme Officer, UNDP-Iraq

Ms. Michelle Morales

Country Engagement Officer, World Bank

09:45-10:45 Overview of UN Convention against Corruption and

Its Relationship to International Cooperation

Ms. Lindy Muzila

Crime Prevention Expert, UNODC

10:45-11:00 Coffee and Tea Break

11:00-12:00 The Legal and Regulatory Framework in Iraq and Its

Implications for International Cooperation

UNODC Legal Review of Iraqi Laws and

Resulting Recommendations

Results of the 2009 Baghdad Workshop on Reform

of Anti-Money Laundering Laws in Iraq and The

Use of Anti-Money Laundering Laws to Fight

Corruption

Update on Draft Iraqi Laws on COI, IGs, BSA,

and AML/CTF

Mr. Erik Larson


H.E. Shatha Ali Najim

Senior Legal Advisor, Iraqi Commission on Integrity

34

12:00-13:00 Informal and Alternative Measures for Cooperation

and Mutual Legal Assistance

Experiences of the Joint UNDP/UNODC Anti-

Corruption Project in Iraq

Use of Financial Intelligence Units for Mutual

Legal Assistance, including the Egmont Group

Use of Regional Arab Networks

Use of Information Developed by Media and Civil

Society

Administrative Cooperation

Mr. Emad Alemamie

Programme Officer, UNDP-Iraq

Ms. Lindy Muzila


13:00-14:30 Lunch

14:30-15:30 IT-Based Solutions to Mutual Legal Assistance

Requests

UNODC MLA (Mutual Legal Assistance) Writer

Tool

UNODC National Authority Database

Ms. Stephanie Jung

Associate Legal Officer, UNODC


15:45-16:45 Cross-Sector Cooperation and the Task Force Model

in Corruption Investigations

The Use of Financial Intelligence in Corruption

Investigations

The Use of Information Obtained in Internal IG

and External BSA Audits in Corruption

Investigations

The Use of Criminal Investigative Evidence in

Corruption Investigations

The Importance of the Task Force Model

Mr. Hatem Aly


16:45-17:15 Conclusions and Open Discussion

Mr. Erik Larson


35

TUESDAY, 9 MARCH 2010

09:00-09:15 Opening Remarks

Mr. Arkan El Sablani

Legal Specialist, UNDP-POGAR

Mr. Hatem Aly


09:15-10:45 Introduction to Practical Exercise in Drafting Mutual

Legal Assistance Requests and the Use of the UNODC

MLA Writer Tool and National Authority Database

Mr. Hatem Aly

Legal Specialist, UNODC

Ms. Stephanie Jung

Associate Legal Officer, UNODC


11:00-12:30 Practical Exercise, Module 1

Moderators:



Mr. Hatem Aly


12:30-13:45 Lunch

13:45-15:15 Practical Exercise, Module 2

Moderators:



Mr. Hatem Aly



36

15:30-16:30 Presentation of MLA Requests Prepared During

Practical Exercise

Moderators:



Mr. Hatem Aly


16:30-17:00 Conclusions and Open Discussion

Mr. Erik Larson


37

Annex 6 - WORKSHOP ON STRENGTHENING REGIONAL COOPERATION IN THE AREA OF ASSET RECOVERY

In cooperation with

UNODC ROMENA (Regional Office for Middle East and North Africa)

WORKSHOP ON STRENGTHENING REGIONAL COOPERATION

IN THE AREA OF ASSET RECOVERY

10-11 March 2010

Cairo, Egypt

AGENDA

38

WEDNESDAY, 10 MARCH 2010

09:00-09:30 Registration of Participants

09:30-10:00 Welcome and Opening Remarks

H.E. Counsellor A. Mahmoud

Attorney General of Egypt

H.E. Dr. Abd. Shkhanbeh

Chairman, Arab Anti-Corruption and Integrity Network

Mr. Mohamed Abdul-Aziz

Representative, UNODC Regional Office for the Middle

East and North Africa

Mr. Stuart Gilman

Deputy Director, StAR Initiative

10:00-11:00 The StAR Initiative / Outcome of Third UNCAC

Conference of States Parties

Mr. Stuart Gilman


Mr. Erik Larson


11:15-11:30 Coffee and Tea break

11:15-11:45 Overview of recent cooperation efforts in Anti-

corruption in the MENA Region

Mr. Hatem Aly




11:45-12:30 Recovery of Proceeds of Corruption: an overview of

criminal and civil means and methods of recovery

Moderator:

Ms. Lindy Muzila


Presenter:

Mr. Janos Bartok, OECD

12:30- 13:45 Lunch

13:45-14:45 Lessons from the region

The perspectives of requested States: Challenges in

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facilitating Asset Recovery

Moderator :

Mr. Hatem Aly


Presenters:

H.E. Dr. Abd. Shkhanbeh

Chairman, Jordanian Anti-Corruption Commission

H.E. Mr. Bassel Saleh

Syrian Central Bank


15:00-16:00 Lessons from the region

The perspectives of requesting States: Challenges to

cooperation in Asset Recovery

Moderator:

Mr. Erik Larson


Presenters:

H.E. Judge Raheem al-Igeeli

Chief, Iraqi Commission on Integrity

H.E. Dr. Bu Drarr

Chief, Moroccan Anti-Corruption Commission

16:00- 17:00 Illicit Enrichment as a means of enhancing Asset

Recovery and anti-corruption efforts

Moderators:



Ms. Lindy Muzila


Tour de Table :

What Illicit enrichment legislation is in place in

participating States?

What have the challenges been in implementation?

What safeguards are in place to prevent abuse?

Are any alternatives to illicit enrichment used by

States in attendance?

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THURSDAY, 11 MARCH 2010

09:00-10:00 Challenges to the asset recovery process in the MENA

Region

Arkan El Sablani


10:00-11:00 Means of increasing cooperation in asset recovery in

the MENA Region

Mr. Stuart Gilman



11:15-12:15 (an opportunity to disseminate at least one of the StAR

knowledge products) –Stuart: can you recommend one or

two of the knowledge products for this slot?

12:15-12:45 Bank Secrecy and Asset Recovery

Moderator:

Ms. Lindy Muzila


Presenter:

H.E. Counsellor Sery Siam

Head, AML Unit, Egyptian Ministry of Justice

12:45-14:15 Lunch

14:15-15:00 Enhancing cooperation in asset recovery efforts

abroad: the Swiss perspective

Moderator:



Presenter:

Jean-Bernard Schmid

Investigating Magistrate, Geneva, Switzerland


15:15- 16:30 Tour de Table:

Strengthening Regional needs in the Area of Asset

Recovery:

Regional Needs

How can they best be addressed

Are focal points in existence and easily assessable

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Moderators:

Mr. Hatem Aly




16:30-16:45 Open Discussion and Conclusions

Mr. Erik Larson


16:45-17:00 Closing Remarks

Mr. Mohamed Abdul-Aziz

Representative, UNODC ROMENA

Mr. Stuart Gilman


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Annex 7 – Conclusion of the Conference on STRENGTHENING REGIONAL COOPERATION IN THE AREA OF ASSET RECOVERY

1. Stolen assets recovery is an essential element in combating corruption and enforcing AML as indicated in UNCAC.

2. Informal international cooperation, in a framework of trust, is imperative to enable assets recovery in a timely manner as illustrated during the conference through cases within the Arab world and internationally.

3. Informal international cooperation regarding assets recovery depends on the existing of legal framework.

4. The Arab Anti-Corruption and Integrity Network (ACINET) could be the vehicle to enable the assets recovery in the Arab region. It was requested that ACINET would consider such request, as it would bring more benefits by including stolen assets recovery into ACIINET other activates.

5. StAR Initiative should support the development of skills in the appropriate offices in this field. In addition, to provide effective support on national and international level to requests by members.

6. Illicit enrichment is not allowed in accordance to the Muslim faith, UNCAC and national constitutions in the Arab countries, yet often debated due to difference in opinion.

7. Declaration of income by official constitutes an important element in stolen assets recovery, hence must address the legislative challenges and support the prevention of corruption and enforcement.

8. Policies for assets recovery, including laws and organization pertaining to the issue, often are not deployed properly, thus raising awareness developing skills in this field is vital and should be addressed together in the efforts of fighting corruption and AML.

9. Acknowledging the efforts of the Arab Councils of the Justice and Interior Ministries to enable Al Riyadh Treaty of the Judiciary Cooperation of 1983 and the importance of including the stolen assets recovery within the treaty. It is important to note the benefit that will bring through enabling the Model Law for International Cooperation of 2007, and for the Arab Councils of the Justice and Interior Ministries to establish an official Regional Arab Group to enable cooperation of stolen assets recovery.

10. It is important to establish a legal framework identifying the steps and requirements for legal support in every Arab country and central repository for the Arab region to coordinate assistance. The appropriate UN agency should be notified in accordance to UNCAC.

11. The implementation of UNCAC, including stolen assets recovery, is a continuous effort that requires coordination and support. As such, it is recommended that countries in the region which have not members of ACINET should join the network to widen the cooperation among the Arab region.

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Annex 8 - Regional Workshop on “STRENGTHENING RANSPARENCY INTEGRITY IN THE PRIVATE SECTOR IN ARAB COUNTRIES”

Under the patronage of

H.E. Sheikh Mohamed Bin Essa AL KHALIFA

Regional Workshop on

“STRENGTHENING INTEGRITY IN THE PRIVATE SECTOR IN ARAB COUNTRIES”

Manama, the Kingdom of Bahrain

16-17 March 2010

DRAFT PROGRAMME

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BACKGROUND

This regional workshop is driven by the increasing attention paid by governments, the business community, as well as international organisations to integrity in the private sector. It seeks to promote international principles and best practices in this area including the requirements of the United Nations Convention against Corruption (UNCAC) which calls, inter alia, for preventive (article 12) and punitive (articles 22, 23) anti-corruption measures in the private sector, as well for strengthening cooperation between national authorities and the private sector (article 39).

As explicitly recognized by the Arab Anti-Corruption & Integrity Network (ACINET) in its first General Meeting in Rabat on 2 April 2009, part of a successful strategy to fight corruption involves private investors and requires specific commitments on the part of the private sector on a preventive as well as an enforcement level. The increasing involvement of the private sector in the Middle East and North African (MENA) economies and injurious trends such as individuals working in government and subsequently owning private businesses, while maintaining ties with the government, are among the other factors which call for enhanced awareness on corruption preventive measures in the private sector, including large corporations and small, medium and even micro enterprises.

THEMATIC FOCUS

Globalisation and competitive challenges have resulted in new rules and regulations applying to international and local business transactions. A number of legally binding as well as non-binding anti-corruption and integrity instruments4 have been adopted at regional and global levels to prevent and punish corrupt business practices with a view to improving the trade and investment climate.

Furthermore, organisations such as the OECD, the United Nations (UN), the World Bank, the International Chamber of Commerce (ICC), Transparency International (TI) and others, have developed recommendations, broad-based principles or best practices to help promote good governance and integrity in the private sector.

Implementation and, where applicable, enforcement of these instruments call for action by various stakeholders and impact the interaction between governments and the private sector, as well as interaction between private entities. Governments are required to adapt their regulatory environment and ensure that their institutional framework is adequate and lives up to their commitments under these instruments. Government action alone, however, is not enough. Complementary and mutually supportive actions by the private sector, civil society and media actors are recognised to be increasingly important.

4 This includes notably the United Nations Convention against Corruption (2003); OECD Convention on

Combating Bribery of Foreign Public Officials in International Business Transactions (1997); African Union Convention on Preventing and Combating Corruption (2003); OECD Declaration on Multinational Investment and Guidelines on Multinational Enterprises (2000); and the OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions (1997).

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The cooperation of the various stakeholders is an essential building block for clean, fair and transparent business, which is in turn critical for development and the achievement of the Millennium Development Goals (MDGs). Not only do high standards of integrity minimize the risks of corruption, they also directly benefit the corporation, which may be in a better position to attract investment through improved public trust.

OBJECTIVES

The purpose of the regional workshop is to support a selected number of Arab counties in the MENA region in their efforts to further improve integrity in the private sector based on related international standards and in line with their commitment to implement the UN Convention against Corruption (UNCAC) and advance their national development agendas.

Representatives from concerned national authorities as well as the private sector, civil society and specialized media will have the opportunity to discuss current policies and practices in the light of regional and global instruments that impact integrity standards in the private sector.

The workshop will aim at:

Familiarising participants with international anti-corruption instruments and resulting integrity standards for the private sector;

Facilitating discussions on the need, usefulness and potentials of public-private consultations;

Raising awareness of the different international and national initiatives to increase private sector integrity; and

Provide concrete examples and suggestions on how to apply the international integrity principles in the national context.

TARGET AUDIENCE

Experience shows that governments will achieve better and more concrete results in improving integrity and preventing or detecting corruption if they engage in a productive and efficient exchange with the business community. Indeed, business - victim of bribery but also instigator - plays a fundamental role in the development of preventive, self-regulatory measures to eliminate of malpractice and fraud.

The regional workshop will bring public and private sector decision-makers from the Arab countries in the MENA region together with public and private sector representatives of OECD countries experienced in corruption prevention, ethics and integrity management. In addition other experts from civil society and specialized media will also be invited to participate in the discussions. To facilitate exchange with the business community, private sector representatives from Business Associations as well as from large, medium and small companies operating within the MENA will be present.

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METHODOLOGY

This two day workshop will consist of plenary presentations as well as panel discussions. The plenary will be followed by interventions from the floor. Participants will be able to ask questions or intervene to clarify the issues discussed. Participants will be asked prior to the meeting to prepare base-line information based on simplified questionnaires which the organisers will submit to participants ahead of the workshop. The working language will be English. Interpretation will be provided during the workshop in Arabic.

DOCUMENTATION

The following background documents will be provided during the meeting:

The UN Convention against Corruption and the UNCAC Legislative and Technical Guides.

The OECD Convention against Bribery of Foreign Public Officials in International Business Transactions and Revised Recommendation of the Council on Combating Bribery in International Business Transactions.

Documents produced by the UN Global Compact, the OECD, the ICC and TI.

Other relevant documentation submitted by participants.

The Arab Anti-Corruption & Integrity Network documentation.

Anti-Corruption posters.

AGENDA

This agenda of two day workshop is programmed according to the schedule below.

TUESDAY, 16 MARCH 2010

08.30 – 09.00 Registration

09.00 – 10.00 Opening Session

This session will provide the host, the organizers and ACINET with an opportunity to address the participants and express ideas related to the theme of the workshop in addition to providing information on the background for the regional workshop and its objectives and agenda.

09.00 – 10.00 Official Statements

H.E. Sheikh Mohamed Bin Essa AL KHALIFA, Chief Executive, Economic Development Board, Bahrain.

Mr. Alexander BÖHMER, Head of MENA-OECD Investment Programme, the Organisation for Economic Cooperation and Development.

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H.E. Mr. Sayed AQA, UN Resident Coordinator, Resident Representative, the UN Development Programme in Bahrain.

H.E. Mr. Abed SHAKHANBEH, Chair of the Arab Anti-Corruption & Integrity Network, and the President of the Jordanian Anti-Corruption Commission.

10.00 – 10.30 Break

10.30 – 12.30

Session 1: Promoting Regulatory Reforms and Cooperation between the Government and the Business Community

The dialogue between governments and the private sector can be organised in various ways and address different concerns. The first session will discuss the regulatory role of government and the nature of government-private sector contacts, their scope, regularity and primary objectives. Discussions will also address the possible resulting outcomes and the limits of governments’ interventions.

In each section, one lead speaker will make a presentation after which participating officials from Arab countries will provide inputs using information they have prepared based on a simplified questionnaire sent out to them before the regional workshop. The floor will then be open for discussions.

Chair: EDB representative (TBC)

Keynote presentation: Ms. Nicola EHLERMANN-CACHE, Senior Policy Analyst, MENA-OECD Investment Programme, OECD

10.30 – 11.30 Session 1A: The new regulatory environment

Governments have adopted different mechanisms to assist companies to prevent corruption. A first, essential step is that governments engage in a dialogue with business on regulatory reform.

Laws aimed at improving integrity and outlawing corruption and related crimes such as money-laundering and accounting fraud impose new requirements on corporations, their boards and management but also accountants, auditors and lawyers. It is essential that governments ensure that companies and related professionals operating in their territory be aware of applicable international Instruments and Conventions, ensuing amendments to national legislation, and the potential sanctions they face if they breach such provisions.

Governments also need to provide information on the new regulatory environment and resulting increased transparency, accountability and disclosure.

Lead Speaker: Expert from CIPE Egypt (TBC)

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Inputs from participating officials followed by open discussion.

11.30 – 12.30 Session 1B: Means for governments to strengthen integrity in private sector

Governments may be more pro-actively engaged and capitalise on the business community’s awareness and response to regulatory changes. For instance, government agencies including aid and development agencies as well as export credit agencies may begin to establish guidelines for companies operating abroad.

Governments may also directly contact companies to inform them of the consequences of legal provisions on corruption. Target companies may include those involved in public procurement (abroad), those operating in sectors which may be more sensitive to corruption (such as the energy or transport sector), or those located in geographically sensitive areas.

The development of information brochures and/or seminars to promote good business practices and ethical behaviour between private firms and government officials can influence the adoption of corporate social responsibility tools. Tools such as codes of conduct or more generally compliance programmes are important, innovative instruments that can identify potential legal risks. They may regulate the behaviour within companies and relations with clients, suppliers, associates and public administrations.

Lead Speaker: OECD expert (TBC)


12.30 – 13.00 Break

13.30 – 14.30 Session 1 (continued)

13.30 – 14.30 Session 1C: Public-private cooperation to promote adequate corporate rules and behaviour against corruption

Some governments also have started to develop joint programmes with the private sector aimed at identifying best practices to help companies and their employees to prevent them from engaging in malpractices and to adopt a professional behaviour consistent with prevailing anti-corruption rules and regulations.

Governments may also provide support to companies operating abroad. For instance, diplomatic missions may provide information as well as clear guiding principles. But governments’ diplomatic support may go beyond mere counselling. In certain circumstances, governments may decide to engage in actions that prevent and alert

49

about misconduct in specific transactions. To be able to assist companies, governments may establish reporting mechanisms, though when doing so a number of safeguards must be established including mechanisms to ensure confidentiality and reliability of the information and the informants.

Lead Speaker. Expert from the U.S. Department of Commerce (TBC).


14.30 Lunch

WEDNESDAY, 17 MARCH 2010

09.00 – 10.30 Session 2: The Role of the Private Sector in Strengthening Integrity Within

Business has a crucial role to play in strengthening integrity within. The second session discusses how firms have responded to the new regulatory environment by adapting management techniques to ensure compliance with the law and the firms’ own standards of conduct and performance.

In each section, one or more lead speakers will make presentation(s) addressing those issue, after which participating non-governmental stakeholders will provide inputs using information they have prepared based on a simplified questionnaire sent out to them before the regional workshop. The floor will then be open for discussions.

Chair: Mr. Alexander BÖHMER, Head of MENA-OECD Investment Programme, the Organisation for Economic Cooperation and Development

Keynote presentation: TBC.

09.00 – 09.45 Session 2A: Codes of conduct and compliance programmes.

Many companies have developed written expression of voluntary commitment in various areas — also called a “code of corporate conduct”. Such codes serve to influence or control business behaviour for the benefit of the firm itself (e.g. to enhance the company’s reputation or to minimise the risk of criminal or civil sanctions) and for the communities in which it operates. Codes inform the public about the nature of the firm’s commitments and accompanying implementation measures. Codes should heighten employees’ awareness of corporate policy and enlist their support. Issuance of codes is often accompanied by the adoption of special management systems and internal control mechanisms designed to help firms honour their commitments in their day-to-day operations.

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Standards for compliance ‘best practices’ improve continuously and companies have gained experiences with different compliance policies and procedures to improve business ethics and integrity and reduce the risk of fraud and malpractice. Key corporate compliance elements will be outlined as well as main characteristics of internal managerial control. The requirements for continuing self-evaluation and reporting in the absence of overarching evaluating and control standards will be discussed as well.

Lead Speakers.

Expert from Siemens (TBC)

Expert from Transparency International (TBC)

Inputs from non-governmental participants followed by open discussion.

09.45 – 10.45 Session 2B: Internal Integrity Principles and Industry Agreements

Transparency International (TI) and Social Accountability International (SAI) have developed Business Principles for Countering Bribery. The Principles have been developed by a group of private sector interests, non- governmental organisations and trade unions to develop effective approaches to improve integrity and combating bribery in business. They are designed as a comprehensive approach applicable by small, medium and large firms. They were drawn up to meet different recent initiatives such as the OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions, the ICC Rules of Conduct to Combat Extortion and Bribery and the anti-bribery provisions of the OECD Guidelines for Multinationals.

Besides individual initiatives, some companies have started to develop and engage in voluntary Industry initiatives. These initiatives are based on commonly agreed behavioural principles and standards to which subscribing companies will adhere. For instance, the “Extractive Industries Transparency Initiative” (EITI), which involves governments, companies and civil society, aims at increasing transparency both over the payments made by companies in the extractive industries, and those revenues received by governments. The “Equator Principles”, developed by financial institutions, serve as a common baseline and framework for the implementation of environmental and social procedures and standards for project financing activities for all industry sectors across the board. The “Wolfsberg Anti-Money Laundering Principles” aim at setting common international standards to fight money laundering in the financial services sector. Means for governments to strengthen integrity in private sector.

Lead Speakers.

Expert from the UN Global Compact (TBC)

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Expert from ICC (TBC)

Open Discussion.

10.45 – 11.00 Break

11.00 – 12.45 Session 3: Applications in Break-out Sessions

Two parallel breakout sessions will be organised during which participants will have the opportunity to identify, consider, and prioritise actions for developing and implementing a corporate integrity policy. These breakout sessions will be most beneficial if participants engage in a frank exchange.

11.00 – 11.15 Introduction in Plenary

Mr. Arkan EL SEBLANI, Legal Specialist, Programme on Governance in the Arab Region, UNDP.

11.15 – 12.45 Break-out 1: Regulation and cooperation to promote integrity in the private sector (session for government representatives)

Co-Moderators:

Mr. Arkan EL SEBLANI, Legal Specialist, Programme on Governance in the Arab Region, UNDP

Ms. Nicola EHLERMANN-CACHE, Senior Policy Analyst, MENA-OECD Investment Programme, OECD

The Moderator will support participants’ discussion on how governments can develop relations with the private sector in order to prevent malpractice. Concrete examples will help identify best practices for government-private sector contacts. While they may help identify potential practical difficulties as well as possible resulting outcomes, such examples are based on specific national conditions and different business environments. Practical solutions for each country might have to be adapted to its national characteristics.

11.15 – 12.45 Break-out 2: From Codes of Ethics to Integrity Systems (session for business and non-government representatives).

Co-Moderators:

Mr. Alexander BÖHMER, Head of MENA-OECD Investment Programme, the Organisation for Economic Cooperation and Development

Mr. Mohamed AL SHARIF, Assistant Resident Representative, UNDP Bahrain.

The moderator will support participants’ discussion core elements constituting a good code of conduct and the overall understanding why it is useful to introduce wider anti-corruption policies and the best ways

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to implement and enforce them. Participants will consider how to deal with potential violations. They may consider internal corrective and disciplinary measures as well as related issues such as the establishment of adequate whistle blowing mechanisms as well as independent in- and outside investigations as well as how to deal with disclosure.

12.45 – 13.15 Break

13.15 – 14.30 Session 4: Next Steps Towards Strengthening Integrity in the Private Sector in Participating Countries

This session will be chaired by Mr. Sayed AQA (UNDP) and will provide an opportunity for groups to present the outcome of the panel discussions and report on possible next steps. Participants will collectively have an opportunity to identify, assess, and discuss key activities for implementing concrete steps to improve corporate governance and integrity in the MENA region.

Presentation of the break-out sessions.

Open discussion.

Summary and conclusions.

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Annex 9: ENFORCEMENT PROPOSAL (DRAFT)

COMBAT CORRUPTION BY DEVELOPING A COMMON CULTURE AND STANDARD PRACTICE OF

INVESTIGATING, PROSECUTING AND TRYING CORRUPT ACTS (16-18 MONTHS)

Expected Outputs Sub output Activity Actions taken / to be

taken Partners deliverable

OUTPUT 1 Create an inventory of corrupt acts and a compendium of legal instruments to prosecute corruption crimes.

Sub-Output 1.1. Produce an inventory of corrupt acts and a compendium of existing laws and regulations for prosecutors, investigators and trial judges (with regards to the applicability to criminalisation and prosecution)

National workshop on Compliance with UNCAC chap III and IV, and existing legal Instruments pertaining to AC Enforcement and Rule of Law

2 day conference to present/support project, Baghdad 5- days plus travel, 8 High Level delegation, to Singapore (plan B: Morocco or Bahrain) International and national Consultancies, 45 days in Baghdad and home work (review of Penal Code, Penal Procedure Code, Laws, Civil Service Law, …) 2 assessment workshops 3 days – Baghdad Final report drafted, translated Ar-Eng Translation compulsory in 2 Iraqi Languages (Ar. Ku)

COI, JACC, High Judiciary Supreme Court, Appeal Court Parliamentary Committee on Integrity,

Inventory of corrupt acts cum compendium of existing laws / regulations Learn from best practices on the international scene 5 National restitution workshops Secretariat created to inform roaster of investigators and Judges 20 modular capacity building for 100 investigators, prosecutors and trial judges Topics: Case management, intelligence tools, transnational criminal investigations, securing evidence for the judge, national asset tracing/freezing/ recovery methodologies, criminal investigations with

Learn from best international practises (field visit on AC enforcement and RoL)

International & national consultancies and workshops preparation and management : typify corrupt acts and examine suitability of existing legal instruments with articles 15-42 and 48-52 of UNCAC

OUTPUT 2 Build a shared knowledge by the Commission of Integrity and Judicial practitioners, of the inventory of corrupt acts and the compendium of legal instruments

Sub-output 2.1. Build a sustainable shared knowledge of the inventory of corrupt acts and the compendium of legal instruments among investigative and judicial practitioners

Publication and dissemination of anticorruption criminalisation inventory and a compendium” in 2 Iraqi Languages

5 restitution workshops to the relevant authorities , investigation/prosecution, trial practitioners

Create a secretariat to provide common knowledge to an updated roaster of practitioners by electronic and other means

OUTPUT 3 Develop a common standard practice of investigation & prosecution of corruption, based on the inventory and the compendium

Sub output 3.1: Deliver case based capacity building to 100 investigators, prosecutors and trial judges

20 legal /admin workshops held within 5 regional poles of excellence. Based on the compendium Building bridges btw. existing bodies

40 IJ, 40 lead investigators, 20 Trial Court executives, High Judiciary, sectoral IGs, 3 day workshop, repeated 4 times in Baghdad In Universities, according to 5 poles of excellence KRG to participate With 1 external consultant for

COI, The Judiciary IGs IGs, BSA, CB/MLRO Ministers

Sub-output 3.2: Deliver technical information on criminalization of corrupt acts to select community institutions in support of AC Strategy

5 National wide conferences on AC Criminalisation for the Media, the Bar Associations, the Governorate executives, the Non State sector, and community organisations

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Sub-output 3.3: Develop a curriculum for Judicial Training Institute (JTI) and Judicial Education & Development Institute (JEDI)

Based on inventory, compendium, and some case based study deliveries With National and international consultancies (days 22) , Criminal Law certification curricular unit at University for JTI and JEDI

22 days in Baghdad assisted of one CoI and one Judiciary senior Executives, Conclusions published by CoI. One High Level meeting for restitution in Baghdad (donors invited)

The Academia

banking and financial sectors, National conference Academic certification module

OUPUT 4: Produce benchmarks for results and quality improvement for the CoI & Judiciary

Sub output 4.1. Establish mutually agreed standards and M&E tools on investigation, prosecution and trial of corrupt acts, by the CoI and the Higher Judicial Council (HJC)

3 Days Baghdad working session (alternative location Amman) Outcomes: establish AC Monitoring Steering Committee (JACC + HJC), prepare indicators, test and re-engineer

3 National workshops in Baghdad (3 days) to establish the survey standards and questionnaires 5 pilot courts surveyed in 45 days One joint assessment preparatory and one restitution workshop in Baghdad. 25 day consultancies for 3 consultants One national restitution conference for the Judiciary and the CoI, in Baghdad 2 days Donors invited

CoI Judiciary (HJC) Cosit KRG

Set of 20 indicators 5 Pilot courts tested Steering committee set Joint assessment published for the CoI and HJC Restitution conference fro decision makers

Initial pilot survey conducted by Cosit within 45 days, Judicial years 2008-2009-2010

Internal and external joint assessment of investigative capacities at CoI, report shared with Executive and Judiciary branches of Government

A. Internal dissemination for consultation B. One national restitution conference with press

Briefs on measuring of anticorruption efforts

OUTPUT 5: Provide information on prosecution of corruption crimes to the general Public, victims and defendants

Sub-output 5.1. Produce information for non-technical stakeholders on criminalisation of corruption in Iraq

Produce an information brochure for Law practitioners regarding criminalisation of corruption in representing either victims or defendants interests.

Brochure + electronic version, 2 Iraq languages

CoI Judiciary Cosit KRG

Brochure and guide produced Electronic version on Websites

Produce an information guide for victims of corrupt acts and defendants of penal cases.

Guide + electronic version, 2 Iraq languages