u4 – who we are operational since 2003 as a web-based resource centre funded by:
TRANSCRIPT
U4 – who we areU4 – who we are
Operational since 2003 as a web-based resource centre funded by:
Rationale
• Existing ACA-literature shows little detail on UNCAC
• Often focussing on specialised agencies
• Need to identify institutional functions and mandates required in article 6
• and what this means for states
General point for clarification
Article 6 is intimately linked to article 5:
Article 6,1: “Each State Party shall, in accordance with the fundamental principles of its legal system, ensure the existence of a body or bodies, as appropriate, that prevent corruption by such means as:
a) Implementing the policies referred to in article 5 of this Convention and, where appropriate, overseeing and coordinating the implementation of those policies;
b) Increasing and disseminating knowledge about the prevention of corruption.”
Article 5,1: “Each State Party shall, in accordance with the fundamental principles of its legal system, develop and implement or maintain effective, coordinated anti-corruption policies...”
Functions in Technical Guide
• Requiring public sector institutions to produce action plans
• Guiding/reviewing their implementation• Evaluating/inspecting institutions• Receiving/reviewing complaints• Receiving audit, investigative and parliamentary
reports• Research in legislation and admin. procedure• Undertaking public opinion surveys and
developing other sources of information
Context of ac-policy making
But AC-policies can take place in different forms at different levels
and will have to include preventive functions of UNCAC chapter 2:
– Public sector (Art. 7)– Codes of conduct for public officials (Art. 8)– Public procurement and management of public finances
(Art. 9)– Public Reporting (Art. 10)– Measures relating to the judiciary and prosecution
services (Art. 11)– Private Sector (Art. 12)– Participation of society (Art. 13)– Measures to prevent money laundering (Art. 14)
Who implements?
Public policy
Public Agencies
PublicService
Serviceunits
Ministries
etc
Coordinationcan be done by Executive (e.g. Presidential Office, ACA)for • Communication• Guidance• Training
Who oversees?
Arm-lengthoversight
Public policyA
Public Agencies
PublicService
Serviceunits
Ministries
etc
Public policyB
Oversight levels:
Intra-institutional oversight Cross-institutional oversight & coordination
National oversight & coordination
Knowledge management
Different objectives to increase knowledge about corruption prevention:• knowledge required for policy making, implementation, oversight
and monitoring• knowledge to be used in trainings and staff specialisation • knowledge to generate public support for anti-corruption reform
This knowledge can be aimed at different audiences:• governmental policy and decision-makers• public officials for their day-to-day work• the general public.
Knowledge can be increased through research, monitoring reports, and take many different forms: baseline studies, perception surveys, sector studies, political economy studies, stakeholder analysis, indicator mapping, report cards, etc.
Many actors potentially involved, depending on purpose
Required independence
UNCAC stipulates that• body or bodies are to be granted necessary
independence • and the necessary material resources and
specialized staff
to enable them to carry out its or their functions effectively and free from any undue influence
Independence revisited
Independence to be adapted to different functions
Function Type of Independence
Policy implementation Mainly financial, some functional
Coordination of implementation Financial and functional
Policy oversight: –Intra-institutional
–Cross-institutional
–National
Functional
Functional and financial
Functional and financial, organisational desirable
Coordination of oversight Financial and functional
Knowledge management Organisational and functional desirable
Consequences for institutional arrangements
• Need to broaden anti-corruption understanding• Institutional arrangements need to fit national
context • Where ACA present, it should not be
overburdened• ACA should take over functions as to their
comparative advantage• Different institutions will have to be involved in the
different functions• Full independence hardly ever needed for
preventive functions described in article 5 and 6
