Corrupt

Global Programme against Corruption:
an outline for action
Centre for International Crime Prevention
Office for Drug Control and Crime Prevention
United Nations Interregional
Crime and Justice Research Institute
The Global Programme against Corruption has been drawn up by the Centre for International Crime Prevention of the Office for Drug Control and Crime Prevention of theUnited Nations Secretariat jointly with the United Nations Interregional Crime and JusticeResearch Institute. The purpose of the Programme is to assist Member States in their effortsto curb corruption.
The Global Programme against Corruption is composed of two main parts, the research component and the technical cooperation component.
The research component
In order to provide appropriate and up-to-date background information and support and to sustain the technical cooperation measures, a global study of the phenomenon ofcorruption and of types of anti-corruption measure and their efficacy will be carried out bythe United Nations Interregional Crime and Justice Research Institute. Comparableinformation is indispensable to combat corruption and to promote accountability,transparency and the rule of law. It is also important in providing the internationalcommunity with procedures and methodologies to assess the efficacy of measures taken andin facilitating the promotion of compatible efforts against corruption.
The study will deal with three main types of corruption: (a) corruption in public administration and “street-level” corruption (experience of citizens with publicadministration, local licensing authorities, police, customs and inspectors and so on); (b)business corruption (especially in medium-sized businesses); and (c) high-level corruptionof political, administrative and financial centres of power. The study will focus in particularon the organized crime/corruption nexus.
On the basis of the research results and available secondary data, a set of indicators on corruption trends and anti-corruption measures, the corruption monitoring protocol, will bedeveloped and used to assist in the regular periodic review of the corruption phenomenonand the presence or absence as well as the efficiency of anti-corruption measures adoptedand implemented at the national level. While the protocol will be utilized mainly at thenational level, it will also provide an opportunity for comparative analysis given itsstandardized nature.
An international database will be set up by the United Nations Interregional Crime and Justice Research Institute and run in collaboration with the Centre for International CrimePrevention. The database, which will be at the disposal of Member States and theinternational community, will contain up-to-date information on the results of the globalstudy on corruption; from best anti-corruption practices; relevant national legislation andregulatory mechanisms on corruption from different countries; the data collected through thecorruption monitoring protocol; and international instruments against corruption. Theinformation in the international database will be accessible electronically.
Technical cooperation component
The activities in this component are intended to assist Member States to build and/or strengthen their institutional capacity to prevent, detect and fight corruption. Sincecorruption has economic, political, social, legal, administrative and cultural dimensions, themost appropriate and effective approach to deal with it is necessarily a multidisciplinary one.
An effective approach must also be multidimensional, because corruption needs to be tackledat the national, regional and international levels. The technical cooperation component of theGlobal Programme will reflect a modular approach meaning that there will be modulesconsisting of measures that could be implemented alone or as a “package”, in differentstages, at both the national and international levels. This set of measures can be madeavailable to Member States and will be as comprehensive as possible so that the measurescan be adapted to the particular needs, context and specific situation of each country and/orsubregion. The anti-corruption measures proposed in the Global Programme will be refinedfurther in the light of the findings of the study carried out by the United Nations InterregionalCrime and Justice Research Institute and of best anti-corruption practices identified.
Within the Global Programme, technical cooperation will be provided mainly: At the national level, by: (i) assessing existing national measures against corruption; (ii) providing advisory services in drafting and/or revising relevant legislation;(iii) providing advisory services in establishing or, where they already exist, strengtheninganti-corruption bodies; (iv) developing preventive measures (such as public awarenesscampaigns and codes of conduct); and (v) providing training on the newly introduced anti-corruption measures to policy makers, judges, prosecutors, law enforcement personnel andmembers of banking and financial organizations, including, whenever possible,representatives of the private sector and non-governmental organizations.
(b) At the international level, by: (i) establishing a pool of high-level international experts and representatives of the private sector who will assist the United NationsInterregional Crime and Justice Research Institute and the Centre for International CrimePrevention in assessing the needs of the requesting countries, in making recommendationson best practices to tackle corruption and in implementing the measures recommended bythe Global Programme; (ii) promoting the creation of international transparency andmonitoring mechanisms; (iii) promoting international legal instruments; and (iv) creating aninternational forum for discussion and strategy planning on corruption and bribery that willbring together representatives of relevant scientific, intergovernmental and non-governmental organizations active in the fight against corruption. The forum will alsopromote the adoption by the international community of a more coherent strategy to fightcorruption by sharing information on the phenomenon and experience in relation to bestpractices.
It is envisaged that the technical cooperation activities will be initially implemented in one country from each of the following regions of the world: Africa,Asia and the Pacific, eastern Europe and Latin America and the Caribbean, while theresearch component will also include the industrialized world. In order to avoidduplication and to strengthen international cooperation, full consideration will be givento already existing international activities, such as the joint Council ofEurope/European Union OCTOPUS II programme on corruption and organizedcrime in central and eastern Europe and their Programme of Assistance for EconomicReconstruction in the Countries of Central and Eastern Europe (PHARE) and othersimilar initiatives.
Governments of countries in which the technical cooperation activities will be implemented are invited to sign a national anti-corruption programme agreement. Theagreement is conceived as a tool to assist Governments to express their political willand their adhesion to the international transparency and monitoring mechanism.
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Research component . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Technical cooperation component . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Proposed measures to be taken at the national level . . . . . . . . . . . . . . . . . . . . . .
Proposed measures to be taken at the international level . . . . . . . . . . . . . . . . . .
National anti-corruption programme agreement . . . . . . . . . . . . . . . . . . . . . . . . .
Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Programme evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Impact evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Draft outline for a corruption monitoring protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Examples of transparency and monitoring mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Draft national anti-corruption programme agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Draft law for the establishment of a national anti-corruption commission . . . . . . . . . . . . . . . . . . . .
Guidelines for the establishment of a national anti-corruption investigative unit . . . . . . . . . . . . . . .
Staff and budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
I. Introduction
The proposed research component will serve not only Nowadays corruption is internationally recognized as to provide monitoring of corruption and bribery at the a major problem in society, one capable of endangering the international level, but also to support and revise the stability and security of societies, threatening social, technical assistance component whenever necessary. The economic and political development and undermining the study will be carried out in the selected countries, utilizing values of democracy and morality. This holds true at both the the same methodology and thus providing internationally domestic level and the international level. Indeed, with the growing globalization of markets of services, goods andpeople, accompanied by the internationalization of illegalactivities, the international dimension of corruption gains in A. Structure
significance. As a result, reducing corruption becomes apriority at both the national and international levels and The proposed research will focus on the aspects requires concerted efforts, exchange of experience and a Although it is true that countries differ in their anti- 1. The phenomenon of corruption
corruption strategies, it is nowadays increasingly possible tocooperate and exchange information on successful practices.
Levels and types of corruption
International cooperation is indispensable to combat Corruption in public administration (“street-level” corruption and promote accountability, transparency and the corruption) relates mainly to citizens’ perceptions of and rule of law. It is also important in providing the international experiences with government offices, local licensing community with procedures and methodologies aimed at authorities, police, customs, inspectors and so on.
assessing the efficacy of measures taken and in facilitating Corruption at this level influences the quality of civic culture the promotion of compatible efforts against corruption. This and service orientation or the power-based exercise of public project has as its primary aim the assessment and promotion of internationally recognized measures to combat corruption.
It is intended to offer to those countries which express their Business corruption (in the private sector) relates to interest in receiving it a coordinated set of possible anti- corruption activities, grouped in modules in order to perceptions of business people in both domestic and guarantee flexibility and sustainability in relation to their international milieux. Business corruption undermines normal, fair economic competition and distorts marketprocesses and relations; it is particularly important in the The Global Programme against Corruption has been emerging markets as well as in those in which large-scale developed by the Centre for International Crime Prevention privatization processes are under way. At the international of the Office for Drug Control and Crime Prevention of the level, it gives rise to monopolies and unfair competition on United Nations Secretariat, jointly with the United Nations Interregional Crime and Justice Research Institute, based inRome.
administrative centres of power. This often constitutes a corrupt encompasses various levels and types of corruption. It is the The Global Programme against Corruption will most dangerous as well as the most covert type of corruption, provide (a) reliable and up-to-date information on trends in which often determines the whole structure of political and corruption as well as on effective policy strategies to reduce economic relationships within a given context, undermining and control corruption; and (b) technical cooperation to democracy and the rule of law. At the international level, it developing countries and countries with economies in creates major disturbances in international economic and transition to prevent, detect and fight corruption.
The Global Programme will provide for continuous feedback between its two main components, the research andoperational activities.
II. Research component
Organized crime/corruption nexus
transparency and regulation of the financing of politicalparties and campaigns.
In view of the ever-increasing involvement of organized crime in extortion and corruption, the project will 3. Control and the rule of law
explore in particular the organized crime corruption nexus Taking into account the importance of respect for the as related to the business community, political corruption rule of law as a general framework for the fight against and high-level financial and administrative centres of power.
corruption, special attention will be focused on the followingareas.
Criminal justice system and corruption
Law enforcement, the judiciary and other public Legislative anti-corruption provisions
authorities are involved in combating corruption, but are Corruption is a complex phenomenon that needs to be often also exposed to it. Special attention will therefore be countered by adequate legislative provisions in the criminal paid to exploring corruption and anti-corruption measures code and/or specialized legislation, including remedies within the criminal justice system itself as well as based on civil law. Modern legislation tends to incorporate perceptions of, and first-hand experience in controlling and develop a number of different provisions regarding corruption on the part of actors in the system.
various types of corrupt practice. This may be covered by asingle legislative act or by means of a number of specific 2. Prevention
The best means to combat corruption, even in terms of the cost for society, is prevention. Effective prevention can Access to justice
thus reduce the extent and the costs of penal action.
For control to be effective, it is essential to possess information on incidents that require penal or administrative Public awareness and tolerance: the role of the
action. Such information rarely comes from the actual mass media
victims or witnesses of corruption. The reporting agencyshould ensure respect and independence as well as Public attitudes towards corruption are of fundamental guarantees of immunity for the source of information and importance as regards both prevention and control. There is should protect whistle-blowers from retaliation. Special thus a special need to explore the level of public tolerance attention will be paid to reporting channels both within the towards corruption as well as public attitudes towards anti- environment in which the corruption takes place and outside corruption measures. The role of the mass media in uncovering corruption cases and in building anti-corruptionawareness is important for both the prevention and theinvestigation and control of corruption.
Specialized independent policy and investigative
structures
Codes of ethics and integrity testing
Modern practice tends to favour the establishment of independent parliamentary commissions of inquiry. In In public administration, but also in the private sector, addition, specialized investigative bodies are often created codes of ethics and integrity testing are of great importance to strengthen the investigation and prosecution of corruption in developing a civic sense of respect for institutions and Punishment
Auditing and other regulatory mechanisms
Sentencing options envisaged for corruption, including It is well established that the existence of clear seizure and confiscation of assets and proceeds, reflect the regulatory rules and procedures for auditing by independent legislator’s policy orientation in combating corruption. On internal as well as external bodies is of paramount the other hand, sentences passed by the judicial authority in importance in preventing corruption. Particular attention corruption cases reflect criminal policy in practice.
will be paid to provisions regarding transparency in bidding 4. Corruption monitoring protocol
for and granting of public sector contracts, as well as to As part of the research component and on the basis of Top-level corruption: analysis of the patterns of the studies on phenomenology, control and prevention corrupt networks created at the highest levels of financial, mentioned above, together with other available information, political and administrative centres of power and the a mechanism for providing regular monitoring of trends in involvement of organized crime, through the compilation of corruption, the corruption monitoring protocol, will be set case studies by a selected group of experienced law up. The corruption monitoring protocol is an instrument intended to assist in the regular review every two or three Survey among criminal justice personnel on years of the corruption phenomenon and of the presence or attitudes towards and perceptions of corruption; absence and the efficiency of anti-corruption measuresadopted and implemented at the national level. The protocol Analysis of investigative and court files on will be constructed on the basis of a range of indicators Analysis of criminal justice statistics related to recommendations of the Expert Group Meeting on Corruption, held in Buenos Aires from 17 to 21 March 1997 Analysis of legislative provisions regarding the elements to be taken into consideration for its development are presented in annex I, which provides a draftoutline for the corruption monitoring protocol). It will be Analysis of the content of coverage of corruption administered at the national level under the methodological guidance of United Nations Interregional Crime and Justice Interviews with key informants (the judiciary, Research Institute, but, as a standardized instrument, it will law enforcement agents, victims and witnesses and the also allow for comparative analysis and will become part of Development and implementation of a corruption B. Methodology
Research seminar on the implementation of the In order to collect the relevant data, the following activities will be carried out in each participating country or corruption by the United Nations Interregional Crime and Justice Research Institute, to be run jointly with the Centre A review of international studies and analyses of Street-level corruption/bribery: collection and analysis of surveys of citizens on their experiences with III. Technical cooperation component
corruption and bribery, for example, the International CrimeVictim Survey,1 the United Nations crime surveys and The technical cooperation component of the Global Programme has been designed to follow a multidisciplinary3and modular approach, with modules consisting of activities Business corruption/bribery: collection, analysis that can be implemented alone or as a “package”, in different and updating of surveys and studies carried out by various stages, at both the national and international levels.
entities in this field—the United Nations Interregional Crimeand Justice Research Institute (International Business Crime This approach is based on the consideration that corruption is a phenomenon that varies from country to Transparency International; the International Chamber of country according to social, economic, historic and legal Commerce; the World Bank; Political and Economic Risk factors. Moreover, each country has its own needs arising Consultancy, Ltd.; the Political Risk Services Group; KPMG from its specific economic, social and institutional Investigation and Security, Inc.; and others. The Internet and characteristics. The kind of measures to be taken in each country will be chosen from among the range of measures Interregional Crime and Justice Research Institute will be provided for in the Global Programme on the basis of an in- depth assessment of the situation of the specific country.
in the creation or strengthening— where they already A. Proposed measures to be taken at the
exist—of specialized anti-corruption bodies, such as: national level
An independent national anti-corruption com- mission, which might be established by and be accountable At the national level, the Centre for International to the legislative bodies, in charge of defining national Crime Prevention will make available its expertise for the policies and strategies for preventing and combating corruption as well as of coordinating and monitoring the 1. Assessment of the existing national measures
activities of other anti-corruption bodies. Each country against corruption
would be responsible for defining more precisely thecomposition, functions and working methods of the com- In order to tailor the kind of technical cooperation to mission. A draft law for the establishment of a national anti- be provided to the specific needs of each country, the first corruption commission is provided in annex IV; step to be undertaken is an assessment of the existingnational measures against corruption. That assessment, A national anti-corruption investigative unit, in which will be carried out jointly by the Centre for charge of collecting and analysing relevant data as well as International Crime Prevention and a team of international carrying out investigations into serious or complex cases of experts, will focus on existing relevant legislation (penal, corruption. A unit of this kind should include experts from commercial, procurement, financial, etc.), institutions, the judiciary, the police, financial administrations tax and administrative regulations for public officials, regulation of customs authorities and top experts in international finance the funding of political parties, the role of the media and civil and computers. Guidelines for the establishment of such a Internal and external control measures. The 2. Advice in drafting and/or revising relevant
creation or strengthening of internal and/or external struc- legislation
tures and procedures for inspecting and controlling the civil Many countries admit that their anti-corruption service might be envisaged. These might include disciplinary legislation is ineffective and/or not exhaustive. Under the measures to be taken against those convicted of acts of Global Programme against Corruption advice will be corruption; development or revision of internal codes of provided upon request on the revision of legislation and/or conduct or ethics; definition of specific legal and regulatory adoption of specific provisions, including specific anti- criteria to be adhered to during recruitment, training and corruption legislation (e.g. anti-corruption strategies for promotion processes; and establishment of institutions such tenders and procurements as well as for the recovery of the as posts of ombudsman or auditor-general; Advisory group of representatives of the private As corruption is not just a matter of penal law, attention will also be given to the revision of other relevant corruption strategy is to obtain the support of the private legislation such as civil, commercial, fiscal and procurement sector in order to liaise with and provide advice to the law. In particular, specific civil legislation could deal with Government on best anti-corruption strategies and measures.
illicit enrichment and declaration of assets without using The incentive for the private sector rests in the reduction of penal measures.4 The advantage of such legislation is its damages and costs incurred as the result of corruption. In flexibility and the avoidance of problems related to immunity issues. Other relevant international principles, strategies and experiences will also be taken into account.
3. Advice in establishing and/or strengthening anti-
4. Prevention of corruption
corruption bodies
cooperation will be provided in the following areas: (a) drafting of Based on the success of initiatives already experienced conduct and ethics for public officials; (b) development of in some countries, the establishment of specialized anti- appropriate procedures relating to recruitment, career corruption bodies seems to be an efficient tool for combating advancement, training, mobility and salary; (c) introduction corruption. In that context, under the Global Programme of provisions for the financial disclosure of assets for public advisory and technical support will be provided upon request officials; (d) setting up of a system of disciplinary sanctions; (e) enhancement of self-monitoring mechanisms in the bodies specialized in the fight against corruption; and Improvement Initiatives in Developing Countries, recently (f) organization of public awareness campaigns, creation of published by the United Nations Development Programme (UNDP) and the Organisation for Economic Cooperationand Development (OECD), it is stated:5 5. Training
“Multinational business firms face a dilemma when they The Centre for International Crime Prevention will deal with corrupt regimes. Each believes it needs to pay also make available its expertise for the organization of bribes in order to do business, but each knows that all of training for policy makers, judges, prosecutors, law them would be better if none of them paid.” enforcement personnel, members of banking and financial In order to overcome that dilemma it is necessary to promote organizations, including, whenever possible, representatives transparency and accountability. The Centre for International of the private sector and non-governmental organizations.
Crime Prevention will therefore work to make Governments Study tours might also be envisaged. Training will be and the international community aware of the need for the provided on the newly introduced anti-corruption measures.
creation of internationally recognized mechanisms of Training for law enforcement officials will focus in transparency and accountability providing for adequate particular on the latest investigative techniques in cases of remedies as regards recovery of the costs of tendering and Practical and flexible mechanisms will be developed B. Proposed measures to be taken at the
within the context of the Global Programme. It is planned to international level
create a mechanism to monitor the transparency of publicsector contracts and commercial transactions, as well as amonitoring mechanism dealing with the commercial aspects The measures to be implemented nationally identified of corruption and bribery in international commercial above will have a weaker impact if appropriate anti- corruption measures are not also taken at the internationallevel. The following international-level initiatives are therefore recommended as part of the Global Programme.
A monitoring mechanism for the transparency of public sector contracts and commercial transactions.
1. Creation of a pool of high-level international
Upon the request of the national authority in charge of granting a public sector contract, the Centre would provide A pool of high-level experts recognized at the assistance and advice in monitoring the phases leading to the international level for their expertise and competence in the conclusion of the contract, including the establishment of area of anti-corruption strategies and economic, financial criteria for the selection of candidates. As a recognition of and legal affairs will be established. The pool would include probity, a sort of “label of quality” for such contracts could prosecutors, judges, academics and representatives of the also be developed. The same monitoring mechanism could private sector selected by the Centre for International Crime be applied to international trade transactions6 contracted Prevention and the United Nations Interregional Crime and within a country that is party to a national anti-corruption Justice Research Institute on a wide geographical basis. The programme agreement. Annex II.A contains an example of experts will assist the Institute in implementing the research component and the Centre in assessing the needs of An international anti-corruption monitoring requesting countries and making recommendations on best mechanism. It would also be extremely important for the practices to tackle corruption, as well as in implementing the international community to promote the establishment of an measures recommended by the Global Programme. Experts international monitoring mechanism to deal with the may also be requested to evaluate the impact of the measures international commercial transactions. The monitoringmechanism could include the setting up of a group of three 2. Transparency and monitoring mechanisms
international experts nominated jointly by the Centre forInternational Crime Prevention and the Government of the country. The experts should be in the position to investigateand to submit the results of their investigation to the judicial 4. Establishment of an international forum on
authority of the country and, if one exists, to the national corruption and bribery
anti-corruption commission for proper action. In turn, Within the framework of the Global Programme, the national authorities would inform the international anti- establishment of an international forum on corruption and corruption monitoring mechanism of the action subsequently bribery is foreseen. It will serve as a place in which the taken. Every year a report of the activities of the various bodies’ countries and institutions active in the fight international monitoring mechanism, including decisions and against corruption will share information and the results of recommendations. A list containing the names of companies their respective efforts against corruption. The forum will that have been convicted of corruption may be added.
promote the adoption by the international community of a Excerpts of the annual reports of the international anti- more coherent strategy to fight corruption by sharing corruption monitoring mechanism would be published in the information on the subject and experiences on best practices.
main international trade newspapers and in the major Annual meetings will be convened in the framework of national newspaper. Annex II.B contains an example of such the forum. The main international organizations working in a mechanism. More specifically, the monitoring mechanism related fields, such as the World Bank, IMF, UNDP, OECD, will show to foreign countries and international institutions the Organization of American States, the European Union, the strong commitment of the national Government.
the Council of Europe, the International Chamber of Commerce and Transparency International, will be invited 3. Promoting international legal instruments, with
to attend the forum. Such a mechanism already exists for the a specific focus on corruption and bribery
coordination of activities against money-laundering and is In order to fight corruption and bribery effectively the proving to be a very useful tool of international cooperation.
drafting and adoption of proper international legalinstruments should be improved. Several legal instruments 5. The international database on corruption
are already available at the international level, but the On the basis of the results of both research and development of new ad hoc model legislation and regulations technical cooperation activities, an international database on is essential to avoid incompatibility between the various corruption will be established by the United Nations Interregional Crime and Justice Institute and run in In particular, the Centre for International Crime cooperation with the Centre for International Crime Prevention will concentrate its efforts on the following Prevention. The database will be at the disposal of Member States and international organizations with up-to-date Improvement of the impact of existing mutual information on best anti-corruption practices, relevant legal assistance and extradition treaties through their national legislation and regulatory mechanisms on corruption ratification and reduction of the number of grounds for of different countries, the results of the corruption refusal in extradition and mutual legal assistance cases; monitoring protocol and international instruments againstcorruption. The information provided in the database will be facilitate and speed up mutual legal assistance;7 Drawing up of new regional and subregional agreements on extradition and mutual assistance with a C. National anti-corruption programme
agreement
Development and promotion of model letters for For the success of anti-corruption activities the support and commitment of the Governments involved is essential.
Strengthening of law enforcement capacities at Governments may choose to sign a national anti-corruption the subregional and regional levels by promoting and programme agreement with the Office for Drug Control and facilitating partnership among law enforcement agencies of Crime Prevention. This agreement is a necessary tool for the implementation of the transparency and monitoring Provision of assistance in the establishment of mechanisms, which will show to the international community monitoring mechanisms at the international level.
the strong commitment of the national authorities. Through the signature of the agreement (a draft outline is given in in evaluation of the efficacy of the anti-corruption measures annex III), the Government would, for example, request the adopted and implemented at the national level.
activities of the Global Programme to be carried out in thecountry; commit itself to facilitate and promote the implementation of the different phases of the activities 1 The International Crime Victim Survey was carried out in some envisaged; and possibly envisage the involvement of the 60 countries and included items on corruption in public country in international activities.
2 The International Business Crime Survey was piloted in 10 countries in 1994 and included a series of items on IV. Evaluation
corruption in the business sector. It will be expanded in the nearfuture.
3 The use of a holistic approach in the fight against corruption A. Programme evaluation
has been advocated by many, in particular by TransparencyInternational, the main non-governmental organization workingin this field. Transparency International has developed the The evaluation of the Global Programme will be elements of a “national integrity system”, which are mechanisms supporting accountability and transparency; apartnership between government and civil society organizations; Specific evaluation mechanisms will be included administration reform and countering conflict of interests in the as part of the implemented activity or module, where public services; accountability of the decision makers; appropriate mechanisms that provide public officials withchannels for reporting acts of alleged corruption; independence Donor countries and/or entities will receive of the judiciary; open, genuine, competitive and transparent regular progress reports and financial statements (to be systems of procurement; self-regulation of the private sector; an alert press, with the freedom to discharge its role as publicwatchdog; and creation of independent anti-corruption agencies.
Progress reports and other information on the For further details, see Transparency International, implementation and results of the Global Programme will be Transparency International Source Book (2nd ed.), 1997, accessible to the international community through the database, the forum, presentations at conferences and 4 For instance a draft law in Lebanon suggests the creation of two special bodies. The first, an investigative commission, couldreceive complaints from citizens, companies, non-governmental If requested by donor countries, one independent organizations and so on and would be endowed with full evaluation could be undertaken after the implementation of investigative capacities such as searches, seizures and special investigative techniques. The second body, a national anti-corruption council, could judge cases brought to it, includingthose involving high-level officials such as the President of theRepublic, the Prime Minister, ministers and members of B. Impact evaluation
Parliament. The council would be allowed to pass sentences,including high fines and seizure of assets; publicize its In order to evaluate the impact of the measures judgements; and dismiss public officials. Both the commission undertaken under the Global Programme the following and the council would be composed of high-level experts andjudges. Furthermore, the draft law also envisages declaration of assets for all officials falling under its jurisdiction.
At the country level, the national anti-corruption 5 See United Nations Development Programme/Organisation for commission, where it exists, or the body identified in the Economic Cooperation and Development, Corruption and national anti-corruption programme agreement, will include Integrity Improvement Initiatives in Developing Countries in its regular reports to the competent national authority an (UNDP Sales No. E.98.III.B.18), August 1998, pp. 37 and 38, assessment of the impact of the implemented strategies and where the idea of creating an international tribunal to resolve measures. International experts may also be requested to disputes on such cases is mooted. This is still a controversialidea, however, and some technical cooperation mechanism appears more practical and to have a higher degree of flexibility.
The corruption monitoring protocol will be used 6 The types of international trade transaction submitted to such a in regular periodical monitoring of trends in corruption and monitoring mechanism would also be defined in the context of anational anti-corruption programme agreement.
7 One of the crucial points in international cooperation are delays in mutual legal assistance. Examples are provided in JeanZiegler, Le bras paralysé du juge, “Les seigneurs du crime”,1998, pp. 228-235.
Draft outline for a corruption monitoring protocol
Citizens’ perception of corruption in public administration.
Citizens’ first-hand experience of corruption in public administration.
Business perceptions (private and public).
Business experience (private and public).
Perceptions of the criminal justice system.
Reported cases (police and other agencies); Anti-corruption implementation structures.
Codes of ethics and integrity testing procedures for public officials and implementationmechanisms.
Public awareness and educational initiatives.
Public officials: disclosure of assets, liabilities and income tax returns.
The issue of immunity for public officials.
Simplicity of provisions regarding transparency in public sector works.
Provisions regarding regulation of and transparency in financing political parties andcampaigns.
Provisions regarding the support and protection of victims, witnesses and whistle-blowers.
Ratification of international instruments and bilateral agreements.
Examples of transparency and monitoring mechanisms
Transparency and accountability are two key elements to combat corruption.
Governments of countries where activities of the Global Programme against Corruption willbe implemented may choose to enter into a formal anti-corruption programme agreement.
This agreement is an essential tool for setting up the transparency and monitoringmechanisms, which will show to the international community the firm commitment of thenational authorities. Strengthening transparency and accountability by means of internationalassistance will bring competitive advantages, increase credibility not only from an ethical butalso from an economic perspective and will promote development of the country.
Two mechanisms for monitoring public sector contracts and international commercial transactions have been envisaged: (a) an international contract transparency mechanism; and(b) an international monitoring mechanism. The former would have a direct impact on thefairness of procedures to be followed in commercial transactions and in contract bidding inthe public sector. The latter would provide the international community and nationalauthorities with advice, information and recommendations upon request.
A. Transparency mechanism for public sector contracts and
commercial transactions
The basic idea behind the transparency mechanism is to guarantee the honesty and transparency not only of public sector contracts but also of other commercial transactions insensitive areas where bribery is widespread.
For that purpose, the first task is to define the types of public sector contract and commercial transaction that fall under the jurisdiction of the mechanism. Specific criteriamight be defined, such as the level of the contract, the nature of the goods or services and soon.
Within that framework and at the request of either the national authority in charge of issuing the contract or the authority monitoring the commercial transaction, the Centre forInternational Crime Prevention of the Office for Drug Control and Crime Prevention of theUnited Nations Secretariat would offer advisory services covering all phases leading to theconclusion of the contract and, in particular, the establishment of criteria for the selection ofcandidates.
The immediate effects could be a significant improvement in transparency by promoting healthy competition among the companies and thus more integrity in the commercialtransactions.
B. International anti-corruption monitoring mechanism
The international anti-corruption monitoring mechanism is intended to promote concrete action against corruption and to support the judiciary and law enforcement agencies,including the national anti-corruption commission or the national anti-corruption investigativeunit where these exist. The mechanism would be composed of three international expertsselected by the Centre for International Crime Prevention in agreement with the Governmentof the country.
The goal of the mechanism would be support effective action against corruption. It would also acknowledge the country’s true commitment to fight corruption.
As regards the establishment and functioning of the mechanism, it should be underlined that it would only function within the framework of a national anti-corruption programmeagreement. This means that the mechanism is exclusively a technical assistance tool and notan international legal instrument. It would be advisable for such a mechanism to be includedin subregional or regional treaties against financial and economic crimes, either as part ofthose treaties or as a protocol to them. The experts composing the mechanism should be inthe position to investigate and to submit the results of their investigations to the judicialauthority of the country for appropriate action.
The report of the activities of the monitoring mechanism will be disseminated every year after consultation with relevant authorities and concerned international organizations. Thereport will include decisions and recommendations related to corruption. A list containing thenames of companies that have been convicted of corruption may also be published. Excerptsfrom the annual reports of the mechanism will appear in both national and internationalnewspapers.
All interested parties, including companies and national entities, may, under conditions to be specified by the national anti-corruption programme agreement, approach theinternational anti-corruption accountability mechanism either for advice or to initiate animpartial investigation, which could then lead to a judicial procedure by the competentnational authority.
Annex III
Draft national anti-corruption programme agreement
Governments of countries where activities of the Global Programme against Corruption will be implemented may choose to enter into a formal national anti-corruption programmeagreement, by means of which a formal agreement between the country and the UnitedNations will be established to implement the Global Programme.
A national anti-corruption programme agreement would cover a comprehensive modular package of anti-corruption activities and would constitute a formal agreementbetween the concerned country and the United Nations to implement the Global Programme.
The Centre for International Crime Prevention of the Office for Drug Control and Crime Prevention of the United Nations Secretariat and the United Nations Interregional Crime andJustice Research Institute would be responsible for: Undertaking missions to assess the needs and the situation in countries; Selection of international experts to assist in assessing the needs of countries and where to implement the Programme, in elaborating recommendations on best practices totackle corruption and in implementing the measures foreseen by the Global Programme; Provision of advisory services and research and technical cooperation to the To facilitate needs assessment missions and the provision of advisory services and research and technical cooperation, which, according to the country’s request, could relateto: Review of the criminal, administrative and commercial legislation and regulations currently in force with a view to incorporating into them relevant internationallyaccepted principles related to the fight against corruption; Implementation of relevant administrative reforms; (iii) Strengthening of the national anti-corruption framework by establishing, to theextent possible, anti-corruption bodies and/or by strengthening existing ones; Providing the necessary facilities for the administration of the corruption Implementation and/or strengthening of preventive measures (such as codes of conduct, public awareness campaigns and hotlines); To conclude and ratify international treaties on extradition and legal mutual assistance in the fight against corruption; To utilize, if and when established, the international transparency and accountability mechanisms and to report to the Centre for International Crime Prevention onactions resulting from the submissions received from those mechanisms.
Draft law for the establishment of a national anti-corruption commission
I. Preliminary remarks
[When a national anti-corruption commission is to be established] With respect to the relevant United Nations and international instruments signed by the country, and to the existing national legislation, a national anti-corruption commission shallbe established with the task of implementing and coordinating policy at the national level forthe prevention and control of corruption.
[When the functions are devolved upon an existing entity] The [name of the designated entity] shall be entrusted with implementation and coordination of corruption prevention and control policy at the national level.
II. Composition of the Commission
The Commission shall be directed by [.] and composed of [.] persons, such as members of the judiciary, public officials (in office or retired) and any other duly qualifiedpersons.
The members of the Commission shall cease to perform any duties that would be incompatible with those arising from their obligations as members of the Commission.
The appointment of members of the Commission shall take place in accordance with the legislation in force in the country.
The Commission may enlist the assistance of any duly qualified persons on an ad hoc The Commission shall have an independent budget.
The Commission (name of the designated entity) shall have the assistance of a secretariat placed at its disposal by [Head of State, Minister of .].
The secretariat of the Commission shall be directed by a Secretary-General, who shall attend the Commission’s deliberations (name of the designated entity).
III. Functions of the Commission (Functions of the designated
The National Anti-Corruption Commission (name of the designated entity) shall prepare strategies for the prevention and control of corruption for submission to and adoption by the[legislative bodies, Head of State].
The Commission shall implement and coordinate policies aimed at preventing and The Commission shall advise government departments on anti-corruption strategies and The Commission shall conduct information campaigns aimed at preventing corruption and misconduct and shall organize specialized training of staff in prevention, investigationand prosecution.
The Commission shall centralize information regarding acts and misconduct communicated to it by the police services and public authorities (and by persons responsiblefor auditing the accounts) (or sent to it directly by private individuals).
The Commission shall receive information relevant to the performance of its mission within the scope of the administrative powers assigned to it.
The Commission (name of the designated entity) shall ensure that the provisions of articles [.] and [ÿ] of this law are observed.
The Commission (name of the designated entity) shall investigate shortcomings in the organization and management of public administrations and enterprises that could facilitatethe commission of the acts and misconduct covered by paragraph [.] of article [ÿ], and shallrecommend measures for their prevention.
The Commission shall provide advice on such measures to authorities requesting them.
Once a year, the Commission (name of the designated entity) shall prepare and submit to the [legislative bodies, Head of State] a progress report and further proposals aimed at theeffective prevention and control of corruption.
The Commission (name of the designated entity) may request declaration of property and incomes by persons holding any of the public offices listed in article [.].
The Commission may require a person holding public office to reveal the source of his or her property, wealth, assets and interests, as well as those of his or her spouse, dependantsand relatives, as envisaged by proper legislation.
The Commission may require submission, by the person acting as its depositary, of the register of declarations of gifts stipulated in article [.].
In case of reasonable suspicion regarding the above, the Commission may seek to establish the reliability of such declarations in cooperation with relevant national bodies.
The Commission (name of the designated entity) may verify observance of the ceiling on electoral expenditure and the accuracy of the election campaign accounts.
The Commission will have powers to examine the execution of public contracts (not The Commission may verify that the award of public works and supply contracts and the assignment of operations with a value of [.] or more by the public authorities isconducted in a proper manner.
IV. Professional secrecy
Disclosure by any person, except in connection with judicial or disciplinary proceedings, of information gathered by the Commission (name of the designated entity) shallbe punished by [ÿ].
V. Information to the judicial authorities
As soon as information received by the Commission (name of the designated entity) reveals facts that may constitute an offence or misconduct, it shall refer the matter to [.][name of the authority competent to institute criminal proceedings].
The Commission (name of the designated entity) shall, at the request of the judicial authorities dealing with such acts or misconduct, forward to them information in itspossession pertaining to those acts or misconduct.
VI. Implementing provisions
The implementation of all the above-mentioned provisions shall be promulgated by Guidelines for the establishment of a national anti-corruption
investigative unit
The creation of a national anti-corruption investigative unit could be one of the essential elements of a national strategy in this area, subject to respect of the basic principles and rulesestablished in the national legislation and in the international instruments ratified.
I. General principles
The national anti-corruption investigative unit should be inter-ministerial and autonomous. Its personnel should combine a high degree of professionalism with the utmostintegrity. High-level value attached to their functions, close monitoring and a strictdisciplinary regime should be envisaged to ensure their incorruptibility.
In order to reflect the multidisciplinary nature of its tasks, it is strongly recommended that the unit be inter-ministerial and thus composed of specialists representing the judiciary,the police and finance administrations (tax and customs), as well as highly qualified experts,especially in finance and computers.
The staff should be of the highest professional calibre and should thus be recruited from among the specialists in their service of origin.
Irrespective of their service of origin, and apart from considerations of rank, all staff in the unit should enjoy the same status.
Their status should be given proper recognition, by combining both particular restrictions (such as checked declarations of income and assets on appointment to and uponleaving the unit and periodic monitoring during assignment to the unit and sanctions) andspecific benefits (such as appropriate salary, provision of service accommodation and a highlevel of technical resources making the job more attractive).
To maintain its independence, the unit should be given appropriate autonomy by being placed outside the traditional administrative framework and should be accountable to thenational anti-corruption commission.
The unit should, however, be subject to control at various levels, executive, judiciary The chief of the unit should prepare an annual public report on the activities of the unit and the results achieved, which should be submitted to parliament and made public throughthe media to ensure that it is distributed as widely as possible.
II. Functioning
The national anti-corruption investigative unit should not be merely a corruption watch.
It should function as an active information and investigation service and keep the relevantnational authorities informed of its work.
The anti-corruption unit should be able to function effectively, which implies It should be both an information and investigation service and a coordinating body for other information or investigation units; Its case files should be transmitted simultaneously to the judicial authority and to other relevant national bodies. The unit should also issue notification of proceedings. Thejudicial authority should in turn be required, for control purposes, to inform the unit and otherrelevant national bodies of proceedings actually conducted and to provide justification for itsdecisions, especially in the case of discontinuance of a procedure; Since the unit cannot deal with all investigations into corruption, it should, in consultation with the relevant national bodies and the judicial authority if necessary, assessthe gravity and complexity of cases brought to its attention. It would then decide, on the basisof that assessment, either to refer such cases to other police units or external control andinspection bodies or to carry out the investigation itself or in conjunction with otherspecialized units, for example, those in charge of control and prevention of drug abuse,money-laundering and organized crime.
III. Resources and methods
The unit should be able to receive information and have the capacity to initiate all types It should have adequate logistical and budgetary support to be able to utilize the newest information and investigative methods and techniques, as permitted by law.
The means of reporting to the unit should be as informal, accessible and effective as possible. Everyone should have access to it by any available means of communication,including free hotlines.
The service should also carry out its information-gathering role on its own initiative and primarily on targets defined by itself. In order to enhance efficiency, it might also have thecapacity to use a controlled procedure for paying rewards to its informants.
Specific legal provisions should allow the unit as direct and immediate access as possible to information held by financial institutions otherwise subject to banking secrecy.
It should have the technical capacity, subject to the rules of criminal procedure, to carry out surveillance, interrogation and other activities that it deems necessary and to carry out orrequest other services to carry out background inquiries on individuals or otheradministrative, industrial, financial or commercial entities.
Staff and budget
A. Measures to support the implementation of the Global
Programme against Corruption
Research component
In order to support the work of the United Nations Interregional Crime and Justice Research Institute in implementing the research component of the Global Programme againstCorruption, three posts would be required, as follows: two Professional posts, one L-5 andone L-3, to carry out the research and one G-4 to deal with administrative tasks.
Technical cooperation component
In order to support and facilitate the work of the Centre for International Crime Prevention of the Office for Drug Control and Crime Prevention of the United NationsSecretariat in implementing the technical cooperation component of the Global Programmeagainst Corruption, four posts would also be required, as follows: one L-6 to manage theimplementation of the technical cooperation component of the Programme, one L-3 asProgramme Officer and two G-4 staff to deal with administrative tasks.
In addition to the staffing requirements for the Centre for International Crime Prevention and the United Nations Interregional Crime and Justice Research Institute, a poolof high-level international experts will be established. The pool should include prosecutors,judges, academics and, if possible, representatives of the private sector, selected on a widegeographical basis. The experts will assist the Institute in the implementation of the researchcomponent and the Centre in assessing the needs of countries and where to implement theProgramme, in drawing up recommendations on best practices to tackle corruption and inimplementing the measures foreseen by the Global Programme.
Duration of the Programme
In order to have a real impact, the duration of the project should be of at least three years. An extension of the project for two additional years is highly recommended, but issubject to the availability of funding. The following draft budget covers the costs of activitiesover a three-year period.
B. Proposed project budget for the period 1999-2002a
Total
Work-
month
s
Personnel
Research team, full study,region I (incl. travel)b Research team, full study,region II (incl. travel)b Research team, full study,region III (incl. travel)b Research team, full study,region IV (incl. travel)b Subtotal
Total
Work-
month
s
Subtotal
Subtotal
Subtotal
Subtotal
Total, line 1
Subcontracts
Subtotal
Total, line 2
Training
Subtotal
Subtotal
Total
Work-
month
s
Subtotal
Total, line 3
Equipment
Purchase of documentation(periodicals, books, etc.)UNICRI Purchase of documentation(periodicals, books, etc.) CICP Subtotal
Electronic data-processingequipment, region II Electronic data-processingequipment, region III Electronic data-processingequipment, region IV Electronic data-processingequipment, UNICRI Electronic data-processingequipment, CICP Subtotal
Total, line 4
Miscellaneous
Subtotal
Subtotal
Total, line 5
Subtotal
Grand total
budget covers four regions of the world and offices will be established in one country in each region.
bThe full research study includes data collection and analysis.

Source: http://www.univd.edu.ua/_projects/ezloch_kor/docs/eng/15.pdf