THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY AUSTRIA

ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

AUSTRIA (TENTH MEETING)

Development The process of working out the National Anti-Corruption Strategy (NACS) lasted for a period of about 18 months – from 2013 to 2014 – and consisted of a total of 10 panel discussions (round tables), which were organized by the BAK. At these events, experts gave lectures and discussed on specific topics from the field of corruption prevention. The motto was “Current measures and recent developments in corruption prevention”. These round tables were attended by leading anti-corruption experts, senior officials of the Austrian Federal Chancellery, all Federal Ministries, the Austrian Court of Audit, the regional courts of audit, the Austrian Association of Cities and Towns, the Austrian Association of Municipalities, the Main Association of Austrian Social Security Institutions, as well as by trade union representatives and experts from the fields of internal audit, human resource management, disciplinary matters, and complaint management. In each expert panel, the focus was placed on a specific, predetermined issue: 1. Codes of conduct 2. Corruption prevention standards of the Austrian regional governments 3. Integration of civil society in the prevention of corruption 4. Whistle-blowing – the role and protection of and the support for whistle-blowers 5. The role of the Austrian Court of Audit in the fight against corruption 6. Compliance in the public sector – creation and implementation of compliance management systems 7. Public sponsoring 8. Media coverage of corruption 9. Anti-corruption officers in the public sector – establishment of a network of “knowledge disseminators” 10. Anti-corruption training for young people Following introductory speeches, the participants engaged in discussions on the above mentioned topics, in particular on experiences made and approaches adopted in the relevant field. In addition, experts from the private sector were invited to give presentations on measures to promote compliance and integrity in their sector. The main findings of these plenary discussions were summarized and integrated into the prevention section of the Austrian Anti-Corruption Strategy. In parallel to the development of the National Anti-Corruption Strategy, the panel speakers provided their presentations for the publication of the anthology entitled “Corruption Prevention in Theory and Practice”, which was edited by the BAK. The book gives an overview on current approaches to prevent corruption both in the public and the private sectors and was published in October 2015. The NACS (https://www.bak.gv.at/bmi_documents/2178.pdf), adopted on 31 January 2018 by the Austrian Federal Government, provides the strategic framework and sets out the

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basic principles and objectives. The strategy entails the mandatory implementation of corresponding measures contained in an action plan. In accordance with the structure of the NACS, an action plan was drawn up in close cooperation between the BAK and other responsible ministries and departments. This Action Plan for the NACS was agreed by the national Coordinating Body on Combating Corruption, and is divided into the sections “Prevention” and “Law Enforcement”. It includes individual measures and defines six areas of action in the range of prevention measures, analogous to the NACS: 1. Integrity management – promoting behaviour of integrity 2. Compliance management for public administration 3. Reduction of structural corruption risks 4. Promoting approaches to the prevention of corruption and taking concrete measures to this end 5. Raising public awareness 6. Awareness-raising – training of specific target groups In respect of criminal prosecution, the action plan provides for the vigorous application of the Statute on Responsibility of Legal Entities (Verbandsverantwortlichkeitsgesetz) by prosecution authorities. A practical guide and a wider range of training opportunities are to be provided to support this objective.

The Action Plan for the NACS was adopted on 16 January 2019 during a session of the Council of Ministers. With the action plan the Austrian Federal Government clearly pointed the way to a corruption-free administration based on integrity. The plan covers measures in the field of prevention and prosecution representing objectives for implementation the Federal Chancellery and the Federal Ministries set for themselves. The aim is to bindingly implement the measures listed in the action plan or to initiate corresponding implementation steps in the period from 2019 to 2020. In order to periodically supplement and update the action plan, it was conceived as a “living document”. Furthermore, some authorities and organizations decided to participate voluntarily in the process of implementing the NACS by developing an action plan of their own. The voluntary participants will stick to the structure and measures described in the Action Plan for the NACS. Their action plan is expected to be finalized and published at the beginning of May 2019.

Evaluation Both action plans include implementation steps corresponding to the NACS for the years 2019 and 2020. The possible development of individual (internal) systems to monitor the

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implementation progress and to evaluate the impact and effectiveness of measures taken lie within the responsibility of the respective authority or organization. An overall (external) evaluation of the binding measures in the field of prevention and prosecution, carried out in a two-year cycle, will be coordinated by the Coordinating Body on Combating Corruption. The first evaluation is expected to start at the end of 2020.

Impact of the anti-corruption strategy The aim of the NACS is to enhance and ensure integrity and transparency in administration, politics and the economy. The strategy sets out the fundamental objectives and includes an indicative list of specific measures. The objectives are to be implemented on the basis of the action plans and will be evaluated. The NACS and the derived measures are divided into six areas of action with different objectives and priorities:  Promotion of corruption prevention measures – systematic exchange of best practices and new approaches between the public and the private sector involving civil society; establishment of new communication platforms.  Compliance Management Systems (CMS) – increased implementation of CMS in public administration, systematization and further development of existing prevention measures, appointment of integrity officers.  Reduction of risks of structural corruption – systematic identification and reduction of corruption risks and areas prone to corruption through risk analyses and control mechanisms.  Integrity management – information, training and awareness-raising for/among members of the civil service.  Raising public awareness – promotion of transparency and integrity through the intensive involvement of civil society in corruption prevention activities as well as cooperation with the media and the business sector.  Training for specific target groups – integration of issues of corruption prevention and integrity into school and university curricula. Referring to the impact and outcome of the implementation of measures in the field of integrity management, it is important to highlight the establishment of the national Network of Integrity Officers (NIO) as it is a key element of the NACS. The Austrian Federal Bureau of Anti-Corruption started to set up this network in 2016. So far, more than 120 integrity officers from over 60 entities have been trained in a one-week basic training in the framework of the NIO. Moreover, follow-up seminars and workshops for specific target groups have been provided. In 2018, a ministry received the integrity award for a very innovative concept for raising awareness among new employees. The main task of the integrity officers is to support their entities in compliance and integrity matters. The Network of Integrity Officers, consisting of representatives of public administration, state-owned enterprises and the

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education sector, promotes the exchange of experiences and contributes to creating synergies in integrity issues.

Kind regards

Martina KOGER

Head of Department

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THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY AUSTRIA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

Ref.GZ2010/786/2/2011-Wien-BAKof28April2011

The Federal Bureau of Anti-Corruption of the Austrian Federal Ministry of the Interior (.BAK) provides the following information on Austrian activities/"good practices" in the prevention of corruption:

Since the establishment of the Federal Bureau of Anti-Corruption (BAK) on 1 January 2010, which is based on a new law, prevention of corruption has been one of the Bureau's main focuses, Prevention is an essential element in the fight against corruption. Thus, in line with its four-pillar approach (prevention — education — law enforcement — cooperation), the BAK launches projects in the field of prevention.

Experiences of anti-corruption authorities show that there is a strong need for more operationally-oriented training opportunities. Therefore, the European Anti- Corruption Training (EACT), based on an Austrian initiative, is carried out from 2011 to 2013 together with anticorruption authorities of Slovenia and Slovakia in order to enhance the practical skills in fighting and preventing corruption. Under the slogan "Practice Meets Practice", EACT offers an innovative, multistage approach to develop good practices by the exchange of experience between European countries.

At the Kick-off Conference, taking place from 19 to 24 September 2011 in Austria, different aspects of the fight against corruption will be highlighted and working groups on the issues of prevention, investigation and prosecution, as well as international cooperation will be set up. The aim of the meetings of these working groups is to discuss different methods and develop good practices in the field of anti-corruption on the basis of case studies and lectures. The results will be documented in a manual and presented at the final conference in spring 2013.

EACT is a platform for representatives of anti-corruption institutions as well as police and judicial authorities (public prosecutor's offices and public prosecutor's offices against corruption) of European Countries that would like to provide their experience and/or gain new insights into the field of anti-corruption by exchanging information with their counterparts in other countries. For further information, please visit http://www.bak.dv.at or contact EACT©bak.ay.at. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY AZERBAIJAN

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

AZERBAIJAN (SECOND MEETING)

Preventive measures have been an integral part and best placed in the frontline of all policy and strategies aimed at curbing corruption in Azerbaijan. Both the Anticorruption ACT 2005 and State Program on Combating Corruption, with its Action plan for years 2004-2006, include special chapters/measures on prevention of corruption. These two major documents set the initial framework and triggered the new wave of preventive reforms within the framework of fight against corruption in the country.

As stated above, in order to implement or maintain effective, coordinated anti-corruption policy that promotes the participation of society and reflects the principles of the rule of law, proper management of public affairs and public property, integrity, transparency and accountability, Azerbaijan has developed and carried out two national strategies in years 2004-2011. State Program for Combating Corruption and its Action Plan for years 2004- 2006 was approved by the Presidential Decree of the President of Republic Azerbaijan on September 3, 2004. The results of evaluation of implementation of State Program on Combating Corruption indicate that as early as in year 2006, major prevention-related requirements of UNCAC were either initiated or in the process of active implementation. In 2007, the Government adopted another major reforms document, the National Strategy on Increasing Transparency and Combating Corruption, which inter alia aimed to boost reforms and harmonize the existing anti-corruption mechanisms with the international requirements, mainly UNCAC. With prevention defined as its core stone (principle), the Strategy molded mainly through the measures of preventive character. These measures cover almost all areas mentioned in Chapter II of UNCAC.

Anticorruption ACT 2005 stipulates that all state bodies and officials shall, within their competence, carry out the fight against corruption. Although indirectly, but it makes all state bodies responsible for implementation of preventive measures. Separate body within the meaning of Article 6 of the UNCAC, Commission for Combating Corruption, was established in the year of 2005. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY BELARUS

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

BELARUS (THIRD MEETING)

One of the crucial aspects of legislative regulations on the question of the fight against corruption in the Republic of Belarus turns on the development and successive realization/implementation of specific national programs in areas of the fight against corruption. In particular, currently, specialized agencies of the state administration of the Republic of Belarus as part of their competences implement guidelines/provisions of national programs on the fight against crime and corruption in 2010-2012, confirming the decree of the president of the Republic of Belarus of September 23 2010, No. 485. For the purpose of improvement of political effectiveness countering corruption, on 22 December 2011 changes and additions to the law of the Republic of Belarus “On the Fights Against Corruption” were introduced, which are, in particular:

Including the concept “conflict of interest” and assessments on the prevention and settlement of conflicts of interest connected to the fulfillment of the charges of government officials ( “conflict of interest” – situation in which the private interests of a government official, his spouse, close relatives, or relatives by marriage influence or can affect the proper execution of his official government service when making his decisions or his participation in making decisions or committing other actions during his service (at work);

Adducing new versions of the terms “public official” and “persons the equivalent of government officials” (putting into concrete terms a current list of additional persons occupying positions connected to the implementation of organizational-administrative or administrative-economic charges in non-governmental organizations, with government funding, for which state ownership makes up not less than 50%)

Revising and expanding the list of restrictions established for public officials and their equivalents who take part in transactions on behalf of government organizations or non- governmental organizations in authorized funds for which government funding makes up no less than 50%, with legal entities, the owners of which are the spouse, close relatives or relations by marriage, and also individual entrepreneurs who are their spouse, close relative or relative by marriage In addition, in 2011 the Model Regulations for Commissions on Corruption Prevention were confirmed (enacted by the Council of Ministers of the Republic of Belarus on 26 December 2011, No. 1732.). THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY BOLIVIA ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

BOLIVIA (TENTH MEETING)

ESEADO PLURINACIONAL DE BOLIVIA MINISTERIO DE JUSTICIA - TRANSPARENCIA INSTITUCIONAL de septiembre de 2018, asimismo, solicita informar sobre las iniciativas y prá ticas relativas a los temas de deliberación de la Décima reunión, hasta el 25 de abril de 2019.

En virtud a que la información requerida estaría vinculada al trabajo y atribuciones de la Dirección General de Lucha contra la Corrupción, a través de Nota Interna mmArriLcc- DGPPET-N°22/2019, se solicito información a la Dirección señalada a Jfectos de otorgar respuesta a la solicitud referida; siendo atendida mediante Informe IV4jTI-V1 ILCC/DGLCC N° 034/2019 de 23 de abril de 2019.

II. CONVENCIÓN DE LAS NACIONES UNIDAS CONTRA CORRUPCIÓN (UNCAC)

La Convención de las Naciones Unidas contra la Corrupción (UNCAC), también conocida como la Convención de Mérida, por haber sido adoptada en la ciudad de Mexico, en diciembre de 2003, entró en vigor el 14 de diciembre de 2005, al reunir las 30 ratilicacicines requeridas.

Actualmente, se integra por 126 Estados miembros y sus propósitos fundamentales son:

1. Promover y fortalecer las medidas para prevenir y combatir más eficaz y eficientemente la corrupción; 2. Promover, facilitar y apoyar la cooperación internacional y la asistencia técnica en la prevención y la lucha contra la corrupción, incluida la recuperacin de activos; 3. Promover la integridad, la obligación de rendir cuentas y la debida gestión de los asuntos y los bienes públicos,

En ese sentido, la UNCAC reconoce que una función pública eficiente y trañsparente es la base de un buen gobierno. Asimismo, indica que para evitar los efectos nocivos de la corrupción, es indispensable que sus normas sean aplicables también al sector privado Y se involucre a la sociedad en el diseño e implementación de estrategias en la materia.

La UNCAC abarca cinco áreas principales:

1. Medidas preventivas.- Un capítulo entero de la Convención está dedicado a la prevención, con medidas dirigidas tanto al sector público como al privado. 2. üiminalización y cumplimiento de la ley.- La Convención e ige que los países establezcan delitos penales y de otro tipo para abarcar una ampli/i. wama de actos de corrupción, si estos ya no son crímenes de derecho interno. 3. Cooperación internacional.- Los países están obligados por la Convención a brindar formas específicas de asistencia legal mutua para leunir y transferir evidencia Para su uso en la corte, 'm'a extraditar a los delincuent s 4. Recuperación de activos.- Un aspecto destacado de la Convención es la inclusión de un capítulo específico sobre la recuperación de activos, destinado a devolver activos a sus legítimos propietarios, incluidos los países de los (pile fueron tomados de manera ilícita, . 1

Av. 16 de Julio, N° 1769 - Central Piloto; 2158900 / 2158901 / 2158902 - La Paz, Bolivia o ESTADO PLURINACIONAL DE BOLIVIA MINISTERIO DE JUSTICIA • • ------TRANSPARENCIA INSTITUCIONAL

,5. /1,91,9ienda dona e intercambio de inkninación,- Cada Estado Parte, en la medida necesaria formulará, desarrollará O perfeccionará programas de capacitación .[ específicamente concebidos para el personal de sus servicios encargados de prevenir y combatir la corrupción. 6. MCCallÍSMOS de Aplicación: La Conferencia de Estados Partes, con el fin de mejorar la capacidad y cooperación entre los Estados Partes, prOmueve, examina la aplicación de la Convención y formula recomendaciones ¡iara Optimizar su implementación. 7. Disposiciones Finales.- Disposiciones sobre la entrada en vi4or, el proceso de ratificación y las enmiendas al texto de la Convención.

Bolivia firmó la Convención de las Naciones Unidas contra la Corrupción el 9 de diciembre de 2003, siendo aprobada su ratificación mediante Ley N° 3068 de 01 de junio de 2005. La Convención de las Naciones Unidas contra la Corrupción forma parte integrante del ordenamiento jurídico interno de Bolivia y puede ser aplicada directamente.

III. CONSIDERACIONES Y CARACIERÍSTICAS DE LA DÉCIMA REUNIÓN DEL GRUPO DE TRABAJO INTERGUBERNAMENTAL DE COMPOSICIÓN ABIERTA SOBRE PREVENCIÓN DE LA CORRUPCIÓN - VIENA DEI. 4 AL 6 DE SEPTIEMBRE DE 2019

Mediante Nota CU 2018/84/DTA/CEB, la Secretaría General de la Conferencia de los Estados Partes en la Convención de las Naciones Unidas contra la Corrupción comunica que en atención a las Resoluciones de la Conferencia de Estados Partes 7/5, titulada "Promoción de medidas preventivas contra la corrupción" y 7/6, titulada "Seguimiento de da Declaración de Marrakech sobre la prevención de la corrupción", aprobadas en su Séptimo Periodo de Sesiones, y las recomendaciones del Grupo de Trabajo Intergubernamental de Composición Abierta sobre Prevención de la Corrupción, establecido por la Conferenia de los Estados Partes en su Resolución 3/2 titulada "Medidas Preventivas", se tiene prevista ia realización de la Décima Reunión del Grupo de Trabajo Intergubernamental de Composiclión Abierta sobre Prevención de la Corrupción.

Al respecto de lo anterior, en su resolución 7/5, la Conferencia decidió que el Grupo de Trabajo incluyera como tema de examen para 2019, las enseñanzas extraidaslen relación con la formulación, la evaluación y las repercusiones de las estrategias de lucha contra la corrupción (articulo 5 de la UNCAC), por consiguiente, el tema de debate de la próxima reunión del Grupo de Trabajo será el siguiente:

a) Enseñanzas extraídas en relación con la formulación, la evaluación y las repercusiones de las estrategias de lucha contra la corrupción (artículo 5 de la UNCAC).

Además, se informa a nuestro Gobierno que, de conformidad con el plan de trabajo plurianual para la labor analítica del Grupo de Examen de Aplicación, que abarca el periodo 2017- 2019, el tema principal que examinará el Grupo durante la primera parte de la ccntintiación de sus

Av. 16 de Julio, N° 1769 - Central Piloto: 2158900 / 2158901 / 2158902 - La Paz, Bolivia KrAno nuniNAcioNAL DE BOLIVIA MINISTERIO DE JUSTICIA • • ••. . . y . TRANSPARENCIA INSTITUCIONAL.

Décimo periodo de sesiones sera el análisis de información sobre los logros, buenas prácticas, problemas, observaciones y necesidades de asistencia técnica dimanantes cl los exámenes de los países relativos al capítulo II (Medidas Preventivas) de la Convención, en este sentido, informan que el día 4 de septiembre de 2019, tendrá lugar una sesión c( njunta de los dos grupos que tratará sobre asistencia técnica.

Es pertinente señalar que si bien se anuncia la realización de la Décima reilión del Grupo de Trabajo Intergubernamental de Composición Abierta sobre Prevención de la Corrupción y la Reunión conjunta del Grupo Trabajo Intergubernamental de Composición Abierta sobre Prevención de la Corrupción y el Grupo de Examen de la Aplicación, a la lecha de la emisión del presente informe no fue transmitido el Programa Provisional Anotado, ri invitación formal a los eventos señalados, razón por la cual el presente informe aborda principalmente el contenido de la Nota de Orientación para la presentación por los Estado imites de infbrmación destinada a la Decima reunión y las enseñanzas extraídas en relación con 'a formulación , la evaluación y las repercusiones de las estrategias de lucha contra la corrupción para su remisión en plazo oportuno.

W. CONTENIDO DE LA NOTA DE ORIENTACIÓN PARA LA PRESENTACIÓN DE INFORMACIÓN

La Secretaria de la Conferencia de los Estados partes en la Convención de las Naciones luidas contra la Corrupción redactó la nota de orientación para ayudar a los Estadps partes a aportar información sobre las iniciativas que hayan puesto en marcha y las practicas que hayan adoptado relativas a los tenias que se examinarán en la Décima reunión entre periodos de sesiones del Grupo de Trabajo sobre Prevención.

M respecto, en el párrafo 12 del informe del Grupo de Trabajo sobre PrIevención sobre su Segunda reunión entre periodos de sesiones, se recomendó que se invitara a', los Estados partes a que compartieran sus experiencias en la aplicación de las disposiciones ,de la Convención objeto de examen antes de cada reunión preferentemente mediante la lista de verificación para la autoevaluación.

En aplicación de CS 21 recomendación, la Secretaría de la Conferencia de los Estados Partes, expone en la Nota de Orientación una selección de cuestiones basadas en fas preguntas de la lista de verificación para la atitoevaluación que los Estados partes tal vez &surtan usar como guía al presentar la información relacionada con las enseñanzas extraídas en materia de formulación, evaluación y repercusiones de las estrategias y lucha contra la e'irrupción (artículo 5 de la Convención).

En este marco, se señala brevemente a continuación lo requerido:

1. Describa (cite y resuma) las medidas que ha adoptado su país, de haberlas (o que prevé adoptar, junto con los plazos correspondientes), para lograr el pleno cumplimiento de

Av. 16 de Julio, N° 1769 - Central Piloto: 2158900 / 2158901 / 2158902 - La Paz, Bolivia ESLADO PLURINACIONAL DE BOLIVIA MINISTERIO DE JUSTICIA y - TRANSPARENCIA INSTITUCIONAL

esta disposición de la Convención, en particular, para formular poli icas nacionales de lucha contra la corrupción, aplicarlas, darles seguimiento y evaluar su l; efectos. 2. Indique las acciones que sean necesarias para garantizar o mcjorai- la aplicación de las medidas que se describen más arriba y los problemas concretos que se le haya presentado a ese respecto. 3. Describa las enseñanzas extraídas en materia de formulación, evaluación y repercusiones de las políticas o estrategias de lucha contra la corrupción. 4. (;Considera usted que necesita asistencia técnica para aplicar plenamente esta disposición? En caso afirmativo, indique los tipos específicos de asirncia técnica que necesitaría.

V. CUESTIONES SOBRE LA INFORMACIÓN SOLICITADA PARA SU DEBATE EN LA DÉCIMA REUNIÓN DEL GRUPO DE TRABAJO INTERGUBERNAMENTAL DE COMPOSICIÓN ABIERTA SOBRE PREVENCIÓN DE LA CORRUPCIÓN

De acuerdo al contenido de la Nota CI.J 2019/84/DTA/CEB, con la finalidad de facilitar el intercambio de buenas prácticas entre los Estados partes y signatarios, la Secretaría de la Conferencia de los Estados Partes en la Convención de las Naciones 1 Jni(las Contra la Corrupción', como en años anteriores, la publicaría en línea antes de la próxima reunión del Grupo de Trabajo toda la documentación presentada por el Estado, a menos que al aportar la información, los Estados partes signatarios hayan expresado el deseo contrario.

Conforme a lo señalado, el artículo 4 de la Ley N°465 de 19 de diciembre de 2013, establece que el Ministerio de Relaciones Exteriores se constituye la entidad rectora de las relaciones internacionales del Estado Plurinacional que desarrolla la gestión de la polítiica exterior para la defensa de su soberanía, independencia e intereses, mediante la aplicación la diplomacia de los pueblos por la vida, en beneficio de las y los bolivianos, así, la Ministra o Ministro de Relaciones Exteriores es la autoridad competente y responsable para coordinar y ejecutar la Política Exterior del Estado Plurinacional de Bolivia, por 51 0) a través de las instancias previstas en la referida en el marco de sus atribuciones. En este marco, esta instancia (lacra informar a la Secretaría sobre la aquiescencia o no del Estado para la publicación en línea de la información aportada.

VI. INFORMACIÓN DEL ESTADO PLURINANCIONAL DE BOLIVIA RELACIONADA A LOS TEMAS QUE SE EXAMINARÁN EN LA DÉCIMA REUNIÓN DEL GRUPO DE TRABAJO INTERGUBERINiiAMENTAL DE COMPOSICIÓN ABIERTA SOBRE PREVENCIÓN DE LA CORRUPCIÓN

ser redundantes, conforme se señaló, en virtud a que la información requerida estaría vinculada al trabajo y atribuciones de la Dirección General de Lucha contra la Corrupción, a través de Nota Interna MrITYFILCC-DGPPET-N°22/2019, se solicitó información a la

' Remitida mediante nota VRE-DGRM-UPOI-Cs-307/2019 el Ministerio de Relaciones Exteriores (MRE)

Av. 16 de Julio, N° 1769- Central Piloto: 2158900 / 2158901 / 2158902 - La Paz, Bolivia EsTADo PLURINACIONAL DE BOLIVIA MINISTERIO DE JUSTICIA . y TRANSPARENCIA INSTITUCIONAL Dirección señalada a electos de otorgar respuesta a la solicitud referich ; siendo atendida mediante Informe ium-vni,cc/DGI,CC N° 034/2019 de 23 de a )ril de 2019. En consecuencia, Sc adjunta al presente inlórme, la documentación remitida p >r dicha Dirección para su transmisión a la Secretaría de los Estados partes a través del Ministerio de Relaciones Exteriores del Estado boliviano,

VII. CONCLUSIONES

En mérito a lo anteriormente expuesto se concluye:

1, Mediante Nota VRE-DGRM-I JPOI-Cs-307/2019 el MRE remite copia de la Nota CU 2019/84/DTA/CEB de la Secretaría de la Conferencia de los Estados Partes en la Convención de las Naciones Unidas contra la Corrupción, a través de la cual informa a nuestro Estado, sobre el desarrollo de la Décima reunión entre periodos de sesiones del Grupo de Trabajo Intergubernamental de Composición Abierta sobre Prevención de la Corrupción, que se desarrollará en la ciudad de Viena, Republica de Austria los días 4 y 6 de septiembre de 2019. 2. De conformidad con la resolución 7/5, la Conferencia decidió que el Grupo de Trabajo incluyera como tema de examen para el 2019, las enseñanzas extraídas en relación con la formulación, la evaluación y las repercusiones de las estrategias de lucha contra la corrupción (artículo 5 de la UNCAC), en consecuencia el tema de (l)ate de la Décima reunión del Grupo de Trabajo será "Enseñanzas extraídas en relación con la formulación, la evaluación y las repercusiones de las estrategias ( e lucha contra la corrupción (artículo ,5 de la UNCAC)", 3, En la misma línea, a través de Nota VRE-DGRM-UPOI-Cs-307/2019 el MRE transmitió la Nota de Orientación para la presentación de informaci mi por los Estados partes de información destinada a la Décima reunión entre period )s de sesiones del Grupo de Trabajo Intergubernamental de Composición Abierta sobre Prevención de la Corrupción, solicitando la remisión de información a esa Cartera de Estado antes del 25 de abril de 2019 para su debate en la reunión señalada. 4. La información requerida en relación con el tema objeto de exameh se resume de la siguiente manera: i) Describa (cite y resuma) las medidas que ha adpptado su país, de haberlas (o que prevé adoptar, junto con los plazos correspondientes), para lograr el pleno cumplimiento de esta disposición de la Convención, en particúlar, para formular políticas nacionales de lucha contra la corrupción, aplicarlas, (larls seguimiento y evaluar sus electos; ii) Indique las acciones que sean necesarias para 4rantizar o mejorar la aplicación de las medidas que se describen mas arriba y los problemas concretos que se le haya presentado a ese respecto; iii) Describa las enseñanzas extraídas en materia de formulación, evaluación y repercusiones de las políticas o estrategias .de lucha contra la corrupción; iv)dConsidera usted que necesita asistencia técnica para aplicar plenamente esta disposición?. En caso afirmativo, indique los tipos específicos de asistencia técnica que necesitaría. 5. En la Nota de Orientación, se informa a nuestro Gobierno que, de c4nformidad con el plan de trabajo plurianual para la labor analítica del Grupo de ExaMen de Aplicación,

Av. 16 de Julio, N° 1769 - Central Piloto: 2158900 / 2158901 / 2158902 - La Paz, Bolivia rsrAno nuitINAcioxm. DE BOU VIA mwrisTrutto DE JUSTICIA TRANSPARENCIA INSTITUCIONAL que abarca el periodo 2017- 2019, el tema principal que examinará ei Grupo durante la primera parte de la continuación de sus Décimo periodo de sesiones será el análisis de información sobre los logros, buenas prácticas, problemas, observaciones y necesidades de asistencia técnica dimanantes de los exámenes de los países rela ivos al capítulo II (Medidas Preventivas) de la Convención, en este sentido, el día 4 de septiembre de 2019, tendrá lugar una sesión conjunta del Grupo de Trabajo Intergubernamental de Composición Abierta sobre Prevención de la Corrupción y el Grupo de Examen de Aplicación donde se tratará temas sobre asistencia técnica. 6, De acuerdo al contenido de la Nota CII 2019/84/DTA/CEB, con la finalidad de facilitar el intercambio de buenas prácticas entre los Estados partes y signatarios, la Secretaría de la Conferencia de los Estados Partes en la Convención de las Naciones IJnidas contra la Corrupción', como en años anteriores, la publicaría en línea antes de la próxima reunión del Grupo de Trabajo toda la documentación presentada por el Estado, a menos que al aportar la información, los Estados partes signatarios hayan expresado el deseo contrario. En este marco, se deberá informar a la Secretaría sobre la aquiescencia o no del Estado para hi publicación en línea de la inlormación aportada. 7. Si bien a través de las Notas y documentación descrita, se anuncia ht realización de la Décima Reunión del Grupo de Trabajo Intergubernamental de Composición Abierta sobre Prevención de la Corrupción y la Reunión conjunta del Grupo Trabajo Intergubernamental de Composición Abierta sobre Prevención de la Corrupción y el Grupo de Examen de la Aplicación, a la fecha de la emisión del presente informe no fue transmitido el Programa Provisional Anotado, ni invitación formal a los eventos señalados. 8. La información aportada por la Dirección General de Lucha contra la Corrupción a través del Informe MJTI-VTILCC/DGLCC N° 034/2019 de 23 de abril de 2019 otorga respuesta a las cuestiones señaladas en el punto 4 del este acáPite, por lo que corresponde su remisión en plazo oportuno a través de Nota de atención. 9. El artículo 4 de la Ley N°465 de 19 de diciembre de 2013, estableceique el Ministerio de Relaciones Exteriores se constituye la entidad rectora de las relaciones internacionales del Estado Plurinacional que desarrolla la gestión de la política exterior para la defensa de su soberanía, independencia e intereses, mediante la aplicación de la diplomacia de los pueblos por hi vida, en beneficio de las y los bolivianos, así, la Ministra o Ministro de Relaciones Exteriores es la autoridad competente y responsable para coordirms y ejecutar la Política Exterior del Estado Plurinacional de Bolivia, por sí o a través de las instancias previstas en la referida en el marco de sus atribuciones. En este marco, esta instancia deberá informar a la Secretaría sobre la aquiescencia o no del Estado para la publicación en línea de la información aportada.

VIII. RECOMENDACIONES

Por lo expuesto en los puntos anteriores, se recomienda pueda considerar lo siguiente:

Remitida mediante nota VRE-1)GRM-UPOI-Cs-307/2019 el Ministerio de Relaciones Exteriores (MRE)

Av. 16 de Julio, N° 1769 - Central Piloto: 2158900 / 2158901 / 2158902 - La Paz, Bolivia E5I'ADO PLURINACIONAL DE BOLIVIA

MiNiSine.i0 DE JUSTICIA , y

INSTITLICIONÁi.

1. Remitir al Ministerio de Relaciones Exteriores en plazo estableci«), la información elaborada por la Dirección General de Lucha contra la Corrupción, relativa a las "Enseñanzas extraídas en relación con la formulación, la evaluación y las repercusiones de las estrategias de lucha contra la corrupción" para su transmisión a la Secretaria de los Estados Partes en la Convención de las Naciones t Inicias contra la CotTupción. 2. En la misma línea, solicitar al Ministerio de Relaciones Exteriores, lli anuencia para la publicación en línea de la información aportada por esta Cartera de 4',stado antes de la reunión del grupo.

Es cuanto informo a su autoridad, para fines consiguientes.

CC,Ac ch. 111FAZ/DEI(;/11.1'11 Adj. Anexo I Infionmeinn nain ser ',J'unida n1 ?Ilil.',"1.:nsenanns eximidas en lclarión ron In l'onnularinn, In renluntión y las reperrnsiones de las eolnwgin. de lucha colilla In cortunenín" Noln cIiiigicla ol iI IM

Av. 16 de Julio, N° 1769 - Central Piloto: 2158900 / 2158901 / 2158902 - La Paz, Bolivia A tf MINISTERIO O IUSTICIA Y TRANSPARENCIA INSTITUCIONAL VICEMINISI RIO DE TRANSPARENCIA INSTITUCIONAL Y tUCNA CONTRA LA COYIKUPCION .Cx331.T31:2.0=8.

BITAI/0 PLURINACIONAL DB BOLIVIA MINISTERIO DE JUSTICIA y r---cTiazaza 3 ABR 2019 TRANSPARENCIA INSTITUCIONAL Nro. Re i>tio

INFORME Hrs: Rúbrica,. MJTINTILCC/DGLCC- N° 034/2019

A : Dr. Diego Ernesto Jiménez Guachalla VICEMINISTRO DE TRANSPARENCIA INSTITUCIO L Y LUCHA CONTRA LA CORRUPCIÓN

DE : Dr. Cesar Augusto Romano Molina DIRECTOR GENERAL DE LUCHA CONTRA LA C ugust mano ah 1129 MIRA IA CORRUPCIfIli REF. : SOLICITUD DE INFORMACIÓN DECIMA REM IAKEDEMOSRRUPCI DE SESIONES DEL GRUPO DE T ABAJO SO elelqW Bege"1 CORRUPCIÓN

FECHA : La Paz, 23 de abril de 2019

Señor Viceministro:

1. El 18 de abril de la presente gestión, mediante Hoja e Ruta MJTI-DGPPET-14088/2019, se tomo conocimiento de la solicitud realizada por el L c. Brayan J. Tintaya Laruta, Director General de Prevención, Promoción de Etica y ransparencia del Viceministerio de Transparencia Institucional y Lucha contra la Corru ción, referida a la presentación de información de parte del Estado boliviano, sobre las ini iativas que hayan puesto en marcha y las prácticas que hayan adoptado en relación con los t mas que se examinarán en la décima reunión entre periodos de sesiones del Grupo de Trab jo sobre Prevención, que se celebrará del 4 al 6 de septiembre de 2019

I. ANTECEDENTES 2. El 04 de abril de 2019, mediante Nota VRE-DGRM UPOI-Cs-307/2019 el Sr. Ministro de Relaciones Exteriores Diego Pary Rodriguez remite co la de la nota CU2019/84/DTA/CEB, de la Secretaria de los Estados Partes en la Convenci n de las Naciones Unidas contra la Corrupción, solicitando información sobre las iniciativa y practicas relativas a los temas de deliberación de la decima reunión detallados en la nota djunta.. 3. El 18 de abril de 2019, mediante Nota Interna MJTI VTILCC-DGPPET-N° 22/2019, el Lic. Brayan J. Tintaya Laruta, Director General de Prevenció , Promoción de Ética y Transparencia, solicita la información hasta el día 23 de abril.

II. SUSTENTO NORMATIVO GENÉRICO • Constitución Política del Estado de 07 de febrero d 2009 • Convención de Naciones Unidas Contra la Corru ción del año 2003,, ratificada a través de de la Ley N° 3068 de 1 de junio de 2005. ESTADO PDVAINACIDNAl. D13 0011V1A MINISTERIO DE JUSTICIA y TRANSPARENCIA INSTITUCIONAL

ESPECÍFICO • Decreto Supremo No. 29894 de 7 de febrero de 2009 ▪ Decreto Supremo No. 3058 de 22 de enero de 2017. ▪ Decreto Supremo No. 3070 de 01 de febrero de 2017. ▪ Ley No. 974 de 04 de septiembre de 2017

III. ANTECEDENTES DE LA OFICINA DE NACIONES UNIDAS CONTRA LA DROGA Y EL DELITO — UNODC 4. La UNODC, tiene su sede en Viena, República de Austria y cuenta con veintiún oficinas de campo, está dirigida por un Director Ejecutivo propuesto por el Secretario General de la Organización de Naciones Unidas (ONU).

5. La UNODC, es una agencia de las Naciones Unidas que tiene por objetiyo luchar contra las drogas y el crimen organizado transnacional. Este objetivo se lleva a cabo a través de tres funciones: investigación, persuasión a los gobiernos para que adopten leyes contra el crimen y las drogas así como los tratados, y la asistencia técnica a dichos gobiernos.

6. La Comisión ofrece a las Estados miembros un foro para el intercambio de conocimientos, experiencias e información para el desarrollo de estrategias nacionales e internaciones. La Comisión también coordina esfuerzos con otros organismos de las Naciones Unidas con mandatos en materia de prevención del delito y justicia penal, como el Consejo de Seguridad de la ONU, la Conferencia de Estados Partes en la Convención de las Naciones Unidas contra la Delincuencia Organizada Transnacional y la Conferencia de Estados Partes en la Convención de las Naciones Unidas contra la Corrupción.

7, La UNODC, actúa en el sentido de promover la ratificación de la Convención, proveer asistencia técnica, apoyar la realización de conferencias de los Estados Partes, promover la implementación efectiva y eficiente de la Convención, asistir a los Estados Partes en el cumplimiento integral de la Convención y facilitar la ratificación universal de la Convención.

8. En noviembre de 2009, la UNODC promovió la reunión de más de mil delegados de ciento veinticinco paises, para examinar la implementación de la Convención de las Naciones Unidas contra la Corrupción, obteniendo como principal resultado, la creación de! un mecanismo de monitoreo de implementación de la Convención, para que todos os Estados sean monitoreados cada cinco años, a efectos de evaluar cómo están cumpliendo sus obligaciones. La evaluación, deberá mostrar, brechas existentes en caso país y, así, guiará la actuación de la UNODC en términos de cooperación técnica.

IV. CONVENCIÓN DE LAS NACIONES UNIDAS CONTRA LA CORRUPCIÓN (UNCAC) 9. La Convención de las Naciones Unidas contra la Corrupción (UNCAC), también conocida como la Convención de Mérida, por haber sido adoptada en la ciudad de México, en diciembre de 2003, entró en vigor el 14 de diciembre de 2005, al reunir las 30 ratificacions requeridas. (ny Uomano o VP WitiltA10 etwei Página 2

P.ITADO PLURINACIONAL. DE BOLIVIA MINISTERI0 DE JUSTICIA -y TRANSPARENCIA INSTITUCIONAL

10. Actualmente, se integra por 126 Estados miembros y sus objetivos son:

a. Adoptar medidas para prevenir y combatir más eficaz y eficientemente la corrupción, así como el fortalecimiento de las normas existentes. h. Fomentar la cooperación internacional y la asistencia técnica en la p evención y la lucha contra la corrupción. c. Promover la integridad, la obligación de rendir cuentas y la debida gestión de los asuntos y bienes públicos.

11. En ese sentido, la UNCAC reconoce que una función pública eficiente y transparente es la base de un buen gobierno. Asimismo, indica que para evitar los efectos nocivos de la corrupción, es indispensable que sus normas sean aplicables también al sector privado y se involucre a la sociedad en el diseño e implementación de estrategias en la materia.

12. La UNCAC abarca cinco áreas principales:

a. Medidas preventivas.- Un capitulo entero de la Convención está dedicado a la prevención, con medidas dirigidas tanto al sector público como al privado. h. Criminalización y cumplimiento de la ley.- La Convención exige que los paises establezcan delitos penales y de otro tipo para abarcar una amplia gama de actos de corrupción, si estos ya no son crímenes de derecho interno. c. Cooperación internacional.- Los paises están obligados por la Convención a brindar formas especificas de asistencia legal mutua para reunir y transferir evidencia para su uso en la corte, para extraditar a los delincuentes d. Recuperación de activos.- Un aspecto destacado de la Convención es la inclusión de un capitulo especifico sobre la recuperación de activos, destinado a devolver activos a sus legítimos propietarios, incluidos los paises de los que fueron tomados de manera ilícita. e. Asistencia técnica e intercambio de información.

V. INFORMACIÓN DE LA POLÍTICA DE LUCHA CONTRA LA CORRUPCIÓN DEL ESTADO PLURINACIONAL DE BOLIVIA, DESTINADA A LA DECIMA REUNIÓN ENTRE LOS PERIODOS DE SESIONES DEL GRUPO DE TRABAJO SOBRE PRENI(ENCIÓN, QUE SE REALIZARA DEL 4 AL 6 DE SEPTIEMBRE DE 2019 EN VIENA — AUSTRIA.

13. De conformidad a lo establecido en el Capitulo II, (Medidas Preventivas), articulo 5, Políticas y prácticas de prevención de la corrupción, de la Convención de Naciones' Unidas Contra la Corrupción del año 2003, ratificada a través de Ley N° 3068 de 1 de junio de 2005, los Estados parte de la Convención, con relación a Políticas y Prácticas de Prevención de la Corrupción, comprometen que: ,v,UCHA (04 /4, Cesv LRommo V 2 "UNISTE» Pág '11`e M'AD° PLUIUNACIONAI, DO DOLOVIA MINISTERIO DE JUSTICIA TRANSPARENCIA INSTITUCIONA L.

"ARTICULO 5. POLÍTICAS Y PRÁCTICAS DE PREVENCIÓN DE LA CORRUI'CIÓN I. Cada Estado Parte, de conformidad con los principios fundamentales de su ordenamento jurídico, formulará y aplicará o mantendrá en vigor políticas coordinadas y eficaces contra la corri pción que promuevan la participación de la sociedad y reflejen los principios del imperio de la ley, la deb da gestión de los asuntos públicos y los bienes públicos, la integridad, la transparencia y la obligación de rendir cuentas. 2. Cada Estado Parte procurará establecer y fomentar pi•dcticas eficaces encaminadas a prevenir la corrupción. 3. Cada Estado Parte procurará evaluar periódicamente los instrumentos jurídicos y id medidas administrativas pertinentes a fin de determinar si son adecuados para combatir la corrupción. 4. Los Estados Parte, según proceda y de conformidad con los principios fundamentales d4 su ordenamiento jurídico, colaborarán entre sí y con las organizaciones internacionales y regionales perti entes en la promoción y formulación de las medidas mencionadas en el presente articulo, Esa colaborac'ón podrá comprender la participación en programas y proyectos internacionales destinados a prevenir la corrupción".

V. 1. MEDIDAS QUE ADOPTO EL PAÍS, PARA LOGRAR EL PLENO CUMPLIMIENTO DE LA DISPOSICIÓN DEL ART. 5 DE LA CONVENCIÓN.

a) Del proceso de formulación de la Política Nacional de lucha contra la corrupción 14.La formulación de la política pública anticorrupción fue diseñada de foilma programática y estructural en el año 2006, habiéndose analizado, planificado se empezó a materializar una política nacional seria y responsable, creándose una institucionalidad especializada, para demostrar a la ciudadanía y a la comunidad internacional la voluntad indeclinable de lucha contra un flagelo que afecta a los estamentos esenciales de las sociedades': del mundo.

15.Esta política, se basa en la reivindicación de nuestros principios ancestrales incorporados en la Constitución Política del Estado; tales como Ama Qhilla, Ama Llula y Ama Suwa (no seas flojo, no seas mentiroso y no seas ladrón).

16.Con esa base, se implementó la política de "Cero Tolerancia a la Corrupción", la cual está destinada a elevar estándares de integridad en la administración pública, incorporándose medidas preventivas y punitivas, esta evolución programática y estructurada en Bolivia, que divide en cuatro (4) etapas.

• En una primera etapa, el año 2006 se creó una institucionalidad; inédita en la lucha contra la corrupción al instaurar el Viceministerio de Transparencia Institucional y Lucha contra la Corrupción dependiente del Ministerio de Justicia. Instancia que permitió a la ciudadanía ejercer su derecho a presentar denuncias por hechos o actos de corrupción, activando un mecanismo objetivo de investigación que pueda déterminar identificar responsabilidades.

• En una segunda etapa, el Estado generó instrumentos norinativos inéditos y trascendentales, cuando el 31 de marzo de 2010, se promulgó la Ley N° 004 "Marcelo Quiroga Santa Cruz" de Lucha contra la Corrupción, Enriquecimiento Ilícito e Investigación de Fortunas, que entre los mandatos más importántes establece: (a) creación del Consejo Nacional de Lucha Contra la Corrupción, (b) implementa de mecanismos de protección de denunciantes y testigos, (c) determinación RAI-hDO PLURINACIONAL DF. ROUVIA MINISTERIO DE JUSTICIA Y TRANSPARENCIA INSTITUCIONAL

exención del secreto bancario para la investigación de delitos cont a la corrupción, (d) creación de ocho (8) tipos penales para reprimir la lucha contr la corrupción, (e) reiteró de la imprescriptibilidad de los delitos de corrupción corde al mandato constitucional, (f) se allanó el procesamiento de juicios de person s en rebeldía. Por todo este alcance jurídico, este instrumento legal posee un enorm poder disuasivo y sancionatorio debido a las rigurosas sanciones administrativas penales que se instauró, reduciendo al mínimo cualquier posibilidad de impunidad.

• Una tercera etapa está marcada por la emisión del Decreto Supremo N° 29894, de 07 de febrero del año 2009, que dispuso la creación del "Ministerio de Transparencia Institucional y Lucha Contra la Corrupción" elevando a nivel ministerial esta esencial política de Estado; y la emisión del Decreto Supremo N° 214 de 2 de julio de 2009, aprobó la "Política Nacional de Transparencia y Lucha conta la Corrupción", instrumento elaborado de manera participativa y concertada destináda a elevar niveles de transparencia y luchar contra el flagelo de lá corrupción. Asimismo, se identificó que el Estado deberla tener mayores instrumentos normativos y complementarios, razón por la cual en el año 2013 se promulgaron dos (2) nuevas leyes. La primera, la Ley N° 341 de 05 de febrero sobre "Participación y Control SociaP, que busca empoderar a la Sociedad Civil en su rol de vigilancia a la administración pública, estableciendo como obligación del Estado la rendición de pública de cuentas y evaluación de resultados de gestión. La segunda, la Ley N° 458 de 19 de diciembre sobre "Protección de Denunciantes y Testigos", que establece un sistema integrado de protección a los ciudadanos que denuncien o testifiquen sobre delitos de corrupción.

• Finalmente, en una cuarta etapa se emitió el Decreto Supremo N° 3058 de 22 de enero de 2017, que dispuso la fusión del Ministerio de Justicia con el Ministerio de Transparencia Institucional y Lucha contra la Corrupción, para crear lo que ahora es el "Ministerio de Justicia y Transparencia Institucional (MJTI)", instancia que a través del Viceministerio de Transparencia Institucional y Lucha Contra la Corrupción, impulsa, implementa, supervisa y coordina políticas de prevención y lucha cOntra la corrupción. Política de descentralización que fue reforzada con la promulgación de la Ley N° 974, de "Unidades de Transparencia y Lucha contra la Corrupción (UTLCC)", el 4 de septiembre de 2017, que tiene por objeto regular el funcionamiento de estas unidades, y su coordinación con esta Cartera de Estado; instruyendo a las erlidades y empresas públicas del país, la responsabilidad de implementar estas eStructural públicas, otorgándoles dieciséis (16) facultades regladas, con el fin de descentralizar, profundizar la promoción de políticas de transparencia, prevención y lucha contra la corrupción, incluyendo la gestión de denuncias, el fomento de la participación ciudadana y el control social.

17. El objetivo de esta Política Nacional es fortalecer y descentralizar este visión de Estado, para co4 la prevención y sanción de los hechos o actos de corrupción, facilitando a las instituci eS públicas, empresas privadas, ciudadanía, medios de comunicación y organizaciones so Molina

Página 5 ESTADO PIEKINACIONAG M 1101.IVTA MINISTERIO DE JUSTICIA war y TRANSPARENCIA INSTITUCIONAL

los instrumentos necesarios para desarrollar en los bolivianos y boliviapas una cultura de "Cero Tolerancia a la Corrupción", que está compuesta por cuatro (4) ej 1s de trabajo:

• Fortalecimiento de la participación ciudadana: Contiene ac iones orientadas a promover la participación de la población en general y organizaci 'nes de la sociedad civil. • Fortalecimiento de la transparencia en la gestión pública y el erecho de acceso a la información: tiene como objetivo promover el uso de herramientas para transparentar la gestión pública y garantizar el acceso a la info mación a todos los actores y a la sociedad civil organizada. • Medidas para eliminar la corrupción: Presenta mecanismos para evitar hechos de corrupción, para proteger o recuperar el patrimonio estatal que fue a manos de los corruptos. • Mecanismos de fortalecimiento y coordinación institucional: Presenta mecanismos orientados a fortalecer los procedimientos administrativos internos e implementar medidas de coordinación interinstitucional para la lucha contra la corrupción que rescaten particularidades de cada institución.

18. La Agenda de Desarrollo Sostenible al 2030, el Programa de Desarrollo Económico y Social (PDES) 2016 - 2020 y la Política Nacional de Transparencia y Lucha Contra la Corrupción, establecen las lineas rectoras bajo las cuales se orientan los esfuerzos de diferentes actores del Gobierno Nacional, para erradicar la corrupción, consolidando el ejercicio pleno de la participación y control social en el desarrollo de la gestión pública.

19. En este sentido, el Estado Plurinacional de Bolivia asumió el compromiso de prevenir, investigar y sancionar delitos de corrupción, tanto en el sector público como en el privado; establecer mecanismos de cooperación con otros Estados, para perseguir los hechos o actos de corrupción, a través de la Cooperación Judicial y/o Policial; recuperar ibienes procedentes de actos corrupción e intercambiar asistencia técnica. La tarea es ardua y.compleja y requiere principalmente del compromiso, la coordinación y la eficacia, de todas las instituciones que conforman los Órganos Legislativo, Judicial, Ejecutivo, Electoral, 'Ministerio Público, Procuraduría General del Estado, Contraloría General del Estado, Unidad de Investigaciones Financieras, así como Organizaciones Sociales o instituciones de la Sociedad Civil Organizada en su conjunto.

b) El Consejo Nacional de Lucha contra la Corrupción y la elaboración y la Política especifica formulada por este ente. Í Í 20. En el marco, de lo establecido en la Ley N° 004 de 31 de marzo de 20110, se constituyó el "Consejo Nacional de Lucha Contra la Corrupción, Enriquecimiento Ilícito y Legitimación de Ganancias Ilícitas", con atribuciones de proponer, supervisar y fiscalizar las políticas públicas, orientadas a prevenir y sancionar hechos o actos de corrupción, para proteger y recuperar el patrimonio del Estado. Este Consejo tiene la obligación de inform CHA có;lt, anualmente al Presidente del Estado Plurinacional, a la Asamblea Legislativa Plurinacion a V olina ,,r, la Sociedad Civil Organizada, sobre las metas y resultados alcanzados en la ejecuci °,:., Plan Nacional de Lucha Contra la Corrupción. PSTAPO PLURINACIONAL »13 ROUVIA MINISTERIO DE JUSTICIA - y 'neme PARENCIA INSTITUCIONAL

b.1. Plan nacional de Lucha contra la corrupción 2010 -2015. 21. En la gestión comprendida entre 2010 - 2015, el Consejo Nacional desarrolló acciones destinadas a dar cumplimiento a los objetivos y acciones estratégicas del P an, entre las que se encontraban las siguientes:

• Las Organizaciones Sociales o instituciones de la Sociedad Civil Organizada del Consejo Nacional consensuaron desde la gestión 2010 y presentaron en la gestión 2012, el Proyecto de Ley de Participación y Control Social, que en marzo de 2013 se promulgó a través de la Ley N° 341.

▪ Identificación de los servidores públicos sujetos a los procesos de verificación de oficio de las declaraciones juradas de bienes y rentas, efectuados por el ex Ministerio de Transparencia y Lucha Contra la Corrupción (numeral 3 del articulo 235 de la CPE).

• Emitió pronunciamiento sobre la actuación de las Organizaciones no Gubernamentales (ONGs) inherentes a políticas internas del Estado y sobre la tendencia política en la medición de Transparencia Internacional.

Se emitieron Resoluciones para mejorar los recursos destinados a las Unidades de Transparencia.

22. De un total de veinticinco (25) acciones estratégicas programadas en el Plan' Nacional de Lucha contra la Corrupción 2010 - 2015, en los cuatro ejes descritos, se cumplieron veintitrés (23) acciones, lo que representaron el 92% de cumplimiento.

b.2. Plan Nacional de Lucha contra la corrupción 2016 — 2018. 23. En octubre del 2016, en reunión de esta máxima instancia, se aprobó "Plan Nacional de Lucha contra la Corrupción 2016 - 2018", dando continuidad al cumplimiento de lo establecido en el numeral 2) del articulo 7 de la Ley N° 004.

b.3. Plan Nacional de Lucha contra la corrupción 2017 — 2022. 24. Con la promulgación del Decreto Supremo N° 3058 de 22 de Enero y 3070 de 1 de febrero de 2017 se modificó el Decreto Supremo N° 29894, de 7 de febrero de 2009, de Organización del Órgano Ejecutivo se fusionó el Ministerio de Transparencia Institucionaly Lucha Contra la Corrupción al Ministerio de Justicia, dando origen al "Ministerio de Justi ia y Transparencia Institucional (MJTI)", que estableció que esta instancia asuma las funciones, atribuciones y competencias asignadas al ex Ministerio de Transparencia Institucional y Lucha Contra la Corrupción.

25. Finalmente la promulgación de la Ley N° 974 de Unidades de Transparencia y Lucha contra I vsICHA Corrupción, determinó el fortalecimiento y descentralización respecto a 14 Política de " 174„ e (uy k R moima

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Tolerancia a la Corrupción", dotando a todas las entidades o empresas públicas del Estado Plurinacional de Bolivia, instancias especificas que materialicen ésta Política Nacional. Por otra parte, al Ministerio de Justicia y Transparencia Institucional se e asignaron ocho responsabilidades

- 26. Esta reforma normativa generó una modificación estructural interna, determinando la necesidad de readecuar y complementar los objetivos y plazos de las actividades programadas en el Plan Nacional de Lucha contra la Corrupción.

27. En ese sentido, el Consejo Nacional de Lucha Contra la Corrupción, Enriquecimiento Ilícito y Legitimización de Ganancias Ilícitas, en la Primera Reunión Ordinaria de 2017, en 11 de septiembre y a través de la Resolución N° 02/2017, aprobó el "Plan Nacional de Lucha Contra la Corrupción 2017 — 2022", que recoge el marco normativo nacional e internacional y las políticas del Estado Boliviano que se estructura en cuatro (4) objetivos estratégicos:

• Fortalecer el Consejo Nacional de Lucha Contra la Corrupción, Enriquecimiento Ilícito y Legitimación de Ganancias Ilícitas, • Fortalecer la democracia participativa, la prevención y la transparencia del Estado Plurinacional de Bolivia. • Consolidar el rol de las organizaciones sociales o instituciones de la sociedad civil organizada, para el ejercicio de la participación y control social. • Lucha contra la corrupción

c) Aplicación de la Política de lucha contra la corrupción 28. Conforme a los objetivos y acciones estratégicas detalladas en el Plan, el Ministerio de Justicia y Transparencia Institucional (MJTI) en el marco de sus atribuciones y competencias desarrolló acciones de implementación, tanto con las entidades e instituciones estatales que tienen el mandato de desarrollar políticas preventivas y de lucha contra la corrupción, como con la sociedad civil para fortalecer el derecho a realizar el control social a la administración pública.

29. La vigencia de la Ley N° 974 de Unidades de Transparencia y Lucha contra la Corrupción, significo un paso trascendental en el fortalecimiento de la institucionalidad del Estado respecto a la lucha contra la corrupción, al tener como fundamento dogmatico que todas las instituciones y empresas públicas cuenten con brazos, instancias operativas que hagan a la descentralización, desconcentracián de competencias especificas que tenia asignado el Ministerio de Transparencia y Lucha Contra la Corrupción, habiéndoles asignado dieciséis (16) funciones, de las cuales citamos cuatro (4) de gran relevancia:

• Establecimiento de políticas públicas de ética en el ejercicio de la función pública • La rendición de cuentas públicas al inicio y conclusión de gestión. • La gestión de denuncias respecto a los hechos o actos de corrupción, • A denuncia o de oficio gestionar denuncias por posibles irregularidades en la fal,e de títulos, certificados académicos. fent A. liehria V 3 wiertieonE g -"otavexti. sido* PágIn d PSEADO NURINACIONAL De 1101JVIA MINISTERIO DE JUSTICIA y n------ieaccr.reade TRANSPARENCIA INSTITUCIONAL

30. Esta última función, que se constituye en la de mayor operatividad implica que las UTLCC, realizaran el procesamiento de denuncias, para establecer la existencia de un hecho o acto de corrupción, identificación de responsabilidades penales, administrativas, civiles, incorporando los principios de oficiosidad y preventivo.

31. El principio de oficiosidad se plasma en que las UTLCC, no solo activarán el procesamiento administrativo cuando se presente una denuncia verbal o escrita, sino qu'e podrán actuar de oficio ante la existencia hechos o actos de corrupción evidentes.

32. El accionar preventivo de las UTLCC está referido a identificar posibles hechos o actos de corrupción en procesos de contratación de bienes, obras o servicios qué se encuentren en curso y no hayan cumplido con todos los requisitos formales y materiales, para asegurar que la firma de ese contrato garantice la absoluta transparencia e idoneidad de los funcionarios que participan en ese acto público, a tal efecto podrán denunciar ante la Máxima Autoridad Ejecutiva (MAE), para que de forma, obligatoria instruya la suspensión inmediata del proceso de contratación.

33. Para materializar este mandato legal, fue necesario establecer una estrategia de implementación acorde a las Disposiciones Transitorias de la Ley N° 974. Entre las acciones realizadas, se destacan veintiséis (26) talleres de socialización, en ocho (8)departamentos con la participación de 2.173 servidores públicos, entre ellos MAE's, Alcaldes de Gobiernos Municipales, Asesores Legales, Directores Unidades Jurídicas, Jefe, Responsables y Personal de las Unidades de Transparencia y Lucha contra la Corrupción.

34. En estos encuentros, se socializó los alcances de Ley, respecto a las funciones asignadas a las Unidades de Transparencia, los plazos de implementación fueron marcados en 30, 90, 120 y 180 días hábiles, los plazos de la "gestión de denuncias", mecanismos de coordinación con el MJTI y los instrumentos de implementación como son: el Reglamento Tipo de Transparencia y Lucha Contra la Corrupción, Manual de Rendición Publica de cuentas, Manuales de Contenido y Seguimiento de Páginas Web y Manual Para el Control Social.

35. Para ello, el MJTI proyecto un Reglamento Tipo de Unidades de Transparéncia, que sirvió de base para que todas las instituciones y empresas públicas puedan proyectar, elaborar y aprobar un Reglamento Especifico que responda a la operatividad de la hey N° 974, con las características propias que tiene cada institución, plazo que se cumple el once (11) de enero de 2018, donde además las MAE's deberán comunicar al MJTI, la designación de los Jefes o responsables de las Unidades de Transparencia.

36. Para fortalecer esta política de implementación se realizó "Encuentros Nacionales de UTLCC", donde se analizaron, con cuatrocientos dos (402) servidores públicos de transparencia cb4. distintas entidades e instituciones a nivel nacional: el rol de la UTLCC, las políticas preve e Cesar

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y lucha contra la corrupción, las estrategias de sesión de Riesgo y los alc nces de la gestión de denuncias.

37. Conmemorando el día Internacional de Lucha contra la Corrupción, el MJTI realizó el "Encuentro Plurinacional de la Red de Jóvenes por la Transparencia', en la ciudad de Cochabamba y con la participación de cientos diecisiete (117) jóveneis de sesenta (60) municipios de todo el Estado Plurinacional de Bolivia, así como el "Encuentilo Nacional de Ética Pública" en el departamento de La Paz, que congregó a más de cinto ochenta (180) servidores públicos que, organizados en cuatro (4) mesas de trabajo, debatieron e intercambiaron experiencias, para consolidar el nuevo rol de los servidores y las servidoras públicas del Estado Plurinacional de Bolivia, en la construcción del "Servir Bien para Vivir Bien", desde sus funciones para con la sociedad.

38. Con relación a las acciones trabajadas con instituciones del Estado, el MJTI otorgo asesoramiento a todas las instituciones e instancias que lo han requerido, participando de talleres y entrevistas. Por otro lado, conforme al objetivo estratégico dos (2), se coordinó con el Ministerio de Comunicación la producción de spots y cuñas radiales que promuevan la implementación de la Ley N° 974, que actualmente son difundidas a nivel nacional.

39. Sobre la adecuación de las instituciones a la Ley N° 974, se han sostenido distintas reuniones con las empresas públicas para analizar, conforme a sus características, la instancia responsable de la Lucha contra la Corrupción. En este punto el trabajo entre el MJTI y el Consejo Superior Estratégico de las Empresas Públicas (COSSEP), instancia con la que se acordaron lineamientos y la conformación de un Comité de Prevención en cada una de las empresas públicas.

40. Respecto a las acciones desarrolladas con la sociedad civil, se desarrolló el Encuentro Nacional de Control Social. En esta oportunidad, doscientos treinta y cuatró (234) participantes de las distintas Organizaciones Sociales del país debatieron y consensuare las dificultades de la Implementación de la Ley N° 341; el Manual Metodológico de Control Social; y la Estructura de la Participación y Control Social.

41. Por último, el MJTI está implementando dos (2) proyectos que aportan ,de forma directa al empoderamiento de la sociedad civil organizada. El Proyecto de "Transpkencia Institucional y Participación Ciudadana para la Gobernabilidad Municipal Fase III - BOLIN36" con el que se brindó asistencia técnica a sesenta (60) municipios del país en capacitación a funcionarios públicos en políticas preventivas municipales, y a sectores sociales enj el control social y tecnologías en el marco del gobierno electrónico.

42. El otro proyecto es "Fortalecimiento del Ejercicio de la Participación y Control Social en la Gestión Pública Municipal" con el que se visitaron a cuarenta (40) municipios a el ám o- Ara- nacional con el objetivo de brindar asistencia técnica en el desarrollo de paquetes nor esyr p ounomoilne -, w o ó

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de participación y control social, transferencia de conocimientos y prácticas en políticas preventivas de corrupción y, articulación de redes de jóvenes.

V. 2. ACCIONES QUE SON NECESARIAS PARA GARANTIZAR LA APLICACIÓN DE LA POLÍTICA DE LUCHA CONTRA LA CORRUPCIÓN

43. Estas acciones de implementación de la política de prevención y lucha contra la corrupción, en la actualidad están ingresando a una fase de seguimiento en diferentes cóntextos; el primero de ellos está referido a realizar un seguimiento a las UTILCC, a travé del macrosistema informático denominado "Sistema de Información de Transparencia, F3-evención y Lucha Contra la Corrupción (SITPRECO)", que fue implantado con la vigencia de Ip Ley N° 974, y que consta de siete (7) subsistemas:

1. Registro de servidoras, servidores o personal responsables de las, UTLCC. 2. Transparencia de la gestión pública. 3. Prevención de la corrupción. 4. Gestión de denuncias por posibles actos de corrupción. 5. Procesos administrativos y judiciales por posibles actos de corrupción. 6. Recuperación de deudas y bienes del Estado. 7. Otros.

44. De los cuales se encuentran en pleno funcionamiento los primeros cuatro (4) y están en fase de desarrollo los tres (3) restantes.

45. El SITPRECO, se constituye en una herramienta informática para reforzar el seguimiento detallado e individualizado que se hace a las UTILCC, en las funciones queitienen, para lo cual se está ingresando programäticamente a esta fase que en plazo de mediano alcance se tiene proyectado establecer el grado de cumplimiento de las políticas de prevención y lucha contra la corrupción, en las diferentes aéreas establecidas, transparencia de la gestión pública, rendición de cuentas públicas, acceso a la información, prevención de la corrupción, gestión de denuncias por posibles actos de corrupción.

46. Esta tarea de seguimiento dará como resultado en la obtención de indicadores, para establecer medidas correctivas y de fortalecimiento en la implementación de esta política, la cual será puesta en conocimiento de los Jefes y Responsables de la UTLCC, en encuentros y talleres para sacar instructivos y lineamentos que hagan a la cualificación de las funciones regladas que tienen estos servidores públicos.

47. Una vez que se tengas los lineamientos mediante instructivos, circulares, manuale fortalecimiento de reglamentos se ingresara a una fase de evaluación, la cual se tiene mediante indicadores sustantivos, procedimentales y metodológicos estructurales

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V. 3. ENSEÑANZAS EXTRAÍDAS EN MATERIA DE FORMULACIÓN EVALUACIÓN Y REPERCUSIONES DE LAS POLÍTICA DE LUCHA CONTRA LA CORRUPCIÓN

48. Sin duda que la gran enseñanza recogida es que en el Estado Plurinacional de Bolivia, es que las políticas públicas en beneficio de la población, pueden ser analizadas, diseñadas e implementadas de acuerdo a la realidad nacional con el concurso de profesionales que conocen el medio en los diferentes estamentos, junto con la sociedad civil organizada que espera que a través de estas políticas se mejore la gestión de gobierno, para materializar todos los programas de desarrollo, economía, salud, infraestructura, ateniendo como un gran componente la cultura institucionalizada de la rendición de cuentas públicas inicial y final en cada gestión, donde la población que es la receptora de la gestión pública tenga la oportunidad de conocer el proyecto y resultado de la gestión institucional.

49. La otra enseñanza es haber avanzado en la política de la Verificación de Oficio de las Declaraciones Juradas de Bienes y Rentas de los servidores públicos, política que es aprobada por el Consejo Nacional de Lucha Contra la Corrupción, y que 'dio como resultado que exista un procedimiento institucionalizado con cánones de confiabilidad técnica, pero por sobre todo respectando el debido proceso aun tratándose en una esfera netamente administrativa.

50. La participación de la ciudadanía y en particular la "Red de jóvenes" que tiene una tarea de voluntariado para concientizar en los colegios todos los valores y principios que fundan la política de "Cero Tolerancia a la Corrupción" que es reivindicación de nuestros principios ancestrales Ama Qhilla, Ama Llula y Ama Suwa (no seas flojo, no seas mentiroso y no seas ladrón), Buscando consolidad un principio transversal en la vida de los ciudadanos como es la "honestidad".

V.4. ASISTENCIA TÉCNICA PARA APLICAR LA PLENAMENTE EL ART. 5 DE UNCAC

51 La implementación de la política anticorrupción tiene una visión de plasma i• todos los alcances previstos en el articulo 5 de UNCAC, en los cuatro (4) numerales, para ello seria importante el intercambio del conocimiento de buenas prácticas en los paises que suscriben :la Convención y los expertos que tiene este organismo internacional, acompañada de programäs académicos para subir los estándares de conocimiento y alcanzar niveles óptimos los resultädos que mitiguen el flagelo de la corrupción, en los estamentos públicos pero también privados.

VI. CONCLUSIONES Por todo lo expuesto se concluye que de conformidad a las funciones y atribuciones ,uc Dirección General de Lucha contra la Corrupción, la información descrita en el presente rme o sea considerada en el momento de consolidar el informe respectivo. ° rrrmon

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VII. RECOMENDACIONES En virtud de lo expuesto, s- • ine a conocimiento el Sr. Viceministrc de Transparencia Institucional y lucha contra I irrupción, para su co sideración y remisión a la Dirección de Prevención, Promoción de Eti Transparencia.

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Página 13 de 13 THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY BRAZIL

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

BRAZIL (TENTH MEETING) Annex I Guidance Note for the provision of information by States parties for the tenth intersessional meeting of the Working Group on Prevention from 4 to 6 September 2019 1. The Secretariat has produced this Guidance Note to assist States parties and signatories in providing information as to initiatives and practices they have implemented regarding the topic under consideration at the tenth intersessional meeting of the Working Group on Prevention taking place from 4 to 6 of September 2019. 2. The Secretariat wishes to recall paragraph 12 of the report of the Working Group on Prevention on its second intersessional meeting, in which the Group recommended that States parties should be invited to share their experiences of implementing the provisions of the Convention under consideration in advance of each meeting, preferably by using the self-assessment checklist. 3. In furtherance of this, the Secretariat outlines below a selection of issues based on the questions from the self-assessment checklist that States parties may wish to use as a guide when providing information, while also taking into account that some of the information may have been provided by their Governments in the context of their reviews under the second cycle of the Implementation Review Mechanism. States parties are encouraged to view the information below only as guidance and remain free to provide any information believed to be relevant to the topic under consideration. I- Information requested from States parties in relation to lessons learned in the development, evaluation and impact of anti-corruption strategies (art. 5 of the Convention) 1. Please describe (cite and summarize) the measures/steps your country has taken, if any, (or is planning to take, together with the related appropriate time frame) to ensure full compliance with this provision of the Convention, and in particular to develop, implement, monitor and evaluate the impact of the country’s anti- corruption policies. In relation to article 5 and measures/steps that have been taken, States parties and signatories may wish to consider including the following: a) Development and Implementation Process • Description of the process and steps taken for the development of the anti- corruption policies (strategy, plan, or other policies, regardless of their format or official title) that have been produced or are currently being developed by the State party; • Description of how the policies reflect the principles of the rule of law, proper management of public affairs and public property, integrity, transparency and accountability; • Description of the applicable implementation mechanisms (including allocated budget, designated responsible institutions, timeline for implementation, etc.) which were established at national, sub- national and/or local government levels; • Description of any coordination mechanisms which have been put in place (including structures, protocols or procedures); and • Brazil has endeavored to combat corruption in all its forms and has promoted the enforcement of international treaties that deal with this issue including the UN Convention against Corruption and the Interamerican Convention to Combat Corruption, among others. • After major improvements in the legislative branch, important achievements and good results have been possible. Among the efforts undertaken by the Brazilian Government, one could mention the restructuring and modernization of relevant institutions including the Federal Police; the Council for Economic Defense; the Council for Control of Financial Activities; and the Ministry of Transparency. All these efforts prove in a concrete manner the firm engagement of Brazil in the fight against corruption and in the recovery of assets. • More specifically, within the structure of the Department of Assets Recovery and International Legal Cooperation (DRCI), great attention has been paid to the National Strategy for Combatting Corruption and Money Laundering (ENCCLA). This institution was established in 2003 under the direct coordination of the Ministry of Justice and Public Security with the main objective of facilitating and promoting dialogue and common action between public and private institutions responsible for fighting against corruption and money laundering. • In the following year, the Ministry of Justice created the Department of Assets Recovery and International Legal Cooperation (DRCI, February 18th, 2004 - Decree nº 4.991), which is today the central body for international judicial cooperation in Brazil. DRCI is also the body responsible for the organization and functioning of ENCCLA. Thus, the DRCI became responsible for managing ENCCLA and for organizing its meetings. • Today, ENCCLA englobes more than 80 bodies of the Executive, Legislative and Judiciary as well as civil associations. b) Monitoring and Evaluation • Description of the monitoring mechanisms which were established (including monitoring protocols, mechanisms and channels, feedback mechanisms, etc.); • Description of the evaluation mechanisms which were established (including indicators, targets, baselines, data collection tools, data analysis procedures, validation and presentation or reporting of the evaluation findings to the policymakers and to the public at large); • Description of analytical approaches and methodologies used with regard to data and indicators in order to measure progress in implementation as well as the impact of measures taken further to the implementation process; and • Description of how the participation of society was promoted, including whether stakeholders outside of government were consulted and involved in the monitoring and evaluation processes. • States parties and signatories are encouraged to provide information on the implementation of article 5(2), 5(3) and 5(4), when this would help illustrate how the anti-corruption policies are developed, implemented, monitored and evaluated. • ENCCLA became a major institutional network with the task of discussing legal propositions, public policies and initiatives that aim at combatting corruption and money laundering. • It should be pointed out that interaction between Brazilian public institutions already existed before ENCCLA, however, there was no regularity or methodological organization focused on results. After ENCCLA was established, its permanent staff created monitoring mechanisms that are periodically reviewed. • Each year, participants of ENCCLA get together at a plenary Session to analyze and approve the new initiatives and issues that will be in the agenda of activities for the following year. Working Groups are organized for each initiative and have the task of presenting proposals. • To support the strategy, the DRCI acts as the Secretariat for ENCCLA, organizing the meetings in its building, located in Brasilia. • There is no hierarchy among the institutions that participate in ENCCLA, but one institution is designated to coordinate each plan of action, and to provide support to the other participants of the working group. • All decisions are taken by mutual consensus. This working methodology has raised more balanced and complex responses facilitating the generation of new rules and legislation, as well as Executive decrees, administrative regulations, and Good Practices for the prevention and combat against corruption and money laundering.

2. Please outline the actions required to ensure or improve the implementation of the measures described above and any specific challenges you might be facing in this respect. Examples of the actions required to ensure or improve the implementation of the measures described above and challenges States parties and signatories may face include: a) Development and Implementation Process • Description of challenges encountered in the development and implementation process, particularly in terms of effectiveness, coordination and impact in both urban and rural areas, and steps that were taken, if any, to address these challenges; • Reports, studies, statistics or any other relevant information which illustrates the measures the State party has taken to effectively implement this provision; • Anti-corruption policy documents (strategy, action plan or other policies) or other documents containing anti-corruption policies; • Government regulations, decrees or similar decisions establishing coordination structures and/or procedures; and • Examples of the operation of the mechanisms for inter-institutional coordination. b) Monitoring and Evaluation • Progress reports on the implementation and/or impact of national anti- corruption strategies, action plans and/or policies; • Description of challenges in the development, data collection and/or analysis of indicators to evaluate the implementation of relevant policies and their impact on the prevention and detection of corruption; • Evaluation reports of the impact and effectiveness of measures taken to prevent and detect corruption; • Public surveys of the perceived and experienced extent of corruption in various sectors; and • Risk assessments of areas or sectors particularly susceptible to corruption.

Please find below a list of positives results achieved by ENCCLA:

1) Inauguration of the National Program for Combatting Corruption and Money Laundering - since it was launched in 2004 the Program provided training to more than 18.000 civil service employees;

2) The formulation of RED - LAB, a National Network of Laboratories against money laundering;

3) The creation of SIMBA - Banking Monitoring System, with the subsequent creation of the National Registry of Bank Accounts of the National Financing System;

4) Launching of an initiative to regulate the Assets Declaration of the Brazilian Civil Service employees;

5) Enactment of Interministerial Decree 127/08 that regulates access by public auditing institutions to the fiscal and accounting registries of firms contracted by the Public Administration/ Brazilian Government;

6) Improvement of checkpoints in borders zones to control illegal traffic of assets, guns and ammunition;

7) Enactment of Law 12.683/12 and Law 12.694/12, that allow for the anticipated apprehension of illegal assets;

8) As a result of ENCCLA debate in 2011, new legislation was passed by Congress (Law 13.810, March 8th, 2019) regulating and expediting the freezing of assets of persons under investigation or accused of acts of terrorism;

9) ENCCLA inspired the creation of police units specialized in the combat of financial crimes within the structure of the Brazilian Federal Police, which became more efficient in the repression of these crimes.

10) A National Group for Combating Criminal Organizations was established within the Office of the General Prosecutor. This working group promotes the training of authorities that deal with the fight against criminal organizations.

11) Another major improvement was the establishment of a General Coordination for Assets Recovery at DRCI (Decree 9.662, January 1st, 2019). This initiative intends to deal directly with the issues that arise from Assets Recovery inside and outside the Ministry of Justice and Public Security.

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY BULGARIA ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

BULGARIA (TENTH MEETING)

NATIONAL STRATEGY FOR PREVENTION OF CORRUPTION IN THE REPUBLIC OF BULGARIA 2015-2020

The National strategy for prevention of corruption in the Republic of Bulgaria 2015-2020, adopted with decision №230 of the Council of Ministers of 9 April 2015, reflects a strong will and a distinguished vision of the government to prevent and counter corruption. The strategy is based on the understanding that corruption is a major threat to democracy in Bulgaria.

The need to adopt a new anti-corruption strategy is driven primarily by expectations of Bulgarian society to achieve tangible results in the fight against corruption. It is explicitly highlighted in the European Commission report on Bulgaria's progress under the Mechanism for Cooperation and Verification of January 2015 and is intended as a measure in the government's program for sustainable development of the Republic of Bulgaria 2014 - 2018.

The strategy takes into consideration the findings and recommendations in the reports of the European Commission impact assessment of the Integrated Strategy for prevention and countering corruption and organized crime, anti- corruption report of the European Union, the updated strategy for continuing the reform of the judiciary and other analytical and strategic documents on countering corruption. It builds on the analysis of anti-corruption policies and the developed on its basis Strategic Guidelines for Prevention and Combating of Corruption 2015 - 2020 (adopted by a decision of the Council of Ministers on 27 February 2015) and is consistent with the Action Plan for implementation of recommendations of the European Commission report of January 2015 within the Mechanism for Cooperation and Verification (adopted by the Council of Ministers on 11 March 2015).

The strategy focuses on key measures, the implementation of which is supposed to have a decisive anti-corruption effect. A top priority is the fight against corruption in the high echelons of power. Emphasis in the strategy is

3 the proposed reform of the institutional framework for preventing and combating corruption targeting a better efficiency and coordination between existing administrative bodies and units. At the same time is taken into consideration the need for the engagement of independent, competent and respectable personalities in the anti-corruption institutions, without which no institutional system could ensure a necessary efficiency.

The strategy recognizes the crucial importance of policies in other areas that have an overall impact on the fight against corruption without duplicating priorities and measures set out therein, namely: judicial reform, administrative reform, e-government and public procurement. A successful implementation of these policies will create a favorable environment for declining corruption practices.

The horizon of the 2020 strategy is in alignment with other national strategic and program documents which implementation is essential for achieving the objectives of this strategy, including the National Development Program „Bulgaria 2020“.

The main target actions defined by the strategy are:

 Displaying the priorities of the state policy for preventing and countering corruption;  Identifying specific anti-corruption measures and related government policies;  Shaping the institutional system for preventing and countering corruption,  Assigning a set of general guidelines for preventing and combating corruption to be reflected in the anti-corruption policies in various sectors;  Determining the mechanism and institutions responsible for implementation and monitoring strategy.

The main principles of state policy on prevention and countering corruption are:

 Supremacy of Law;

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 Establishing the principles of good governance, transparency and accountability in the work of the administration;  Ensuring the rights and legitimate interests of citizens;  Consistent, systematic and ongoing implementation of the state policy in the field of preventing and countering corruption;  Involvement of interested parties and stakeholders in the process of decision making.

Overcoming deficits in the institutional framework through the establishment and strengthening of anti-corruption authorities and entities and their transformation into powerful effective authorities, guided by the principles of transparency and accountability is the only way to attain a substantial progress and qualitatively different results in countering corruption.

At the time of the adoption of the strategy most of the envisaged measures suggest changes in the actual legislation; the most important changes being:

1. A new law governing the status and functions of the single anti-corruption authority. The goal is to be adopted by mid-2015, to be capable to start working latest in early 2016; meanwhile it should have selected and trained employees, and their work in the new authority is to be accompanied by good resources and a methodological tool.

2. Amendments to the Law on Forfeiture of the State of illegally acquired assets to expand opportunities for investigation of unexplained sources of wealth. The objective is the Law to be adopted by mid-2015.

3. Amendments of the Criminal Law and Code as well to increase the effectiveness of prosecution of corruption. The deadline for its development and adoption is June 2015.

4. Amendments of the Election Code focused at reducing opportunities for buying votes.

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PLAN FOR THE IMPLEMENTATION OF THE MEASURES SET OUT IN THE NATIONAL STRATEGY FOR PREVENTION OF CORRUPTION IN THE REPUBLIC OF BULGARIA 2015-2020

The plan was adopted at the first meeting of the National Council on Anti- Corruption Policies, held on 8 July 2015.

The plan includes all the measures envisaged in the National strategy for prevention of corruption in the Republic of Bulgaria 2015-2020, with the respective institution, responsible for their implementation, as well as the deadline for implementation.

The control over the implementation of each one of the measures is performed on a regular basis by the National Council on Anti-Corruption Policies.

ACTIONS TAKEN

For the period 2015-2018 the following actions have been taken to implement the measures, set out in the National strategy for prevention of corruption in the Republic of Bulgaria 2015-2020:

UNDER PRIORITY 1: DEVELOPMENT OF AN EFFECTIVE SYSTEM OF ANTI-CORRUPTION ORGANS AND UNITS 1. The Deputy Prime Minister for Judicial Reform and Minister for Foreign Affairs has been designated as a national anti-corruption policy coordinator by decision of the Council of Ministers No 329 of 22 June 2017;

2. The National Council on Anti-Corruption Policies was established with Decree No 136 of 29 May 2015 of the Council of Ministers as an inter-ministerial body for the design and implementation of policies in the field of prevention and anti-corruption. Members of the Council are representatives of the executive power, the chief inspector of the Inspectorate of the Supreme Judicial Council; Deputy Prosecutor General; deputy chairperson of the State

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Agency for National Security; the head of the General Inspectorate of the Council of Ministers; the deputy chairperson of the Commission for Anti- Corruption and Illegal Assets Forfeiture. With Decree No 133 of 5 July 2017 of the Council of Ministers, a representative of the National Association of Municipalities of the Republic of Bulgaria was included as a member of the Council.

3. With the adoption of the Counter-Corruption and Illegal Assets Forfeiture Act (CCIAFA) - promulgated SG No. 7 from January 19, 2018, were regulated:

 The terms and procedure for illegal assets forfeiture in favour of the State;

 The status and functions of the Commission for Anti-Corruption and Illegal Assets Forfeiture (CACIAF);

 The interaction of the Commission with other State bodies and international cooperation.

4. Changes to the Act on Administration set out the achievement of the following objectives: Independence of the inspectorates, as internal administrative control units; The delimitation of administrative controls by other types of control activity; Introducing uniform rules and procedures governing their activities; Increase the efficiency of the inspectorates work by strengthening their expertise, administrative and analytical capacities; Establishing a common system for the prevention, detection and correction of breaches in the functioning of the administration.

UNDER PRIORITY 2: COMBATING CORRUPTION IN THE HIGH ECHELONS OF POWER

1. With the amendments to the Judicial System Act in 2016 and the adoption of the Counter-Corruption and Illegal Assets Forfeiture Act was widened the scope of the declared circumstances of the senior public office holders.

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2. With Decision No 785 of 19 December 2017 the Council of Ministers approved a draft amending the Criminal Code with regard to corruption offences which was submitted to the National Assembly for consideration and adoption. The aim of the draft act is to harmonise the regime of corruption offences, so that the criminal law rules apply symmetrically for public officials and for private sector officials.

UNDER PRIORITY 3: COUNTERING POLITICAL CORRUPTION WITH EMPHASIS ON ELECTORAL CORRUPTION

1. As regards countering political corruption with a focus on “electoral corruption” is the amendment of the Election Code and allowing for greater

scrutiny of the voting process. Advocates of political parties are allowed to lodge complaints against violations in the electoral process, which ensures wider civil oversight by those directly interested in the outcome of the elections. The possibilities to register observers from non-political organisations are limited. Observers can only be sent by NGOs that are directly related to the protection of civil rights. The latest amendments to the Electoral Code provide for a change in the composition of the members of the district electoral commissions, the

municipal election commissions and the committee polling station. Proposals for the composition of these committees can be made by parliamentary

parties and coalitions. Every parliamentary represented party or coalition may participate in the electoral commission with as many members as equal to the percentage of actual votes it has received during the last parliamentary elections. Video surveillance in polling stations was also introduced to allow voters to observe the voting day and to report in case of

detected breaches of the Electoral Code. This will strengthen the control of elections and increase voter confidence in the election results.

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UNDER PRIORITY 4: PREVENTING AND COUNTERING CORRUPTION IN THE JUDICIARY, THE MINISTRY OF INTERIOR AND SUPERVISORY BODIES

1. As of 1 January 2017 the Inspectorate to the Supreme judicial court, as an independent body, which is outside of the executive power carries out integrity and conflict of interest checks on judges, prosecutors and investigators, their assets declarations, and the identification of actions that harm the reputation of the judiciary, and those relating to the violation of the independence of judges, prosecutors and investigators. 2. The Commission for Anti-Corruption and Illegal Assets Forfeiture adopted Rules on the conduct of integrity tests. The rules have been published on the Commission’s website. “Integrity test" is defined as a test which is intended to ascertain that the tested person executes the powers or performs the duties thereof with honesty and integrity while observing the Constitution and the laws of the land in the interest of citizens and society. Pursuant to article 6, paragraph 14 of the transitional and final provisions of Counter- Corruption and Illegal Assets Forfeiture Act, all of CACIAF’s officials were subjected to an integrity test, carried out under rules adopted by the Commission. 3. In 2015, in view of the unsatisfactory outcome of the implementation of the plan to prevent and counter corruption, the management of the Ministry of Interior decided to draft an anti-corruption concept consistent with the

adopted National strategy for the horizon 2020. As a general principle, the idea of active actions on three main directions — training, counteraction and law enforcement — is enshrined in the Concept. The implementation of the Concept for Prevention and Counteraction of Corruption is implemented through annual Action plans for prevention and counteraction of

corruption. In 2016, the first annual Action Plan was carried out in line with the newly adopted Concept. 4. In 2017, anti-corruption plans were established and implemented by all

ministries. At the end of July 2017, the National Council on Anti-Corruption Policies took the decision an analysis of all plans to be carried out, in order to

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be identified weak points and to be proposed measures to address

them. Following the analysis and the comments, received from the Ministries, at the meeting of 2 February 2018, the National Council on Anti-Corruption Policies adopted uniform rules — Guidelines on the establishment of anti- corruption plans.

UNDER PRIORITY 5: RELEASE OF CITIZENS OF PETTY CORRUPTION

1. The strategic objectives of eGovernment set out in the Strategy for the Development of e-Government in the Republic of Bulgaria 2014-2020, as well as the existing framework, are aimed at developing the level 3 and level 4 electronic administrative services, leading to the minimum participation of the human factor in their delivery. 2. By Decision of the Council of Ministers of 29 August 2017, the draft Act amending the Administration Act was approved and submitted to the

National Assembly. The Act was adopted by the National Assembly on 12

October 2017 and published in SG No 85 of 2017. The changes set the achievement of the following objectives:  independence of the inspectorates, as internal administrative control units;  the limitation of the administrative control by the other types of control activity;  introducing uniform rules and procedures governing their activities;  increasing the efficiency of the inspectorates work by strengthening their expertise, administrative and analytical capacities;  establishing a common system for the prevention, detection and correction of breaches in the functioning of the administration;

The law provides for the structure and minimum number of inspectorates, the order and the way in which their activities are carried out and the interaction with the specialised control bodies to be determined by a regulation adopted by the Council of Ministers.

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UNDER PRIORITY 6: CREATE AN ENVIRONMENT OF PUBLIC INTOLERANCE TOWARDS CORRUPTION: 1. The website of the Council of Ministers ensures open access to all decrees, orders and decisions, approved by the Governments of the Republic of Bulgaria since 1990. The information is continuously updated with the newly adopted acts. The project PRIS is designed to facilitate access to information, and it guarantees the government’s declared will to operate in a transparent manner. Information on the agendas for meetings and information for the public and the media on adopted decisions, in which are also indicated anti- corruption measures or policies, is published on the page of the Council of Ministers. The Counter-Corruption and Illegal Assets Forfeiture Act provides that the CACIAF’s decisions on the established conflict of interest of senior public officials, all judgments on the court cases in which the Commission has participated, including the judgments which have not become enforceable and which are appealable, as well as the rulings on the termination of court proceedings, including the rulings which have not become enforceable, refusals to initiate proceedings for illegal assets are published without delay on the Commission’s website.

2. The Commission for Anti-Corruption and Illegal Assets Forfeiture has undertaken specific initiatives for including anti-corruption training and education at all educational levels. The following activities have been undertaken jointly with other institutions, universities and representatives of the local authorities:

 Creation of a anticorruption program in а higher education institution;

 Widening the scope of anticorruption education in primary and middle schools as an element of the civil education;

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NATIONAL COUNCIL ON ANTI-CORRUPTION POLICIES

The National Council on Anti-Corruption Policies (NCAP) is an inter- ministerial body with advisory, coordination and control functions with regard to the development and implementation of policies in the field of prevention and countering corruption. The Council reports to the Council of Ministers.

POWERS OF THE NCAP

 Coordinates the development and update of draft strategies, programmes and plans in the field of prevention and countering corruption;  Monitors and reports on the implementation of the relevant strategic and programming documents and organizes independent external evaluations of their implementation;  Discusses the results of the implementation of anti-corruption policies and proposes measures to increase their effectiveness;  Discusses information and specific problems in the implementation of anti-corruption policies;  Discusses and provides opinions on analyses and reports relevant to countering corruption;  Proposes amendments to legislative acts with the aim of conducting prevention and counter corruption policies more effectively;  Shall hear representatives of the institutions with regard to formulating and implementing measures and actions for prevention and countering corruption;  Proposes to the prime minister to entrust inspections by the general inspectorate to the Council of Ministers.

COMPOSITION OF THE NCAP

The Council consists of a chairperson, a deputy chairperson, a secretary and members.

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 The Council is chaired by the Deputy prime minister for judicial reform and minister of foreign affairs;  Deputy chairperson of the Council is the Minister of Justice;  The secretary of the Council is a member of the political office of the chairperson;  The other members are as follows: o Representative of the Political Office of the Deputy Prime Minister on Public Order and Security and Minister of Defence o Deputy Minister of Justice o Deputy Minister of the Interior o Deputy Minister of Economy o Deputy Minister of Finance o Representative of the Inspectorate to the Supreme Judicial Council o Deputy Prosecutor General o Deputy Chairperson of the State Agency for National Security o Head of the Chief Inspectorate to the Council of Ministers o Representative of the National Association of Municipalities in the Republic of Bulgaria o Deputy Chairperson of the Commission for Anti-Corruption and Illegal Assets Forfeiture o Deputy Chairperson of the Supreme Court of Cassation o Deputy Chairperson of the Supreme Administrative Court

The chairperson of the Council represents the Council; schedules, sets the agenda and chairs the meetings of the Council; organizes and controls the implementation of Council decisions.

MEETINGS

The Council holds regular and extraordinary meetings. Regular meetings of the Council are held at least once every two months. An extraordinary meeting of the Council may be convened in the presence of important circumstances by the chairman on his own initiative or on the proposal of three

13 members. The Council holds a meeting if half of its members are present. The Council's meetings are closed. Its work is presented to the public through regular briefings and messages to the mass media.

MPs, ministers, heads of other state bodies, representatives of local self- government and local administration, professional and civic organizations, other officials and experts may be invited to attend Council meetings. Information and advice may be requested from the competent authorities, organisations and persons to ensure the Council’s proceedings.

In exercising its powers, the Council takes decisions. Decisions shall are taken by open vote by a majority of the members of the Council present at the meeting. A report is drawn up for each meeting of the Council, reflecting the discussions, findings and decisions adopted. The protocol is signed by the President and by the Registrar of the Council.

CIVIC COUNCIL

A Civic Council is established to the NCAP.

The Civic Council exercises civilian oversight and control over the implementation of anti-corruption policies, gives opinions and puts forward suggestions for making them more effective before the Council.

The Civic Council includes up to 11 members of which: one representative from seven non-governmental organisations who are active and have a proven experience in the field of preventing and counteracting corruption; one representative from two associations assisting small and medium-sized enterprises; and one representative from two employers’ organisations recognised at national level. Participation in the Civic Council is on one year rotation.

The members of the Civic Council are determined by an order of the chairperson of the NCAP. Representatives of the Civic Council can attend NCAP’s meetings and can receive the materials, intended for the meetings.

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COMMISSION FOR ANTI-CORRUPTION AND ILLEGAL ASSETS FORFEITURE

STATUS OF THE COMMISSION

The Commission for Anti-corruption and Illegal Assets Forfeiture is established on the basis of the Commission for Illegal Assets Forfeiture with the adoption of the Counter-Corruption and Illegal Assets Forfeiture Act, promulgated SG No. 7 from 19 January 2018.

Into the new anti-corruption authority are merged the Commission for Prevention and Identification of Conflict of Interests, the Center for the Prevention and Counteraction of Corruption and Organized Crime at the Council of Ministers, the relevant unit of the National Court of Auditors, related to the activity of the repealed Publicity of Assets of Persons Occupying High Public and Other Positions Act and the relevant specialized directorate of the State Agency for National Security, related to combating corruption among persons occupying high public positions.

CACIAF is an independent specialized standing government authority pursuing the policy of combating corruption and illegal assets forfeiture. The Commission is a collective body consisting of five members – a Chairperson, a Deputy Chairperson and three other members, which are elected by the National Assembly with a simple majority. The Commission has a six-year mandate. The National Assembly supervises the activities of the Commission and the Members of the Commission are obligated to report before the National Assembly and provide the information requested. The Commission presents an annual report on its activities, which is also submitted to the President of the Republic and the Council of Ministers and is published on the website of the Commission. This ensures the public control and transparency of Commission’s activities.

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POWERS OF THE COMMISSION

Concerning the powers under article 13, paragraph 1 of CCIAFA, the Commission:

1. Implements preventive activities according to the procedure established by Chapter Four;

2. Gathers, analyses and verifies information where there is reason to believe that senior public office holders commit acts of corruption;

3. Verifies and analyses the declarations of assets and interests of senior public office holders;

4. Ascertains a conflict of interest of senior public office holders, hears or requires the submission of information regarding the examinations related to the ascertainment of a conflict of interest;

5. Verifies alerts in connection with the declarations of incompatibility of senior public office holders and refers any such alerts to the electing or appointing authority for an appropriate response;

6. Checks the assets status, adopts a decision on extension of the check in the cases provided for by this Act and decisions on termination of the check;

7. Institutes an illegally acquired assets forfeiture proceeding, which includes submission to the court of a motion for the imposition of precautionary measures and a claim for illegal assets forfeiture in favour of the State;

8. Refuses to institute an illegally acquired assets forfeiture proceeding;

9. Terminates the check referred to in article 107 (2) or extends the period of any such check;

10. Terminates illegally acquired assets forfeiture proceedings and reaches settlements under this law;

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11. Adopts rules on the conduct of integrity tests of the Commission employees and organises the conduct of the said tests;

12. Endorses the standard forms of the declarations referred to in Items 2 and 4 of article 35 (1) of the law;

13. Exercises other powers as well, provided for in the law.

For the achievement of the objective of CCIAFA, the Commission and it’s authorities cooperate, acting within the competence vested therein, with the prosecuting magistracy, the Ministry of Interior, the authorities of the State Agency for National Security, the revenue authorities, the authorities of the National Customs Agency, the Chief Inspectorate of the Council of Ministers, the Inspectorate with the Supreme Judicial Council and the inspectorates, exercising internal administrative control over the activities of the administration, and also with State agency “Technical operations”; The Military Police Service in the implementation of anti-corruption activities.

The Commission exchanges information for the purposes of the law with the competent authorities of other States and with international organizations on the basis of international instruments and international treaties which are in force for the Republic of Bulgaria.

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THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY BURKINA FASO ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

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ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

1-Awareness-Raising Policies and Practice:

The Royal Government of Cambodia (RGC) introduced the "Rectangular Strategy" Phase II as the socio-economic policy agenda of the "Political Platform" of the RGC in the fourth legislature of the National Assembly. This strategy is to be implemented mainly through the National Strategic Development Plan (NSDP), will be our means to further pursue our vision of building a Cambodian society to enjoy peace, political stability, security and social order, and sustainable and equitable development, with strict adherence to the principles of liberal multiparty democracy, respect for human rights and dignity.

One of the core elements of the Rectangular Strategy is fighting corruption which constitute as a high priority task and is a part of good governance. We are aware that the Anti-Corruption Law (ACL), adopted and promulgated by Royal Kram on 17 April, 2010 provided an important legal instrument to fight corruptions more effectively.

The Rectangular Strategy also applied strict strategic measures to eliminate the roots of corruptions through interrelated actions below:

1. Preventive Measures: The RGC will continue to raise awareness on all aspects of corruption, including its causes, impacts and consequences and thus to encourage public participation in preventing and combating corruption. Concrete measures will also be pursued encourage all levels of government officials to adhere to dignity, morality, professionalism and responsibility in fulfilling their duties. 2. Strengthening Accountability and Institutional Capacity: The RGC will focus on improving its effectiveness in avoiding conflict between the public and private interests by adhering to the principle of incompatibility between functions, especially incompatibility between political and public servant positions; and between political or public servant positions and private activities. The RGC will also reduce and eliminate the use of public positions, influence and power which blur or bias the decision-making process. 3. Public Support and Participation: Public support and participation is sine-qua- non for effectively preventing, reducing and fighting corruption. In this context, the RGC will continue to further promote and protect the freedom, to seek to obtain and to disseminate information on corrupt cases in the media. However, this should be done in a credible and responsible manner by respecting the rights, honor and dignity of people involved while protecting national security and public order. 4. Private Sector Participation: The RGC will continue develop and pursue implementation of policies, legal and regulatory framework and procedures to protect the integrity of the private sector in order to prevent collusion and to ensure fair competition between private companies/enterprises by ensuring proper behavior, honorable conduct and dignity in all business transactions. The RGC will safeguard the balance between the rights and interests in the contract made between the public and private sector. 5. Strengthening of Law Enforcement: The RGC will take strict legal measures against the culprits in order to eliminate the culture of impunity, reduce corruption and increase public confidence.

With regard to the Anti-Corruption Law, comprising of 40 Articles taken from the Criminal Code and including 15 Articles from the Anti-Corruption Law, the goal is to root out corruptions via the public participation, education, prevention, law enforcement, and international cooperation. In addition, broad participation from all sectors has been included in the Strategic Planning of the National Anti-Corruption Council for 5-Year Term (2011-2015) and the Action Plan of the Anti-Corruption Plan for 2-Year Term ((20112012). It is our perspective that the broad participation from all sectors is a key to ensure integrity, accountability as well as the respect of human rights and transparency. The Anti-Corruption Unit has set forth a three pronged approach as three vital measures: 1-Public Education, 2-Prevention and Obstruction, and 3-Law enforcement and curbing graft offences, and backed by strategic partnership in term of cooperation regionally„ internationally THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY CHILE

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CHILE (SECOND MEETING)

Artículo 5. Políticas y prácticas de prevención de la corrupción

1. Cada Estado Parte, de conformidad con los principios fundamentales de su ordenamiento jurídico, formulará y aplicará o mantendrá en vigor políticas coordinadas y eficaces contra la corrupción que promuevan la participación de la sociedad y reflejen los principios del imperio de la ley, la debida gestión de los asuntos públicos y los bienes públicos, la integridad, la transparencia y la obligación de rendir cuentas.

2. Cada Estado Parte procurará establecer y fomentar prácticas eficaces encaminadas a prevenir la corrupción.

3. Cada Estado Parte procurará evaluar periódicamente los instrumentos jurídicos y las medidas administrativas pertinentes a fin de determinar si son adecuados para combatir la corrupción.

4. Los Estados Parte, según proceda y de conformidad con los principios fundamentales de su ordenamiento jurídico, colaborarán entre sí y con las organizaciones internacionales y regionales pertinentes en la promoción y formulación de las medidas mencionadas en el presente artículo. Esa colaboración podrá comprender la participación en programas y proyectos internacionales destinados a prevenir la corrupción.

COMENTARIO GENERAL: Respecto del párrafo 4, resulta importante destacar la activa participación que Chile, como Estado, ha mantenido de manera permanente en el seguimiento de las principales convenciones internacionales existentes. Así, Chile se ha sometido a evaluación respecto a las 3 principales convenciones sobre materias vinculadas a corrupción, que son la Convención de las Naciones Unidas contra la Corrupción, la Convención Interamericana Contra la Corrupción, y la Convención para Combatir el Cohecho de Funcionarios Públicos Extranjeros en Transacciones Comerciales Internacionales (de la Organización para la Cooperación y el Desarrollo Económico, OCDE).

En este último caso, es importante destacar que Chile ha accedido a la OCDE como miembro pleno desde el año 2010, lo que importa un seguimiento constante e intenso de sus políticas anticorrupción, de acuerdo a los estándares OCDE. Adicionalmente, Chile forma parte del Foro Económico Asia Pacífico (APEC), integrando el Grupo de Trabajo Anticorrupción (Anti-Corruption and Transparency Work Group (ACT)), ente que recientemente elevó su categoría desde una simple Fuerza de Tareas (Task Force) a un Grupo de Trabajo permanente.

La Superintendencia de Valores y Seguros (SVS) expresa lo siguiente respecto de las disposiciones del artículo 5:

A través de una Cuenta Pública anual, la Superintendencia de Valores y Seguros (SVS) da cuenta de la gestión de la institución a la ciudadanía a fin de recibir sus comentarios. Esta se realiza en forma presencial y además virtual publicándola en el sitio Web institucional.

Por regla general las propuestas de normativas son publicadas en el sitio Web institucional, por un período de tiempo informado en cada caso, para recibir comentarios del mercado y ciudadanía. Esto se realiza desde que se firmó el Tratado de Libre Comercio con Estados Unidos.

Con motivo de la Ley N° 20.285 sobre Acceso a la información pública. La Superintendencia cumple con el principio de transparencia de la función pública, el derecho de acceso a la información de los órganos de la Administración del Estado, los procedimientos para el ejercicio del derecho y para su amparo, y las excepciones a la publicidad de la información. Sin embargo, desde antes de la puesta en vigencia de esta Ley la SVS ya hacía publicas, a través del sitio Web, las resoluciones y sanciones emitidas por este servicio.

La Superintendencia de Valores y Seguros ha firmado 26 “memorándum de entendimiento” con países y organismos internacionales tales como: IOSCO, COSRA, IAIS, ASSAL, con el fin de intercambiar información de delitos contemplados en la Ley del Mercado de Valores, ello sin perjuicio que todos los principios elaborados por estas entidades promueven la transparencia de los mercados de valores. Respecto de las materias a que se refiere el artículo 5º, la Dirección Nacional del Servicio Civil menciona las siguientes iniciativas y buenas prácticas:

1. Manual de Probidad y Transparencia. Este trabajo pretende ayudar a que los servidores públicos conozcan las normas relativas a probidad y transparencia y que se incorporen en el ejercicio de su función. Es una importante herramienta en los procesos de capacitación e inducción de la Administración del Estado.

2. Programa de Inducción de Probidad y Transparencia. Tiene por objeto dar a conocer los elementos básicos de la organización del Estado, su administración, los derechos y obligaciones y la administración presupuestaria a todos/as quienes se desempeñan dentro de la Administración Central del Estado, así como también comprender la importancia de sus funciones desde una óptica global del Estado y de los poderes que éste ostenta, particularmente del poder ejecutivo, mediante el cual el Presidente de la República cumple sus funciones y atribuciones a través del gobierno central. Por ello, el presente capítulo busca que el lector logre un acercamiento al concepto de Estado, cuáles son sus elementos, qué se entiende por Estado de Derecho, cuáles son las funciones del Estado, qué normas lo regulan y cuáles son sus poderes.

3. Programa de inducción y fortalecimiento de directivos/as cuyos cargos están adscritos al Sistema de Alta Dirección Pública. El Sistema de Alta Dirección Pública es un sistema creado para profesionalizar los altos cargos del Estado. Se trata que las más altas responsabilidades sean ejercidas por personas competentes e idóneas, elegidas mediante concursos públicos y transparentes.

El objetivo es contar con una gerencia pública calificada y profesional que lleve a cabo y ejecute las políticas públicas que el gobernante determine.

Es un sistema confidencial y no discriminatorio, en que prima la búsqueda de competencias por sobre otras consideraciones. Los/as altos directivos públicos cuyos cargos están adscritos al SADP firman un convenio de desempeño, cumple con la doble función de orientar y evaluar el desempeño de éstos. El convenio lo firman con su superior jerárquico y tiene una duración de tres años. En los convenios se incluyen las metas anuales estratégicas de desempeño del cargo y los objetivos de resultados a alcanzar, con los correspondientes indicadores, medios de verificación y supuestos básicos en que se basa el cumplimiento de los mismos. El/la alto directivo debe informar a su superior jerárquico el grado de cumplimiento de las metas y los objetivos, correspondiendo al ministro del ramo o al jefe superior de servicio, según corresponda, determinar el grado de cumplimiento de los objetivos acordados.

4. Código de Buenas Prácticas Laborales. El Código de Buenas Prácticas Laborales (CBPL) es un instrumento que contiene directrices en materias relativas al acceso al empleo, retribución, promoción, formación, condiciones de trabajo, derechos maternales y parentales, conciliación de las responsabilidades laborales con las obligaciones familiares y la prevención y sanción del acoso sexual y laboral. El Código no sólo busca el pleno cumplimiento de las normas que rigen el empleo público, sino también propender al desarrollo de diversas iniciativas que permitan garantizar ambientes laborales saludables y estimular el compromiso de los funcionarios(as) con su servicio y la función pública.

5. Encuentros formativos nacionales y sectoriales con encargados/as de Recursos Humanos de las instituciones de la Administración Civil del Estado. Los encuentros en gestión de personas corresponden a una instancia anual, destinada a la reflexión, debate, actualización sobre nuevas tendencias y enfoques en gestión de personas, difusión, formación, conocimiento de prácticas de gestión y entrega de resultados en materia de estudios y otros, todo enmarcado en el desarrollo de acciones que fomenten la profesionalización y desarrollo creciente de las Unidades de Recursos Humanos (URH) de la Administración Pública chilena. 6. Documentos con orientaciones en el ámbito de la Gestión de Personas en la Administración Pública (Entre estos, Prevención del Acoso; Inducción; Calificaciones). Labor desarrollada permanentemente por la Dirección Nacional del Servicio Civil, cuyo objetivo es contribuir en el desarrollo profesional de los/as funcionarios/as públicos y, con esto, incrementar los estándares de ejercicio de la función pública en cada uno de los ámbitos abordados a través de estos instrumentos. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY CHINA ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

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ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

CYPRUS (SECOND MEETING)

It is noted that since 2010, a specific course titled “Police Ethics and Prevention of Corruption” has been incorporated in the basic training program and in Sergeants’ and Inspectors’ training programs, as well as other specialized programs. Also, Cyprus Police provide seminars on corruption to police officers dealing with financial crime investigations and to the members of the Unit for Combating Money Laundering (MOKAS), with whom Police has a close cooperation. Police officers attend several seminars organized by relevant International Organizations (OLAF, e.t.c), by Member States of the European Union and by third countries. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY CZECH REPUBLIC

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

CZECH REPUBLIC (SECOND MEETING)

Initiatives and practices of the Czech Republic in the area of prevention of corruption:

The fight against corruption is a priority of the Government of the Czech Republic. Concerning awareness-raising policies and practices in the area of prevention of corruption, the Government Anti-corruption Strategy has to be mentioned. The current Strategy for the years 2011-2012 was adopted by Government resolution No. 1 of 5 January 2011 as amended by resolution No. 65 of 19 January 2011. The Strategy has three key pillars – prevention, transparency, and repression – and covers the following five areas:

• Public administration: measures to be implemented both on the central level and on the level of territorial self-governing units;

• Procurement: currently regarded as an area most prone to corruption;

• Czech Republic Police: the emphasis is on comprehensive non-legislative preventive measures to complement repression;

• Judges and public prosecutors: the approach is similar as in the case of the Police;

• Law-making: focused primarily on prevention and transparency of legislators’ conduct.

The Strategy strives to reduce corruption opportunities in the Czech Republic by means of gradually introducing individual anti-corruption measures, both preventive and repressive, and by increasing the transparency of the related procedures. The Strategy contains 58 specific measures and 11 key priorities1. The Strategy promotes anti- corruption education and training of public servants, policemen, judges, and public prosecutors. For each area there are legislative as well as non-legislative measures, each measure has a responsible government authority and a strict deadline.

Half-yearly information on the progress and manner of implementation of the measures contained in the Strategy will be presented to the Government of the Czech Republic on the basis of detailed reports from ministers and other heads of central administrative authorities.

1 1. Amendment to the Public Procurement Act, 2. Public Servants Act to enhance performance and stability of public administration, 3. Introduction of stricter rules to manage municipal and regional public property and of stricter liability for damage, 4. Introduction of new conditions pertaining to the management of legal entities established by central authorities or regional self-governing units as well as partially publicly-owned entities, 5. Introduction of reinforced Supreme Audit Office’s audit and control powers over territorial self-governing units, 6. Development and completion of the process of digitisation of the public administration, 7. Enhanced free access to information, 8. Reinforced independence and accountability of Offices of Public Prosecution for the execution of their entrusted powers, 9. Draft Corporate Criminal Liability Act, 10. Reinforcement of the restitutive function of criminal proceedings including seizure and forfeiture of proceeds from crime, 11. Analysis of whistleblowing and protection of whistleblowers

Information on the progress under each task in the fourth quarter of 2010 and the first quarter of 2011 was submitted to the Government for consideration on 4 May 2011, the next information is to be submitted by 5 November 2011. The Government of the Czech Republic has instructed the Minister of the Interior to submit, in November 2012, an evaluation of all tasks contained in the Strategy together with a draft new anti-corruption strategy for 2012-2014.

A major role in anti-corruption activities is played by the Interministerial Anti-corruption Coordinating Group, comprising representatives of all ministries and other public administration authorities together with other institutions (such as the Office of the Public Defender of Rights - ombudsman) and non-governmental non-profit organizations (Transparency International Czech Republic and Oživení).

The NGO Oživení operates the anti-corruption hotline 199 (in 2007-2010 the hotline was operated by Transparency International). The hotline provides legal advice to citizens who contact it after having experienced corrupt conduct in public or private sector. Some ministries (e.g. the Ministry of Finance, Ministry of Justice and the Ministry of Labour and Social Affairs) and municipalities operate their own anti-corruption hotlines or e- mail addresses receiving reports of suspected corrupt behaviour at the ministry or municipal authority concerned.

In 2010 the Ministry of the Interior published an anti-corruption manual for citizens. The manual is available at the Interior Ministry website and contains advice how and where to report corruption, how to respond when one is asked for a bribe, and information on the legal protection of whistleblowers.

One of the primary tasks under the Strategy is to introduce a new Public Servants Act to enhance the performance and stability of public administration. A consultation paper on the proposed Public Servants Act, making a clear distinction between political appointees and civil servants in public authorities, proposing ways to make the public administration less political and more professional and stable, and determining a system of remunerations, is to be submitted to the Government by the end of June 2011. An articulated version of the new act is to be submitted to the Government by 31 December 2011. The deadline for bringing into effect Act No. 218/2002 on civil servants in administrative authorities, on their remuneration and on the remuneration of other employees of administrative authorities (Service Act) has been postponed several times, the current deadline being 1 January 2012.

A draft resolution introducing a new Public Servants´ Code of Ethics is to be submitted to the Government in May 2011. It will apply only in the public administration, since government resolutions are not binding on territorial self-governments. Certain ethical standards applicable to territorial self-governments will be included in the planned new Public Servants Act. The present Code adopted in 2001 is far too general and does not contain specific anti-corruption mechanisms and procedures. An ethics code for elected public officials will be developed by the Ministry of the Interior in cooperation with deputies and senators. Provision will be made in the applicable laws to require territorial self-governments to adopt their own ethics codes for members of local councils.

Measures and systems to facilitate the reporting of corruption will be part of the analysis of whistleblowing and protection of whistleblowers, which is to be submitted to the Government by the Ministry of the Interior by the end of December 2011.

The duty of public officials to present conflict of interest disclosure statements is established by Act No. 159/2006 concerning conflict of interest (disclosure of personal interests, activities, property and income, gifts and liabilities). The Strategy proposes to establish a central database for recordkeeping bodies that hold the data required by the Conflict of Interest Act, in order to facilitate online public access to such data.

Public access to information on the activities of the public administration is regulated by Act No. 106/1999 concerning free access to information. The Strategy requires that an analysis identifying the challenges of free access to information, including proposed solutions, be submitted to the Government by the end of 2011. At the same time, work will proceed on the draft legislation that will enable the Government to ratify the Council of Europe Convention on Access to Official Documents by the end of December 2012.

The Strategy contains the following tasks concerning the private sector:

1. to submit to the Government an analysis of anti-corruption efforts in the public sector, including the key challenges and their potential solutions (December 2011);

2. to submit to the Government a draft amendment to Act No. 320/2001 concerning financial control in public administration, improving financial control as an anti- corruption tool (June 2011);

3. to submit to the Government a draft act on criminal liability of legal persons – the draft legislation has already been presented to the Government and is currently passing through the Parliament of the Czech Republic; 4. to submit to the Government an analysis of measures to ensure that representatives of the public sector appointed as members of statutory bodies of partly publicly owned entities (and representatives of territorial self-governments appointed as members of statutory bodies of partly publicly owned entities) are selected on the basis of their experience and expertise (July 2011),

5. to submit to the Government draft budgetary rules concerning subsidies and grants awarded from the state budget and from the budgets of territorial self-governments in order to introduce principles and rules similar to those guiding the public procurement procedure (e.g. applicants for grants or subsidies will be required to disclose all available information concerning their ownership/control (organizational) structure, including information on persons authorized to act on behalf of the given entity). All data on grant and subsidy procedures, including contracts, will be made publicly available in the internet (June 2011).

The Strategy proposes to amend the Public Procurement Act to ensure i.a. that all data related to tender and evaluation processes are posted on the internet and that electronic marketplaces and electronic auctions are used where appropriate. Closely related to this is the model authority project, under which the Ministry of the Interior is to publish all data and documentation relating to its public tenders in accordance with the new public procurement system that has been in place since 1 February 2011 (for organizational units of the state and organizations partly funded from the state budget that are controlled by the Ministry of the Interior, the system will be compulsory from 1 June 2011). The following data and documents will be published:

 Calls for tenders,  All tender documents,  Other documentation related to the tender process (e.g. reports on the evaluation of tenders),  Names and positions of members of the evaluation committee (after the selection process is completed),  Contracts, including any annexes,  Bid prices from all bidders.

Additional categories of data and documents will be made public in the coming months, including i.a. valid contracts concluded before 1 February 2011. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY EGYPT ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

EGYPT (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY EGYPT

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

EGYPT (SECOND MEETING)

Concerning the requirements of article 5 Preventive anti-corruption policies and practices: The Transparency and Integrity Committee has proposed a number of policies that embody the principles of rule of law, good administration of public property and matters, integrity, transparency and accountability through the formulation of proposals to support the legislative and institutional frameworks by proposing new draft laws on:

 Reviewing the public function law (the State’s civil servants regulations number 47 for 1978).  Provision of data and information.  Development of the system for receiving and managing complaints from citizens.  Protecting witnesses and persons reporting acts of corruption.  Establish national indicators to gauge corruption through gauging its causes.  Study the institutional situations and determine the problems associated with those situations in the administrative apparatus units of the State and their subsidiary bodies with a view to providing good government services available to all citizens where they live by simplifying administrative procedures and diversifying the channels through which such services are provided, in addition to supporting the investment environment by removing unnecessary and cumbersome administrative procedures that make the cost of investment excessive.  Prevent conflicts of interest, applying the rules of good governance and activate financial control.  Maximize the benefit from international experience by signing a project agreement with UNDP in May 2009 for three years aiming at enhancing transparency and integrity practices in civil service. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY GEORGIA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

GEORGIA (SECOND MEETING):

Inter-Agency Council for Fight against Corruption has developed state policy (Strategy and Action Plan) against Corruption with the participation of civil society and international organizations; both documents have been approved by the Presidential Decree.

Strategy and Action Plan identify corruption sensitive areas and provide for targeted actions aimed at:

 Modernization of Public Service  Development of Administrative Service  Procurement  Reform of Public Finance System  Development of Tax and Customs Systems  Competitive and Corruption-free Private Sector  Enhancing Justice Administration  Increased Interagency Coordination for Prevention of Corruption  Improved system of Political Party Financing  Prevention of Political Corruption THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY GERMANY

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

GERMANY (SECOND MEETING)

With reference to the Secretary-General's Note CU 2011/45 of 18 March 2011 requesting member states to submit information on initiatives and good practices in the area of the prevention of corruption, please be informed that the Government of the Federal Republic of Germany will shortly issue a high-quality e-learning programme to the Federal institutions for the use of public officials. The programme includes six modules which, by means of case studies and answers to pertinent questions, inform and sensibilize a broad range of addressees (colleagues in positions with high corruption risk / team leaders / staff in general).

Another initiative within the Federal Ministry of the Interior has been the installation of an ombudsman on corruption-related matters as part of a pilot project. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY GREECE

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

GREECE (SECOND MEETING)

As regards the practices applied for the prevention of corruption, in the context of the taking of preventive or deterrent measures “preventive measures”, the Hellenic Police, by virtue of legislative regulations, has materialized the following:

 All the personnel of the Hellenic Police are obliged to file annual financial declaration statements regarding their assets (income/property).

 The setting up and the operation of the Internal Affairs Service (Internal Control) which is engaged in the specialized investigation of corruption cases involving police officers, employees/ officials of the Wider Public Sector or employees/ functionaries of the European Union or International Organizations active on the Hellenic territory (Law 2713/1999 // article 1 as replaced by Law 3103/2003 and Law 3938/2011 // article 5).

 The action and cooperation coordination with the other authorities ( The Public Administration General Inspector, the Authority engaged in the Fight against and the Legalization of Proceeds deriving from Criminal Activities, The Court of Appeal, Public Prosecutor, etc. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY GUATEMALA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

GUATEMALA (THIRD MEETING)

ESFUERZOS DEL GOBIERNO EN EL AÑO 2012 El 14 de enero 2012, asumió funciones el nuevo Gobierno del Cambio en Guatemala y, dentro de los primeros cien (100) días de implementado el mismo, ha avanzado en temas contra la corrupción y apoyo a la transparencia así:

1. CREACIÓN DE LA SECRETARÍA DE CONTROL Y TRANSPARENCIA. El actual Gobierno creó a través del Acuerdo Gubernativo 37-2012 la Secretaría de Control y Transparencia, como una Secretaria de la Presidencia, que recibe instrucciones de la Vicepresidencia de la República; la cual cobró vigencia a partir del 14 de febrero 2012. Dicho ente tendrá a su cargo tres principales ejes: a. Combate a la Corrupción, b. Fomento de la Transparencia e; c. Información Pública y Gobierno Electrónico.

2. PRESENTACIÓN DE INICIATIVAS DE LEY DE TRANSPARENCIA. El 12 de marzo de 2012, el Presidente de la República de Guatemala presentó ante el Congreso de la República, dos iniciativas de Ley con importantes propuestas para minimizar los índices de corrupción:

Iniciativa 4461 “Ley de Fortalecimiento de la Institucionalidad para la Transparencia y Calidad del Gasto Público”, que propone fortalecer a las instituciones que promueven la transparencia y la lucha contra la corrupción, mediante reformas a las siguientes Leyes:  Ley Orgánica del Presupuesto, Decreto 101-97 del Congreso de la República:  Ley Orgánica de la Contraloría General de Cuentas, Decreto 31-2002 del Congreso de la República,  Ley Orgánica de la Superintendencia de Administración Tributaria, Decreto 1-98 del Congreso de la República y,  Ley del Sistema Nacional de Información Estadística y Geográfica.

Este Anteproyecto de Ley es de suma importancia para mantener un nivel adecuado de gasto, contribuirá a reducir el déficit fiscal mediante la contención del gasto público, sin afectar los Programas Sociales y lograr que una tercera parte de la ejecución del presupuesto se oriente a los sectores de Educación, Salud Pública, Seguridad e Infraestructura. Los detalles de dicha iniciativa, pueden consultarse en la siguiente dirección electrónica: http://200.12.63.122/Legislacion/iniciativa1.asp

Iniciativa 4462 “Ley de Fortalecimiento de la Transparencia y de la Calidad del Gasto Público”, la cual está orientada a reformar aquellas disposiciones legales que regulan las contrataciones del Estado, así como también la integridad del servidor público. Entre las reformas destacan:

 Ley de Contrataciones del Estado, Decreto 57-92 del Congreso de la República,  Ley de Probidad y Responsabilidad de Funcionarios y Empleados Públicos, Decreto 89-2002 del Congreso de la República y sus reformas,  Ley del Organismo Ejecutivo, Decreto 114-97 del Congreso de la República,  Ley de Servicio Civil, Ley contra el Enriquecimiento Ilícito,  Ley de Fideicomisos Públicos,  Ley de Planificación y Evaluación de la Gestión Pública.

La Iniciativa de fortalecimiento de la transparencia y de la calidad del gasto público, busca conseguir una eficiente administración pública que permitan o fomenten el desarrollo de actos de corrupción y por lo mismo desactivar la discrecionalidad en la propia administración, generando legitimidad en el Gobierno y credibilidad en la gestión pública. Los detalles de dicha iniciativa, pueden consultarse en la siguiente dirección electrónica: http://200.12.63.122/Legislacion/iniciativa1.asp

GUATEMALA (SECOND MEETING)

Artículo 5: Políticas y Prácticas de prevención de la corrupción.

Avances en Guatemala:

 Guatemala ha generado una serie de acciones para mejorar los sistemas de recaudación fiscal, encaminados a reducir la defraudación al Estado. Se han implementado una serie de acciones de recaudación fiscal, mejoras para transparentar el sistema financiero y bancario, así como medidas a amainar la corrupción que genera el contrabando.  Se ha dotado de recursos a los mecanismos de atención de denuncias de corrupción.  Se inició todo lo necesario que implica la legislación para erradicar la corrupción, el crimen organizado y el narcotráfico. De esa cuenta, se cuenta ya con la Ley de Extinción de Dominio que incluye el nombramiento del cargo de Secretario General y Secretario General Adjunto del Consejo Nacional de Administración de bienes de Extinción de Dominio.  Se mantiene un constante diagnostico del marco jurídico guatemalteco en materia de transparencia, combate a la corrupción y acceso a la información, evaluación y seguimiento de las iniciativas de ley en la agenda parlamentaria.  Asimismo se han planteado acciones de transparencia en diversas áreas del Estado, que atraviesan áreas focalizadas que habían sido constante foco de corrupción.  Ello ha implicado la mejora de la legislación para publicitar las compras del Estado, la adquisición de bienes etc. Por ello, se ha institucionalizado la iniciativa de transparencia en el sector de la construcción de obra pública, así como en el sector de la actividad extractiva. Además se ha impulsado un espacio ciudadano de autoria social en el gasto público.  Guatemala ya cuenta con una ley de acceso a la información pública y se ha generado todo lo entramado institucional para la implementación de la ley.  Elaboración de los manuales de capacitación en materia de acceso a la información.  Elaboración de la versión comentada de la Ley de acceso a la Información Pública para los encargados de las unidades de Información Pública del Organismo Ejecutivo.  Elaboración de una propuesta legislativa relativa al Sistema Nacional de Archivos.  Se han generado campañas de comunicación social referidas al tema de transparencia, y el uso de la ley de acceso de información.  Realización de espacio de discusión sobre temáticas de transparencia tales como el 1 Seminario Internacional : “Transparencia y rendición de cuentas: las dos caras de la gestión pública” y el 2 Seminario Internacional “Transparencia y elecciones : una estrecha relación entre el derecho a saber y el derecho a elegir”. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY HUNGARY ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

HUNGARY (TENTH MEETING)

 a Nemzeti Közszolgálati Egyetem integritás tréningjei során felvett kérdőíves felmérés eredményeinek értékelése;  a Büntető Törvénykönyv korábbi közélet tisztasága elleni, illetve korrupciós bűncselekményekre vonatkozó statisztikai adatainak elemzése;  a korrupcióellenes egyezmények végrehajtásával kapcsolatban nemzetközi szervezetek (úgymint az ENSZ, Európa Tanács, Európai Unió, OECD) által tett megállapítások és ajánlások vizsgálata;  a korrupciót, vagy a hozzá szorosan kapcsolódó jelenségeket vizsgáló elemzések, indexek, rangsorok áttekintése (pl.: EU Anti-korrupciós Jelentés; Transparency International Korrupció Érzékelési Index);  a korrupcióra, illetve integritásra vonatkozó hazai és nemzetközi kutatási eredmények, publikációk feldolgozása.

Az NKP által megfogalmazott célkitűzések, annak 4 éves időtartama alatt két kétéves időtávú Intézkedési Terv végrehajtásával valósultak meg. Az aktualitások és eredmények a kormányzati honlapon megtalálhatóak.3

Az Első Intézkedési Tervet az 1336/2015. (V. 27.) Korm. határozattal (a továbbiakban: Első Intézkedési Terv) hirdették ki és 2015-től 2016. december 31-ig tartalmazott rendelkezéseket, míg a Második Intézkedési Tervet az 1239/2017. (IV. 28.) Korm. határozattal (a továbbiakban: Második Intézkedési Terv) fogadták el.4

A szükséges költségvetés biztosításáról a Pénzügyminisztérium gondoskodott (Első Intézkedési Terv 2. pont). Emellett a KÖFOP-2.2.3-VEKOP-16: „Kapacitásfejlesztés és szemléletformálás a korrupciós esetek nagyobb arányú felderítése, illetve megelőzése érdekében” című projekt keretében is számos feladat valósult meg.

A Kormány tagjainak feladat- és hatásköréről szóló 94/2018. (V. 22.) Korm. rendelet 56. § (2) bekezdése a korrupcióellenes tevékenységgel összefüggő kormányzati feladatok összehangolásának felelőseként a belügyminisztert jelöli ki. A rendőrség belső bűnmegelőzési és bűnfelderítési feladatokat ellátó szerve kijelöléséről, valamint feladatai ellátásának, a

3 http://korrupciomegelozes.kormany.hu/hirek http://korrupciomegelozes.kormany.hu/szakmai-anyagok-es-osszefoglalok2 4 http://corruptionprevention.gov.hu/legal-acts

2 kifogástalan életvitel ellenőrzés és a megbízhatósági vizsgálat részletes szabályainak megállapításáról szóló 293/2010. (XII. 22.) Korm. rendelet 13/A. § a) pontja alapján a korrupció elleni kormányzati stratégiát a Nemzeti Védelmi Szolgálat (a továbbiakban: NVSZ) készíti elő, majd terjeszti fel a belügyminiszter részére.

E feladatok végrehajtására a Nemzeti Védelmi Szolgálaton belül megalakult a Korrupciómegelőzési Főosztály (továbbiakban: KMF). A KMF stratégiai tervező, módszertani támogató, elemző-értékelő, koordinációs tevékenységet fejt ki, részt vesz az integritásirányítás rendszer fejlesztésében, tájékoztató és köztudatformáló intézkedéseket készít elő és közreműködik a nemzetközi együttműködésből eredő kötelezettségek teljesítésében.

Az NKP-ben meghatározott célokhoz rendelt intézkedések végrehajtásáért a kapcsolódó kormányhatározatokban megnevezett miniszterek felelnek. Nemcsak az intézkedési tervekben felelősként meghatározott minisztériumok, hanem az egyéb állami szervek is elkötelezettek a szervezeti integritás fejlesztésében, melyet az e tárgykörben megalkotott számos jogszabály- módosítás, módszertani útmutató, valamint megvalósított tréning, szemléletformáló és információs kampány bizonyít. Közreműködőként a minisztériumok mellett megemlíthető a Kúria, az Állami Számvevőszék, a Legfőbb Ügyészség, a Közbeszerzési Hatóság, a Nemzeti Bank, az Alapvető Jogok Biztosának Hivatala, a Nemzeti Közszolgálati Egyetem, a helyi önkormányzatok és önkormányzati érdekszövetségek, a korrupció elleni küzdelem iránt elkötelezett társadalmi, szakmai és érdekképviseleti szervek, gazdasági kamarák, valamint oktatási és kutató intézmények, valamint számos más központi és regionális szintű szerv. (Első Intézkedési Terv 3. pont). A 2017-2018 években megvalósuló Második Intézkedési Terv egy sokoldalú intézmények között megvalósuló egyeztetési folyamatot, valamint az Első Intézkedési Terv monitoringját és elemzését követően készült el.

Az NKP célja a közpénzekkel való gazdálkodás átláthatóbbá tétele, a hatósági eljárások fejlesztése, az üzleti élet tisztaságát elősegítő szabályozás kialakítása, az oktatás és képzés kiterjesztése, a szemléletformálás, továbbá a hatékony korrupcióellenes küzdelemhez szükséges személyi és tárgyi feltételrendszer megteremtése; amely területekre vonatkozó intézkedésektől már középtávon a korrupcióval szembeni szervezeti és egyéni ellenálló képesség erősödését irányozza elő. Az NKP a közszféra, az állami tulajdonú vállalatok és a versenyszféra, illetve a társadalom egésze számára fogalmaz meg célokat.

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Az NKP, illetve vívmányai megismerése érdekében 2015 és 2019 között regionális rendezvénysorozatot bonyolítunk le szakmai szervezetek, közigazgatási és önkormányzati szakemberek, valamint civil szakértők közreműködésével, amelyet E-hírlevél programmal támogatjuk. Emellett az NVSZ 2018-ban médiakampányt indított, megcélozva ezzel a 16 év feletti magyar lakosságot, a Magyarországon működő multinacionális, valamint magyar tulajdonú kis- és középvállalkozások vezetőit, illetve a közigazgatásban dolgozókat. A figyelemfelhívás a korrupciós jelenségek fajtáira, a követendő és kerülendő magatartásmódokra a korrupciónak ellenálló, felelős állampolgári attitűd erősítésére irányul. A kampány az alábbi elemekből áll: bannerek, TV és rádió spotok, Facebook oldal, YouTube csatorna, e-hírlevelek, mobil applikáció. b) Monitoring és értékelés

Az NVSZ közreműködik az NKP végrehajtásának koordinálásában, figyelemmel kíséri végrehajtását, valamint évenként összesíti a korrupció elleni küzdelemért különös felelősséget viselő kormányzati, valamint független állami szervezetek által küldött tájékoztatásokat, az NKP-hez és az intézkedési tervhez kapcsolódó feladatok megvalósulásával összefüggő monitoring jelentéseket. Az NKP intézkedéseinek nyomon követése a Belügyminiszter feladata: annak előrehaladásáról, valamint az intézkedési tervekben meghatározott feladatok megvalósulásának hatásáról és gyakorlati eredményeiről a Belügyminisztérium jelentést készít a Kormány számára.

Az NKP értékelése és az új stratégia megalkotása jelenleg folyamatban van. Az előkészítés alatt álló Nemzeti Korrupcióellenes Stratégiában foglalt célok kijelölik azon beavatkozási pontokat, melyek mentén a következő négyéves ciklus korrupciómegelőzési tevékenységi köre épül.

A korrupcióellenes politikák hatékonyságának mérése az alábbiakkal valósult meg: - Közvélemény-kutatások lefolytatása 2015-ben és 2018-ban az állampolgárok és a vállalkozások körében, amely rákérdezett az NKP ismertségére is. - Tudományos kutatások készültek az eredmények hatékonyság-vizsgálatához. - Projekt indikátorok mutatják a projekt keretében megvalósult eredményeket. - Jó Állam Projekt Mutató.

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A korrupciónak kitett területek feltérképezése, a kockázatok kezelése: - Az Integrált Kockázatkezelési rendszer keretében félévente kitöltött kérdőív mutatja a költségvetési szervek egy részének, nevezetesen az államigazgatási szervek kockázatkezelési rendszereinek a fejlődését, a korrupciós és integritási kockázatok kezelését. - Feltérképezésre kerültek a rendvédelmi és az államigazgatási szervek tekintetében azok a munkakörök, amelyek fokozottan ki vannak téve a korrupciónak. Az elsődleges kockázati elemzéseket követően történt meg a teljes államigazgatási munkaköri rendszer másodlagos korrupciós kockázati, un. súlyozott elemzése is, melynek során a már rendelkezésre álló adatok összehasonlító elemzésére, az egyes munkakörökre és munkakörcsaládokra jellemző kockázati tényezők összevetésére, kvalitatív és kvantitatív elemzésére is sor került.

Tanulságok, jó gyakorlatok a nemzeti korrupcióellenes politikák és stratégiák kidolgozása, megvalósítása, értékelése terén

Az NKP végrehajtása során az intézkedési formák széles skáláját sikerült alkalmazni az értékalapú módszerektől a szigorúan vett szabályalapú - pl. jogszabály-alkotási - folyamatokig. A korrupciómegelőzési intézkedésekkel a társadalom széles spektrumát sikerült megszólítani: a diákoktól az üzleti élet szereplőjéig, az alkalmazott módszereket, eszközöket a csoportok sajátosságaihoz igazítva. Magyarország az elmúlt négy évben komplex intézkedéscsomagot valósított meg. A legfontosabb, hogy a már elért eredményeket meg tudja őrizni, és tovább folytassa a szemléletformálást a már kipróbált és bevált képzési módszerekkel, hogy minél több társadalmi csoport, szervezet váljon az integráns működés elkötelezettjévé.

Szakmai segítségnyújtás

A fentiek alapján látható, hogy Magyarországon a korrupcióellenes stratégiák kidolgozása, végrehajtása és értékelése bejáratott eljárásrenddel bír, így annak fejlesztéséhez specifikus külső szakmai támogatás nem szükséges. A jövőre nézve tovább kell népszerűsíteni a kiadott módszertani útmutatókat, a szemléletformáló tréningeket, a magas színvonalú – esetleg akkreditált – szakmai képzéseket, de olyan területek felé is szükséges nyitni, melyek eddig az NKP-ben nem kaptak helyet.

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Lessons learned in the development, evaluation and impact of anti-corruption strategies (Art. 5 of the United Nations Convention against Corruption)

Measures taken by Hungary in the field of developing, implementing, monitoring and evaluating anti-corruption strategies.

b) Development and Implementation Process

Involving a wide range of administrative and civil organisations5 (NGOs, professional associations and unions, citizens) the National Anti-Corruption Programme (hereinafter: NAP) was adopted by the Hungarian Government in May 2015.

It was important to engage in the development and in the implementation of the NAP as many stakeholders as possible. NAP was published on the website of the Government in order to make it available for the target groups and for all those organisations that were responsible for the fulfilment of the tasks.6

The authors of the NAP intended to create a complex strategic document that takes into account the Hungarian and international situation as well as the projected future trends and defines measures for four years in relation to legislation, organisation development, training, attitude shaping, awareness raising, and the promotion of the required overall social actions in the prevention of corruption and promoting integrity.

In order to achieve that, primarily the following analytical techniques were used during the elaboration of the NAP: - review of the experience of implementing the anti-corruption measures adopted by Government Resolution No. 1104/2012 (IV. 6) and the strategic document titled “Corruption Prevention Programme in the Public Administration 2012-2014”; - assessment of the needs of the public administration bodies and independent public agencies bearing special responsibility in the fight against corruption [State Audit

5 https://korrupciomegelozes.kormany.hu/tarsadalmi-egyeztetes-a-nemzeti-korrupcioellenes-programrol-es-a- 2015-2016-evekre-vonatkozo-intezkedesi-terv-elfogadasarol-szolo-eloterjesztesrol 6 / http://korrupciomegelozes.kormany.hu/strategiai-dokumentumok1 http://corruptionprevention.gov.hu/download/c/fe/02000/National%20Anti- Corruption%20Programme%20Hungary%202015-2018.pdf

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Office, Kúria (the Supreme Court), General Prosecutor’s Office, Commissioner of Fundamental Rights, National University of Public Service and ministries] articulated upon the request of the Minister of Interior; - assessment of results of the questionnaire-based survey made during the integrity training programs held by the National University of Public Service; - analysis of the statistical data on crimes against the transparency of public life and corruption pursuant to the former Criminal Code; - review of the findings and recommendations of international organisations concerning the implementation of anti-corruption treaties (UN, Council of Europe, European Union and OECD); - review of analyses, indices and rankings focusing on corruption or closely related phenomena (e.g., EU Anti-Corruption Report; Transparency International Corruption Perception Index); - overview of the results of Hungarian and international researches and publications.

Section 56 (2) of Government Decree No. 94/2018 (V. 22) on the tasks and competences of the members of Government designates the Minister of Interior as the minister responsible for co-ordinating the government tasks relating to anti-corruption. According to Section 13/A a) of Government Decree No. 293/2010 (XII. 22) on the designation of the police agency performing internal crime prevention and detection tasks and the detailed rules of the performance of such tasks, the lifestyle monitoring and integrity checks, the government strategy against corruption is to be prepared and submitted to the Minister of Interior by the National Protective Service (hereinafter: NPS).

For the implementation of these tasks a specified department, the Corruption Prevention Department (hereinafter: CPD) started its operation. The CPD focuses its work on strengthening integrity of State organisations by way of strategic planning, developing integrity management systems, providing state actors with methodological support, education and training. Furthermore, the CPD reaches out to the private sector and to the society as a whole by way of different awareness raising and information activities and also takes part in international cooperation.

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The relevant Government Decisions name the Ministers responsible for implementing the measures aimed at achieving the objectives of the NAP. Not only the ministries responsible for the implementation of tasks set forth in the first Action Plan but also a wide range of other state organisations are committed towards the development of organisational integrity, which is proved by numerous legal amendments, guidelines, trainings, awareness-raising and information campaigns. The partners include the ministries, the Supreme Court, the State Audit Office, the National Tax and Customs Authority, the Prosecutor General, the Public Procurement Authority, the Central Bank, the National University of Public Service, local governments, the associations of local governments, professional associations and unions, business chambers, research and educational organisations committed to the fight against corruption, and many others at central and regional level (Para 3, First Action Plan).

The second Action Plan, that covers years 2017 and 2018, is based on a multi-institutional consultation and on the monitoring and assessment of the first Action Plan. It aims at completing the objectives of the Programme in all fields of intervention. The general objective of the NAP is to make the management of public funds more transparent, to develop regulatory proceedings, to establish regulations that promote the transparency of the business sector, to extend education and training programs, to raise awareness, and to provide resources in staff and equipment necessary for the effective fight against corruption. It was expected from the measures applied in the above listed areas to strengthen the resistance capability of organisations and individuals against corruption in the medium term.

The Programme sets objectives for the public sector, state-owned companies and the business sector as well as the whole society. Between 2015 and 2019 a series of regional events, workshops, conferences, professional days are being organized with the participation of professional organisations, experts from public administrative agencies, local governments and civil organisations. So as to inform the public on the NAP and its results an E-Newsletter Programme was launched in 2018. Furthermore a communication campaign was launched by the NPS in 2018. Its target groups are: citizens over the age of 16, managers of small and medium enterprises. Raising public awareness aims at giving information on the nature of corruption, corruption risks and how to avoid corrupt situations, creating an organisational culture and attitude amongst citizens that resists corruption.

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The campaign consists of the following elements: banners, TV and Radio spots, a Facebook site, a YouTube channel, E-Newsletters, mobile applications. b) Monitoring and Evaluation

The NPS participated in the coordination of the implementation of the NAP and in the monitoring of its implementation. The NPS also collected and compiled the reports received from government agencies and independent state entities bearing a special responsibility for combating corruption; the monitoring reports on the implementation of the NAP and the Action Plans (adopted by the Government Decision); the findings of relevant Hungarian researches; and the recommendations and findings made by international and civil organisations on an annual basis. Monitoring the implementation of the Programme is the duty of the Minister of Interior, who reports to the Government on the progress of implementation, and on the effect and achievements of the tasks specified in the Action Plans.

The evaluation of the NAP and the elaboration of the new strategy is under way. The objectives of the new strategy strive to highlight the intervention points along which the next four-year term programme is based.

The effectiveness of the anti-corruption policies were measured as follows: - In 2015 and 2018 representative national surveys were conducted amongst citizens and enterprises that contained questions concerning the awareness of the NAP. - The effectiveness of the NAP was supported by conducting scientific researches. - Achievements of the NAP realized within the frames of the above mentioned project are confirmed by project indicators. - Good State Project Indicator.

Mapping of the areas exposed to corruption, risk management:

- Surveys conducted in every half a year within the frames of the integrated risk management system contributed to monitoring and analysing the anti-corruption risk management activities of an important segment of budgetary organisations, namely the state authorities. Based on the latter – concerning only state authorities – a

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continuously positive tendency can be seen in the field of the risk management activities, which also cover anti-corruption risk management of these organisations. - Within law enforcement agencies and public administrative bodies jobs and types of jobs that are exposed to a higher risk of corruption were mapped. The first risk analyses were followed by a deep analysis encompassing comparative data analysis, qualitative and quantitative analysis of the risk factors of different jobs and types of jobs.

Best practices and lessons learned from the development, implementation and evaluation of the national anti-corruption policies.

The NAP encompassed a wide range of measures: value-based and compliance-based (e.g. legislative) processes. Its corruption prevention measures reached at large section of the society. Tailor-made measures were implemented involving different actors from students to businesses.

Hungary has implemented a complex package of measures over the last four years. The most important thing is to preserve the achievements of the NAP and continue the attitude shaping activity with the help of the elaborated and proven methodology so as to reach as many social groups as possible.

Technical assistance

It can be established, that matters of developing, implementing and evaluating of anti- corruption strategies have the proper regime in place. Therefore, specific external technical assistance is not requested for its further development. As far as future measures concerned further promotion of guidelines published, attitude shaping trainings developed, high-quality professional courses launched is needed while setting new objectives as well.

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THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY INDONESIA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

INDONESIA (SECOND MEETING)

Through the Presidential Instruction No. 9/2011, the Government of Indonesia launched the National Strategy and Plan of Action on the Prevention and Eradication of Corruption for the period of 2010-2025. This Instruction strengthened the previous Presidential Instruction 5/2004 and the Plan of Action for the period of 2004-2009. There are 6 (six) national strategies in the new Presidential Instruction that in harmony with UNCAC, namely: prevention, criminalization, harmonization of laws and regulations, asset recovery, international cooperation and reporting mechanism. Various preventive measures have been designed among others: (a) series of discussions at the national and provincial level to disseminate and raise the awareness of national stakeholders on the National Strategy and Plan of Action; (b) established the Anti Corruption Forum as a forum among the non-governmental organizations to observe the effective implementation of the National Strategy at the national and provincial level. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY IRAQ ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

IRAQ (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY ITALY ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

ITALY (TENTH MEETING)

Autorità Nazionale Anticorruzione of corruption-related offences. The law also provides for the ineligibility of those individuals convicted of offences against public administration. The law introduces an obligation upon administration to develop its own anti-corruption action plan, introduces provisions on enhanced transparency on public finance, and increases access to information, asset disclosures (i.e. disclosure of information related to politically exposed persons - such as elected officials and any other person with policy-making powers at national, regional and local levels). Additionally, the law establishes material accountability for public administration’s reputational damage; it provides for codes of ethics; it introduces provisions on whistle- blowers’ protection and it reinforces some provisions on either conflict of interest, incompatibilities (such as introduction of cooling-off periods, to name but one) and disciplinary proceedings. The norms introduced by Law n. 190/2012, find an essential complement in the implementing Decrees n. 33 (on transparency) and n. 39 (on the system of ineligibility and incompatibility of positions in public administration) of 2013 law, in addition to the Presidential Decree n. 62/2013 (on rules of conduct for all public employees under contract).

The National Anti-corruption Authority

ANAC is an independent collegiate body whose five members are appointed for fixed, non-renewable terms of office. Besides having significant responsibilities regarding transparency, integrity, anti-corruption plans and the development of supplemental codes of conduct for individual agencies/administrations within public administration, ANAC is responsible for overseeing public procurement and contracts. ANAC has supervisory and sanctioning powers for those in non-political positions (art. 16, Legislative Decree No. 39/2013 and Law No. 114/2014). ANAC can apply administrative sanctions to public officials not complying with the obligation of adopting anti-corruption plans or codes of conduct (art. 19, Legislative Decree of 24 June 2014, No. 90). In contrast, ANAC has no competence concerning the validity of politically elected offices According to article 213, par. 3, of Legislative decree n. 50/2016, ANAC shall: 2

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(c) reports to the Government and Parliament, by specific act, about particularly serious phenomena of non-compliance or distorted application of sectorial legislation; d) advise the Government on proposals regarding changes that are required in relation to current sector regulations. ANAC has used this power of intervention several times (this competence was provided for in the previous legislation ) proposing amendments to existing legislation or to intervene during the discussion of a bill in Parliament or the adoption of a legislative decree or a Regulation by the Government. In other cases the Authority, having found in its supervision activity specific situations of particularly serious phenomena of non- compliance or distorted application of sectorial legislation, proposed amendments to legislation to avoid this phenomena. Moreover, the law no. 190/2012 attributes to ANAC competence for reporting to the Parliament about the effectiveness of the existing disposition in matter of anticorruption. Moreover, Legislative Decree no. 39/2013 identifies ANAC as the entity in charge of the supervision on the proper implementation of the discipline in matter of ineligibility and incompatibility. Therefore, ANAC sent to the Parliament no. 5 reporting acts (so-called Atti di segnalazione) containing comments and proposals to amend the dispositions. Other laws in matter of anticorruption attribute to ANAC the opportunity to integrate the legislative text through specific guidelines (so-called Linee guida). For instance, the recently adopted Law no. 179/2017 (Whistleblowing Law) confers to the Authority the task of the drawing-up of the guidelines relative to alerts’ submission and management procedures. Since 1999, ANAC (former AVCP) collects, analyses and publishes all relevant procurement information. The Authority has the power of requiring that the contracting authorities as well as companies provide data and information about contracts in progress, design and public contracts awards . Such activity is performed by the Observatory within ANAC that acquires electronically data and information in a Data Base (BDNCP) concerning public contracts, formulates standardized costs and provides statistical as well as economic analyses to support the ANAC activity. It is organized in a Central Unit with Regional branches. In order to reduce the administrative burdens arising from the fulfillment of the obligation to ensure the efficiency, the transparency and the control of the administrative action for 3

Autorità Nazionale Anticorruzione the allocation of the public expenditure and to prevent corruption phenomena, according to the Italian Digital Code (article 62 bis of Legislative Decree n. 82/2005, as emended by Leg. Dec. n. 235/2010) a National Database of Public Contracts has been established at the Authority and managed by the Observatory. According to Public procurement Legislation tenders and notices are sent to the Observatory and are registered in a Database - established at the Observatory - that can be consulted by anyone having an interest to protect. The “Company Data Base” (Casellario Informatico), and the data on the declarations filed by the economic operators on the reliance on the capacities of other entities are, inter alia, parts of the National Database of Public Contracts. The Database provides different records for tenders, notices, programmes, expired and not yet expired, and the length of the storage of expired documents should be proportional to the needs of their disclosure for the exercise of the right to access administrative records and of legal claims. The New Public contracts Code (Legislative decree n. 50/2016) provides a strengthening of ANAC functions, in order to prevent corruption within Public Procurement. As far as transparency is concerned, the rationalization of existing ANAC database; measures to promote transparency through digital platforms ; strengthened requirements for the publication of the whole public tendering process, from the design, to the financial management of the contracts. ANAC cooperates with another national body, the National School of Public Administration (SNA), as to plan the training programs on ethics and anti-corruption for public entities and to share information about the results of the training activities. In general, ANAC has signed several other agreements with public institutions in order to give thorough and appropriate implementation to the anti-corruption provisions. An important example is the project initiated with the Ministry for Public Instructions, aimed at introducing integrity classes and courses at secondary/high school level. Additionally, the National anti-corruption authority carries out relationships with relevant private actors, as to share information, data, experiences and good practices in the field of transparency and anti-corruption.

ANAC fully cooperates with the corresponding international bodies and in general with 4

Autorità Nazionale Anticorruzione international and foreign peer agencies in the field of anti-corruption, with the goal to share information and methodologies for the implementation of anti-corruption strategies

The National Anticorruption Plan and the Three-year Plan for the Prevention of Corruption

The Anti-Corruption Law introduces a system of integrity risk assessment and risk management measures. In addition, the Law requires that each public administration should establish a prevention plan devoted to, on one hand, assess the degree of risk of corruption’s exposure and, on the other hand, draw tailor-made organisational measures as to mitigate such risks. Each public administration should adopt a three-year Plan for the Prevention of Corruption (Piano triennale prevenzione corruzione - PTCP) based on the National Anti- corruption Plan (Piano nazionale anticorruzione –PNA) adopted by the National Anti- Corruption Authority. The PTCP analyses any specific administration’s risk of corruption and indicates appropriate preventive measures. In order to be effective, the PTCP must contain appropriate targets and adequate measuring indicators. In addition, it should be systematically integrated into the whole programming tool-kit, including: the budget, the Plan of Performance and the training Plan. The PNA is structured as a programmatic tool, updated annually by the inclusion of newly established indicators and targets. This continuous updating allows for the monitoring and detection of potential discrepancies (targets/results) arising from the factual implementation of the PNA.

Incompatibilities and conflicts of interests The Anti-Corruption Law establishes a regime of incompatibilities for managerial and elective posts, both in the civil service and state-owned/controlled enterprises. More precisely, the law includes: 1) the mandatory verification of potential conflict of interests in certain situations (such as when appointing a consultant); 2) the regulation of the practice of pantouflage (aka “revolving doors”) so that public officials who have held managerial and negotiating positions in the previous three years may not exercise related duties in in a private-sector entity; 3) the voiding of contracts and/or appointments made

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Autorità Nazionale Anticorruzione in breach of the pantouflage prohibition and the banning of the private entity from business dealings with the public sector for the following three years. The Law also requires the government to issue a Code of conduct to all public officials, aiming at preventing corruption in the civil service.

Transparency in the public administration The Anti-Corruption Law seeks to enhance transparency in public service activities. This goal is pursued through the publication of: 1) information on administrative proceedings (even when they do not follow ordinary procedure), including the cost of public works and citizens’ services, and the duration of procedures; 2) an e-mail account for each office of the civil service, so that citizens (especially those with a specific interest) can send petitions, declarations and questions; 3) data on executive and managerial public positions’ appointments (i.e. those with considerable political discretion; and 4) reasons and justifications related to the selection of contractors in public procurement.

The codes of conduct for public officials (see answer to article 8) The principles provided by the Anti-corruption law have been also enshrined at the regulatory level, through the adoption of national codes of conduct for public officials, adopted by the Presidential Decree 12 Aprile 2013, n. 62

Whistleblowing For the first time, the anti-corruption law has introduced provisions on the protection of whistleblowers reporting corruption within the public sector. The provisions refer to government employees who report wrongdoing under the conditions that they do not commit slander or defamation, and do not breach on somebody's privacy. At article 12, the Anti-Corruption Law adds Article 54b to Legislative Decree 165/2001 (Public Employment Single Act). Protection includes the prohibition of sanctions, dismissal, or any direct or indirect discriminatory measures by way of retaliation. e revealed without their consent. In November 2017 the Italian Parliament passed a law on whistleblowing (Law n. 179 of 2017, entered into force on December 29, 2017, so called “on the protection of reporters of crimes and irregularities”). The law has a twofold effect, on both the public and private 6

Autorità Nazionale Anticorruzione sector: 1. on the public sector: it eliminates and replaces art. 54 of the single act on public employment 2. on the private sector: it changes article 6 of the law 231 of 2001.

2. Please outline the actions required to ensure or improve the implementation of the measures described above and any specific challenges you might be facing in this respect.

a) The National Database of Public Contracts (BDNCP) of the Italian National Anticorruption Authority ranked first in the European Commission’s competition “Better Governance through Procurement Digitalization 2018 - National Contract Register category”.

- Short Description of the Practice: The BDNCP is the Italian contract register through which contracting authorities can verify the documentation of economic operators attesting that they meet the general, technical-organisational and economic-financial requirements for participation in public tenders for works, supplies and services. It is managed by ANAC, which is also the supervisory body for public contacts The BDNCP contains the entire universe of data related to public procurement, unifying and crossing information from different sources (Criminal records, Tax register, Single National Anti-Mafia Database, Chambers of Commerce, etc.). The BDNCP collects the history of over 20 million public contracts published in Italy since 2007. In addition to the contracts, 40 thousand contracting entities are also registered, organized in about 185 thousand shopping centers and 200 thousand Economic Operators active in the procurement sector.

The BDNCP is used by other state administrations: law enforcement entities (Guardia di Finanza, Carabinieri, Public Prosecutor Offices, etc.), the Ministry of Economy and Finances, the General State Accounting Department, the Court of Auditors, the Ministry of Infrastructure, the Italian Statistics Office, the Antitrust Authority and the Parliamentary Budget Office, with which Anac has stipulated specific memoranda of understanding.

- Achievement / Outcomes / Impact of the Practice: The award represents a certification of the quality of the work done with regard to the benefits of digitalization and transparency in public procurement as a tool to prevent corruption. So much so that, according to the Commission, the BDNCP will have to be taken as a benchmark by all the other European states. The reasons for the award include "completeness, data integrity, interoperability, availability of access functions and information analysis, governance and sustainability of the Anac platform". b) Title of the Practice: Contest on legality among secondary schools’ students

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Autorità Nazionale Anticorruzione

In 2016, ANAC, in collaboration with the Italian Ministry of Education, launched the initiative “Whistleblower: an example of active and responsible citizenship" among secondary schools’ students. Short Description of the Governance Practice In particular, the participants were invited to participate in a contest aimed at identifying the most effective Italian translation of the word “whistleblower” and raising awareness on the topic among their peers through different expressive means (essays, photographs, videos, PPT, etc.). The winning schools, one from Torre Annunziata (Naples) and the other from Caltanissetta, were invited to show their artwork and discuss about whistleblowing during ceremonies held in ANAC and the Ministry of Education in Rome.

- Achievement / Outcomes: Following the success of the first edition of the contest, a second edition was launched in 2017.

c) Title of the Practice: The “collaborative supervision” model applied to the Universiade 2019 in Naples. The “collaborative supervision” model developed by the National Anti-Corruption Authority on the occasion of Expo 2015 was successfully applied to the Universiade 2019 in Naples Short Description of the Governance Practice The collaborative supervision model is a form of preventive verification of public procurements aimed at checking the correctness and transparency of the tender procedures and the execution of the contract, but also at preventing attempts at criminal infiltration. The activity was regulated by a protocol for the Universiade signed by ANAC and the special commissioner on March 14, 2018, on the basis of what has already been experienced on the occasion of Expo 2015 and subsequently with the Jubilee of , as well as the post-earthquake reconstruction. The agreement, in particular, provided for the verification in advance of the legitimacy of all the documents relating to the selection and execution of the contracts for works, services and supplies and compliance with the provisions on transparency without slowing down the realization of the Universiade project. ANAC supervised the auditing of all tenders (mainly redevelopment of sports facilities), with the aim of preventing criminal infiltration and corruption. The task force that operates within ANAC-- Guardia di Finanza’s officers highly specialized in procurement - -carried out the checks. The special operational unit audited 144 tenders, for an amount of € 205 million. A total of 323 opinions were issued by Anac, on average issued just two days after receiving the documentation.

- Achievement / Outcomes: The close collaboration between ANAC, local authorities, and the commissioning structure, made it possible the preventive verification of the regularity of all procurement activities under the event, to overcome delays and to open the Universiade as scheduled.

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Autorità Nazionale Anticorruzione

3. Please describe any lessons learned in the development, evaluation and impact of anti-corruption policies or strategies.

3.1. The anticorruption strategy designed by law 190/2012 is articulated on two levels - central and peripheral («cascade model»)

At the central level is the National Anti-corruption Plan approved by ANAC At the second Level each public administration has an obligation to adopt a Three-Year Corruption and Transparency Prevention Plan which, based on the indications in the National anticorruption plan, includes: • analysis and evaluation of specific corruption risks (Risk Assessment activity); and • measures to prevent them

The National Anticorruption plan includes • Centralized planning of activities in relation to the different levels of government • Pursuit of measurable objectives and identification of specific responsibilities • Applies to public economic entities and SOEs • Identification of the minimum contents of the three-year plans for the prevention of corruption • Updated annually based on the monitoring of results and received feedback

The three year anticorruption and transparency plan are drafted by the person responsible for preventing corruption and for transparency in each administration and approved by the political body • Updated every year based on the feedback received during its application • Includes transparency measures, merging two different plans originally envisaged as distinct, in the awareness that transparency is essential to any anti-corruption strategy • Plans appropriate training for public employees in collaboration with the National School of Administration • Provides for rotation of managers and officials employed in sectors particularly exposed to corruption

The three-year duration and annual updating of both the PTPCTs and the PNA are harmonized according to a "sliding" model

The implementation of the first PTPCs (2013-2015) was monitored and evaluating by ANAC. We found the following issues: Ø Inadequate analysis of the external context Ø Inadequate risk mapping Ø Inadequate risk assessment Ø Insufficient planning of prevention measures

9

Autorità Nazionale Anticorruzione

The poor quality of the local programs (sometimes a "cut-and-paste" exercise) was without doubt partially due to the novelty of the compliance required: the public sector was not equipped to evaluate and manage the risk of internal corruption, since adequate time and appropriate occasions for developing the necessary "revolutionary" skills had not been allocated, and the same applied to the Italian legal system. The public sector was not put in a position, from the first introduction of Law n. 190/2012, to understand the logic and the benefits of the process, which consists in recognizing the specific, individual risks determined by the context (both external and internal) that characterized each entity.

Consequently, the following ANAC’s PNAs have been based on the principle that the public sector is not an undifferentiated universe, consisting instead of very diverse components. ANAC has abandoned the idea of issuing the same recommendations to all entities of the public sector, regardless of their function, size and nature (whether central or local). The aim is now to appreciate the diversity of the general and specific risks, the difference between the areas at risk according to the function, the different external context, duration and stability of the entity, in a tailor-made style. This new generation of PNAs, consequently, include only few measures aimed at the public sector as a whole; whereas most of them consist of clarifications directed at specific areas of the public sector (in the PNA-2015 attention has been put to the public tender and health service sectors; in 2016 on small municipal authorities, metropolitan cities, professional associations and colleges, academic institutions, cultural heritage, territorial government and healthcare; in 2017 on the port system authorities, official receivers and universities).

This assessment has been helped by a well-oiled technique: that is, through consultation with those who for different reasons have been made aware of the contents of the national programme via joint "working groups" in which the risks of corruption and the tools available were discussed. This is the type of conceptual approach that ANAC considers more practical for guaranteeing that the recommendations for the public sector will be more effective.

3.2. The Anti-corruption Law No 190/2012 incorporated certain provisions on whistleblowing but applied exclusively to public sector employees reporting misconduct.

The new Law No 179/2017 strengthens pre-existing whistleblower protections for public- sector employees and extends those same protections to the private sector.

The law offers protection to a wide range of public officials and civil servant, including employees of Ministries, Regions, Municipalities, judges, military personnel, state police forces, diplomatic staff, etc.

The protected disclosures are not limited to criminal conducts, but also to administrative misconduct and all form of abuse of position.

In line with the recommendations of the recent Directive of the European Parliament, whistleblowers are offered a variety of reporting channels, with no established hierarchy between them. Illicit behavior can be reported either to:

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Autorità Nazionale Anticorruzione

• the person within the public administration who is in charge of corruption prevention and transparency • the National Anticorruption Authority (ANAC) • the judicial or accounting authority

Different levels of confidentiality are provided to the whistleblower depending on the avenue chosen or the responsible authority. ANAC is in charge of receiving and assessing complaints of retaliatory or detrimental measure taken against whistleblowers. ANAC is also responsible for applying pecuniary sanctions against the authors of the retaliatory actions, as well as against inadequate procedures for managing whistleblowers’ reports.

The burden of proof is on the employer to prove that the dismissal was not retaliatory. The whistleblower who suffered dismissal because of his or her report is entitled to be reinstated.

As for the private sector, Law 179 introduces the obligation for private companies which have already introduced compliance programs (Legislative Decree No 231/2001) to establish whistleblowers’ mechanisms. ANAC established an IT platform for the receipt and management of whistleblowers’ complaints. The platform guarantees the confidentiality of the identity of the reporting person and the possibility for anac to communicate with the whistleblower throughout the process.

The number of reports received by ANAC has consistently increased since 2014. In 2018, the number of complaints doubled the figures of the previous year and in the first half of 2019, ANAC had received 439 reports.

One of the issues we are facing is that the RPCTs (offices responsible for the prevention of corruption in each administration) seem to receive very few reports compared to ANAC. One of the possible explanations is that whistleblowers are more confident to report to external channels, for fear of retaliation or simply bad reputation within their workplace. Which reminds us that the road to a “speak up” culture where whistleblowing is encouraged and rewarded is still ahead of us.

In order to strengthen the whistleblowing function and enable anac to meet its commitment on the whistleblowing front, ANAC requested and obtained technical assistance from the European commission in the form of a Structural Reform Support Service that financed the services of an international expert for a 18 months period.

4. Do you consider that any technical assistance is required in order to allow you to fully implement this provision? If so, what specific forms of technical assistance would you require?

Not at this stage

11

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY JORDAN

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

JORDAN (SECOND MEETING)

Experience of the Anti-Corruption Commission in the area of Prevention

The significance of prevention of corruption, as one of the most important components that must be included in the process of combating corruption and reducing its manifestations, becomes evident in weakening the chances of growth for a favourable environment which enables corruption to spread and expand, as well as in limiting its expensive, financial and administrative costs on the economy and the society.

The United Nations Convention against Corruption includes a chapter devoted specifically to preventive measures with a view to encouraging the States Parties to the Convention to establish and promote effective practices aiming at the prevention of corruption by developing and implementing or maintaining effective, coordinated anticorruption policies that promote the participation of society and reflect the principles of the rule of law, proper management of public affairs and public property, integrity, transparency and accountability.

The Jordanian Anti-Corruption Commission has been focussed on rendering the functioning of this component successful through a set of policies and tools that will eventually reduce the extent of the environment which enables the spread of corruption.

The tools included a variety of dimensions, such as studies and research, aimed at the identification of the manifestations, latent sources and forms of corruption in Jordan, in addition to awareness raising, teaching and education and community participation, with the aim of creating an environment that would consolidate the values of integrity, transparency and accountability and oppose any corruption – tolerant culture.

Through the Anti-Corruption Commission, Jordan has been engaged in the promotion and strengthening of preventive measures aiming at the prevention and combating of corruption more efficiently and more affectively by means of the following:

I. Legislations and actions

 Certain internal instructions governing the functioning of a number of national institutions have been examined for the purposes of checking and ensuring compliance with the work procedures and conformity with the legislations in force.  To that and, committees from within the Commission were formed to undertake field follow-up action, the identification of any violations or abuses and the proposal of mechanisms to redress them in line with the principles of prevention of corruption.

 The Commission prepared a draft law, amending the Anti-Corruption Commission Law, which included reference to several matters concerning the law enforcement powers that are granted to the Commission, as well as certain articles dealing with the issue of encouraging whistle blowers and informants to report cases of corruption and providing the required protection for them as well as material assistance for them and their families.

 Pursuant to a decision by the Prime Minister, the Higher Coordination Committee was established to oversee the implementation of the National Anti-Corruption Strategy. The Higher Committee comprised several ministries, government institutions and civil society associations.

A number of achievements have been made with regard to a set of pivotal objectives:

 Developing programmes and policies for the prevention of corruption;  Developing a special guide on work procedures;  Developing a guidebook on various services;  Developing clear-cut criteria for appointments and promotion;  Activating the adherence to office codes of conduct;  Developing mechanisms (boxes) for receiving complaints and grievances from  employees and service recipients;  Activation of the Code of Professional Conduct and Public Service Ethics, which should ensure integrity, transparency, prevention of corruption and adherence to public service and professional ethics;  Issuing periodic reports to inform the public on the dangers of corruption in national institutions and on the achievements of the Anti-Corruption Commission.

II. Studies and research

 The Commission has been engaged in directing scientific research and studies, supporting research activities in the area of combating and preventing corruption and urging academics to conduct studies and research in this field. In this context, in collaboration with the University of Jordan, a conference was held, entitled “Corruption and its Effects on Economic and Social Development”. It focussed on the identification and description of corruption, in all its forms, and the detection of its sources and situations in order to limit and prevent its spread in the society.  The Conference covered a set of pivotal themes:  Economic and financial theme;  Social theme;  Administrative and institutional theme;  Legal theme.

III. Awareness and Education

Raising the citizens’ awareness of the devastating dangers of corruption on the efforts towards economic, social and political development is among the most significant preventive measures in the area of combating corruption.

In this regard, the Commission focussed on cooperation with public institutions and civil society associations in order to create a community environment which rejects corruption and casts out the corrupt, through actions aimed at demonstrating the negative impact of corruption on the economic, social and political development efforts and raising the awareness of citizens of the need to take action to eradicate corruption from the society and drain its sources, while at the same time working to consolidate the values of national integrity and to promote a community culture against corruption, using the various mass media.

In this field, the Commission worked towards the following: (1) Enhancing the participation on national institutions and civil society associations in the efforts to combat and prevent corruption, through the signing of several memoranda of understanding with a number of relevant entities.

(2) A series of meetings with various civil society associations were held, including with the Jordanian Businessmen Society, certain groups of the Jordanian Chamber of Deputies, several editors and columnists of daily newspapers and weekly journals, as well as electronic journals, during which the strategies and tasks of the Commission in the area of combating and preventing corruption were discussed and the role of those institutions in providing support and backing for the Commission to enable it to assume its duties was stressed.

(3) Educating younger generations to the concepts of integrity, transparency and combating corruption by incorporating these concepts into the curricula of basic and university education. The syllabus of the tenth secondary grade was thus amended to include a school subject on the Anti-Corruption Commission, in which an introduction was provided on the establishment of the Commission, its objectives and areas of work; in addition, a study theme on the definition of corruption and the identification of its destructive impact on social, economic and political development was prepared, which is being currently taught within the context of National Education in the Jordanian University.

(4) A series of awareness – raising workshops was organized for various groups of principle partners in combating and preventing corruption. (5) Organizing, in collaboration with the Ministry of Education, a school competition to select a winning article and caricature representation on fighting corruption and national integrity standards for the purpose of promoting the relevant principles and best practices and instilling them in the minds of students.

(6) Coordinating with the Jordanian Radio and Television Corporation and UNDP in the production of 5 radio series on topics concerning the consolidation of the values of public integrity and good ethics within the framework of the programme of the Corporation. Several clerks (Muslims and Christians) were hosted to talk about the religious opinions with regard to the issue of corruption, its forms and its negative effects on the society, as well as the role of religious men in the promotion of high moral values and standards that reject corruption and corrupt persons. The talks also addressed the role of women in combating corruption and in rearing the younger generations to the high moral values, as well as the significant role of the wife in supporting her husband and in urging him to adhere to the noble values, in order to promote the values of public integrity. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY KAZAKHSTAN

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

KAZAKHSTAN (SECOND MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY LEBANON ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

LEBANON (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY LITHUANIA ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

LITHUANIA (TENTH MEETING)

1. Please describe (cite and summarize) the measures/steps your country has taken, if any, (or is planning to take, together with the related appropriate time frame) to ensure full compliance with this provision of the Convention, and in particular to develop, implement, monitor and evaluate the impact of the country‘s anti-corruption policies.

a) Development and Implementation Process

In the period from regaining its independence in 1990 till becoming a member of the European Union and NATO in 2004, Lithuania has succeeded in building one of the most comprehensive anti- corruption systems in Europe, based on a multi-faceted approach of preventive and repressive, legal and institutional measures. This can be attributed to a number of factors, including the political commitment of successive governments, strong outside incentives and reform requirements during the accession process to the EU and to the OECD, as well as membership in international anti- corruption monitoring mechanisms such as the Council of Europe's GRECO. The process of legislative reform in the area of corruption has also been facilitated by Lithuania's accession to major international treaties in the field of corruption and its participation in different technical co-operation and evaluation programmes.

The following steps of Lithuania in developing anti-corruption policy were made: 1) In 1993, the President of the Republic established1 a steering group working to combat organized crime and corruption, which was in charge of coordinating the activities of law enforcement agencies in the fight against organized crime. With some changes of name and functions, this working group was operating until 27 February 1997.

2) In 1993 were established Special unit of prosecutors for fight against corruption and organized crime – Department of Investigations of Organized Crime and Corruption, which was followed in 2001 by reorganization leading to the founding of Department of investigation of organized crime and corruption Prosecutor General's, as separate department in the Prosecutor General's Office. The system of this department includes five regional offices established under the relevant regional prosecutors' offices.

3) On 7 November 1995, the Seimas of the Republic of Lithuania established a special committee to investigate the facts of corruption2.

4) In 1996, the Government of the Republic of Lithuania approved the anti-corruption measures plan3, which provided for the following anti-corruption measures: coordination of the activities of authorities in the fight against corruption, assessment of real situation of crimes related to corruption, determining the causes of corruption, providing for the main directions of prevention,

1 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=3055&p_query=&p_tr2=2 2 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=22560&p_query=&p_tr2=2 3 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=25649&p_query=&p_tr2=2 organizing training for investigators, assessing legislation governing economic, commercial and financial activities in terms of anti-corruption, preparing draft legislation to revise liability for corruption-related crimes, preparing draft Law on Lobbying Activities.

5) On 18 February 1997, the Government of the Republic of Lithuania set up a Special Investigation Service under the Ministry of the Interior4 entrusted with the fight against organized crime, corruption and crimes in civil service. Recognising the need to address corruption through a multi-faceted approach of repression, prevention and education, Lithuania further explored various models of anti-corruption institutions, and decided to follow the well-publicised Hong Kong model. In 2000, the Law on the Special Investigation Service was adopted, which created an independent institution with a broad mandate in the fields of investigation and prevention of corruption. Building on the material and human resources of its predecessor, the new institution became operational within a month from the adoption of the law. The Special Investigation Service has been designed as a focal anti-corruption body to detect, investigate and prevent corruption offences, to provide education in the field of corruption, to ensure co-ordination of the anti-corruption measures between state and municipal bodies as well as with the civil society and the private sector, and to co-ordinate anti-corruption strategies at the national and local level. The main objectives of the Special Investigation Service are to create a national system of corruption prevention, to improve the legal anti-corruption framework, to develop corruption- related data and analyses, and to develop international relations to combat corruption.

6) In 1999, the Government of the Republic of Lithuania approved the Program5 for the Prevention of Organized Crime and Corruption, which provides for a greater focus on proper data collection, improvement of the legal framework, strengthening of corruption prevention, training and methodological recommendations.

7) In 1999, the Government of the Republic of Lithuania established a working group6 for the preparation of anti-corruption strategy.

8) On 1 June 2000, the Seimas of the Republic of Lithuania adopted a decision establishing the Special Investigation Service of the Republic of Lithuania (hereinafter – STT)7, the main task of which is to guard and protect individuals, society, and the State from corruption, and to conduct prevention and detection of corruption.

9) In 2001, the Government of the Republic of Lithuania approved the anti-corruption strategy8, the main goal of which was to reduce corruption in Lithuania, reduce the impact of corruption on the development of economy and democracy to the maximum possible extent and achieve social welfare. The strategy provided that it was necessary to limit political corruption, administrative corruption, investigate crimes related to corruption better, consistently implement public education and awareness, engage the public in the fight against corruption. A national scheme of subjects implementing the anti-corruption strategy was developed.

4 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=36058&p_query=&p_tr2=2 5 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=71424&p_query=&p_tr2=2 6 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=86328&p_query=&p_tr2=2> http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=78444&p_query=&p_tr2=2 7 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=110823 8 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=149412&p_query=&p_tr2=2 10) In 2001, the Seimas of the Republic of Lithuania adopted a resolution9 on the fight against corruption, which paid a great attention to the determining of conditions of the appearance of corruption; moreover, it was also planned that investigation of the level of corruption in Lithuania should be performed. Such investigations referred to as “The Lithuanian Map of Corruption”10 were carried out in 2004, 2005, 2007, 2008, 2011, 2014 and 201611. The Lithuanian Map of Corruption determine various corruption-related indicators, e.g. most corrupt procedures etc.

11) In 2002, the Seimas of the Republic of Lithuania adopted the Law on Corruption Prevention12, which provides for the following measures to prevent corruption: 1) determining the probability of manifestation of corruption; 2) corruption risk analysis; 3) anti-corruption programmes; 4) anti-corruption assessment of legal acts or their drafts; 5) provision of the information about a person seeking or holding office at a state or municipal agency; 6) provision of the information to the registers of public servants and legal entities; 7) education and awareness raising of the public; 8) public disclosure of detected corruption cases.

12) In 2002, the Seimas of the Republic of Lithuania approved the National Anti-Corruption Programme13, which was updated every four years. The programme last updated and launched in 2011. Measures provided for in it were in force until 2014. The programme was one of the key sources of anti-corruption measures. This programme provided for 95 anti-corruption measures, which carried out by more than 70 state and municipal agencies within their competence.

13) In 2003, the Government of the Republic of Lithuania established an Interagency Committee for the Coordination of the Fight Against Corruption14. This was a non-permanent body set-up in 2003 under the Government of the Republic of Lithuania consisting of senior representatives of different ministries and other bodies, e.g. the STT, business representatives which met periodically to review and discuss co-ordination of the implementation of the National Anti-Corruption Programme, as well as other activities of central and local government institutions and agencies in the areas of corruption-prevention and detention of corruption-related violations of law. The main tasks were: 1) to coordinate the development and implementation of the National Anti-Corruption Programme of the Republic of Lithuania, control the implementation of the plan of measures of the programme as well as other activities of state and municipal authorities in the areas of corruption prevention and detection of corruption-related offenses; 2) to discuss strategic issues of the fight against corruption; 3) to improve the activities of state and municipal authorities in the areas of corruption prevention and detection of corruption-related offenses.

9 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=133398&p_query=&p_tr2=2 10 Access via the Internet: http://www.stt.lt/lt/menu/tyrimai-ir-analizes/#turinys http://www.stt.lt/lt/menu/tyrimai-ir analizes/%23turinys 11 Access via the Internet: https://www.stt.lt/documents/eng/2016_LKZ_pazyma_ENG.doc 12 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=212525 13 Access via the Internet: http://www.stt.lt/documents/laws/programe.pdf 14 Access via the Internet: https://e-seimas.lrs.lt/portal/legalAct/lt/TAD/TAIS.204871/PjujdWYwZl?jfwid=2vcao5540 14. In 2015 was adopted the new strategy – the National Anti-corruption Programme of the Republic of Lithuania for 2015-2025 (hereinafter – the Programme). The purpose of this Programme15 is to ensure the long-term, effective and targeted anti-corruption and control system in the Republic of Lithuania. The Programme covers the major provisions of the national anti-corruption policy in the public and private sectors. More specifically, it is geared towards the reduction and elimination of corruption conditions and risks, as well as corruption risk management and assuming of liability for corruption-related offences. The Programme also identifies the problems related to corruption in the private sector and to be addressed during the Programme period. Much attention is given to anti-corruption education and improvement of awareness-raising campaigns. The main directions of measures are: 1) Increasing publicity, openness, transparency, in the provision of public services and making decisions. 2) Improving the quality of management. 3) Increasing awareness and fairness of employee and society. 4) Increasing opportunities for public scrutiny. 5) Reducing the burden on business. 6) Publicity income and expenditure. 7) Reducing conflict of interest. 8) Anti-corruption education.

The Programme ensures a long-term, effective and targeted anti-corruption and control system in the Republic of Lithuania in 2015–2025. The Programme covers the most important provisions of the national anti-corruption policy in the public and private sectors. The Programme focus on reducing and eliminating the conditions and risks of corruption, as well as managing corruption risks and enforcing liability for corruption offences.

According to Article 5(1) of the United Nations Convention against Corruption establishes that each state party to the Convention shall, in accordance with the fundamental principles of its legal system, develop and implement or maintain effective, coordinated anti-corruption policies that promote the participation of society and reflect the principles of the rule of law, proper governance and management of public property, integrity, transparency and accountability.

Therefore the Programme lists the priority fields with the highest potential for corruption: political activities and legislation; activities of the judiciary and law enforcement institutions; public procurement; healthcare and social security; spacial planning, state supervision of construction and waste management; supervision of activities of economic entities; public administration, civil service and asset management. Furthermore, corruption-related problems of the private sector are singled out to be dealt with in the course of implementation of the Programme.

Objectives of the Programme: - Striving for greater management efficiency in the public sector, transparency and openness of decision making and procedures, accountability to the public and higher resilience to corruption in the civil service. - Ensuring the application of the principle of unavoidable liability. - Reducing the supervisory and administrative burden on economic entities by transforming the system of institutions carrying out the supervision of economic entities. - Ensuring fair competition and transparent and rational purchase of supplies, works or services in public procurement.

15 Access via the Internet: http://www3.lrs.lt/pls/inter3/dokpaieska.showdoc_l?p_id=1040477 - Increasing transparency, reducing and eliminating possibilities of manifestations of corruption in the field of healthcare. - Promoting zero tolerance for corruption and encouraging the involvement of the public in anti-corruption activities.

The Programme also includes measures for society, for example: 1) According to the first task of the first Programme objective – improving the quality of administrative and public service provision, increasing the transparency and openness of decision making and procedures, accountability to the public and making the civil service more resilient to corruption, this task shall be implemented: 1.1. by increasing the transparency and accountability of state governance system, public administration, state and municipal bodies and the civil service by way of creating a system for publicising state and municipal bodies' expenditure and revenue thus providing better opportunities for public scrutiny; 1.2. by increasing the transparency of funding of political parties and political campaigns and their activities, creating a system for online voting, facilitating better public access to activities and funding of political parties and political campaigns. 2) According to the task of the sixth Programme objective – developing anti-corruption education in the public and private sectors, this task shall be implemented: 2.1. by carrying out public anti-corruption education as an integral part of education of the public; 2.2. by carrying out anti-corruption education of target groups of society and the fields of the public and private sectors at risk; 2.3. by state and municipal bodies providing information on the reasons underlying corruption, damage done by corruption and their activities in tackling corruption to civil servants, equivalent persons, other employees and the public through the media and by other means and in accordance with the procedure established by the heads of those bodies.

STT also actively communicates through the mass media and otherwise information about the activity of the STT, the rights of members of the public and opportunities to report corruption. The website of the STT is regularly updated with information relevant to the public about STT activities and opportunities to contribute to reducing the level of corruption all over the country. The STT organises the broadcasting of audio and video social advertising, encourages resisting and reporting corruption and continually commissions articles of an educational character in the mass media. STT officials take part in public discussions on TV and radio.

In providing purposive anticorruption education to 4 social groups – representatives of civil service and the private sector, schoolchildren, youth (students) – in 2017, STT delivered 213 lectures and seminars, organised or participated in 77 anti-corruption events, prepared 203 press releases to the mass media and 26 publications on the anti-corruption theme, took part in 132 TV and radio broadcasts.

According to the data of the Market Research and Public Opinion company “Baltijos tyrimai”, an increase in the annual average number of people who trust STT is observed: from 39 per cent in 2013 to 53 per cent in 2017.

In 2017, main attention in the field of anti-corruption education was devoted to the riskiest spheres of the public sector: public procurement, health care and self-government. 84 per cent of seminars conducted in that sector were devoted to the representatives of these spheres in the state or municipal institutions. During the reference period more than 6,000 people took part in our lectures. 26 lectures were delivered at the health institutions, with 1,120 medical professionals participating in them.

The implementation of the Programme is organised and controlled by the Government with the participation of the STT. The Programme is implemented by the ministries, the STT, the Prosecutor General’s Office of the Republic of Lithuania, the Public Procurement Office, the Chief Official Ethics Commission, the Central Electoral Commission of the Republic of Lithuania and other state and municipal institutions and bodies within their remit. Non-governmental organisations, the groups of society concerned and private sector entities may contribute to the implementation of the Programme and achievement of its objectives and tasks.

The Programme also includes an inter-institutional action plan for the implementation of the strategy for 2015–2019, which is coordinated by Interagency Commission for the Coordination of the Fight Against Corruption led by Minister of Justice (from 2018 November 21 this Commission is called the Government commission to coordinate the fight against corruption16 and is being chaired by the Prime Minister). The Commission ensures horizontal coordination including representatives from various public legal entities as well as from non-governmental business organisation. The Programme also provides for vertical coordination as each public legal entity must report on an annual basis to the Commission on whether their objectives with respect to the implementation of the plan were achieved. The Commission conducts performance assessments of corruption prevention measures in each public entity based on that information.

Special investigation service (STT) is an independent anticorruption institution accountable to the President and the Parliament of the Republic of Lithuania. It was set up in 1997. The key areas of STT activity are law enforcement, corruption prevention, analytical anticorruption intelligence and anticorruption education. The first articles of the Law on the Special Investigation Service show STT legal basis, composition, functions, and powers. STT shall be guided by the Constitution of the Republic of Lithuania, the laws of the Republic of Lithuania, international treaties, the Statute of the Service, and other legal acts. The tasks of the Special Investigations Service are to perform, in accordance with the procedure established in the laws of the Republic of Lithuania and other legal acts, criminal persecution due to corruption-related crimes, criminal intelligence, corruption prevention, anticorruption education of the public and public awareness raising, analytical anti-corruption intelligence and other tasks assigned to the Special Investigations Service in the laws and other legal acts.

Pursuing its activity objective and implementing tasks assigned to it, the STT shall have the following rights: 1) receive free of charge data of the state information resources and documents as well as other information necessary to carry out the functions of the Special Investigations Service from government and municipal authorities, institutions and enterprises, the State- and municipality managed enterprises, enterprises whose shareholder is the State or a municipality, public institutions that are established, owned or co-owned by the State or a municipality; 2) receive free of charge and in accordance with the procedure set forth by the Director of the Special Investigations Service, information on the legal person’s economic and financial operations and use of financial and/or payment measures, necessary to carry out the functions of the Special Investigations Service, from banks, financial and credit companies, credit institutions and other legal entities; 3) obtain explanations and other information from persons necessary to implement the tasks of the

16 Access via the Internet: https://www.e-tar.lt/portal/legalAct.html?documentId=09ac0800f7c411e880d0fe0db08fac89 Special Investigations Service; 4) in accordance with the procedure set forth by the Director of the Special Investigations Service, analyse statements of persons having applied to the Special Investigations Service, and having determined a potential legal violation assigned to the remit of another law enforcement agency or a public administration entity, transfer the potential legal violation to the agency or entity based on the remit; 5) not to disclose the identity of applicants to the Special Investigations Service to any third parties or circumstances of applying that allow the direct or indirect identification of such an applicant; 6) check personal identification documents whenever it is needed to implement at least one task of the Special Investigations Service, and deliver persons suspected of having committed a criminal act to the Special Investigations Service and police agencies; 7) and others.

STT has the following duties: 1) within its remit, participate in implementing the National Security Strategy, the National Anti- Corruption Programme and other crime control and prevention programmes; 2) monitor, summarise and participate in coordination of actions of other government, municipal and non-governmental institutions to implement the National Anti-Corruption Programme and other corruption control and prevention programmes; 3) report in writing, at least once a year, to the President of the Republic of Lithuania and the Seimas about the results of the Special Investigations Service activities, changes significant in terms of reducing the spread of corruption in the Republic of Lithuania, and submit its proposals on the formation of anti-corruption environment; 4) provide public information on the Special Investigations Service activities to the society; 5) perform other obligations prescribed by the laws to the Special Investigations Service or the officers.

The Chief Official Ethics Commission (COEC). Established in 1999, COEC is an independent institution accountable to the Parliament and comprising five members (the President of the Republic; the President of the Parliament; and the Prime Minister each appoints one member, and the Minister of Justice appoints two) assisted by a small permanent Secretariat. Under the Law on the Adjustment of Public and Private Interests and the Law on the Prevention of Corruption, COEC is the main control institution in the area of prevention of conflicts of interest of high-level public officials and the central authority in the field of public ethics, providing expertise and recommendations concerning anti- corruption programmes and legal reforms in this field. COEC receives, and within its scope of jurisdiction investigates, complaints from the general public; it can initiate investigations on the basis of information received. While performing investigations, it has the right to access information and documents from all other institutions, and may refer cases to the prosecution authorities or courts.

The status of the COEC, legal basis of its activities, procedures for setting up, competence and organisational structure are regulated by the Law on the Chief Official Ethics Commission (hereinafter – the Law on the COEC).

In accordance to the Article 17 of mentioned Law, the COEC has such powers: 1) supervises the implementation of the Law on the Adjustment of Interests, the Law on Lobbying Activities, other legal acts regulating the norms of official ethics and conduct of persons in the civil service assigned to the competence of the COEC; gives recommendations on the improvement and implementation of the provisions of these legal acts; takes decisions and resolutions on these issues; 2) investigates notifications, complaints and requests of natural and legal persons regarding the conformity of actions of the persons in the civil service with the provisions of the Law on the Adjustment of Interests and the Law on Lobbying Activities; 3) carries out the investigation of the conduct of Chairmen and Deputy Chairmen of parliamentary political parties who are not members of the Seimas or municipal councillors, or are not appointed as Member of the Government in accordance with the procedure set forth by the Code of Conduct for State politicians; 4) upon the request or on its own initiative provides methodological assistance concerning the implementation of the provisions of the Code of Conduct for State Politicians; 5) makes recommendations of a methodological nature to municipal ethics commissions and provide consultations to them on the issues regarding the implementation of the Law on the Adjustment of Interests; 6) follows information announced by the mass media about the conduct of state politicians and, in case there are sound data that a state politician has committed a violation, transfer this information for investigation to appropriate entities of state politicians’ conduct control; 7) analyses problems related to official ethics and conduct of persons in the civil service and gives relevant recommendations; 8) on the basis of available information prepares and implements the measures preventing violations of the norms of official ethics and conduct, fulfils other functions laid down for the COEC in legal acts, and takes appropriate decisions; 9) seeking to include the civic society as widely as possible in the democratic mechanisms of control over state government, informs periodically the public, state and municipal institutions about the meaning and importance for state government of the norms of official ethics and conduct of persons in the civil service and the legal acts regulating them; publicly informs about its activities on the website of the COEC; publishes its decisions and resolutions; etc.

To carry out of its functions, the COEC has granted with powerful rights, e.g.: 1) receive all necessary information, explanations, orders, decisions and other documents from institutions, enterprises, bodies and other organizations, also obtain free of charge the information from state or departmental registers, which is necessary in order to fulfil the duties of the COEC; 2) instruct the head of a state or municipal institution or body to conduct investigation, if the reasoned information has been received that a person in the civil service does not meet the requirements of the Law on the Adjustment of Interests, and, when disagreeing with the conclusion of the conducted investigation, instruct to conduct investigation repeatedly or conduct investigation itself and take its own decision; 3) make reports of administrative violations and impose on the administrative sanction (The COEC is granted by the right to impose on the administrative sanction from the January 1, 2017 only. Previously the COEC in such cases had to appeal to the Court) if the person has violated the provisions of the Law on the Adjustment of Interests; 4) propose to the collegial state or municipal institution, the head of the state or municipal body, or the state or municipal institution or body of a higher subordination level to impose disciplinary penalties on the persons who have violated the Law on the Adjustment of Interests; or propose to repeal, suspend or amend the legal acts or decisions and transactions which do not meet the requirements of the Law on the Adjustment of Interests or the Law on Lobbying Activities, or propose to take the measures which would prevent violations of other legal acts in the future; 5) file claims (submit requests) to the court regarding termination of or declaring null and void the civil service relationships, employment contracts and transactions concluded in violation of the requirements of the Law on the Adjustment of Interests; 6) participate in preparation of legal acts regulating the requirements of official ethics and conduct of persons in the civil service; 7) check the data on private interests declared by persons in the civil service; 8) adopt resolutions of recommendatory character, which contain the opinion of the COEC on a certain issue or summarise the practice of activities of the COEC; 9) inspect activities of lobbyists and activity reports of lobbyists; and so forth.

Department of Organised Crime and Corruption within the Prosecutor General's Office (DOCC). The DOCC is a specialised prosecution unit with jurisdiction to commence and conduct prosecution against organised crime and corruption related offences; to conduct, co-ordinate or supervise pre-trial investigations in this area. Specialised divisions within the Prosecution Service with jurisdiction over organised and corruption offences have been created already in 1993. In 2001, these were restructured into the DOCC, which is a separate department within the Prosecutor General's Office.

b) Monitoring and Evaluation

As was mentioned above, the implementation of the Programme is organised and controlled by the Government with the participation of the STT. The monitoring of the implementation of Programme is done by the STT.

The progress achieved by promoters of the Programme and other state and municipal bodies in a specific field is assessed according to the performance targets and their indicators specified in the Programme and its Action Plan, approved by the Government.

The strategic aim of this long-term anti-corruption programme is to reduce the scope of corruption, to increase transparency, openness in the public and private sectors, to achieve that: - in 2025, the Lithuania’s corruption perception index should be lower than 70 points (in 2016 the Lithuania’s corruption perception index was 59 points); - in 2025, the number of Lithuanian respondents (residents, business people and civil servants) who indicated that a bribe helped solve problems should not exceed 33 per cent; - in 2025, the number of Lithuania respondents (residents, business people and civil servants) who stated that in the past 5 years they paid a bribe should not exceed 10 per cent.

ASSESSMENT CRITERIA OF THE IMPLEMENTATION OF THE PROGRAMME AND THEIR VALUES

Value of the assessment criterion Institution or body carrying out the Serial monitoring of Name of the assessment criterion No Initial value 2019 2025 achievement of the assessment criterion (source of data)

Strategic objective of the Programme – reducing the scope of corruption, increasing transparency and openness in the public and private sectors.

1. Results of the Corruption Special Investigation 58 Perceptions Index survey carried Service, Ministry of 65 70 out by Transparency Justice (Result for 2014) International (on a scale out of Value of the assessment criterion Institution or body carrying out the Serial monitoring of Name of the assessment criterion No Initial value 2019 2025 achievement of the assessment criterion (source of data) 100); at least the indicated number of points.

2. Decrease in the average (in per Special Investigation cent) of Lithuanian residents, 55 Service (data of the businessmen, civil servants who 45 33 survey Lithuanian have indicated that a bribe helps (Results for 2014) Map of Corruption) tackle issues.

3. Decrease in the average (in per Special Investigation cent) of Lithuanian residents, 31 Service (data of the heads of undertakings, civil 20 10 survey Lithuanian servants who have paid a bribe (Results for 2014) Map of Corruption) within the last five years.

First objective of the Programme – striving for greater management efficiency in the public sector, transparency and openness of decision making and procedures, accountability to the public and higher resilience to corruption in the civil service.

4. Share (in per cent) of Special Investigation 95 respondents who believe that Service (data of the 75 50 corruption in Lithuania is Eurobarometer) (Results for 2013) widespread.

Second objective of the Programme – ensuring the application of the principle of unavoidable liability.

5. Share of respondents who Special Investigation believe that the Government 17 Service (data of the efforts in tackling corruption are 32 50 Eurobarometer) effective; at least the indicated (Results for 2013) percentage.

6. Share of respondents who Special Investigation

believe that there are enough Service (data of the 26 successful cases of prosecution Eurobarometer) 39 60 in Lithuania dissuading people (Results for 2013) from corrupt practices; at least the indicated percentage.

Third objective of the Programme – reducing the supervisory and administrative burden on economic entities by transforming the system of institutions carrying out the supervision of economic entities.

7. Share of respondents who Special Investigation believe that corruption poses a 36 Service (data of the problem for them to develop 30 20 Eurobarometer) business; not more than the (Results for 2013) indicated percentage.

Value of the assessment criterion Institution or body carrying out the Serial monitoring of Name of the assessment criterion No Initial value 2019 2025 achievement of the assessment criterion (source of data) 8. Share of respondents who 8 5 3 Special Investigation believe that a bribe was expected Service (data of the of them as economic entities; not (Results for 2013) Eurobarometer) more than the indicated percentage.

9. Share of respondents who Special Investigation believe that political influence 24 Service (data of the and nepotism pose a problem to 19 10 Eurobarometer) business in Lithuania; not more (Results for 2013) than the indicated percentage.

Fourth objective of the Programme – ensuring fair competition and transparent and rational purchase of supplies, works or services in public procurement.

10. Share of the value of electronic Public Procurement contracts (as compared to the Office

value of all the completed 90 electronic procurement 94 97 procedures) based on the data (Results for 2013) published by the Public Procurement Office; at least the indicated percentage.

Fifth objective of the Programme – increasing transparency, reducing and eliminating possibilities of manifestations of corruption in the field of healthcare.

11. Share of respondents who Special Investigation believe that a bribe is requested 29 Service (data of the or expected from them when 24 15 Eurobarometer) receiving a service; not more (Results for 2013) than the indicated percentage.

Sixth objective of the Programme – promoting zero tolerance for corruption and encouraging the involvement of the public in anti-corruption activities. Share of respondents who have

12. paid a bribe related to public Special Investigation 26 services within the last twelve Service (data of the 21 10 months; not more than the Global Corruption (Results for 2013) indicated percentage. Barometer) Share of respondents who 13. tolerate corruption; not more than 62 Special Investigation the indicated percentage. 47 30 Service (data of the (Results for 2013) Eurobarometer)

CRITERIA FOR THE EVALUATION OF THE ACTION PLAN AND THEIR VALUES

Evaluation Values of the evaluation criteria Names of objectives, tasks, and Implementing criterion evaluation criteria authority code 2015 2016 2017 2018 2019

1. Objective: seek enhanced efficiency in the management of the public sector, transparency of decisions and procedures, transparency and accountability to the society, enhanced resilience to corruption of the civil service

R-1-1 Share of the respondents who believe 87 83 79 75 that corruption is pervasive in Lithuania (percentage of Lithuanian population)

1.1. Task: improve the quality of administrative and public services, enhance the transparency of decisions and procedures, transparency and reporting to the society, strengthen the resilience of civil service to corruption

P-1-1-1 Developed and operational information 1 Ministry of system designed to publish the Finance information about the income of the State and municipalities, sources of income, expenses and beneficiaries (units)

P-1-1-2 Developed system allowing to obtain 1 Central comprehensive information about Electoral election and voting procedure, one’s Commission participation in the elections and a of the donations to a participant of the Republic of political campaign (units) Lithuania

P-1-1-3 Developed and made operational the 1 Chief Official Private Interest Register Ethics Commission

P-1-1-4 Operational procedure providing for 1 Ministry of the registration of the additional data Justice of producers and multipliers of public information (shareholders of legal person, its managers, publications, income, sources of income, expenses and beneficiaries)

P-1-1-5 Recommendations for ensuring 1 Chief Official transparent cooperation between the Ethics public and the private sectors (units) Commission Evaluation Values of the evaluation criteria Names of objectives, tasks, and Implementing criterion evaluation criteria authority code 2015 2016 2017 2018 2019

P-1-1-6 Developed and implemented 1 Special Corruption Prevention Information Investigation System (units) Service

P-1-1-7 Total corruption prevention and 220 220 220 Special corruption investigation specialists Investigation who have been improving knowledge Service and skills in Lithuania and abroad (units)

P-1-1-8 The information system for the 1 Centre of electronic auction for the sale of public Registers and municipal assets developed and made operational

P-1-1-9 Increase in the number of visa issue 6 Ministry of centres (units) Foreign Affairs of the Republic of Lithuania

1.2. Task: reducing the appearance of preconditions for corruption by increasing the transparency of territorial planning and state supervision of construction and reducing the administrative burden for service recipients.

P-1-2-1 Improvements introduced in all 80 Ministry of Information systems of the state the supervision of drawing up of territorial Environment planning documents and the territorial of the planning process (enhanced Republic of functionality and adaptability for Lithuania consumer needs), also the planning document register in the territories of the Republic of Lithuanian, electronic services intended to be improved according to the design documents of the Infostatyba information systems (percent)

2. Objective: ensuring the application of the principle of unavoidable liability

R-2-1 Share of the respondents who believe 23 26 29 32 that the efforts of the Government fighting corruption are effective (percentage of Lithuanian population)

R-2-2 Share of the respondents believing that 32 35 37 39 there is a sufficient number of Evaluation Values of the evaluation criteria Names of objectives, tasks, and Implementing criterion evaluation criteria authority code 2015 2016 2017 2018 2019

persecution cases deterring from corruption practice (percentage of Lithuanian population)

2.1. Task: enhance and form intolerance to corruption, promote civil activity

P-2-1-1 drawing up of a package of legal acts 1 Ministry of ensuring that reliable and secure Justice information transmission channels are created for notifications about alleged cases of corruption in the public and private sectors (units)

P-2-1-2 Programme of training on official 1 Chief Official ethics (units) developed Ethics Commission

P-2-1-3 Manual on the development and 1 Special implementation of anti-corruption Investigation environment in the public and private Service sectors (units)

P-2-1-4 Total seminars on anti-corruption 6 6 10 10 Special environment creation in the public and Investigation the private sector (units) Service

2.2. Task: strengthening of capacities of law enforcement for the purpose of detecting criminal activities of corruption nature

P-2-2-1 Total persons attending the training for 165 165 165 165 Prosecutor's pre-trial investigation officers and General prosecutors regarding investigation of Office criminal acts of corruption nature and enforcing public prosecution in this category of cases (5 days’ training of 40 academic hours) (units)

P-2-2-2 Survey of institutions with a view to 1 Ministry of establishing the reasons for corruption Finance and fraud, risk factors and problems in the area of the use of European Union funding, and the possible prevention means (units)

P-2-2-3 Decrease in the number of persons -2 -2 -2 -2 Prosecutor's acquitted for criminal acts of criminal General nature (in per cent, as compared to the Office previous year) Evaluation Values of the evaluation criteria Names of objectives, tasks, and Implementing criterion evaluation criteria authority code 2015 2016 2017 2018 2019

P-2-2-4 Increase in the number of investigated 2 2 2 2 Prosecutor’s actions of criminal nature (in per cent, General as compared to the previous year) Office

2.3. Task: ensuring adequate criminalisation of criminal acts of corruption nature

P-2-3-1 Research conclusions regarding the 1 Lithuanian possibilities and methods of the Institute of implementation of the international Law obligations assumed by Lithuania, and those on the European Union level regarding corruption in the private and the public sectors (units)

3. Objective: reducing the supervisory and administrative burden on economic entities by transforming the system of public and municipal authorities carrying out the supervision of economic entities

R-3-1 Share of the respondents who believe 34 33 31 30 that corruption is an obstacle for developing business (percentage of Lithuanian population)

R-3-2 Share of the respondents believing that 7 6 6 5 a bribe as expected from them as business entities (percentage of all residents of Lithuania)

R-3-3 Share of the respondents believing that 22 21 20 19 political influence and nepotism is a problem for business in Lithuania (percentage of Lithuanian population)

3.1. Task: improve the transparency of bankruptcy proceedings

P-3-1-1 Possibility for all auction sales at 1 Centre of which, in the cases established by laws Registers the assets of an undertaking in bankruptcy, a bankrupt undertaking, or a natural person against whom bankruptcy proceedings have been initiated must be sold, can be conducted electronically (units) Evaluation Values of the evaluation criteria Names of objectives, tasks, and Implementing criterion evaluation criteria authority code 2015 2016 2017 2018 2019

4. Objective: ensure fair competition, transparent and rational procurement of goods, works, and services according to public procurement procedures

R-4-1 Share of the value of electronic 91 92 93 94 Public procurements according to the public Procurement data of the Public Procurement Office Office (percentage of the total value of the public procurement)

4.1. Task: strengthen the oversight of public procurement procedures, reduce and eliminate identified corruption factors, develop and implement additional prevention measures in contracting authorities in order to identify instances of corruption at different public procurement stages

P-4-1-1 Strengthening of skills of employees of 15 30 30 30 Public the Public Procurement Office Procurement (training, courses, secondment, etc.) Office (units)

P-4-1-2 Training for representatives of 100 300 350 500 Public contracting authorities (total Procurement participants) Office

P-4-1-3 Supplementing the CPO LT electronic 2 2 2 CPO LT catalogues with new procurement modules (units)

P-4-1-4 New Central public procurement 1 Public information system (units) Procurement Office

P-4-1-5 Training (expert assistance) for public 50 80 Agency for administration institutions and entities Science, carrying out innovative and pre- Innovations commercial procurements (total and participants) Technologies

5. Objective: enhance transparency, reduce and eliminate possibilities for corruption in the areas of healthcare and social security

R-5-1 Share of Lithuanian residents believing 27 26 25 24 that they were requested or expected to give a bribe in relation to accessing services (percentage of Lithuanian population)

R-5-2 Declaration of private interests of heads 100 100 100 100 Ministry of of persons healthcare institutions, other Health Evaluation Values of the evaluation criteria Names of objectives, tasks, and Implementing criterion evaluation criteria authority code 2015 2016 2017 2018 2019

healthcare specialists working at budgetary and public institutions (in percent)

5.1. Task: transform the system for coordination of healthcare institutions, increase the transparency in the activities of healthcare institutions

P-5-1-1 Number of healthcare institutions 10 14 18 19 Ministry of whose heads and other healthcare Health specialists working at budgetary or public institutions have been trained on avoiding the situations of conflicts of public and private interests (units)

P-5-1-2 An integrated system for monitoring 1 Ministry of and assessment of manifestation of Health corruption in the healthcare system (units)

P-5-1-3 Share of healthcare system employees 50 45 40 35 Ministry of tolerating corruption (in percent) Health

P-5-1-4 Sessions of training dedicated for 2 5 7 8 Ministry of strengthening of resilience (intolerance) Health of employees of healthcare institutions to corruption (units)

P-5-1-5 Total events, social advertising 2 3 3 3 Ministry of campaigns dedicated to prevention of Health corruption (units)

5.2. Task; build up a mechanism for the system of support to healthcare institutions

P-5-2-1 Created system of support to healthcare 1 Ministry of institutions Health

6. Objective: increase the public intolerance towards corruption, and promote the society to engage into anti-corruption activities

R-6-1 Share of the residents of Lithuania who 24 23 22 21 have in the course of the past 12 years given bribes related to public services (percentage of Lithuanian population) Evaluation Values of the evaluation criteria Names of objectives, tasks, and Implementing criterion evaluation criteria authority code 2015 2016 2017 2018 2019

R-6-2 Share of Lithuanian residents tolerating 56 53 50 47 corruption (percentage of Lithuanian population)

6.1. Task: develop education of the society on corruption in the public and the private sectors

P-6-1-1 Developed TV and radio of stories and 2 3 4 Special footage material on the progress of Investigation public and municipal authorities in Service implementing prevention of corruption, and implementation of the measures designed under the Programme (units)

P-6-1-2 Delivered annual television, radio and 3 3 3 Special internet information and educational Investigation campaigns dedicated to reducing the Service risk for occurrence and proliferation of corruption risk (units)

P-6-1-3 Developed programme for informal 1 Ministry of anti-corruption education of the adults Education and (units) Science

With a view to consistently assessing the progress achieved, identifying obstacles and problems in implementing the Programme as well as aiming to identify the fundamental and most relevant corruption-related problems in specific fields of the public and private sectors, the STT shall carry out analysis and, at least once a year after the close of the year, submit to the Government commission to coordinate the fight against corruption summarised information on the identified fundamental and most relevant corruption-related problems in the separate fields of the public sector and corruption risk factors. This information may be accompanied by proposals on the revision of the Programme and/or its implementing documents. The STT shall publish this information and forward it to the state or municipal bodies concerned and the latter shall take note of it when drawing up and implementing corruption prevention measures. Half a year before the established end of the period of implementation of the Programme, the STT shall draw up and submit to the Commission the final (ex post) assessment of the implementation of the Programme.

More information could be found here: - Anti-Corruption Programmes http://www.stt.lt/en/menu/corruption-prevention/anti- corruption-programmes/#turinys - Implementation documents of National Anti-Corruption Programme http://www.stt.lt/lt/menu/nacionaline-kovos-su-korupcija-programa/nkkp-2015-2025/- igyvendinimo-dokumentai-/ - Corruption Risk Analysis http://www.stt.lt/en/menu/corruption-prevention/corruption-risk- - analysis/#turinys - Research and Analysis http://www.stt.lt/en/menu/corruption-prevention/research-and- analysis/ - Probability of Corruption Manifestation http://www.stt.lt/en/menu/corruption- prevention/probability-of-corruption-manifestation-/#turinys

2. Please outline the actions required to ensure or improve the implementation of the measures described above and any specific challenges you might be facing in this respect.

a) Development and Implementation Process

As was mentioned above the objective of the National Anti-corruption Programme of the Republic of Lithuania for 2015–2025 (https://www.stt.lt/en/menu/corruption-prevention/anti-corruption- programmes/) is to ensure a long-term, effective and targeted anti-corruption and control system in the Republic of Lithuania in 2015-2025. The Programme covers the most important provisions of the national anti-corruption policy in the public and private sectors (More about anti-corruption policy programme please see above in sector 1).

To implement the objectives and tasks of the Programme, the Government approved an inter- institutional action plan providing for the implementing measures of the Programme and funds for their implementation. The inter-institutional action plan for the implementation in 2015–2019 of the National Anti- Corruption Programme of the Republic of Lithuania for 2015–2025 (hereinafter – Action Plan) was developed on the basis of the National Anti-Corruption Programme of the Republic of Lithuania for 2015–2025 approved by Resolution No. XII-1537 of 10 March 2015 of the Seimas of the Republic of Lithuania ‘On the approval of the National Anti-Corruption Programme of the Republic of Lithuania for 2015–2025’ The purpose of the Action Plan is to ensure a coordinated and smooth implementation of the Programme on a timely basis. The drawing up of the plan was qualified by the need to ensure the continuity of the current anti-corruption activity, and a long-term, efficient and focused system of corruption control and prevention in the Republic of Lithuania. The purpose of the Action Plan is while seeking to ensure an efficient implementation of the Programme, and maintain its continuity, consistently and efficiently improve the corruption prevention and control system, ensure the continuity of control and prevention measures, by exercising positive impact upon different areas of public life and increasing transparency in the State.

More about Action plan please see here: https://www.stt.lt/en/menu/corruption-prevention/anti- corruption-programmes/#turinys.

Also there are sectoral, institutional and other anti-corruption programmes. These programmes are developed by state and municipal authorities and non-governmental organizations which are required to develop such programmes in accordance with the National Anti-Corruption Programme and other legislation.

Sectoral anti-corruption programmes, which usually cover several operational activities of state or municipal authorities, e.g., construction, healthcare, law enforcement, etc., are developed by state or municipal bodies and non-governmental organizations and approved by either the Government or the Parliament.

The responsibility for co-ordination and monitoring of implementation of such programs lies with managers of such entities or their structural units or persons charged with conducting corruption prevention and control in the entity.

b) Monitoring and Evaluation

As was mentioned above, the implementation of the Programme is organised and controlled by the Government with the participation of the STT. The progress achieved by promoters of the Programme and other state and municipal bodies in a specific field is assessed according to the performance targets and their indicators specified in the Programme.

Information about public surveys

Corruption Perceptions Index 2018 The index, which ranks 180 countries and territories by their perceived levels of public sector corruption according to experts and businesspeople, uses a scale of 0 to 100, where 0 is highly corrupt and 100 is very clean.

In 2018 for Lithuania was gave 59 score and took 38 rank among 180 countries. Compared to 2017, CPI result has not changed – Lithuania's rating and global rating have remained stable.

The Lithuanian Map of Corruption 2018 In 2018 December – 2019 January a public opinion and market research center “Vilmorus“ conducted a study “The Lithuanian Map of Corruption 2018“, initiated by the Special Investigation Service of the Republic of Lithuania.

Three target groups were researched: Lithuanian residents, business executives and civil servants. A total of 1,004 residents of Lithuania, 501 business executives, 507 civil servants were surveyed.

The aim of the research – to assess the corruption situation in Lithuania and compare it with results from previous years. The research objectives: to assess the target group approach to corruption, the incidence of corruption in various institutions, to identify corruption practices of the respondents and evaluate the potential of anti-corruption.

Lithuanian residents place corruption on the 4th place among the most acute problems, after low- wage, emigration, rising price. 40 % of the population indicated corruption as a very serious problem. This percentage is lower in comparison with year 2016 (56%,). Business leaders mentioned corruption, as a very serious problem, in the 6th place – 27 % (in 2016 – 35 %) and civil servants – in the 6th place – 30% (in 2016 – 32%). All three groups mentioned corruption less often compared to 2016. Entrepreneurs were also asked about the problems impeding business. Corruption was mentioned in the 11th place following emigration, tax rates, administrative burden.

There is decrease in the population estimates that Lithuania encounters a widespread corruption situation when a political party promises to make useful decisions if an entrepreneur provides financial support (from 36 % in 2016 to 25 % in 2018).

25 % of Lithuanian residents think that the extent of corruption has grown in 5 years, 35% think that it remains unchanged and 25 % think that it has decreased. In 2008, the percentage of those who believe that the extent of corruption within 5 years has increased was 77%, in 2011 – 53 %, in 2014 – 35 %, 2016 – 42 %. Regarding the future, there are slightly more optimists (27 %) than pessimists (14 %).

In an open question about the most corrupt institutions, the residents most frequently mentioned health care institutions (50 %), the Seimas (32 %), the courts (27 %). In many cases, various institutions have been mentioned more frequently. Business leaders and civil servants most frequently mentioned health care institutions (35 % ir 43 % respectively), but also – the Seimas (22 % ir 23 % respectively) and municipalities (22 % ir 29 % respectively).

All data from The Lithuanian Map of Corruption 2018 please see here: https://www.stt.lt/lt/menu/tyrimai-ir-analizes/.

Eurobarometer 2018 Lithuania is one of the country, where majority of respondents (65 %) say they “tend to trust” the EU. In 23 EU Member States, a majority of Europeans, describe the current situation of the European economy as “good”, with the highest scores in Lithuania (73%), Austria (70%) and Poland (70%).

According to Eurobarometer 2017 data, in five of the 28 EU Member States, there has been a decrease since 2013 in the proportion of respondents who think that doing a favour in exchange for getting something from the public administration or a public service is “never acceptable”. Lithuania (+27 pp) has seen significant increases in the proportions of respondents who think this is “never acceptable”. There has been very little change at country level in the proportions of respondents who think that this kind of action is “always acceptable”. (More information about Eurobarometer 2018 please see here: http://ec.europa.eu/commfrontoffice/publicopinion/index.cfm/Survey/getSurveyDetail/instruments/ STANDARD/yearFrom/1974/yearTo/2018/surveyKy/2215)

3. Please describe any lessons learned in the development, evaluation and impact of anti-corruption policies or strategies.

The strategic aim of this long-term anti-corruption programme is to reduce the scope of corruption, to increase transparency, openness in the public and private sectors. Though the majority of the Programme measures are being implemented within the time limits set, the most significant indicators are obtained, greater attention should be devoted to the below specified measures, which: - would change positively the opinion of the respondents about the Government’s efforts to combat corruption because according to Eurobarometer 2017 survey data, only 18 per cent of the respondents think that these efforts are sufficient. - would reduce the political impact and nepotism, which were identified as posing a problem to business in Lithuania by 23 per cent of the respondents of the Eurobarometer 2017 survey. On more insights of STT on corruption situation in Lithuania, please see its annual reports: https://www.stt.lt/en/menu/stt-annual-reports/#turinys 4. Do you consider that any technical assistance is required in order to allow you to fully implement this provision? If so, what specific forms of technical assistance would you require?

No assistance would be required. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY MADAGASCAR

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

MADAGASCAR (SECOND MEETING)

La politique du BIANCO en matière de sensibilisation des acteurs de la vie citoyenne et du public vise à promouvoir des attitudes intolérantes à la corruption. Les séances d’information et de sensibilisation sont principalement orientées vers les changements de comportement et la vulgarisation des pratiques anti-corruption. Les ambitions du Bureau vont au delà de la sensibilisation. Les efforts ont été essentiellement focalisés, depuis quelques années à la mobilisation de ces acteurs et du public, surtout les jeunes, à la lutte contre la corruption.

La politique de Madagascar en matière de sensibilisation à la lutte contre la corruption est désormais devenue à la fois proactive et dynamique. La participation active aux activités de lutte contre la corruption est une condition exigée à toute forme de sollicitation de collaboration et de partenariat avec le BIANCO. Les animations pour la mobilisation des publics cible sont donc personnalisées en fonction des risques encourus dans le secteur, de l’identité culturelle et des réalités du terrain. L’approche « Recherche-Action »est appliquée à chaque intervention.

La déclaration solennelle et en publique des principes d’affaires, effectuées par les Chambres de Commerce et d’Industrie des Régions de Vakinankaratra et d’Analamanga, représentant les opérateurs du secteur privé et leurs membres consulaires respectifs, lors de la célébration de la Journée Internationale de Lutte contre la Corruption en décembre 2009 et 201, est une bonne pratique pour exprimer la ferme volonté, de la part de ces acteurs, à lutter contre la corruption.

Depuis 2010, le BIANCO s’est lancé dans la mise en place de Réseaux d’Intégrité et d’Honnêteté auprès des établissements scolaires de niveau secondaire et universitaire, en tant que dispositifs de mise en application de la politique en Education proactive pour les jeunes. L’opérationnalité de ces réseaux a permis aux jeunes d’apporter la contribution pour la mise en œuvre des activités de lutte contre la corruption. L’animation et la conduite des activités s’effectuent entre les jeunes du même établissement ; les messages anti-corruption trouvent leur efficacité quand ils viennent de leurs pairs. La participation active de ces jeunes aux activités de lutte contre la corruption est le début de leur prise de responsabilité dans la préparation de leur avenir dans un environnement non entaché de ce fléau. Les Sociétés civiles et le Média , les organisations confessionnelles et religieuses ainsi que les leaders d’opinions ont été également mobilisés pour devenir des entités relais du BIANCO en matière d’éducation et de sensibilisation du public, de veille, d’interpellation, et de dénonciation des cas et des pratiques de corruption. De nombreuses réalisations ont été déjà effectuées avec ces organismes relais, entre autres, l’édition périodique des articles anti-corruption dans les publications des confessions religieuses, la tenue de séances de sensibilisation à la lutte contre la corruption et à la consécration du mois de novembre 2009 pour les prédications d’anti corruption au sein de toutes les paroisses FJKM à Madagascar.

L’insertion de la dimension anti-corruption dans les programmes et les cursus d’étude constitue un volet important dans l’éducation des élèves et des étudiants. C’est une activité de sensibilisation continue, évolutive et permanente pour la promotion de la culture d’intégrité et de l’attitude intolérante à la corruption aux générations futures. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY MAURITIUS

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

MAURITIUS (SECOND MEETING)

Article 5: Preventive anti-corruption policies and practices

1. Each State Party shall, in accordance with the fundamental principles of its legal system, develop and implement or maintain effective, coordinated anticorruption policies that promote the participation of society and reflect the principles of the rule of law, proper management of public affairs and public property, integrity, transparency and accountability.

1.1 Preventive anti-corruption policies and practices adopted by Mauritius The year 2002 was a landmark in the fight against corruption and money laundering with the enactment of the two main legislations – the Prevention of Corruption Act 2002 and the Financial Intelligence and Anti-Money Laundering Act 2002.

The PoCA provides for the setting up of the Independent Commission Against Corruption (ICAC), which is the national anti-corruption agency in the country. The ICAC uses a three-pronged approach for fighting corruption namely through Investigation, Prevention and Education.

The Prevention of Corruption Act 2002 makes provision for the establishment of a Corruption Prevention and Education Division of the ICAC with a clear mandate to educate the public against corruption and enlist and foster public support in combating corruption. The Corruption Prevention and Education Division of the ICAC operates through two specialized Branches, the Community Relations Branch and the System Enhancement Branch:

The main provisions of the Prevention of Corruption Act 2002 (PoCA) as amended with regards to the prevention of corruption are to: a) conduct public campaigns to alert the public on dangers of corruption; b) enlist and foster public support in combating corruption; c) assist in enhancing the school curriculum so as to educate children on the dangers of corruption; d) inform the general public on the manner in which complaints of acts of corruption should be made; e) conduct campaigns to encourage the formation and strengthening of non-governmental organizations to fight corruption; f) liaise with private sector organizations and trade-unions for the setting up of anti- corruption practices; g) conduct workshops and other activities to promote campaigns for the prevention and elimination of corruption; h) undertake and assist in research projects in order to identify the causes of corruption and its consequences on, inter alia, the social and economic structure of Mauritius; i) co-operate with all other statutory corporation which have as object the betterment of the social and economic life of Mauritius; j) promote links between the Commission and international organizations so as to foster international co-operation in the fight against corruption; k) encourage links between the Commission and similar agencies in other countries; and l) enhance education on the dangers of corruption. m) monitor, in such manner as it considers appropriate, the implementation of any contract awarded by a public, with a view to ensuring that no irregularity or impropriety is involved therein; n) examine the practices and procedures of any public body in order to facilitate the discovery of acts of corruption and to secure the revision of methods of work or procedures which, in its opinion may be conducive to corruption o) advise and assist any public body on ways and means in which acts of corruption may be eliminated; p) draft model codes of conduct and advice public bodies on their adoption.

2. Each State Party shall endeavour to establish and promote effective practices aimed at the prevention of corruption.

2.1 Conduct of Corruption Prevention Reviews Key reforms in the public sector that can decrease the perception of corruption are linked to the enhancement of ethics, transparency and accountability framework, reduction of complexity of systems and compliance through best practices. As per Sections 20 (d), (f), (g), (h) (i) (j) (k) and Section (30) of the Prevention of Corruption Act 2002 as amended, the ICAC is mandated to exercise vigilance and superintendence over the integrity systems and practices in public bodies with a view to eliminating opportunities for corruption.

The ICAC has conducted several in-depth studies of systems and procedures of public bodies, known as Corruption Prevention Reviews (CPR), for the purpose of recommending improvements or reforms that would prevent incidence of irregularities and corrupt acts. As at 31 Dec 2010, 27 CPRs have been conducted in 24 public bodies with 967 recommendations. These recommendations include changes in legislation, to ensure that corruption prevention safeguards are built in the systems as early as possible. To ensure effective and prompt implementation of anti-corruption measures proposed by the ICAC, focus group discussions are conducted with management so as to facilitate implementation of recommendations. Follow up exercises are conducted 6-months after the issue of report to assess and monitor the implementation status. 2.2 Public Sector Anti-Corruption Framework The ICAC has developed a Public Sector Anti-Corruption Framework (PSACF) to enable public bodies to establish the requisite capacity to prevent and combat corruption in their sphere of operation. The Framework will enable public bodies to take up ownership of building corruption resistance in their respective organizations. The project is being piloted in 4 public bodies and subsequently in all public bodies in the country.

2.3 Best Practices and Guidelines Anti-corruption tools are strong means of empowering employees and consolidating the fight against corruption. In this context, numerous anti-corruption tools to address and manage corruption risks proactively. The materials are mainly in the form of Best Practices and Guidelines and have been developed by the Independent Commission Against Corruption in collaboration with organizations concerned during the last five years. They materials are intended to serve as self-assessment tools for the enhancement of systems and procedures in public bodies. The main ones are:

Total Integrity Management Handbook for Head Teachers, 2010: This handbook has been developed to help headmasters in ensuring total integrity management in schools. Anti-corruption values can be promoted among school children only if schools are managed with transparency and integrity and educators feel valued and motivated.

Charter for Vehicle Owners – National Transport Authority: A Charter for Vehicle Owners has been developed in collaboration with the National Transport Authority-NTA to provide vehicle owners with a checklist on the required conditions of their vehicles in order to be fit on road. The NTA has also arranged for wide dissemination of the charter through display at its Vehicle Examination Centres, its main office and different public places.

Handbook on Managing Conflict of Interests: A handbook has been developed with the aim to help organisations create a culture that encourages and supports the identification, disclosure and management of conflict of interests situations.

Guide on Good Governance for the Co-operative Sector: With a view to further instill a culture of integrity and probity in the cooperative sector, the ICAC in collaboration with the Ministry of Business, Enterprises and Cooperatives has developed a guide on good governance for the cooperative sector.

Public Sector Anti-Corruption Framework Manual: It has been developed to assist public bodies to strengthen institutional capabilities through the establishment of appropriate mechanisms to control corruption.

Best Practice Guide on “Building Integrity in NGOs: The ICAC in collaboration with the NGO Trust Fund and the MACOSS develop the guide to enable NGOs to operate within an ethical framework. Model Code of Conduct for Parastatal Bodies: The model code has been developed to provide Parastatal Bodies with the basic principles that need to be observed in the development of their own code of conduct.

Code of Conduct for Public Officials Involved in Procurement: The code has been developed in collaboration with the Procurement Policy Office with a view to exercise vigilance and superintendence in public institutions.

Best Practice Guide - Inspection Works for Public Bodies: The guide on “Inspection works for Public Bodies” was developed with a view to promoting good governance principles and encouraging organisations to come up with mechanisms to address corruption opportunities in the inspection function.

Best Practice Guide – Recruitment and Selection in Parastatal Bodies: Parastatal bodies have their own recruitment process. In view of the high corruption opportunities that exist in such a process, ICAC has come up with a guideline on Recruitment and Selection in parastatal bodies. The guideline not only addresses opportunities for malpractices but can also contribute to standardising the recruitment process within all parastatal bodies.

Model Internal Audit Charter: Internal Audit, being part of an organisation’s oversight mechanism, is the cornerstone to good governance. To address this target group, the ICAC has developed a Model Internal Audit Charter which sets the framework for an effective internal audit to operate. The purpose is not only to encourage development of this important tool in all organisations but also to allow management to discharge itself of its responsibilities to design, implement and monitor a sound system of internal control.

Procurement of Goods and Services -Best Practice Guide for Public Bodies: This document provides essential control procedures, which could be implemented in a purchasing and tendering system and covers areas, which are most prone to corruption. It also provide guidelines for self-assessment of systems in respect of procurement.

Contract Works - Best Practice Guide for Public Bodies: The objectives of this guide are to provide public bodies with a checklist to assess their own vulnerabilities to corruption risks in contract works.

Guide on Management of Funds by Parent Teachers Associations: This guide aims at assisting PTA’s to better understand good governance and to develop appropriate policies and procedures that are imperative for fulfilling its mission and objectives in a transparent and accountable manner.

The Financial Services Commission The Financial Services Commission (FSC) is the regulatory body for non-banking services, including the stock exchange and international global businesses to license, regulate, monitor and the supervise business activities in the financial sector and the protection of consumers. The FSC also has the investigative power in respect of financial fraud.

The FSC also promotes fairness and transparency in the financial markets, and establishes operating policies and procedures to detect financial fraud, improper trading/business practices and market abuse in the securities and capital markets. It has also issued Guidelines on Corporate Governance for Service Providers (Non-Financial) and Codes on the Prevention of Money Laundering and Terrorist Financing for Management Companies, for Insurance Entities and Investment Businesses.

Bank of Mauritius The Bank of Mauritius which is the regulatory body for banking institution in Mauritius has also issued guidelines for more transparency and accountability in this sector.

3. Each State Party shall endeavour to periodically evaluate relevant legal instruments and administrative measures with a view to determining their adequacy to prevent and fight corruption.

3.1 Review of Related Legislations With the ratification of the United Nations Convention Against Corruption and the SADC Protocol, the Republic of Mauritius has reviewed a number of legislations like the Companies Act, the Banking Act, etc and has enacted new legislations like the Public Procurement Act 2006, the Mutual Assistance in Criminal and Related Matters Act 2003, etc to enhance the fight against corruption and bring corruption under control in Mauritius

The Mutual Assistance in Criminal and Related Matters Act 2003: The objects of the Mutual Assistance Act are to enable the widest possible measure of international cooperation to be given and received by the Republic of Mauritius promptly and to the fullest extent possible, in investigations, prosecutions or proceedings concerning serious offences and related civil matters and to make provision for mutual assistance between the Republic of Mauritius and a foreign State or an international criminal tribunal in relation to serious offences and to provide for related matters

The Public Procurement Act 2006: With a view to enhance public procurement systems and align the latter with international trends, the Public Procurement Act 2006 was enacted. It establishes modern principles and procedures for competitive bidding, transparency and accountability. It also creates new bodies like the Procurement Policy Office, the Central Procurement Board and the Independent Review Panel within the public administration to ensure that the principles are properly applied and implemented.

The Banking Act 2004: The Banking Act 2004 now includes additional clauses for fighting corruption and money laundering.

4. States Parties shall, as appropriate and in accordance with the fundamental principles of their legal system, collaborate with each other and with relevant international and regional organizations in promoting and developing the measures referred to in this article. That collaboration may include participation in international programmes and projects aimed at the prevention of corruption.

4.1 Involvement of Mauritius in Anti-Corruption Initiatives at Regional and International levels The ICAC is fully involved in anti-corruption initiatives be it at regional and international levels. The main involvements of Mauritius are as follows: · Mauritius is an active member of the Southern African Forum Against Corruption (SAFAC) which is a regional platform established for the purposes of mutual cooperation in combating corruption and provides a platform for anti-corruption agencies in the SADC region for anticorruption activities, sharing of experiences and best practices in fighting corruption. · The ICAC is a member of the International Association of Anti-Corruption Authorities (IAACA) and regularly attends the Annual Conferences and General Assembly Meetings since it was set up in Beijing in October 2006 · Mauritius regularly attends the Annual Conference of States Parties of the UN Convention Against Corruption The Republic of Mauritius also participated through the ICAC in the following events the First Africa Forum on Fighting Corruption held in February 2007 in South Africa and the Fifth Gobal Forum on Fighting Corruption and Safeguarding Integrity in South Africa in April 2007 · The Republic of Mauritius has also developed links with the following anti-corruption agencies: ICAC Hong Kong, ICAC NSW, CPIB Singapore, ACA Malaysia, BIANCO Madagascar, CBI/CVC India, Serious Fraud Office, UK. · The relationship between BIANCO, the national anti-corruption agency in Madagascar and the ICAC was formalized through the signing of a Memorandum and subsequent visits of officers in 2006. · The ICAC welcomed officials from the Zimbabwe Anti-Corruption Commission, “L’Observatoire de Lutte Contre La Corruption du Benin”, the Supreme People’s Procuratorate of the Peoples Republic of China led by the Prosecutor General were in Mauritius, a group of experts from the Financial Enforcement Office of Technical Assistance (OTA) of the US Department of Treasury who were in Mauritius for two weeks to provide training on financial investigation to ICAC officers and other enforcement agencies dealing with financial investigation. · The Commonwealth Secretariat in association with the Independent Commission Against Corruption, the Office of the Director of Public Prosecution (ODPP) of Mauritius organised a three-day regional anti-corruption workshop in June 2010. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY MEXICO ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

MEXICO (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY MEXICO

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

MEXICO (SECOND MEETING)

El Gobierno de México ha venido fortaleciendo las acciones a nivel institucional en el aspecto de prevención de la corrupción, mediante el desarrollo de programas y políticas y de un marco jurídico que contribuye a eliminar de manera gradual esas prácticas. La Procuraduría General de la República (PGR) viene desarrollando desde hace algunos años el Proyecto de Reducción de Riesgos de Corrupción. La Visitaduría General (VG) de dicha Institución es la responsable de combatir los actos de corrupción en lo particular, así como del establecimiento y dirección de las acciones necesarias para atender los riesgos de corrupción en la Institución mediante diversas estrategias. De conformidad con lo señalado en el Acuerdo por el que se emiten las Disposiciones en Materia de Control Interno y se expide el Manual Administrativo de Aplicación General en Materia de Control Interno, publicado en el Diario Oficial de la Federación el 12 de julio de 2010, el 14 de febrero de 2011, la VG propuso ante el grupo directivo de la PGR, el Mapa de Administración de Riesgos de la Institución. Este mapa considera el proyecto de Riesgos de Corrupción, mediante el cual se pretende mejorar los mecanismos normativos de prevención y sanción de conductas ilegítimas, reforzar el seguimiento a los instrumentos regulatorios, hacer efectivos los controles disciplinarios, medir los resultados del objetivo institucional crear las condiciones de recursos necesarios para brindar un servicio de calidad, fomentar la cultura de la denuncia y mejorar mecanismos de rendición de cuentas. Más que una propuesta de solución al problema sistémico de la corrupción, lo que se plantea es una estrategia general que permita cerrar los espacios a la impunidad y la práctica de actos irregulares por parte de los servidores públicos. Esta estrategia se basa en el fortalecimiento de cuatro áreas principales:

 Desarrollo Institucional  Capacidad de Control  Eficiencia Administrativa y de Gestión  Participación Social

Estas áreas se componen de los siguientes riesgos:  Información de los procesos clave no integrada transversalmente y poco confiable.  Información institucional vulnerada. Funciones jurídicas, técnicas y operativas indebidamente ejecutadas por el personal sustantivo (AMPF, policías y peritos).  Deficiente investigación del delito.  Órdenes de aprehensión no ejecutadas.  Afectación patrimonial de las organizaciones delictivas  Sistema de consecuencias que no disuada al personal a preferir las buenas prácticas y evitar las nocivas para la institución.  Inadecuada administración de recursos humanos.  Instrumentación del modelo penal acusatorio.  Falta de confianza en la institución por parte de los ciudadanos.

Al respecto, se han definido acciones de mejora específicas para atender los diferentes riesgos, en las que se encuentran involucrados diversos actores que en mayor o menor grado, contribuyen a la atención de cada riesgo detectado; asimismo, los compromisos de cada área involucrada así como el responsable del seguimiento, se establecieron en fichas técnicas que contienen la información ejecutiva sobre los trabajos programados. Estrategia de Contacto Ciudadano Busca responder a la exigencia ciudadana de confianza y certeza en el combate a la corrupción en la PGR y al mismo tiempo pretende generar los incentivos necesarios al interior de la Institución para inhibir y reducir dicha práctica haciendo énfasis en investigar estas conductas delictivas. Surge el Programa de Reducción de Riesgos de la Institución de cuyo eje estratégico Participación Social se pretende:

 Permitir el seguimiento y atención oportuna de la demanda ciudadana  Generar procedimientos tecnológicos de rendición de cuentas  Fortalecer la intervención de los consejos de participación ciudadana  Fortalecer el sistema de recepción y atención de quejas y denuncias  La implementación de la estrategia abarca tres ejes:

Recepción de información mediante un mecanismo eficiente y ágil que permita el seguimiento y atención oportuna de la demanda ciudadana, (información, asesoría, queja o denuncia) el cual ayudará a recibir información de diversas fuentes sobre posibles actos irregulares cometidos por servidores públicos de la institución, mismos que serán categorizados para un mejor seguimiento interno.

Estándares de atención y evaluación del buen servicio, que permitirá evaluar permanentemente el servicio brindado por la VG a los ciudadanos, a través de instrumentos de medición que arrojen información que contribuya a transformar un servicio especializado y eficiente.

Campaña de comunicación, cuyo objetivo será generar confianza de los denunciantes, a quienes se les hará del conocimiento que la VG está conformada por servidores públicos capacitados para vigilar estrictamente la legalidad en la actuación de los agentes del Ministerio Público Federal, peritos y demás funcionarios de la PGR; asimismo que por medio de la denuncia se contribuirá de manera real y efectiva a combatir la corrupción. Dicha estrategia se encuentra vinculada a un trabajo intenso de acercamiento entre la VG y organizaciones de la sociedad civil, comenzando por el Consejo de Participación Ciudadana de la PGR e incorporando a otras organizaciones de representación nacional, en la difusión de los mecanismos de queja y denuncia a través de un proceso de participación de la VG en diversos espacios en que concurren representantes de organismos sociales, empresariales, sindicales y académicos.

Visitas La Visitaduría General (VG) como órgano de control de la PGR coadyuva a combatir la corrupción, abatir la impunidad y prevenir sus causas al interior de la Institución, vigilando la constitucionalidad y legalidad en el desempeño de los servidores públicos de la Procuraduría.

La VG de conformidad con el artículo 20 del Reglamento de la Ley Orgánica de la Procuraduría General de la República (RLOPGR) y el Acuerdo A/100/03 del Titular de la Institución, realiza visitas a través de las Direcciones Generales de Visitaduría; de Inspección Interna; y de Supervisión e Inspección Interna para la Agencia Federal de Investigación, cuyo objetivo es verificar que el personal ministerial, policial y administrativo adscrito a las unidades administrativas y órganos desconcentrados de la Institución, se conduzca en el ejercicio de sus funciones, con absoluto respeto y apego a la Constitución Política de los Estados Unidos Mexicanos, leyes, reglamentos, acuerdos, circulares, instructivos, manuales y Código de Conducta de la PGR.

En dichas visitas, se realiza la revisión de expedientes seleccionados a través del Sistema Institucional de Información Estadística o de manera aleatoria, en los que se señalan las deficiencias e irregularidades detectadas y se emiten, en su caso, instrucciones y recomendaciones; además, se constata la existencia y el adecuado manejo de los libros de control que cada unidad visitada debe llevar, así como su registro; se comprueba el cumplimiento de la normatividad aplicable en la agencia o unidad visitada y de las disposiciones relativas al trato específico que debe darse a las personas indígenas, adultos mayores, extranjeros, menores de edad, discapacitados, entre otros.

Consejo de Participación Ciudadana

Se integró un Consejo de Participación Ciudadana (PGR), como un órgano consultivo integrado por representantes de los sectores social y privado de México. Su objetivo es analizar, proponer, evaluar, condensar y dar seguimiento a los programas, estrategias, acciones y políticas de la PGR, tratando de reducir los índices de impunidad y disminuir los delitos del ámbito federal contando con la participación de fundaciones, empresarios, banqueros, industriales, organizaciones no gubernamentales, universidades, etc., y generando, de esta manera, credibilidad y confianza en la procuración de justicia.

El Consejo de Participación Ciudadana, realiza acciones para prevenir y combatir la corrupción. Una de ellas es la creación de la Comisión de Transparencia y Combate a la Corrupción, cuyos objetivos son:

 Conocer sobre la promoción de la participación en la procuración de justicia.  Tener conocimiento de las soluciones relativas al cese, destitución o separación del cargo de servidor público que incurra en responsabilidades administrativas o penales, corrupción o impunidad, y en su caso proporcionar información y opinar al respecto.  Conocer las visitas a las instalaciones de las diversas instancias de la PGR, para detectar posibles abusos o irregularidades, debiendo en su caso poner éstos, en el inmediato conocimiento de los titulares de las dependencias respectivas.

Asimismo, cuenta con una serie de programas y medidas tendientes al mismo fin:

 Foros nacionales enfocados a los temas de prevención del delito, atención a víctimas, transparencia y combate a la corrupción.  Difusión del número de denuncia (01 800 8DENUNCIA) y el mecanismo de denuncia ([email protected]).  Programa visitador ciudadano.  Buzones de quejas y denuncias  Formulario electrónico para realizar denuncias en línea:  http://www.participacionciudadana-pgr.org.mx/denunciaphp.html  Creación y fortalecimiento de la página web del Consejo:  http://www.participacionciudadana-pgr.org.mx/Home.htm

Acciones de la Secretaría de la Función Pública.

1. Transparencia y Acceso a la Información:

El Programa Nacional de Rendición de Cuentas, Transparencia y Combate a la Corrupción 2008-2012, es un programa de observancia obligatoria para las dependencias y entidades de la Administración Pública Federal, la Procuraduría General de la República y la Presidencia de la República, establece como uno de sus objetivos, consolidar una política de Estado en materia de información, transparencia y rendición de cuentas.

Para dar cumplimiento a este compromiso, el gobierno federal, a través de la Secretaría de la Función Pública está promoviendo acciones para aumentar la eficacia de las políticas de transparencia y de información pública en la Administración Pública Federal. Para ello, en el 2009, el gobierno mexicano emprendió un Proyecto de Reforma Regulatoria Base Cero para eliminar todas las regulaciones internas que obstaculizaban el adecuado desempeño de las dependencias y entidades de la Administración Pública Federal, con el objetivo de mejorar la eficiencia del Gobierno y promover el crecimiento económico.

Asimismo, el proyecto establece un marco regulatorio dentro del gobierno que promueve la eficiencia en la entrega de resultados de calidad en el gobierno.

Al eliminar la duplicidad de normas y procesos y estableciendo un marco claro y único de normas, este programa busca minimizar el uso de recursos internos e incrementar la calidad de los servicios, así como la eficiencia de las agencias de la Administración Pública Federal. La tala regulatoria inició con un inventario de las normas vigentes del Gobierno. A partir de este catálogo toda la Administración Pública Federal se dio a la tarea de identificar la duplicidad de normas, los procesos y actividades ineficientes, los costos excesivos y los trámites burocráticos que generan costos innecesarios al ciudadano.

Con el inventario y la identificación de las duplicidades, de las normas inútiles y de los trámites que no se justificaban, la Secretaría de la Función Pública definió dos grandes tareas para alcanzar el objetivo planteado por el Presidente de la República:

1. Estandarizar los procesos de administración para proveer bienes y servicios de calidad a los ciudadanos y derogar toda la normatividad innecesaria (Tala Administrativa).

2. Facilitar los trámites y servicios gubernamentales para atender mejor a los ciudadanos, eliminando aquellos que no se justificaban (Tala Sustantiva).

La tala administrativa consistió en la elaboración y publicación de nueve Manuales de Aplicación General con el propósito de optimizar la operación del Gobierno en nueve grandes materias:

1. Adquisiciones Gubernamentales (Fecha de publicación: 9 de agosto de 2010) Este manual sistematiza y codifica los procedimientos y procesos que deben ser aplicadas en materia de compras gubernamentales por parte de las dependencias federales. Éste simplifica los procesos de compra del gobierno. Se permite que el pago a los proveedores sea más ágil ya que las transacciones se realizan por medios electrónicos. Además homogeniza los formatos en todas las instituciones del Gobierno. Asimismo, reduce los costos del Gobierno ya que se utilizan los mecanismos como contratos marco, licitaciones electrónicas y el uso de CompraNet.

2. Auditoría (Fecha de publicación: 12 de julio de 2010) Establece los procesos y reglas que se deben seguir durante las auditorías, revisiones e inspecciones en las dependencias públicas federales. En este sentido, los auditores podrán planear, programar y ejecutar de manera más eficiente las auditorías concentrándose en identificar, prevenir y combatir casos graves de corrupción.

3. Control Interno (Fecha de publicación: 12 de julio de 2010) El manual fortalece las prácticas de control interno a través de la implementación de procesos, análisis y estrategias de monitoreo que ayuda a las instituciones a alcanzar sus mentas y objetivos. En este sentido, las instituciones podrán identificar oportunamente las circunstancias que inhiben el logro de metas y objetivos y con ello cumplir con sus tareas y funciones en beneficio de los ciudadanos.

4. Obra Pública (Fecha de publicación: 9 de agosto de 2010) Determina los procesos de planeación, programación, así como costos, contratos y otros aspectos para el desarrollo de proyectos de obra pública. El manual homologa los formatos y transparenta los procesos de licitación. Crea una bitácora en línea que permite conocer el grado de avance de las obras. Esto permite el crecimiento de la inversión pública y el crecimiento del país.

5. Recursos Financieros (Fecha de publicación: 15 de julio de 2010) Guía los procesos financieros para dirigir las actividades de la Administración Pública Federal en congruencia con la programación del presupuesto asegurando el cumplimiento de los programas y planes de gobierno. En este sentido, el manual establece las medidas para racionalizar, controlar y orientar el gasto público brindando información oportuna sobre el ejercicio del presupuesto.

6. Recursos Humanos (Fecha de publicación: 12 de julio de 2010) Promueve la estandarización de los procesos de selección, contratación, capacitación, evaluación y motivación de los servidores públicos para satisfacer las necesidades de los ciudadanos y cumplir con los objetivos de sus instituciones.

7. Recursos Materiales (Fecha de Publicación: 16 de julio de 2010) Estandariza los procesos relacionados con los recursos materiales de la Administración Pública Federal. Facilita la reducción de costos de mantenimiento, almacenamiento y arrendamiento en bienes muebles e inmuebles, lo que permite un mejor aprovechamiento de los recursos de la Administración Pública Federal.

8. Tecnologías de la Información y Comunicación (Fecha de Publicación: 13 de julio de 2010) El manual establece un marco estratégico para el uso de nuevas tecnologías. En este sentido, fomenta la transparencia en el Gobierno ya que genera ahorro de recursos para los ciudadanos, las empresas y el Gobierno a través de la oferta de servicios, trámites y procesos digitales automatizados. Asimismo, incrementa la efectividad de las instituciones públicas al mejorar el grado de madurez digital del Gobierno.

9. Transparencia (Fecha de publicación: 12 de julio de 2010) Homologa los procesos de clasificación y desclasificación de información, ampliación del período de reserva, desclasificación de información, actualización de los índices de Expedientes Reservados, atención a solicitudes de acceso a la información, recursos de revisión y atención a resoluciones del IFAI e información socialmente útil o focalizada.

Dentro de estos manuales, destaca el Manual de Aplicación General en Materia de Transparencia, que busca homologar y estandarizar los procesos de:

1. Clasificación y desclasificación de información 2. Ampliación del período de reserva 3. Desclasificación de información 4. Actualización de los índices de Expedientes Reservados 5. Atención a solicitudes de acceso a la información 6. Recursos de revisión y atención a resoluciones del IFAI 7. Información socialmente útil o focalizada Este último procedimiento tiene como objetivo apoyar a las dependencias y entidades de la Administración Pública Federal en generar, procesar y sintetizar información afín a sus particularidades, características, condiciones, circunstancias y marco jurídico de actuación, que resulte de interés para los particulares y propicie una clara rendición de cuentas. A través de este manual se ha logrado:

 Uniformar los criterios para el cumplimiento de las obligaciones en materia de transparencia para toda la Administración Pública federal estableciendo detalladamente los pasos, los plazos y el fundamento jurídico al que deben sujetarse los servidores públicos obligados.

 A través de un solo documento normativo de aplicación general en la Administración pública federal, dictar la política, así como las disposiciones y acciones en materia de transparencia, rendición de cuentas y acceso a la información pública.

 Revisar periódicamente (de forma anual) las disposiciones, las acciones y los procedimientos del Manual para su actualización de acuerdo con las necesidades en materia de transparencia, rendición de cuentas y acceso a la información pública gubernamental.

 Garantizar la protección de los datos personales que se encuentren en posesión de los sujetos obligados mediante el procedimiento de “Clasificación de Información”, que busca facilitar la clasificación que por excepción y conforme a los supuestos de reserva y confidencialidad establecidos en la Ley Federal de Transparencia y Acceso a la Información Pública Gubernamental.

A través del procedimiento Información Socialmente Útil o Focalizada contenido en el Manual, se ha logrado brindar información que permite mejorar la toma de decisiones de los particulares o disminuir riesgos en su seguridad.

Por su parte, la Contraloría Interna de Control del Instituto Federal de Acceso a la Información y Protección de Datos (IFAI) remite a los servidores públicos del IFAI, correos electrónicos que contienen el reporte de las actividades que lleva a cabo la Secretaría de la Función Pública (SFP) en la Administración Pública Federal, con el propósito de sensibilizar al IFAI en la cultura de la denuncia y poner de manifiesto que cuando existen actos de corrupción, conjuntamente con la ciudadanía, éstos se pueden atender y sancionar. Cabe mencionar que esta campaña es de prevención general que desarrolla la SFP, al dar a conocer las acciones que ha logrado en la lucha contra la corrupción, lo cual, logra un impacto para que los servidores públicos no cometan actos de corrupción y sean parte de la vigilancia contra dichos actos.

Los manuales pueden ser consultados en la página: http://www.funcionpublica.gob.mx/index.php/programas/manuales.html. Para la realización de los manuales se integraron nueve equipos de trabajo con representantes de diversas entidades y dependencias que se dieron a la tarea de compilar las mejores prácticas de gestión en estas materias.

Para reforzar este ejercicio de tala regulatoria, el Presidente de la República emitió un Acuerdo publicado en el Diario Oficial de la Federación el 10 de agosto de 2010 en el que se eliminan las normas innecesarias.

Esta tarea que ha realizado el Gobierno Federal, combate eficazmente a la corrupción, concentrando el tiempo, los recursos y la inteligencia de los órganos de control en las tareas de investigación y seguimiento en las áreas más susceptibles a actos de corrupción, liberando a estas instancias de vigilancia de trabajos superfluos derivados del incumplimiento de normas innecesarias e inocuas.

Cabe destacar que se han compartido con ocho gobiernos estatales acciones de ahorro y modelos de eficiencia gubernamental y dos más están en proceso de aplicación. Se anexan los siguientes documentos:

 Fewer Rulers, Better Results  Resumen Ejecutivo del documento “Towards more effective and dynamic public management in Mexico” de la OCDE.

Al día de hoy 13 de julio se han logrado eliminar más de 16 mil normas y 2257 trámites y servicios lo que contribuye a fomentar la transparencia y hacer más eficiente la administración pública. A nivel estatal, se han realizado convenios de cooperación con los gobiernos estatales a efecto de propiciar la modernización de sus administraciones mediante la optimización de sus recursos. A nivel internacional, el Gobierno de Colombia ha solicitado asesoría a la Secretaria de la Función Pública a efecto de compartir la experiencia con ese país.

La experiencia de México en este sentido ha sido muy exitosa, tal como quedo de manifiesto en el seminario “la Construcción de un sector público efectivo y transparente” realizado en la Ciudad de México los días 11 y 12 de julio de 2011, la cual contó con la participación de expertos internacionales de diferentes países de iberoamerica. En este mismo aspecto, la Secretaría de la Función Pública ha elaborado y difundido una serie de cortometrajes para sensibilizar y propiciar la reflexión acerca de la corrupción.

Mediante estos cortometrajes se invita a los servidores públicos a observar conductas favorables a la integridad, la honestidad, el apego a la legalidad y la transparencia.

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY MONTENEGRO ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

MONTENEGRO (TENTH MEETING)

Introduction

Until 2014, the Government of Montenegro adopted and implemented four-year strategies for the fight against corruption and organized crime and two-year action plans for their implementation. The implementation of the last such strategy, namely the Strategy for the Fight against Corruption and Organized Crime (2010- 2014), as well as its accompanying action plans (2010-2012 and 2013-2014), expired at the end of 2014, which almost coincided with the opening of the negotiation chapter 23 (Judiciary and Fundamental Rights) with the European Union, as well as the adoption of the Action Plan for Chapter 23 (hereinafter: AP 23), which covers the judiciary, fight against corruption and fundamental rights.

In order to avoid overlapping of anti-corruption measures and to facilitate monitoring of their implementation, AP 23 becomes a strategic anti-corruption document of Montenegro. To provide for continuation of monitoring of activities in areas of special risk, covered by the mentioned anti-corruption strategy and its action plans, the AP 23 has been supplemented in the part dealing with activities for prevention of corruption, by the adoption of the Operational document for prevention of corruption in areas of special risk that covered seven areas: public procurement, privatization, urban planning, education, health, local self-government and police.

Action Plan for Chapter 23

The sole benchmark for the opening of negotiations on Chapter 23 was for Montenegro to “adopt one or more detailed action plans including appropriate timelines and implications on funds and setting out clear goals, measurable indicators, and, where appropriate, the necessary institutional order in the following areas: Judiciary, Fight against Corruption, and Fundamental Rights”.

In March 2012, the Government of Montenegro established the Working Group for preparation of negotiations on the accession of Montenegro to the European Union in the area of the acquis related to the negotiation chapter 23 – Judiciary and Fundamental Rights (hereinafter referred to as Working Group 23). Working group 23 drafted the AP 23, which was adopted in June 2013, after which negotiations with the EU in this chapter were opened in December 2013. AP 23 was updated in 2015, and the Operational Document was adopted and incorporated in 2016.

Drafting of the AP 23 and involvement of all relevant stakeholders

Working Group 23 consists of 47 members from all three branches of government: legislative, judicial, and executive, including five representatives from nongovernmental organizations. Working Group 23 has coordinators for particular areas and coordinators in institutions: two coordinators for the area of judiciary, three coordinators for the area of prevention of corruption, one coordinator for the area of repression of corruption, three coordinators for human rights and one coordinator for cooperation with NGOs.

AP 23 was developed through the process of consultations between the key stakeholders and the full inter‐ministerial cooperation between all responsible institutions and bodies, with a view to providing the maximum support to implementation. Public consultations were also organized for the updating of AP 23, when all relevant stakeholders were given the opportunity to submit the proposals and provide opinion on the updated document. An important contribution was provided by representatives of the civil sector in the Working Group 23, who were involved in the updating and finalizing the AP 23.

Among others, the tasks of the Working Group 23 are: to participate in the preparation, implementation and reporting on the implementation of action plans and other documents of importance for Montenegro's accession to the European Union; and monitoring and reporting on the implementation of the final benchmarks for the European Union acquis communautaire related to Negotiating Chapter 23 - Judiciary and Fundamental Rights.

Structure and areas covered by AP 23

In accordance with the position of the EU Member States, AP 23 was designed so as to cover three sub‐areas: Judiciary, Fight against Corruption, and Fundamental Rights. The fourth sub-area – Cooperation with the NGO Sector is also included in the AP 23. Prior to presentation of the objectives and measures for each sub‐area, in order to consider their projections as adequately as possible, a brief description of the current state of play in that sub‐area is provided, which represents a starting basis for the projection of future activities. Each sub‐area is divided into headings, i.e. topics which it contains. Sub-area Fight against corruption contains two headings: Prevention of Corruption, and Repression of Corruption.

Defining objectives

The objectives in the AP 23 were defined taking into account clear recommendations from the Screening Report, as well as those given in the course of the screening process. Also, some of the objectives were defined by taking into account the need of achieving certain standards that are prerequisites for the fulfilment of certain objectives referred to in the Screening Report. During the updating of the AP 23, the objectives remained the same.

In accordance with the rules for preparation of AP 23, as a strategic and reform document, AP 23 contains an overview of mechanisms and activities based on which it is evident what is intended to be achieved within a specified period, based on realistic assessments and to the extent possible.

Defining measures

The measures in AP 23 were designed towards fulfilment of recommendations defined by the Screening Report for this chapter, as well as interim benchmarks. All measures contained in AP 23 are in line with the measures provided in the national strategic documents (Judicial Reform Strategy, Plan for rationalization of the judicial network, Strategy for fight against corruption and organized crime, Strategy for integration of persons with disabilities, etc.).

The recommendations in the Screening Report were defined as goals, and then divided into measures. When defining measures, priorities were taken into account that were assessed as preconditions for fulfilment of certain other goals. The measures in the AP 23 can be divided into three groups: normative harmonization, strengthening of the institutional and administrative

framework, as well as implementation of necessary educational activities for staff and raising awareness of citizens (where applicable). It is important to note that the planned measures were conceived in such a manner that their implementation clearly reflects the impact of the reform.

Defining timelines

Timelines were set for implementation of each individual activity, which as a set of measures provide for the achievement of the established objective. For each sub-area of Chapter 23, the activities were projected and presented in such a manner to chronologically follow their implementation, starting from 2013. In that context, priorities in the implementation of the activities were established as well, in accordance with the following structure of implementation: − Short-term priorities – measures to be implemented in 2015; − Medium-term priorities –measures to be implemented in 2016 and 2017; − Long-term priorities –measures to be implemented from 2018 onwards.

Precise deadlines were defined for implementation of measures from 2015 by stating the month and the year in which their implementation is planned. When it comes to medium-term priorities, implementation of measures was planned quarterly, while implementation of long-term measures is defined on semi-annual basis.

Designating authorities responsible for implementation of measures

Institutions responsible for implementation are designated for each measure. For some measures that call for cooperation between several institutions and inter- agency cooperation, the institution in charge of carrying out and coordinating the implementation of activities was defined first, while other institutions provide support in achieving as high and efficient level of implementation as possible. Relative to the measures which refer to amendments to the existing and drafting and adoption of new pieces of legislation, multidisciplinary working groups are established, in accordance with the content of that new piece of legislation, with participation of stakeholders from the civil sector, in accordance with the Government’s Decision on manner and procedure for establishing cooperation between state administration bodies and NGOs, and Decision on manner and procedure for carrying out public discussions in the law-making process.

Allocating funds for implementation

AP 23 defines the funds required for implementation of envisaged measures, and it should be noted that the Budget of Montenegro is the major source of financing. Since expert assistance was required for implementation of certain measures, the engagement of experts through TAIEX was envisaged. Considering that significant amount of funds necessary for implementation of certain measures, the AP 23 also sets forth as sources of funding: allocated funds under IPA II projects, as well as obtained and potential grants from international organizations or EU Member States, via projects and bilateral agreements.

Defining indicators of result and impact

Indicators were for each measure individually. Indicators were set so as to facilitate the monitoring of the AP 23 implementation, both quantitatively and qualitatively. Thus, two types of indicators were set: indicators of result, and indicators of impact, where possible. Each indicator was set so as to monitor not only the implementation of a certain activity up to the level of alignment (indicator of result), but also to provide for the assessment of the level of implementation (indicator of impact), i.e. the implementation of a new standard with respect to citizens and all stakeholders can be assessed (for example: an indicator concerning an amendment to or adoption of a piece of legislation is not only its adoption, but also, where possible, statistical data on the enforcement of the law, in some cases research, etc., hence, measurable data indicating impact on society). Furthermore, the indicators of impact are linked to the track record tables for the monitoring of fulfilment of interim benchmarks.

Monitoring of implementation In the implementation of AP 23, special attention has been paid to continuous monitoring of implementation of all measures and the level of achievement of projected objectives. In that part, at operational level, Working Group 23 is charged with monitoring and reporting on AP 23 implementation, and then, a member of the Negotiating Group, Chief Negotiator, the College and the Government. In 2014, the Government also established the Rule of Law Council, as a high-level body that would monitor all activities and deal with possible challenges, with a view to enhancing the coordination in meeting the requirements from chapters 23 and 24. During the monitoring of implementation, special support has been provided by the civil sector, whose representatives are members of the Working Group 23 and who contribute to the improvement of implementation of each activity, its monitoring, but also to the maintenance of the necessary level of transparency.

Monitoring of implementation of AP 23 is carried out by coordinators for particular areas. The coordinators directly cooperate with focal points within the institutions in charge of implementation of planned measures and receive from them information on all matters important for implementation. The focal points report to the coordinators quarterly, while the coordinators draft semi‐annual implementation reports based on the provided information. The semi‐annual reports are approved by the Head of the Working Group 23 and a member of the Negotiating Group, after which the reports are considered by the Government and submitted to the European Commission through the MFA.

Updating AP 23

In setting short-term, mid-term and long-term priorities, and planning the objectives and measures in AP 23, due attention has been given to providing for flexibility in terms of planning the medium-term and long‐term priorities. AP 23 has been updated after the first implementation phase, and will be updated again to take into account certain new circumstances that might have occurred, such as new EU legislation, new IT systems and software, etc.

Operational document

To draft the Operational document prevention of corruption in seven areas of special risk, the Ministry of Justice established the Working Group in 2016, which consisted of the representatives of the Ministry of Justice, Ministry of Sustainable Development and Tourism, Ministry of Economy, Ministry of Health, Ministry of Education, Ministry of Interior, Police Administration, Public Procurement Administration, and the Agency for Prevention of Corruption.

The drafting of the Operational document followed the same methodology as AP 23 in terms of defining measures, timelines, implementing institutions, necessary funds, and indicators, which provided for seamless incorporation of its measures in the AP 23, under the heading on Prevention of Corruption. Operational document sets forth measures for the prevention of corruption in: public procurement, privatization, urban planning, education, health, local self-government and police.

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY MYANMAR

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

MYANMAR (TENTH MEETING)

(1) Please describe (cite and Summarize ) the measure /steps your country has taken , if any ( or is planning to take , together with the related appropriate time frame ) to ensure full compliance with this provision of convention and in particular to develop , implement , monitor and evaluate the impact of the country’s anti- corruption policies.

In relation to article 5 and measures/ steps that have been taken, States parties and signatories may wish to consider including the following:

(A) Development and Implementation Process

(Q-1) Description of the process and steps taken for the development of the anti-corruption policies (strategy, plan, or other policies, regardless of their format or official title) that have been produced or are currently being developed by the State Party;

(A-1) Concerned with description of the process and steps for the development of the anti- corruption policies, Anti-Corruption Strategic Plan (2018-2021) has been developed in 2018. It has three main objectives and 5 working areas. Based on the Strategic Plan, Anti-Corruption Commission Myanmar (ACCM) has developed Annual Action Plan since 2018. In 2019 Action Plan, it has (10) working areas as follows;

(a) Developing of policy Framework (b) Strengthening of Legal Framework (c) Nation-wide Corruption Prevention (d) Anti-Corruption Awareness Raising and Integrity Enhancing (e) Institutional Capacity (f) Capacity Building (g) International Relations on Programs for prevention and combatting corruption (h) Monitoring and Evaluation (i) Develop by 2020 Action Plan (j) Public Reporting

Based on the analysis of the previous year’s results such as success and lessons which shall be reviewed by Commission, Annual Action Plans shall be developed. The results of the research, the advice of the voluntary advisory group and the view of the 2

public shall be taken into consideration in the development of the anti-corruption policies.

(Q-2) Description of how the policies reflect the principles of the rule of law, proper management of public affairs and public property, integrity, transparency and accountability;

(A-2) The policies of the ACCM reflect the principles of rule of law, proper management of public affairs and public property, integrity, transparency and accountability in many good ways. Such as;

(a) Concerned with the principles of rule of law, the fourth amendment of anti- corruption law was revised on 21st June 2018 based on the working area 1.1 of Anti-Corruption Strategic Plan (2018-2021) (Strengthening the Legal Framework). Because of the fourth amendment of anti-corruption law, ACCM is now able to take action against person who causes loss of or damage to state-owned finance or property by violating any existing rules, regulations or procedures while managing State-owned finance. ACCM can take action based on credible information on corruption in accordance with fourth amendment of anti-corruption law even if there is no one who complains or reports about the information of that corruption. (b) Concerned with the proper management of public affairs and public property, ACCM has developed their policies which have direct and indirect impact to the proper management of public affairs and public property. According to Section 41 (c) of the Anti-corruption law, the inspector of the ACCM can inspect rules, regulations and procedures of the governmental department, governmental organizations and private organizations where mass corruption can be occurred and can support and submit to the commission for reforming those systems and procedures if necessary. (c) Concerned with integrity, transparency and accountability, ACCM has arranged workshops and trainings. ACCM developed Code of Conduct for commissioners and staffs of ACCM based on working area (2) of ACC Strategic Plan. People have become much aware of integrity, transparency and accountability.

(Q-3) Description of the applicable implementation mechanisms (including allocated budget, designated responsible institutions, timeline for implementation, etc.) which were established at national, sub-national and /or local government levels;

(A-3) The Anti- Corruption Commission Office was opened on 10 March 2014 at Wunna Theikdhi Sports’ Village in Nay Pyi Taw with the approval of Union Cabinet Meeting No (17/2014). In order to more effectively handle corruption prevention and law enforcement, former organizational structure was expanded with the approval of Union Cabinet Meeting No (20/2018) dated on 28 Nov 2018. According to the expanded structure, the Commission Office has two Departments and two branch offices: one in Yangon and another in Mandalay, having overall staff personnel (838) 3

numbers: official rank (214) places and low level staff (624) places respectively. ACCM is funded by Union Budget and also supported by UNODC and UNDP.

(Q-4) Description of any coordination mechanisms which have been put in place (including structures, protocols or procedures);

(A-4) Provisions for international cooperation prescribed in Anti-Corruption Commission are empowered to cooperate with foreign countries, international and regional organizations on Anti-Corruption matters. ACCM cooperates with UNODC, UNDP, UMFCCI and USAID. Myanmar has become 165th state party of UNCAC. Myanmar has been voluntarily participating in review mechanism on implementation of United Nations Convention against Corruption. And Myanmar successfully completed 1st Cycle of UNCAC Review Mechanism 2010 – 2015 and 2nd Cycle of UNCAC Review Mechanism 2016 – 2020. Myanmar signed and entered into the South East Asia Parties against Corruption on 14 Nov 2013. Accordingly, the Anti-Corruption Commission has been regularly attending the Principals Meeting and Secretariat Meeting. The Commission signed bilateral Memorandum of Understanding with Government Inspectorate of Vietnam in 2015 and with National Anticorruption Commission of Thailand in 2017, Government Inspection and Anti-Corruption Investigation Authority of Laos in 2018 and Anti-Corruption and Civil Rights Commission of Republic of Korea in 2018 for cooperation against corruption in 2018.

According to Working area 7 (International Relations on Programs for prevention and combatting corruption) of 2019 Action Plan, ACCM has a plan to sign MoU with China, India and Indonesia.

Concerned with domestic coordination mechanisms, ACCM has encouraged and negotiated with Ministries to establish and assign CPUs (Corruption Prevention Units) and coordinate in line with ACC law 2013, section 21 (c) (iii), section 44 and section 45. ACCM signed MOU with UMFCCI on 2nd July 2018. The (18) CPUs have been established until now.

Description of how the participation of society was promoted, including whether stakeholders outside of government were consulted and involved in the development, implementation and coordination.

(B) Monitoring and Evaluation

(Q-1) Description of the monitoring mechanisms which were established (including monitoring protocols, mechanisms and channels, feedback mechanisms, etc)

(A-1) Voluntary Advisory Group has been established with experts from different fields to get the fruitful consultation. ACCM also analyzes and takes into account Corruption 4

Perception Index of Transparency International. Survey on Public Perception was being made by interviewing (100) persons in each State/ Region, totally (1330) persons from (13) Regions/ States except Chin State especially in the fields of (a) Knowledge of corruption, (b) Public Perception on corruption in government departments/ organizations, (c) Public Perception on complaints against corruption and public cooperation. Feedback can be submitted to the website of ACCM or by post mail. In 2018, Myanmar was reduced one mark that reflected jumping down to two ranks below as compared to those of 2017. (Q-2) Description of the evaluation mechanisms which were established (including indicators, targets, baselines, data collection tools, data analysis procedures, validation and presentation or reporting of the evaluation findings to the policymakers and to the public at large); (A-2) Based on the analysis of the previous year’s result and lesson learned, action plans shall be developed. Evaluation mechanisms have not been systematically established that include indicators, data collection tools, data analysis procedures. But annual report is yearly published and summited to the Pyidaungsu Hluttaw, Pyithu Hluttaw, Amyotha Hluttaw and also to the public. (Q-3) Description of analytical approaches and methodologies used with regard to data and indicators in order to measure progress in implementation as well as the impact of measures taken further to the implementation process; and (A-3) Random sampling method is used in collecting perception of public. (Q-4) Description of how the participation of society was promoted, including whether stakeholders outside of government were consulted and involved in the monitoring and evaluation processes. (A-4) In the recent years, ACCM has become the organization which is highly interested and has gained the trust of the public. The anti-corruption activities in prevention, eradiation and public awareness have been recognized by the public. Annual report is yearly published and submitted to the Hluttaw (Parliament). So, people can also participate in monitoring and evaluation processes through the representatives of the Hluttaw (Parliament). It is generally based on the complaints which were received from public. The increased numbers of complaints showed that public has a high expectation on ACCM. And a number of Facebook followers is over 120,000 which is the highest number of Facebook followers among the Facebook pages of Ministries of Myanmar.

2. Please outline the actions required to ensure or improve the implementation of the measures described above and any specific challenges you might be facing in this respect. 5

Examples of the actions required to ensure or improve the implementation of the measures described above and challenge States parties and signatories may face include: (a) Development and Implementation Process (Q-1) Description of challenges encountered in the development and implementation process, particularly in terms of effectiveness, coordination and impact in both urban and rural areas, and steps that were taken, if any, to address these challenges; (A-1) Concerned with the challenges encountered in the development and implementation process, particularly in terms of effectiveness, coordination and impact in both urban and rural areas, Myanmar is composed of one union territory, 7 states and 7 regions. Total area is 676,578 km2 and population is nearly 52 million. There are so many remote areas where natural resources are rich. And also, there are many development projects which are being implemented by national budget in respective budget years. With 12 members of commission and around 300 members of staff, it is difficult to monitor and cover the whole country. But ACCM has received complaints from different regions and states and has investigated the complaints that are concerned with corruption. Thus, the commission needs international assistance in Database System for complaints and work flow system. Moreover, it is needed to improve the capacity of staff and investigators from the commission. (Q-2) Reports, studies, statistics or any other relevant information which illustrates the measures the State Party has taken to effectively implement this provision; Anti- Corruption policy documents (strategy, action plan or other policies) or other documents containing anti-corruption policies; Government regulations, decrees or similar decisions establishing coordination structures and/ or procedures; and examples of the operation of the mechanisms for inter-institutional coordination. (A-2) As mentioned above, annual report is published and submitted to Hluttaw (Union Parliament). Based on the analysis of previous year’s results and lesson learnt, the annual action plan shall be developed. Anti-Corruption policy documents are ACC Strategic Plan (2018-2021), 2018 Action Plan, 2019 Action Plan, UNODC Sub- Program (2) of National Strategic Plan (Myanmar), UNODC Work Plan, UNDP Annual plan. According to section (68) of ACC Law, notwithstanding contained in any other existing law in respect of corruption or enrichment by corruption or investigating, and taking action currencies and properties shall take action only by this law. But CPUs (Corruption Prevention Units) have been established in (18) ministries as coordination structures. By doing so, the gratification and briery will gradually decrease. Moreover, government can be aware which sector/ ministry is the mass corruption in country and emphasize on checking and balancing in those sectors through the special measures. Government organizations are cooperating with ACCM whenever ACCM has requested even though there is no special regulations. For examples, ACCM asks for recommendation from Union Attorney General Office in prosecuting corruption cases in the court. For preventive measure, ACCM cooperate 6

with not only UCSB but also other ministries. And ACCM signed declaration on Anti- Corruption Cooperation with the Federation of Chambers of Commerce and Industry (UMFCCI).

(b) Monitoring and Evaluation (Q-1) Progress reports on the implementation and/or impact of national anti-corruption strategies, action plans and /or policies; description of challenges in the development, data collection and/or analysis of indicators to evaluate the implementation of relevant policies and their impact on the prevention and detection of corruption; pubic surveys of the perceived and experienced extent of corruption in various sectors and risk assessment of areas or sectors particularly susceptible to corruption.

(A-1) Anti-Corruption Strategic Plan (2018-2021) has been developed in 2018. It has three main objectives and 5 working areas. Based on ACC Strategic Plan, ACCM has developed the Annual Action Plan since 2018. In 2019 Action Plan, it has (10) working areas. Annual report was published and submitted to Pyidaungsu Hluttaw (Union Parliament). Representatives of Pyidaungsu Hluttaw (Union Parliament) discussed about the strengths and weak points of the results of the Annual Report. And then, Chairman of ACCM discussed and explained about the Annual Report at the Pyidaungsu Hluttaw (Union Parliament). ACCM still needs to learn the practice of international anti-corruption organizations. ACCM needs budget to collect data and consultant who is expert and familiar with Myanmar working culture. In 2018, ACCM asked A2JI to make a survey on public perception which was being made by interviewing (100) persons in each State/Region, totally (1330) people from (13) Regions/States except Chin State especially in the fields of (a) Knowledge of corruption, (b) Public perception on corruption in government departments/organizations, (c) Public perception on complaints against corruption and public cooperation. One of the main objectives of the establishment of CPUs in (18) Ministries is to make risk assessments of areas or sectors particularly susceptible to corruption. ACCM also held workshop on Corruption Risk Assessment with the assistance of UNODC. 3. Please describe any lessons learned in the development, evaluation and impact of anti-corruption policies or strategies. As regard with the development, evaluation and impact of anti- corruption strategies under the preventive measures, the following actions are the latest issues in ACCM.

The fourth amendment of Anti-Corruption Law was enacted on 21 June 2018. With the intention to get public understanding on our activities, the Commission’s own website (www.accm.gov.mm) and ACC Myanmar Facebook Page were launched and at present, Facebook Page has around 120,000 followers. In commission website, the complaint 7 procedures are broadcast to let public know. As part of corruption related edutainment program, the short video clips were produced. Through media, public becomes trust and reliable on ACC. According to the section 3 (c), prominent (credible) information was enacted and prosecuted to the Yangon Region Advocate General and his followers for the death of Facebook celebrity, Aung Ye Htwe.

In 2018, the Commission formulated Anti-Corruption Strategic Plan (2018-2021) and its corresponding Action Plan for the Year 2018 and implemented the actions for the fight against the corruption. In 2019, the annual action plan is being implemented. According to 2019 plan, with the collaboration of UNODC, CPUs are being established in ministries to prevent corruption and to take action those who corrupt. Until now, there has been CPUs in (18) ministries. By doing so, ACC can monitor on the corruption of each ministry and it is also one of the best ways to irradiate corruption.

ACCM and Chairman of UMFCCI signed and issued the Joint Declaration on cooperation for Anti-Corruption to develop principally strong business ethics and appropriate controls tools in private business organizations for prevention of corruption on 2nd July 2018.

In order to educate and disseminate anti-corruption knowledge and practices among school children and youths as part of enhancing the integrity program, Teachers’ Guide Book for basic education primary level was jointly developed by the Anti-Corruption Commission Myanmar and Ministry of Education. The Commission successfully transferred 40,000 Guide Books to Ministry of Education. Now, ACCM is developing curriculum on integrity education for secondary and tertiary levels. It can also nature the integrity and ethic of the young generation.

To expend the structure of ACCM, Yangon branch and Mandalay branch were already opened. The second cycle review meeting was held and the responsible review countries visited and recommended on it. According to 2019 ACC Action Plan, the whistle blower law is drafted for the second time. ACCM will participate in the (15) SEA-PAC meeting at Singapore. The 2020 action plan will be developed.

4. Do you consider that any technical assistance is required in order to allow you to fully implement this provision? If so, what specific forms of technical assistance would you require? Yes, technical assistance is required in order to allow us to fully implement this provision. In ACCM, there are two main departments which are Administrative Department, Prevention and Investigation Department. Therefore, not only investigation trainings but also public administration trainings are also needed. For a short term, workshop, study tour, seminar, knowledge sharing section should be provided in rising capacity of staff officer. For the long term, scholarship for master course on anti-corruption studies, management studies should be offered for the sustainable capacity development of staff and officer. For the development of M&E mechanism, more funding for technical assistance is needed. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY NICARAGUA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

NICARAGUA (SECOND MEETING)

Artículo 5: Políticas y prácticas de prevención de la Corrupción:

1. Cada Estado Parte, de conformidad con los principios fundamentales de su ordenamiento jurídico, formulará y aplicará o mantendrá en vigor políticas coordinadas y eficaces contra la corrupción que promuevan la participación de la sociedad y reflejen los principios del imperio de la ley, la debida gestión de los asuntos públicos y los bienes públicos, la integridad, la transparencia y la obligación de rendir cuentas.

2. Cada Estado Parte procurará establecer y fomentar prácticas eficaces encaminadas a prevenir la corrupción.

3. Cada Estado Parte procurará evaluar periódicamente los instrumentos jurídicos y las medidas administrativas pertinentes a fin de determinar si son adecuados para combatir la corrupción.

4. Los Estados Parte, según proceda y de conformidad con los principios fundamentales de su ordenamiento jurídico, colaborarán entre sí y con las organizaciones internacionales y regionales pertinentes en la promoción y formulación de las medidas mencionadas en el presente artículo. Esa colaboración podrá comprender la participación en programas y proyectos internacionales destinados a prevenir la corrupción.

El Estado de Nicaragua está trabajando beligerantemente en las políticas públicas que cumplen preceptos Constitucionales, iniciando con el Plan Nacional para el Desarrollo Humano que contiene las directrices generales del Gobierno, entre los puntos torales de estas políticas se encuentran las Acciones para la Buena Gestión Pública, la cual tiene por objeto el crecimiento económico y la reducción de la pobreza, mediante el desarrollo del capital más importante de un Estado que es el ser humano, dentro de sus directrices tenemos las siguientes:

 Transparencia y probidad en la Gestión Pública.  Fortalecimiento de la Administración Pública  Seguridad Ciudadana  Seguridad de Derecho de Propiedad Partiendo de este Plan se han realizado esfuerzos en la lucha contra la corrupción dentro de los cuales tenemos:

Creación de la Comisión Nacional para el Desarrollo Integral de la Buena Gestión Pública, mediante el Acuerdo Presidencial No. 227-2010, aprobado el día 24 de septiembre de 2010, publicado en La Gaceta Diario Oficial No. 185 del día 27 de septiembre del 2010.

Con el fin de fomentar una gestión pública con honestidad, rectitud y responsabilidad, signada de valores éticos, para lo cual integra la cooperación de todos los servidores públicos e instituciones del Estado; mediante la cooperación a través de los titulares de los Poderes del Estado y representantes de organizaciones de la comunidad nicaragüense, para ser miembros activos de la Comisión Nacional para el Desarrollo Integral de la Buena Gestión Pública, la cual fue conformada el día 14 de abril del corriente año, contando con la presencia de 26 representantes de instituciones del Estado y organizaciones de la sociedad civil.

Miembros de la Comisión Nacional para el Desarrollo Integral de la Buena Gestión Pública:

1. Procuraduría General de la República 2. Oficina de Ética Pública 3. Policía Nacional 4. Ministerio Público 5. Ministerio de Gobernación 6. Ministerio de Relaciones Exteriores 7. Ministerio de Educación 8. Ministerio de la Familia, Adolescencia y Niñez 9. Ministerio de Recursos Naturales y del Ambiente 10. Corte Suprema de Justicia 11. Consejo Supremo Electoral 12. Contraloría General de la República 13. Asociación de Municipios 14. Asociación de organismos de la Sociedad nicaragüense. 15. Asociación de Organismos de la Coordinadora Social 16. Asociaciones representantes de la Empresa Privada 17. Ministerio de Salud 18. Asamblea Nacional (Comisión de Probidad y Transparencia y Comisión de Justicia) 19. Procuraduría para la Defensa de los Derechos Humanos.

En esta conformación se dio a conocer la “Estrategia Nacional para el Desarrollo Integral de la Buena Gestión Pública”, donde se definen acciones tanto de las instituciones del Estado como de las organizaciones de la comunidad nicaragüense, la cual deberá contener un conjunto de políticas públicas para el rescate de la aplicación de principios y valores éticos dentro de la Administración Pública a implementarse a corto, mediano y largo plazo, con el objetivo de: Promover acciones encaminadas al desarrollo Integral de la Administración pública a través de la correcta gestión de los funcionarios y empleados estatales y la incorporación de la población en el ejercicio del control social a la gestión pública.

Esta estrategia consta de 3 componentes fundamentales que incluye de manera homogénea las actividades del Estado entra las cuales tenemos:

Componente 1: Promoción de principios y valores Éticos en la Administración Pública. La Estrategia Nacional para el Desarrollo Integral de la Buena Gestión Pública tiene como eje transversal la promoción, educación y divulgación de principios y valores éticos, teniendo el objetivo de Promover los principios éticos como fuentes de conciencia social en base a valores que se implementen cotidianamente.

Orientado de manera estratégica a los siguientes sectores:

 Estudiantes partiendo desde primaria llegando hasta la educación superior, con el objetivo de construir una sociedad más honesta, justa y solidaria.  Dirigido a servidores públicos, ya que representan una autoridad ante la  población, por lo cual debe de actuar correctamente a través de actitudes, palabras, gestos positivos.  Dirigido a la población en general a fin de incentivar el trabajo con base comunitaria para la participación ciudadana que aúna esfuerzos en la promoción de valores éticos.

Componente 2: Ajustes a la Legislación Nacional. Estrategia Nacional para el Desarrollo Integral de la Buena Gestión Pública tiene por finalidad contar con un cuerpo jurídico que permita aplicarse en la búsqueda de la efectividad y el correcto desempeño de los servidores públicos. Para ello, los ajustes o adecuaciones de las normas que se plantean seguidamente, son un eslabón en la cadena estratégica ya que si solo se recurre a la formación en valores no se podría observar si se cumplen o no las normas, qué mejoría presenta la gestión pública.

Objetivo: Ajustar la legislación nacional para lograr una mayor eficacia de la ley, auxiliándose de los operadores del sistema de la administración pública, de las propuestas de la sociedad civil y de los instrumentos y compromisos internacionales asumidos por Nicaragua.

Componente 3: Fortalecimiento de las Funciones Institucionales a través de una Gestión Eficiente En este componente se promueve establecer sistemas normativos que permitan mejorar la actuación de los servidores públicos que realizan la función de persecución penal de los actos en contra de la Administración pública. Y se incluye la creación la Comisión Nacional para el Desarrollo Integral de la Buena Gestión Pública, la cual tiene las siguientes funciones:  Encargarse de diseñar, mejorar, aplicar y revisar la Estrategia Nacional para el Desarrollo Integral de la Buena Gestión Pública.  Elaborar el Plan Nacional de Desarrollo Integral para Buena Gestión Pública (y  posterior seguimiento, monitoreo y evaluación del mismo).  Potenciar la participación de la sociedad en el control social a la gestión pública a través de la publicidad sobre las formas de gobierno, normativas de y medidas para buena gestión pública, derecho a estar informado, etc., y el impulso a la realización de auditorías sociales tanto a nivel local como nacional.  Velar por la prevención e investigación de actos que pudieran constituirse en situaciones en contra de la Administración Pública.  Asesorar a los órganos del Estado y de la Sociedad para implementar políticas o programas de prevención de actuaciones corruptas.  Elaborar programas de prevención y de la promoción de los principios y valores éticos en la gestión pública.  Hacer presencia en las instituciones públicas que por su naturaleza sean más proclives o vulnerables a actos en contra de la Administración Pública.  Llevar un registro de los actos en contra de la Administración pública consumados y procesados según la legislación penal.  Dar seguimiento a los resultados de estudios diagnósticos en temas relacionados a esta materia.  Incentivar que los servidores públicos denuncien los actos en contra de la Administración Pública de los cuales tengan conocimiento.  Dar seguimiento a la implementación de las recomendaciones del MESICIC.  Ser parte promotora para la implementación de las normas relativas a la carrera administrativa (carrera judicial, policial, docente, etc.) en la gestión pública.  Promover la colaboración interinstitucional en materia de la buena gestión pública.

Cooperación con el Fondo Anticorrupción: Desde el año 2002, los gobiernos del Reino de Noruega, Finlandia, Dinamarca, Suecia, Suiza, Alemania, Reino Unido, Holanda y la Organización de las Naciones Unidas constituyeron el Fondo Anticorrupción (FAC), fondo bajo el cual se ha venido proporcionando financiamiento a los esfuerzos de Nicaragua en la lucha contra la corrupción. El programa FAC ha tenido a lo largo de estos años, tres fases de ejecución, la primera de 2002 a 2005, la segunda de 2005 a Febrero 2010 y actualmente los componentes se encuentran ejecutando la mencionada tercera fase, que inició el 01 de marzo del 2010 y concluye en febrero del 2012, en donde se están aportando dos millones y medio dólares, aproximadamente. Los países donantes que participan de esta III Fase son: Noruega, Suiza y el Programa de Naciones Unidas para el Desarrollo. El Gobierno de la República de Nicaragua ha firmado el convenio que comprende la tercera fase, dados los muy satisfactorios resultados que ha registrado el Fondo Anticorrupción en estos últimos años, aunados a la voluntad política del actual gobierno de Reconciliación y Unidad Nacional en continuar en la lucha directa y frontal contra la corrupción.

Como parte de las instituciones del Estado beneficiadas por el Fondo se encuentran: Oficina de Ética Pública, quien se encarga de velar por la parte preventiva de las políticas en pro de la eficiencia y eficacia dentro de la Administración Pública y la Policía Nacional, Procuraduría General de la República, Ministerio Públicos, Consejo Contra el Crimen Organizado, quienes participan en una ruta de la justicia en los ámbitos: investigativo y persecutorio.

Cooperación técnica con el Banco Interamericano de Desarrollo (BID): En el marco de un acuerdo sostenido con el Ministro de Hacienda y Crédito Público, quien es el encargado u homologo del Estado de Nicaragua para tratar cualquier asunto con el Banco Interamericano de Desarrollo, se designó a la Oficina de Ética Pública como el órgano de Gobierno que se encargara de apoyar al Banco en el Diagnostico del Marco Institucional para la Lucha Contra la Corrupción (IMIC), que se realizara en Nicaragua, partiendo de la buena experiencia que se dio en otros países de Centroamérica. Este mecanismo es de gran importancia, porque dará paso a la Estrategia de país 2012- 2015, lo que nos asegura continuar con las relaciones de cooperación entre este órgano multilateral y nuestra Nación, sin mencionar la gran oportunidad de surgiría para apoyar económicamente, técnicamente y de menar general los proyectos en pro de la transparencia, ética, prevención, persecución y sanción.

Este mecanismo se divide en dos componentes:

Ciclo de las políticas públicas  Control Político  Control Judicial  Control Administrativo  Control Ciudadano  Prevención, control y sanción de corrupción

 Contratación y Gestión de RRHH  Adquisición de materiales e insumos  Gestión de Recursos Financieros  Entrega de Bienes y Servicios

Este sistema busca responder las siguientes preguntas: ¿Qué circunstancias hacen más probable que se lleven a cabo actos de corrupción? ¿Qué mecanismos tiene a disposición la autoridad para desincentivarlos? ¿Cuáles son las áreas más vulnerables en cuanto a políticas de corrupción: prevención, control y sanción? ¿En qué nivel de avance de madurez del ciclo de política pública se encuentra cada uno de los ámbitos del estado en materias de anticorrupción (8 pilares)? ¿Consecuentemente, dónde se debe actuar o reforzar para completar una correcta implementación de la política pública anticorrupción? ¿Cuáles son las áreas más débiles en cuanto a las principales funciones de control externo al ejecutivo? Este sistema creara una serie de indicadores que darán énfasis en los resultados y comparación son situaciones internas del país, sin comparaciones con otros países u otros sistemas o mecanismos. El proceso se realizará en los siguientes pasos:

Diagnóstico: Recopilar información general (informes, estudios) sobre el país para tener marco institucional.

Implementación I: Aplicación de indicadores sobre: Marco normativo y Estructura organizacional (nivel institucional).

Implementación II: Aplicación de indicadores sobre: Adecuación y Efectividad.

Socialización: Análisis y presentación de los resultados.

Para esto se está trabajando con las instituciones del Estado: Asamblea Nacional, Oficina de Ética Pública, Corte Suprema de Justicia, Ministerio Público, Procuraduría General de la República, Policía Nacional , Contraloría General de la República, Consejo Nacional Contra el Crimen Organizado, Coordinación social, Fundación Mujer Desarrollo Económico y Comunitarios (FUMDEC) , Dirección General de la Función Pública, Dirección General de Contrataciones del Estado Ministerio de Hacienda, y Crédito Público, Ministerio de Salud y Ministerio de Educación. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY PAKISTAN ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

PAKISTAN (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY PAKISTAN

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

PAKISTAN (SECOND MEETING)

The National Anti-Corruption Strategy (NAGS) In the initial phases after its inception, NAB felt the need to fight corruption through a three-pronged approach; awareness, prevention and enforcement. However, this approach was adopted after comprehensive study on the causes of corruption and remedial measures. The study concluded in a grand National Anti-Corruption Strategy (NACS). The approval for the Project by the President of Pakistan was granted on 12th October 2001. The Project took off on 11 th February 2002. Basically, the Project was undertaken by NAB to diagnose the causes of corruption and envisaged reforms in all spheres of life from the anti-corruption perspective. It was a consultative, participative and consensus-building process involving a range of stakeholders from public and private sectors. The project team studied international best practices and domestic systems. NACS has developed a time-bound implementation action plan. The action plan was approved by the Cabinet in principle on 5 th October 2002, while the President of the Islamic Republic of Pakistan approved its Implementation Mechanism on 24th October 2002. The implementation committee comprises leaders and managers both from public sectors and private sectors to oversee implementations of reforms as envisaged by NAGS.

Objectives of NAGS  Long Term. Eliminating corruption through a holistic, inclusive and progressive approach.  Short Term. Initiate reforms for systemic improvements to strengthen the national integrity system.  Immediate. Assist the political leadership in adopting publicly verifiable high ethical standards to improve governance. Recommendations

To achieve above-mentioned objectives, the NAGS stresses upon creation of an Awareness and Prevention strategy which;  involves everyone in the fight against corruption;  changes societal attitudes towards corruption;  reduces opportunities of corruption by improving the system - Prevention  cultivates strong political will to fight corruption;  promotes meritocracy in recruitment, career management and decision- making;  bolsters transparency and access to information;  improves participatory governance with top-to-bottom approach of accountability;  reforms judicial system;  deregulates the state to make it less intrusive;  strengthens internal controls within public sector;  simplifies procedures;  rationalizes discretionary powers;  revives internal accountability and strengthen public accountability mechanism;  reforms institutional and legal anti-corruption structure;  increases remuneration to a liveable level;  empowers civil society and media to exert moral pressure on corrupt individuals and institutions.

NACS Implementation Committee-Contributions

 The Asset Declaration Monitoring Mechanism. The Government Servants Conduct Rules 1964 require that every Government Servant should declare his/her assets annually. The Assets Declaration System, before computerization, was only of an archaic nature. No monitoring mechanism was in place unless an inquiry was initiated. Hence, the need to revamp the declaration and monitoring mechanism of Assets.  Vigilance Units. The primary objective of these Units was to create deterrence and to ensure that laws and regulations are properly followed. Vigilance Units directly report to Head of the department. The mandate of the Vigilance Unit is uniform across the country to avoid overlapping with other organizations. No additional staff of infrastructure has been utilized.  Integrity Pact. PPRA Ordinance was promulgated in May 2002 but Public Procurement Rules were not framed. The notification of Public Procurement Rules, 2004 was expedited with active support from the Implementation Committee. Integrity Pact for procurements exceeding Rs.50 million was made compulsory. Relevant Sections of the Public Procurement Rules were amended to incorporate this mandatory requirement. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY PANAMA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

PANAMA (SECOND MEETING)

Medidas Preventivas

Artículo 5: Políticas y prácticas de prevención de la Corrupción:

1. Cada Estado Parte, de conformidad con los principios fundamentales de su ordenamiento jurídico, formulará y aplicará o mantendrá en vigor políticas coordinadas y eficaces contra la corrupción que promuevan la participación de la sociedad y reflejen los principios del imperio de la ley, la debida gestión de los asuntos públicos y los bienes públicos, la integridad, la transparencia y la obligación de rendir cuentas.

2. Cada Estado Parte procurará establecer y fomentar prácticas eficaces encaminadas a prevenir la corrupción.

3. Cada Estado Parte procurará evaluar periódicamente los instrumentos jurídicos y las medidas administrativas pertinentes a fin de determinar si son adecuados para combatir la corrupción.

4. Los Estados Parte, según proceda y de conformidad con los principios fundamentales de su ordenamiento jurídico, colaborarán entre sí y con las organizaciones internacionales y regionales pertinentes en la promoción y formulación de las medidas mencionadas en el presente artículo. Esa colaboración podrá comprender la participación en programas y proyectos internacionales destinados a prevenir la corrupción.

A través del Decreto Ejecutivo 179 de 27 de octubre de 2004, modificado por el Decreto Ejecutivo 232 de 21 de julio de 2009, que crea el Consejo Nacional de Transparencia contra la Corrupción, el gobierno panameño busca centralizar y canalizar mediante esta entidad, que esta compuesta por las principales entidades del gobierno encargadas de identificar y prevenir la comisión de actos y delitos de corrupción como lo son el Ministerio de la Presidencia, la Procuraduría General de la Nación, la Contraloría General de la República, el Ministerio de Economía y Finanzas y la Fiscalía de Cuentas, las políticas de prevención, concientización y transparencia en el Estado. El Consejo de Transparencia, tiene entre sus obligaciones promover y convocar a las organizaciones y sectores de la sociedad a adherirse a las responsabilidades encomendadas al Consejo, al igual que examinar la gestión de las instituciones publicas y sugerir a las entidades medidas para corregir anomalía y métodos de control de la corrupción requerir a las entidades publicas el diseño de programas de combate y control de la corrupción, entre otras. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY POLAND

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

POLAND (THIRD MEETING)

The Ministry of Interior compiled the draft "Government Anti-Corruption Programme for 20122016". The document contains numerous tasks and activities aimed at preventing and combating corruption pertaining to the issues of public-private partnerships, public sector, conflicts of interest and asset declarations as well. In the context of public-private partnerships, the programme provides for enhancing the legal solutions, which can hamper the possibility of corruption in private sector, including:  to promote anti-corruption solutions in business through the joint projects,  to develop common standards of codes of conduct for private sector in relationships with the public administration and other entrepreneurs,  to review and enhance the legal and organizational mechanisms (in public administration), in order to ensure private sector transparency. In the context of preventing conflicts of interest and submitting asset declarations, the preparation of the draft government bill on the preventing anti-corruption and conflicts of interest was the fundamental issue in the a/c document. That deed will stipulate the following issues:  to submit and analyze asset declarations of public officials — provisions in the area of the preventive measures,  to take the additional classes during and after the civil service — provisions steered on disclosing conflicts of interest. It is planned to work on enhancing the provisions concerning the financing of political parties. In the context of enhancing the ethical conduct of public officials, the implementation of anti- corruption education to the training programs for public officials and persons elected to public office was the primary issue in the a/m document, including the professional ethics, the prevention of conflicts of interest, the review of codes of conduct for the particular groups of public officials and other professional groups as well. Moreover, it is planned to develop and implement legal solutions for whistleblower protection. In order to enhance the public financial management system was planned:  to improve the monitoring system of the most important privatization of Treasury assets, public tenders as well as the reporting by state authorities and bodies about the observed irregularities and threats to these processes,  to increase the transparency, competitiveness and impartiality of the public procurements, the assets and public resources management and privatization as well. The above-mentioned tasks and actions will be implemented by the appropriate ministries and institutions. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY QATAR ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

QATAR (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY THE REPUBLIC OF KOREA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

REPUBLIC OF KOREA (THIRD MEETING)

Corruption Impact Assessment

1. Overview

In 2011, the Corruption Impact Assessment placed its focus on supplementing assessment items to address new corruption types such as interest conflict and inappropriate execution of budgets; and to remove loopholes in assessment, which helped remove corruption-causing factors from laws and regulations in a systematic and scientific way.

The ACRC also improved the criteria of the Corruption Impact Assessment to effectively detect corruption-causing factors which have become more varied and complicated; and to cover an increasing number of laws and regulations to be assessed in terms of consignment and entrustment to suit the changes in the environment, such as the expansion of the private sector. The Commission also required public service-related companies to lay open the standards and procedures that pertain to their company’s rules for main projects that are closely related to people’s daily lives so that confidence in the companies and predictability of their behavior could be increased.

The acceptance rate of relevant organizations regarding recommendations (corrective measures) was 93.3% in October 2011, an increase over the previous year. The reason for the improvement lies in the facts that evaluators strengthened their expertise related to evaluation; the ACRC's recommendations were made after having conducted a thorough consultation with the organizations in the course of their assessment, which resulted in mutual trust being built between the ACRC and the organizations; and, the regular checking up on the implementation status of the recommendations.

Thanks to the ACRC's efforts such as the development of assessment items, the introduction of a comparative assessment method and close cooperation with public organizations for improving the acceptance rate, central government agencies and local governments highly acclaim the Corruption Impact Assessment as an effective policy tool in the fight against corruption.

2. Major achievements Corruption Impact Assessment of enacted or amended bills

Over 2011, the ACRC conducted the Corruption Impact Assessment on 1,670 newly enacted or amended bills and recommended improvements for 505 corruption-causing factors inherent in 264 laws and regulations to relevant organizations.

Assessment of enacted or amended bills (2011):

Total Agreement to original Recommendations for bills improvement 1,670 bills (100%) 1,406 bills (84.2%) 403 cases out of 264 bills (15.8%)

(1) Improvement recommendation by type Out of 264 bills which were in need of being improved, 66 were laws with 136 Presidential decrees, and 62 were Prime Minister’s decrees and Ministerial ordinances. Compared to the number of target bills, the largest number of recommendations (percentage) were given to 66 laws out of 346 (19.1%), followed by enforcement decrees (136 out of 753, 18.1%) and Prime Minister’s decrees and Ministerial ordinances (62 out of 571, 10.9%).

(2) Improvement recommendation by sector By sector, the recommendations were given in the order of industry and development (212 cases in 99 laws), environment and public health (48 cases in 106 laws), and general administration (47 cases in 73 laws).

(3) Improvement recommendation by duty By type of duty, public services such as “imposition and refund” occupied 23.4% of all recommendations for amendment, followed by “objectivity in forming various commissions and transparency in their administration” (13.5%); and consignment and entrust (8.3%).

(4) Improvement recommendation by assessment criteria In terms of assessment criteria, the ease of compliance, the appropriateness of discretion, and transparency of administrative procedures accounted for 72 cases, 155 cases, and 176 cases respectively out of the total of 505 recommendations.

(5) Improvement recommendation by ministry By ministry, bills of the Ministry of Land, Transport, and Maritime Affairs were recommended for improvement the most (34), followed by the Ministry of Knowledge Economy (31), the Ministry of Education, Science and Technology (26), and the Ministry of Public Administration and Security (25).

Improvement of Corruption Impact Assessment criteria After introducing the Corruption Impact Assessment in April 2005, there have been lots of changes in policy environments such as the expansion of the private sector. Accordingly, the ACRC has also improved and revised the criteria of the Corruption Impact Assessment to effectively detect corruption causing factors which have become more various and complicated; and to cover the increasing numbers of laws and regulations to be assessed regarding consignment and entrust. As more and more central government agencies have commissioned and entrusted to local governments and the private sector, the possibility of corruption has also increased due to the lack of accountability of the private sector or because of local corrupt practices. Therefore, the “appropriateness of the standards of consignment and entrustment” was also included into the assessment criteria. In addition, in order to effectively respond to the more varied and complicated types of corruption, the new criterion of the “possibility of a conflict of interest” was set up to prevent any possibility of the intervention of personal interest in advance. Also, the “clarity of financial support standards” was added to prevent any damage to the property of public agencies (ex: budget waste), since the amount of financial support from the government, such as government subsidies has increased every year. Furthermore, some similar criteria were integrated into the “concreteness and objectiveness of discretional regulation.”

Opening the internal regulations of public service-related agencies.

Public service-related agencies (quasi-government agencies) were established to invest in social overhead capital (SOC) or to be entrusted with government projects. In order to carry out these functions, the agencies set up and have implemented their own internal regulations. As the public service-related agencies are starting to occupy more and more parts of the Korean economy, the internal regulations play larger roles that affect people’s daily lives. But the details of the internal regulations, including standards or procedures of project operation, are not open to the public to the extent that would be desirable. The ACRC drew up the “Guidelines on opening of internal regulations” in July 2011, and distributed them to 675 public service-related agencies to help them make their internal regulations transparent in a voluntary way so that their management would be ethical and transparent. The guidelines set forth the principle that some parts of regulations that are closely related to the people’ lives were to be disclosed openly but that some provisions that are business-related rather than public-related would not be disclosed. Most of the agencies agreed on the importance of the openness, and introduced to implement the ACRC’s guidelines and promised to expand the extent to which they opened up in a consistent way. Before distributing the guidelines, a total of 1,238 internal regulations were laid open to the public, but after the distribution, as many as 4,972 internal regulations, an increase of 3,689 (287.5%) have now been laid open.

Corruption Impact Assessment for local governments After launching the autonomous local government system, the importance of finance in the local government is significantly growing, since it covers all financial activities, including the management and disposition of assets and liabilities, or income/expense management. However, there have been some cases in which the financial burden of local governments have increased or fairness has been impeded following the abuse of discretional rules related to private contracts and unclear rules about financial support. Accordingly, the ACRC conducted a Corruption Impact Assessment of the autonomous regulations of the local governments, particularly regarding their finances, so that fairness and transparency in budget execution could be secured and any preferential treatment or pork barrel prevented in advance. In 2011, the Assessment focused on three parts (removing factors that cause preferential treatment, enhancing fairness in making contracts, and preventing pork-barreling budget execution) and endeavored to secure transparency in the administration of local governments.

Monitoring the implementation of improvement recommendations

The effect of the Corruption Impact Assessment is brought about when the agencies in question accept and incorporate the ACRC’s recommendation. But the recommendations are not legally binding, so that the acceptance of the recommendations lies on the shoulders of the concerned agencies. It is therefore all the more important to monitor whether the agencies adopt the recommendations. In order to increase the acceptance and implementation rates, the ACRC strengthens the quality of its assessments with the advice of experts and the training of officials in charge of the assessment; establishes a close network of cooperation with the concerned agencies by holding workshops and meetings; and regularly monitors the concerned agencies to see that their recommendations are incorporated into the revised or newly enacted laws and regulations.

The Anti-Corruption Initiative Assessment

Overview

The purpose of the Anti-Corruption Initiative Assessment (AIA) is to assess the appropriateness and effectiveness of the anti-corruption initiatives being implemented by each public organization. It can be thought of as a comprehensive assessment mechanism that covers various areas of anti-corruption and integrity initiatives. The fundamental objective of the AIA is to spread best practices across the public sector as part of the fight against corruption as well as to encourage each public organization to make an increased effort to enhance its integrity. The ACRC improved the AIA in 2012 so that it would take note of the voluntary efforts of public agencies and to feed back the results into the assessment in a practical way. To do this, efforts to assess the transparency of policies and efforts to improve corruption- prone duties (BPR) were integrated into one single “comprehensive countermeasure” item to be assessed. Also, the AIA enhanced its assessment about the connection between plans and performance of each agency. An assessment team consisting of the ACRC’s staff evaluated the implementation of major anti-corruption measures created by the ACRC. As for areas requiring qualitative evaluation such as action plans, best practices and voluntary efforts, the assessment was conducted by an external research agency.

Assessment criteria

In 2011, the AIA consisted of the three parts of common initiatives, voluntary initiatives, and performance results. The common initiatives were divided according to the following six criteria, based on an analysis of the factors responsible for corruption in public organizations, including the nature of the duties and the characteristics of corruption. The six criteria are as follows: a. Establishment and management of anti-corruption systems: the establishment of anti- corruption systems; the promotion of public-private partnerships; and, the introduction and dissemination of the best anti-corruption practices b. Leaders’ determination to fight corruption: determination of the leaders; transparency of business promotion expenses; and, the results of a survey of the internal staff c. Comprehensive measures for institutional improvement: implementation and effectiveness of the recommendations made by the ACRC; voluntary efforts for institutional improvement; willingness to implement institutional improvement when corruption occurs d. Corruption Impact Assessment: the degree of cooperation given to conducting the Assessment; and, the implementation of recommendations made by the ACRC e. Compliance with the Code of Conduct for Public Organization Employees and the promotion of whistleblowing: the introduction and implementation of best practices of the Code of Conduct; the rate voluntary detections of violations of the Code of Conduct; and the giving of instructions and reviewing the implementation of the Code of Conduct f. Anti-corruption training and promotional activities: completion of anti-corruption training; best practices of anti-corruption training and promotion; and utilization of the educational and promotional contents

Voluntary initiatives were divided using the assessment criteria of the appropriateness of action plans based on public agencies’ own characteristics; the implementation of action plans; and best practices of their own anti-corruption measures. Also, the result of the Integrity Assessment of the year and the improvement compared to the previous year were incorporated into the measure of anti-corruption performance.

Target organizations (208 public organizations)

 Central government agencies (39): 17 ministries, 18 services, 1 office and 3 commissions  Metropolitan governments (16): 16 cities and provinces  Local governments (20): 20 cities, counties and districts  Municipal and Provincial Offices of Education (16): the offices of education in 16 cities and provinces  Public service-related agencies (115): 27 public corporations, 88 other quasi- government agencies

Results of the 2011 Assessment

The 2011 AIA categorized public organizations into the 5 categories of central government agencies, metropolitan and local governments, municipal and provincial offices of education, public corporations, and other public service-related agencies. The results of the AIA were also are divided into the 5 ranks by type. A total of 4 central agencies, 2 metropolitan and local governments, 2 offices of education, 4 public corporations and 5 other public service-related agencies posted a “BEST” ranking. Individual contributors and “BEST” organizations received commendations and prize money.

Future directions

The ACRC sends a comprehensive report of the AIA, the assessment results by criteria, and an analysis of the best-performing organizations to the target organization. The Commission encourages them to make a voluntary effort to improve in the areas that the results revealed to be unsatisfactory and to benchmark the best practices of other organizations. In 2012, the ACRC will change the title of the assessment to “Anti-Corruption Competitiveness Assessment” and revise it to cover not only anti-corruption efforts but also anti-corruption performance and best practices. Particularly, the number of target organizations will be reduced while separate assessment criteria will be developed to monitor corruption-prone sectors such as public agencies in the financial sector or local governments. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY ROMANIA ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

ROMANIA (TENTH MEETING)

I. 1. a) Developing and implementing the process • Within the Ministry of Internal Affairs (MoIA), the Anti-corruption General Directorate (DGA) is the structure specialized in preventing and countering corruption within the ministry’s personnel, according to the Government’s Emergency Ordinance (GEO) no. 30/2007 on organizing and functioning of the MoIA, with ulterior modifications and completions; • In this context, the preventive activity conducted by DGA is based on the National Anti-corruption Strategy for 2016-2020 (SNA), adopted by the Decision no. 583/10.08.2016 and is also based on the principle of preventing the committing of corruption deeds and integrity incidents; • DGA was assigned, by the MoIA Minister’s Order no. 72/15.06.2017, as the structure responsible for the managemnt of anti-corruption issues within the MoIA, with attributions to coordinate, monitor, collect relevant data and report them to the Technical Secretariat within the Ministry of Justice (in Romania, anti-corruption policies are coordinated by the Ministry of Justice); • A key – element for the implementation of SNA measures within the MoIA was turning decision - making factors accountable. In this sense, in order to prevent corruption deeds, the MoIA Minister’s Order provides responsibilities and tasks for managers, who are held liable if the measures are not implemented or if the status of their implementation is not reported; • DGA conducts its specific activity on 3 lines of duty: prevention, education and countering corruption; • in 2018, the legal framework on preventing corruption was consolidated in accordance with the SNA, with emphasis on educational activities for promoting integrity. In this sense, academic environment was extended (universities, high schools etc.), as well as the types of activities (essays contests, seminars, workshops, camps etc.). Thus, in 2018, 117 preventive activities were conducted in collaboration with NGOs, attended by 6.565 persons. Also, 777 preventive activities were conducted with other public institutions, attended by 39.918 persons; • for the academic year 2016 – 2017 a new study subject was introduced into the current curricula of the students from Police Academy, entitled „Integrity and prevention of corruption” and 6 themes were elaborated for the group of students who will be specialized in „anti-corruption”; • We mention DGA’s involvement, for the third time in a row, in the educational program „A different kind of school”, initiated by the Ministry of National Education. 9 anti-corruption informing sessions were held at DGA’s Headquarters, with pupils from 10 schools and high schools (attended by 287 pupils and teachers); • As regards anti-corruption activities conducted for MoIA personnel, 4.424 training and informing activities were conducted, attended by 68.109 employees (10.626 managers and 57.483 in executive positions); • Annually, DGA conducts anti-corruption trainings in the priority fields of activity. In 2018, 3 such domains were identified (traffic police, human resources and certain specific areas). 2.302 activities were conducted, attended by 27.568 MoIA employees; • For MoIA personnel recently employed within the ministry, 10 internships were organized together with the Schengen Multifunctional Training, under the title „Institutional ethics and integrity”, in the framework of the project „Institutional ethics and integrity within the MoIA”. To the present, the internships were attended by 809 employees; • DGA organizes and implements the project „Effective mechanisms for preventing and countering corruption in public administration, including public procurement and management of projects with EU funding”, with funds from the Fund for Internal Security. The target group includes, besides DGA officers, MoIA personnel from the units specialized in public procurement, logistics, project implementation, financial, legal matters and other experts who take part to public procurements. By the end of 2019, 300 MoIA employees involved, directly or indirectly, in public procurements will be trained with regards to preventing corruption and fraud in public procurements, especially with EU funds; • We mention that anti-corruption activities mostly target MoIA personnel; • Issues related to SNA are currently approached within preventive activities organized by DGA officers for MoIA personnel, with debates on topics such as: conflicts of interests/incompatibilities, whistleblowers, declaration of gifts etc. • As regards collaboration with similar institutions, we mention that, based on the „Plan of common measures for preventing corruption in the context of illegal migration 2018”, concluded by DGA, the General Border Inspectorate and the General Inspectorate for Immigration, since 20.07.2018, regional anti-corruption meetings were organized with partners from anti-corruption units from Serbia, Hungary, Ukraine, Republic of Moldova and Bulgaria. On 5.12.2018, DGA organized, in Bucharest, the regional Conference entitled „Ethics and integrity at Romanian Borders – international institutional dialogue”.

I. 1. b) Monitoring and evaluation • In January 2018, DGA sent the documents mentioned bellow to the Ministry of Justice, as a result of monitoring the implementation of the National Anti- corruption Strategy 2016-2020, within the Ministry of Internal Affairs. 1. Narrative report on the status of the implementation of measures foreseen by the National Anti-corruption Strategy 2016-2020, within MoIA, in 2018; 2. Inventory of the measures of institutional transparency and corruption prevention, as well as evaluation indicators within MoIA, for 2018; 3. The list of integrity incidents and of the measures taken to remediate the situation that allowed the integrity incidents to occur; 4. DGA also assesses on an annual basis the measures stipulated by the Integrity Plan of MoIA.

2. a) Development and implementation of the process • Currently, DGA is conducting meetings with MoIA structures mentioned in the Integrity Plan of the ministry, in order to analyze the status of measures that are being implemented or partially implemented, as a prerequisite for the updating every two years of the integrity plans;

2. b) Monitoring and assessment

• A mission of internal public audit on “Improving systems, politics and proceedings created to develop prevention activities within MoIA” was conducted. The period evaluated was 23.08.2016-31.01.2019.

3. Lessons learned • The thematic assessments visits conducted by various national experts to verify the implementation of SNA in public institutions, organized by the Ministry of Justice, represent an important element for putting into practice the principles and the objectives from the Strategy. DGA provided experts that participated in the evaluation of public institutions in Romania. • The participation of DGA in cooperation platforms established by the Ministry of Justice provides the necessary framework to interact with other specialized anti-corruption institutions and exchange good practice.

5. The need of technical assistance for the implementation There is no need of technical assistance for the implementation of SNA within MoIA.

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY ARGENTINA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

ROMANIA (SECOND MEETING)

The first anticorruption strategy was a three-year long national programme which was titled The National Corruption Prevention Programme 2001-2004 (PNPC 2001-2004). Elaborated on the basis of a Diagnosis Report of the World Bank released in 2000, the PNPC focused on four grand areas, identified in the Study as the most affected by corruption: the public administration, the judiciary, the private sector and the political arena. For each of these, objectives of limiting this phenomenon and preventing it were established.

At the same time, PNPC 2001-2004 was structured on three directions for action: research and assessment of corruption, limitation and building a prevention system. Two separate types of cooperation were envisaged: internal cooperation with the civil society and the media, and international cooperation.

The second National Anticorruption Strategy (SNA) for the subsequent three years was adopted in 2005 and had to be implemented up to 2007. SNA 2005-2007 was elaborated around ten objectives, structured on three priority domains, which were: a. prevention, transparency and education; b. combating corruption; and c. internal cooperation and international coordination. In what may concern the first domain, increasing transparency and integrity in the public administration, preventing corruption in the private sector and raising awareness among the public were established as objectives. As for the last domain, the Romanian authorities set up two objectives: coordinating and monitoring the implementation of the SNA 2005-2007; and fully putting into practice the international anticorruption instruments of EU, UN, Council of Europe and OECD.

The third anticorruption strategy was established for the following three years and was titled Strategy on Fighting Corruption in Vulnerable Sectors and Local Public Administration 2008 – 2010. SNA 2008-2010 set up ten strategic objectives, split up on several domains for action: a. information, awareness and accountability; b. simplification of administrative procedures; c. corruption assessment through research; d. transparency and efficiency in the public sector; and e. preventing and combating corruption through communication and collaboration. Apart from the research cluster, all the other domains contained, explicitly or implicitly, the prevention component of fighting corruption. Two of these domains supposed the involvement of civil society. Enhancing the dialogue with civil society organizations through promoting their involvement in projects and programmes of raising awareness on the costs of corruption was part of the framework for action under the first domain: information, awareness and accountability. Efforts for improving the information flow from public authorities and institutions towards the media and the public were also foreseen. Developing partnerships with civil society on the fight against corruption was embraced. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY THE RUSSIAN FEDERATION ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

RUSSIAN FEDERATION (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY THE RUSSIAN FEDERATION

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

RUSSIAN FEDERATION (SECOND MEETING)

Practices aimed at combating corruption are based chiefly on the application of preventive measures (article 5, paragraph 2, of the Convention), which notably include the following:

 The establishment of the requirement for officials of State and municipal agencies (a list of civil service posts is established under the relevant legislation of the Russian Federation) to declare their income and property;

 Application to candidates for posts in the State and municipal agencies — a list of those posts having been established under the legislation of the Russian Federation — of special requirements to ensure, inter alia, monitoring of income, property and compliance with obligations relating to property;

 Introduction of a mechanism for the regulation of conflicts of interest in State and municipal agencies;

 Establishment of the requirement for officials of State and municipal agencies to report any approach made to them by any person in order to incite him or her to commit a corruption offence;

 The development of institutions for civil society and parliamentary control of compliance with the anti-corruption legislation of the Russian Federation;

 Promotion among the general public of a culture of non-tolerance of corrupt conduct.

In line with the recommendation set out in article 5, paragraph 3, of the Convention, both legislation in force and draft legislation are being evaluated increasingly extensively and effectively in the Russian Federation for the purpose of determining their adequacy to prevent and fight corruption.

Legal relations in that area are regulated by Federal Act No. 172 of 17 July 2009 on the evaluation of legislation in force and draft legislation for the purpose of determining the adequacy of such legislation to prevent and fight corruption. The Act provides for the conduct of such evaluation by the agencies of the prosecution service, the Ministry of Justice, other bodies, organizations (including voluntary associations) and the officials of those entities.

The regulations and methodology for the evaluation of legislation in force and draft legislation for the purpose of determining the adequacy of such legislation to prevent and fight corruption were approved by Decision No. 96 of 26 February 2010 of the Government of the Russian Federation.

In 2010, the prosecution service agencies alone studied more than 560,000 items of legislation and some 360,000 draft legislative instruments (one of the functions of those agencies being to participate in lawmaking activities) as part of the review process. More than 37,000 legislative acts and draft legislative acts containing provisions that might facilitate or fail to prevent corruption were identified, the majority of those provisions (more than 80 per cent) subsequently being removed at the request of the prosecution service. A considerable proportion (more than 70 per cent) of the provisions were inconsistent with the requirements of legislation in force.

In implementing State policy with regard to the prevention and combating of corruption, the Russian Federation is cooperating with other States Parties to the United Nations Convention against Corruption and with international organizations through participation in the mechanism for the review of the implementation of the Convention, membership of the Council of Europe Group of States against Corruption (GRECO), the International Association of Anti-Corruption Authorities (IAACA), the International Anti-Corruption Academy (IACA), the Group of 20 anti-corruption working group, the OECD Working Group on Bribery in International Business Transactions and bilateral legal assistance mechanisms. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY SAUDI ARABIA ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

SAUDI ARABIA (TENTH MEETING)

إثر ذلك مت إنشاء ا يئة ال ط ية ملكافحة الفساد "نزاهة" وهي تتمتا الشةصية ا عتمار ة وا ساااتقالل التام مالياً وإدار اً مبا ضااام ا ممايااارة عملها ك دياد ودون تأث م أ هة انت وليس ألدد التدخ يف جمال عملها وتضذلا "نزاهة" مبسؤولية وضا رامج عم لالسااجاتي ية ال ط ية وآليات للتذمي والت سااي الشااام ومتا اة الت في ما مجيا مؤسااااااسااااااات القذاع الاام واختا وه اجلهات تام الت سااااااي ما "نزاهة" وتق م "نزاهة" املتا اة املستمرة لت في ا سجاتي ية ما اجلهات ذات الصلة وتقدم تقر راً س ًّا أعما ا وهي تُ ر خمتلا أنشاااااذة املراقمة واإلياااااراف والت اصااااا ورفا ال عي وذلك الت سي ما اجلهات ذات الصلة.

وتام ا يئة ال ط ية ملكافحة الفساااد عل التحساا املسااتمر لرباجمها وسااياساااتها جتا محا ة ال زاهة ومكافحة الفساااد وذلك مبا ت اف ما ا سااجاتي ية ال ط ية ما ة ال زاهة ومكافحة الفساد وم ضم اآلليات ما لي: 1. عملت ا يئة ال ط ية ملكافحة الفساااااااد "نزاهة" يف ضاااااا ء ت ويمها وا سااااااجاتي ية ال ط ية ما ة ال زاهة ومكافحة الفساااااد عل اعتماد الت هات ا سااااجاتي ية لا "نزاهة" وهي مثان م ذلقات وت هات ) ر ن ا م ج ا مل ر ا ا ة ا ي ك ل ي ة و ا ل و ا م ي ة ا مل ت ا ل ق ة حبما ة ال زاهة ومكافحة الفساااااااااااد و رنامج متا اة املشااااااااااار ا الت م ة الكرب والر ق ا ة ع ل ت ف ي ه ا ر ن ا م ج ت ا ز ز ا مل ك ا ن ة ا ل د و ل ي ة ل ل م م ل ك ة يف جم ا ل مح ا ة ال زاهة ومكافحة الفساااااااااااااااد متا اة إصاااااااااااااادار األنومة والل ا املاززة لل زاهة ومكافحة الفساااااااد رنامج التااون الرقا ي رنامج الرقا ة ا لكجونية رنامج املشار ة اجملتماية رنامج املمادرات ال ط ية الرا دة(. 2. اعتمدت ا يئة ال ط ية ملكافحة الفسااااااااد "نزاهة" خذتها ا ساااااااجاتي ية )-2019 2023( مبشااار ة عدد م املةتصاا األ ادميي و عدد م الاامل يف األ هزة الرقا ية و تاب الرأ الاام وتشاام ه اختذة )6( حماور ر يسااية درج م ها )19( هدف اسجاتي ي و ) 73( هدف فرعي و )250( نشاط ميك تلةيصها يف) شااااا دا ت الفساااااد املالي واإلدار واةاذ اإل راءات حب مرتكميه م ا الفساد املالي واإلدار ا دم آثار الفساد املالي واإلدار اإلثراء املاريف واملهري

7 من 3الصفحة

يف جمال محا ة ال زاهة ومكافحة الفسااااد تاز ز مكانة اململكة دولياً يف جمالي محا ة ال زاهة ومكافحة الفساد تذ ر الام املؤسسي جلهاز "نزاهة"(. إطدر املبدأ الفيجيهي )ب( املعين بدل صد والفقييم: أو ً: ترصاااد ا يئة ال ط ية ملكافحة الفسااااد ال تا ج املتحققة ملتا اة ت في ا ساااجاتي ية وتق ميهااااا ومرا اتهااااا وف من ذج ماااااد جلما املال مااااات ع اااا فقرة م فقرات ا سجاتي ية و صا ال م ذج ال ضا الراه لألداء املتحق لك فقرات ا سجاتي ية و شم ال م ذج ا ق ل التالية: 1. رقم الفقرة يف ا سجاتي ية ونصها ال وامي. 2. اجلهات املا ية ت في الفقرة يف ا سجاتي ية: )داخ "نزاهة" وخار ها(. 3. املةر ات ونسمة ا جناز املتحققة. 4. ال تا ج. 5. املالدوات واملقجدات واإل راء. ثانياً: تم تص يا امل زات عل يك نذاقات لقياس مست ما مت حتقيقه يف فقرة م فقرات ا سجاتي ية ديث مت اعتماد ال ذاق وف اآلتي:

األخض مت حتقيق )75%( أو أكث ، ن الفنايذ

األصا مت حتقيق ند بني )51%( و )74%( ن الفنايذ

الفنايذ.

األمح مت حتقيق )50%( أو أقل، ن الفنايذ.

ما تازز "نزاهة" م املشااار ة ا تماعية يف عملية الرصااد والتقييم وذلك عل ن ع م املؤيرات وهي عل ال ح التالي: أو ً: مؤير مدر ات ال زاهة الطري ال اتمد عل مخسة مؤيرات ر يسة:

7 من 4الصفحة

1. ساايادة ال وام: قيم مد إنفاذ ال وام وتفايله واسااتقالل القضاااء ونزاهته وو د عق ات رادعة للمت اوز والادالة املدنية ومحا ة ا ق ق املدنية. 2. ه د الدولة يف مكافحة الفساد : قيّم مد فاالية وجنا سياسات واسج اتي يات مكافحة الفساااااااااااااد ودر الدولة عل تذمي ا تفاقيات الدولية املتالقة حبما ة ال زاهة ومكافحة الفساد. 3. الم ية التحتية: قيم املشاااار ا ا ك مية شاااك عام و دة الم التحتية لادد م القذاعات ا ي ة م هر اء وميا واتصااااا ت وياااامكات نق وم شاااا ت صااااحية ومدرسية ومد تغذيتها جلميا م اط اململكة. 4. الشااااافافية: قيم مد ا لتزام ال زاهة وتذمي ممدأ الشااااافافية يف مجيا التاامالت وا راءات ا ك مية فيما خيص وضااااااااا امليزانيات املصاااااااااروفات وا رادات ووض ماا املرا اة املالية وإعداد التقار ر ووضا الل ا والق ان واإل راءات. 5. اإلعالم: قيم مد اسااااتقاللية وسااااا اإلعالم وقدرتها عل الكشااااا ع دا ت الفساد وتأث ها يف مااجلة تلك ا ا ت. و تم اتماع امل هج ال صااافي املساااحي ال تالءم ما طمياة األحباث ا ساااتكشاااافية املتالقة إصاادار مؤياارات تا قياس ةاهرة ماي ة و تم اسااتذالع رأ خرباء وخمتصاا م خمتلا التةصصات يف القذاع الاام واختا وأفراد اجملتما. ثانياً: مؤير "قيااااااااااّم" يف اململكة الار ية السا د ة ال هدف إىل قياس مست ال زاهة والشاااااااااااافافية يف اجلهات ا ك مية وقد مت إطالق املؤياااااااااااار عرب تذمي ا يئة ال ط ية ملكافحة الفساد "نزاهة" يف األ هزة ال ية وامل قا اإللكجوني للهيئة "نزاهة" لضمان ال ص ل إىل أ رب يرحية ممك ة م املستفيد م خدمات اجلهات ا ك مية.

وأمّا ما تال املية تذ ر ا سجاتي ية ال ط ية والتدا الالزمة؛ فإن م أ د و ا ر " ن ز ا ه ة " و ف م ا و ر د ا س ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ا ج ا ت ي ي ة ا ل ط ي ة م ت ا ا ة ت ف ي و م ر ا ا ة ا سجاتي ية وم خالل ه ا الدور فلها أن ترفا يف أ وقت مت ما رأت ضرورة حتد ث ا سجاتي ية ال ط ية

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ثانياً: فيما تال تحد د اإل راءات الالزمة لضاااااامان او حتساااااا ت في التدا والتحد ات يف ه ا الصاااااااااااادد ويف إطار املمدأ الت يهي )أ( املاري املية التذ ر والت في . تام ا يئة ال ط ية ملكافحة الفساااد عل د مة متا اة ت في ا سااجاتي ية ووضاا رامج وآليات تذميقها وف أطر زم ية حمددة وذلك املشااااااااااار ة ما اجلهات املشاااااااااام لة اختصاصاتها ما سيتم إطالق م صة الكجونية عل م قا "نزاهة" الر ي تشم ما لي: - س لك هة م اجلهات املا ية درج ه املمادرات ومؤيرات القياس ونسض اإلجناز. وتتا ا "نزاهة" م خالل ه امل صة املمادرات ونسض اإلجناز شك دور . ثالثاً: ال سااامة ل صاااا الدروس املساااتفادة يف تذ ر وتقييم وتأث الساااياساااات أو ا سجاتي يات ملكافحة الفساد. م اعتماد تلك ا سجاتي ية ُ لت ه د ث ة يف جمال م ا الفساد اإلضافة إىل اعتماد الق ان وتاد لها وذلك التااون ما خمتلا أصحاب املصلحة. فال سمي املثال وضات مؤسسة رناجماً يامالً مل ا الفساد ورفا ال عي ه ومرا اة السياسات واإل راءات اختاصة ه. و اءً عل املرا اة الدور ة ل دظ التحسااااااا املساااااااتمر يف األنومة والساااااااياساااااااات واإل راءات يف جمال محا ة ال زاهة ومكافحة الفساااااااااااااااااااااااد وم ذلك أمتتة الاد د م اختدمات يف القذاع الاام اإلضاااااافة إىل حتسااااا اجله د الرامية إىل تاز ز الشااااافافية وتاز ز الشااااارا ة ما اجلهات يف القذاع الاام واختا ما ل دظ التذ ر املساااااتمر يف ال عي مبفه م الفسااااد وآثار اإلضاااافة إىل ز ادة المح ث والدراساااات يف م اضااايا محا ة ال زاهة ومكافحة الفسااااااااد و اإلضاااااااافة إىل تاز ز التااون الرقا ي األ هزة الرقا ية والتحقيقية. ما مت الام عل مشاااااروع " تقييم خماطر الفسااااااد" لألنشاااااذة عالية املةاطر يف اجلهات املشم لة ا ختصا و تك ن املشروع م ثالثة حماور هي:

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احمل ر األول: اء القدرات الداخلية يف نزاهة واجلهات املشم لة اختصاصاتها يف تقييم خماطر الفساااااااااااااااااااااااد م خالل ت ف الربامج التدر مية وور الام الالزمة. احمل ر الثاني: إعداد دلي اساااااجيااااااد إلدارة وتقييم خماطر الفسااااااد لتمك وتاز ز ه د اجلهات يف ه ا اجلانض. احمل ر الثالث: ت في مهام حمددة لدراسااااااااااة وتقييم خماطر الفساااااااااااد يف ا األنشذة التااون ما اجلهات ذات الاالقة. اإلضااااااااااااااافة إىل اء وتذ ر وتذمي مؤياااااااااااااارات للرقا ة اإللكجونية ما اجلهات ا ك مية عل األنشاااااذة عالية املةاطر لتاز ز اجل انض ال قا ية والاال ية ما يااااافافية إتادة ومشاااااااااار ة املؤيااااااااارات ونتا ها ما اجلهات حم التذمي مما ازز م انض الشفافية واملساءلة وسرعة املااجلة جبانميها الاال ي وال قا ي. ما مت الام عل إعداد دلي اسجياد ل تذمي ا متثال يف مؤسسات وير ات القذاع اختا ودرصاااااً م ها عل جت يض ه ا القذاع ياااامهات الفساااااد وتاز ز ال زاهة يف تام ال ت ه ا ل م ي ي ة و ي ه و ا مل ؤ س س ا ت ا ل ر ي ة يف ا ل د ا خ و ا خت ا ر ج و ت ش ي ا م ؤ س س ا ت ه عل ا متثال لألنومة والل ا والتاليمات واملاا واملمارسات املثل .

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THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY SERBIA ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

SERBIA (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY SLOVAKIA ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

SLOVAKIA (TENTH MEETING)

Slovakia welcomes the opportunity to provide relevant information as requested by the UNODC Secretariat in relation to the topics for discussion at the tenth intersessional Working Group on Prevention. The fight against corruption, especially the area of corruption prevention, belongs to the top priorities of the Slovak Government and was included into the Declaration of Government of the Slovak Republic 2016 - 2020 stating determination for the narrowing of margins for corrupt behaviour across all areas of public administration. Office of the Government of the Slovak Republic (hereinafter referred to as „the Office“) is appointed as the body to prevent corruption in SR pursuant to the Article 6 of the United Nations Convention against Corruption. The former Slovak Prime Minister granted even higher importance to fight against corruption when shifting department of corruption prevention into his office in February 2017. Since January 2019 the department (with agenda of fight against corruption with the focus on corruption prevention) is incorporated in the separate organizational section of the Office. All necessary information and documents in the Slovak language are available at the website - https://www.bojprotikorupcii.gov.sk. The Office is responsible for increasing awareness of corruption prevention in the Slovak Republic, particularly in the public sector. Furthermore, it is engaged in the following tasks: • reinforcing the know-how regarding the prevention of and fight against bribery and corruption; • increasing transparency and accountability in public sector institutions with regard to processes designed to prevent corruption and analyse the corruption risks; • strengthening the instruments and tools for combatting corruption, including development and implementation of the new National Anti-Corruption Policy; • providing education, advisory and consultation services in the area of integrity and prevention of corruption for civil servants and members of Government. The Office has been running education (courses, trainings) in the domain of fighting corruption and corruption prevention, especially for the state administration - employees of ministries and other central bodies of state administration and local government. The Office closely cooperates with the Ministry of Education by providing support in trainings of teachers in the domain of fight against corruption, as well as education of children and youth on negative impacts and harmfulness of corruption. The priority is to raise their awareness about negative impacts of corruption and this activity is considered to be an important prevention tool.

In December 2018 the Government of the Slovak Republic has adopted the National Anti-Corruption Policy for the period 2019-2023 by the Decree No. 585/2019. This document is addressed primarily to the public sector institutions in order to reinforce public sector integrity as well as to restore trust in governmental institutions in Slovakia. The Policy is implied by the strong governmental and other public institutions' commitment to address corruption. It also suggests to establish a position of an anti-corruption co-ordinator at each public institution, as well as the obligation to develop sectoral anti-corruption programmes based on the corruption risks management. The Board of Anti- Corruption Co-ordinators is already created as a special expert task-force to support cross-connection of anti-corruption policy of the government and individual ministries. The National Anti-Corruption Policy shall be followed by the national anti-corruption program which will be formulated by the Office in cooperation with the Ministry of Interior by the end of June 2019 and individual ministries by the end of August 2019. All resorts shall publish their anti-corruption programs at their web pages and also their task- evaluation on an annual basis. The National Anti-Corruption Policy follows the Agenda 2030 for sustainable development. Its goals cover the areas of Peace, Justice and Strong Institutions, particularly the targets of providing access to justice for all and building effective, accountable and inclusive institutions in the Slovak Republic. It sets up 3 top priorities in the area of anti-corruption policy for the next four years, 2019-2023, that means not only for the current national Government, but also for the next one (https://www.bojprotikorupcii.gov.sk/protikorupcna-politika-sr/). Another important step forward in the area of corruption prevention is the latest Act No. 54/2019 Coll. on Whistle-blowers´ Protection that replaced the previous one adopted in 2014. This new law entered into force on 1 March 2019. It provides an improved and more effective whistle-blowers´ protection through the establishment of a dedicated independent Office for the whistle-blowers' protection (thereinafter „the WBP Office“). The current Labour Inspectorate's competences related to the whistle-blowers' protection are transferred into the WBP Office in order to strengthen and improve the effectiveness of the protection of whistle-blowers. The WBP Office will also oversee the compliance with that law, provide expert opinions and advice on its application, advocate the provision of whistle-blowers' protection and it will also draft annual reports for the National Council of the Slovak Republic in this area. The WBP Office will also have the competence to draw attention to the deficiencies in addressing the suspicions that have been reported (https://www.slov-lex.sk/pravne-predpisy/SK/ZZ/2019/54/20190301 ). The WBP Office will be headed by the President elected and removed from the office by the National Council from the candidates proposed by the Government. The Government will choose candidates selected by the special Commission, which consists of five members - one member is appointed by the President of the Slovak Republic, one by the Government, one by the Ombudsman, one by the Council for Civil Service and one by an advisory body of the Government for non-governmental organisations and civil society development. One of the most important policy initiatives of the Government Office of the Slovak Republic to curtail corruption includes the preparation of implementation, maintenance and improvement of the Anti- Bribery Management System specified in accordance with the ISO 37001:2016 Standard. This system specifies a series of measures to help organizations prevent, detect and address bribery and corruption risks. These include adopting an anti-corruption policy, appointing a person to oversee anti- corruption compliance. Further activities include trainings, awareness raising, risk assessments and due diligence on projects and business associates, implementing financial and commercial controls, and instituting reporting and investigation procedures. This system will be fully implemented at the Office of Government of the Slovak Republic by the end of 2019. In order to follow the recommendations as set in the National Anti-Corruption Policy 2019 – 2023 and to assist in the process of analysing and identifying the corruption risks in the respective ministries and institutions, the Department of Corruption Prevention of the Government Office has prepared the Methodology for the Management of Corruption Risks (https://www.bojprotikorupcii.gov.sk/data/files/7075_riadenie-rizik_hlavny-mat-fin.pdf).

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY SLOVENIA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

SLOVENIA (SECOND MEETING)

UNCAC Article 5 – Preventive anti-corruption policies and practices

Good practice reported by Slovenia:

 New website of the Commission for the Prevention of Corruption of the Republic of Slovenia (hereinafter the Commission, abbrev. KPK)  the Commission’s newsletter KPK vestnik (KPK Journal)  Publishing texts on corruption and integrity on Slovenian Wikipedia site  Code of conduct for employees and co-workers of the Commission for the Prevention of corruption of the Republic of Slovenia Websites of competent authorities, including anti-corruption agencies and relevant ministries, have become an important component of awareness-raising activities, designed to reach the widest possible audience. That is the reason why the Commission decided to put much effort into its new user-friendly website (www.kpk-rs.si), which was launched in June 2011.

The important characteristics of the new website are informative texts which help the reader to familiarize himself with the anti-corruption topics and the fact that the website has been regularly updated and improved in order to reflect the ongoing activities of the Commission in the fight against corruption.

Moreover, in April 20011 the Commission started publishing monthly newsletter KPK vestnik (KPK Journal) on the relevant anti-corruption topics, activities and forthcoming events. The most important section of the KPK vestnik is a chapter each month dedicated to present different tool, mechanism etc. important in the field of corruption prevention (like integrity plans, incompatibility of office, conflict of interest etc.) promoted either by the Slovenian Integrity and Prevention of Corruption Act or other sources. The newsletter is distributed to all general secretariats of the public sector, NGOs and the media as well as individuals who requested it (available at http://www.kpkrs.si/sl/komisija/medijsko- sredisce/arhiv-newsletter).

To reach the widest possible audience, the Commission prepared and uploaded general information on corruption (definitions, consequences) and integrity on the Slovenian site of Wikipedia (http://sl.wikipedia.org/wiki/Korupcija) (http://sl.wikipedia.org/wiki/Integriteta) as well as a text on the Commission’s responsibilities, competences, field of work in English on the English site of Wikipedia.

The Commission’s Code of conduct represents a different approach to promotion of ethics and integrity as well as accountability of the officials and the public servants employed by the Commission – it is written in a educative way presenting the Commission staff’s commitment to follow three main goals while performing their duties: personal integrity and integrity of the Commission, accountability for their work that should not be affected by conflict of interest or pressures imposed by the superiors or others while on the other hand the integrity of the individual and of the Commission should not be endangered by unlawful instruction to perform duties. The third goal is to achieve the highest possible level of staff’s initiative. An important characteristic of the document are control questions which allow everybody to self-asses their level of acting accordingly with the code. The Code of conduct shall be adopted and signed by every member of the staff to show his or hers obligation to act accordingly and promote it and shall be posted in a form of a poster in the Commission’s lobby available to everyone who enters the Commission’s premises – media, people reporting corruption, other public officials. Code will also be available on Commission’s website. THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY SPAIN ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

SPAIN (TENTH MEETING)

1.- ANTECEDENTES.

Correo electrónico dimanante de Estado Mayor (Operaciones-Área de Servicios), de fecha 08.05.2019 y nº 11660-D, por el que se solicita información previa a la décima reunión entre periodos de sesiones del Grupo de trabajo Intergubernamental de Composición Abierta (GTI) sobre Prevención de la Corrupción, organizado por la Oficina de Naciones Unidas contra la Droga y el Delito, a celebrarse en Viena entre los próximos 04 a 06 de septiembre. Se adjuntan correos.

2.- INFORME.

La Conferencia de los Estados Partes de la Convención de la Naciones Unidas contra la Corrupción decidió en su resolución 7/5, titulada “Promoción de medidas preventivas contra la corrupción”, que el GTI incluyera como tema para 2019 las enseñanzas extraídas en relación con la formulación, la evaluación y las repercusiones de las estrategias de lucha contra la corrupción, constituyendo, este asunto, el tema de debate de la reunión objeto de informe.

Antes de cada reunión del GTI se invita a los Estados partes a compartir experiencias en la aplicación de sus disposiciones objeto de examen, logros alcanzados, problemas surgidos, necesidades de asistencia técnica y enseñanzas resultantes de la aplicación. Para ello la Secretaría de la Conferencia elabora una nota de orientación en la que se expone el tipo de información requerida.

En la citada nota, la Secretaría expone una selección de cuestiones (5) basadas en las preguntas de la lista de verificación para la autoevaluación a modo de guía para presentar la información solicitada y a la que, a continuación, se da respuesta aplicada a la competencia/influencia de nuestra Institución a continuación. Se adjunta guía y nota de orientación indicada en el párrafo anterior.

CU 2019.149.pdf

Cuestiones en relación con el objeto de examen: 1. Describa las medidas que ha adoptado su país, de haberlas (o que prevé adoptar), para lograr el pleno cumplimiento de esta disposición de la Convención y en particular, para formular las políticas nacionales de lucha contra la corrupción, aplicarlas, darles seguimiento y evaluar sus efectos.

a) Proceso de formulación y aplicación.

En relación con las medidas adoptadas por el Estado para formular políticas anticorrupción, cabe señalar el acuerdo 1 adoptado por el Consejo Nacional de Seguridad en su reunión del pasado 21 de febrero, por el que se aprueba la Estrategia Nacional contra el Crimen Organizado y la Delincuencia Grave (periodo 2019-2023). El objeto principal de esta Estrategia pretende minimizar las consecuencias negativas asociadas al Crimen Organizado y la Delincuencia Grave, poner a disposición judicial a los criminales, desarticular los grupos existentes y prevenir la implantación de otros nuevos, con la pretensión de ser un elemento de prevención para reducir el impacto futuro de estas amenazas, mediante la aplicación de políticas de seguridad pública anticipativas y disuasorias, para las que se cuenta con la participación de la sociedad, la coordinación entre todas las administraciones con responsabilidad en la materia o el auxilio de Jueces y Fiscales, con el objetivo final de mejorar las formas de colaboración y de intercambio de información e inteligencia. A modo de descripción de la medida citada, indicar que la misma se estructura en torno a diez ejes de actuación, entre los que se encuentra, con carácter troncal, la “lucha contra los mercados criminales y las graves formas delictivas”, basado en la implementación de medidas para minimizar el riesgo asociado en todas las actividades criminales, pero orientando el mayor esfuerzo (impulso de la investigación criminal) hacia aquellas con especial incidencia en el panorama criminal de España, entre los que se encuentran los delitos relacionados con la Corrupción. Por lo tanto, se considera una prioridad en la Estrategia contra el Crimen Organizado y la Delincuencia Grave, la lucha contra los delitos relacionados con la corrupción por considerarse una amenaza grave para el Estado de Derecho y la Sociedad del Bienestar. Su erradicación es prioritaria ante la necesidad de que los ciudadanos recuperen la confianza en sus Instituciones, a través de las siguientes líneas de acción:

- Mejorar la regulación normativa relativa al acceso a bases de datos financieras por parte de los operadores públicos de seguridad especializados en la lucha contra la corrupción, el blanqueo y demás formas de delincuencia económica. - Reforzar los recursos materiales, especialmente los técnicos, de las unidades dedicadas a la investigación de estos delitos. - Potenciar el desarrollo de investigaciones patrimoniales sobre personas físicas y jurídicas involucradas en procesos de corrupción, fomentando la colaboración nacional e internacional, con los órganos específicamente encargados de la localización y la recuperación de activos2.

1 Orden PCI/161/2019 (BOE número 46 de fecha 22.02.2019). 2 En el ámbito de competencias referidas al Cuerpo, se entienden referidas a través del CITCO. - Mejorar el control efectivo de los principales sectores de riesgo que mantienen estrechos contactos con las instituciones públicas, así como con aquellas nuevas formas de corrupción institucional asociadas a sectores tan mediáticos como el del deporte. - Potenciar la colaboración y coordinación internacional entre los diferentes actores implicados. - Completar la implementación de las medidas previstas en el Convenio Penal sobre Corrupción, ratificado por España. - Promover entre todas las administraciones, organismos y empresas públicas el establecimiento y actualización de códigos deontológicos y nuevas medidas legales.

b) Seguimiento y evaluación.

El seguimiento de lo aquí establecido corresponde a la Secretaría de Estado de Seguridad (Mº. del Interior), siendo el CITCO el indicado para impulsar y coordinar la lucha contra el crimen organizado y la delincuencia grave, elaborando los informes oportunos para los que sea requerido, sobre seguimiento, análisis de la situación y el resultado de la respuesta antes este fenómeno 2. Indique las acciones que sean necesarias para garantizar o mejorar la aplicación de las medidas que se describen más arriba y los problemas concretos que se le hayan presentado a ese respecto.

a) Proceso de formulación y aplicación. Por su parte y de acuerdo con las orientaciones y las medidas establecidas en la Estrategia indicada en el punto anterior, la Dirección General de la Guardia Civil elabora un Plan de Acción Operativo. En el Plan Nacional Estratégico de la Guardia Civil elaborado para el periodo 2017-2020, la corrupción que afecta a las instituciones públicas es uno de los indicadores del mismo, en lo que ha delincuencia económica se refiere. b) Seguimiento y evaluación. El citado Plan Estratégico dispone de un sistema de indicadores que permite el seguimiento y evaluación del mismo con carácter anual, sobre el grado de cumplimiento de los objetivos marcados en el mismo. 3. Describa las enseñanzas extraídas en materia de formulación, evaluación y repercusiones de las políticas o estrategias de lucha contra la corrupción. Sin comentarios en esta materia. 4. ¿Considera usted que necesita asistencia técnica para poder aplicar plenamente esta disposición?. En caso afirmativo, indique los tipos específicos de asistencia técnica que necesitaría. Sin comentarios en esta materia.

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY SRI LANKA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

SRI LANKA (TENTH MEETING)

01. National Action Plan for Combating Bribery and Corruption in Sri Lanka

The Cabinet of Ministers approved and entrusted the Commission to Investigate Allegations of Bribery or Corruption (CIABOC) with the task of formulating a National Action Plan for Combating Bribery and Corruption in Sri Lanka in October 2017. This culminated in developing the National Action Plan for Combatting Bribery and Corruption in Sri Lanka 2019 – 2023 (NAP) which was approved by the Cabinet of Ministers on 05 February 2019. It was thus ceremonially launched on 18 March 2019 in Colombo. The launch of the NAP was in recognition of Sri Lanka’s obligations under the United Nations Convention Against Corruption (UNCAC) and other international obligations, which was constitutionally recognized in the 19th Amendment to the Constitution.

02. The background for the formulation of the National Action Plan

a. The necessity of formulating a National Action Plan to combat bribery and Corruption, is founded on various national and international factors.

b. There are several laws and regulations enacted to combat bribery and corruption in Sri Lanka. Nevertheless, there has been no National Action Plan outlining national Policies envisioning to combat bribery and corruption. Hence, it became imperative that a National Action Plan be formulated to collectively mobilize all governmental bodies and other private institutions for the fight against bribery and corruption.

c. Under Article 156 (A) of the 19th Amendment to the Constitution, it is constitutionally recognized that CIABOC shall take measures to implement the United Nations Convention Against Corruption (UNCAC) and any other international Convention relating to the prevention of corruption to which Sri Lanka is a party.

Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

d. Sri Lanka signed the United Nations Convention Against Corruption (UNCAC) on 15th March 2004 and ratified the same on 31st March 2004. Therefore, as a State party to the Convention, Sri Lanka is under a commitment to establish the necessary legal framework and to formulate a well-coordinated, comprehensive and effective National Policy to combat bribery and corruption in terms of Article 5 of the Convention.

e. During the Second review cycle of the implementation of the United Nations Convention Against Corruption (UNCAC), it was noted that Sri Lanka has not formulated a National Action Plan on anti-corruption.

f. Moreover, in terms of the National Action Plan formulated under the Open Government Partnership, the need to formulate a National Action Plan is emphasized.

g. On the dialogue concerning whether the GSP Plus Concession should be granted to Sri Lanka again, the European Commission considered whether Sri Lanka has taken substantial steps to effectively combat bribery and corruption, particularly whether Sri Lanka is in compliance with the UNCAC. In addition, the European Commission stressed that Sri Lanka should formulate a National Action Plan to effectively prevent and combat bribery and corruption strengthening good governance.

h. The International Monetary Fund (IMF) too has emphasized upon the above obligations of good governance and fighting corruption in the course of allocating its funds.

i. The Sustainable Development Goals in its Goal 16(5) equally has the aim of eradicating bribery and corruption by year 2030. Therefore, formulating a national Action plan is imperative in the country’s move towards Sustainable Development.

03. Cabinet Approval for the formulation of the National Action Plan.

a. In view of the above necessities, Cabinet approval was granted by the Cabinet Paper 731/2325/17 dated 24th October 2017 to formulate the National Action Plan.

b. It was further decided that the National Action Plan be formulated by the CIABOC under the guidance of Presidential Secretariat and in consultation with relevant agencies.

Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

04. The formulation of the National Action Plan

a. The NAP is a culmination of extensive studies of the experience of other nations, a review of Sri Lanka’s own unique circumstances, and nation-wide consultations with citizens.

b. Consequently, under the guidance of Presidential Secretariat and assistance of Ministry of Public Administration, the CIABOC carried out island wide, regional consultations in order to gather ideas, recommendations and suggestion from the public.

c. Consultations were carried out to cover different targeted segments of the society including parliamentarians, other public representatives, public sector, private Sector, religious leaders, civil society, media, artists, organizations of professional associations, foreign ambassadors etc. In particular, four informative discussions were held at the parliamentary premises in order to take recommendations from the entirety of the 225 members of the parliament. These island wide regional consultations were in effect a sangayana or a conference within the Public service comprised of 1.5 million public officers.

d. The final draft of the National Action Plan formulated through the aforesaid island-wide regional consultations with the intention of building a country of integrity reflects the ideas and suggestion of all segments of the society.

e. An Executive committee and a Working Committee comprised of senior officials from the government and other institutions were appointed to monitor the final draft of the National Action Plan.

05. Cabinet Approval for the National Action Plan drafted with a view to building a country of integrity.

a. Cabinet approval was granted for the National Action Plan formulated and drafted with the recommendations and suggestions from the island wide public consultations on 5th February 2019. The Action Plan is to be implemented within the next five-year span; that is from 2019- 2023.

06. The Foundational Strategies identified by the National Action Plan to combat Bribery and Corruption. Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

a. The National Action Plan identifies 04 strategies as the foundation of the country’s anti- corruption strategy to combat bribery and corruption; They are namely; A. Prevention Measures, a. Establishment of a Corruption Prevention Division at CIABOC b. Enhancing integrity and preventing corruption in the public sector c. Optimizing citizen’s access to public services d. Preventing corruption in the private sector e. Ensuring integrity of elected representatives f. Integrity in public procurement and public finances g. Increasing public confidence in the integrity of the criminal justice system B. Value-Based Education and Community Engagement Investigations, a. Integrity education for children and youth b. Awareness raising for the public sector c. Creating public demand for accountability d. Strengthening the role of media to promote a culture of integrity e. Strengthening civil society and citizens to enhance accountability f. Engaging the private sector towards a society of integrity g. Awareness raising for public representatives

C. Institutional Strengthening of CIABOC and other a. Strengthening CIABOC b. Strengthening law enforcement agencies and regulatory bodies dealing with financial crimes c. Strengthening inter-agency relations

D. Law Enforcement Agencies, Law and Policy Reforms. a. Amendments to laws coming within the purview of CIABOC b. Amendments to other laws relating to anti-corruption efforts c. Policy reforms d. Compliance with international obligations

b. Additionally, Four Handbooks have been released alongside the National Action Plan in relation to decisive factors which would shape the course of the combating bribery and corruption. The four handbooks are as follows:

1. Draft Handbook on Gift Rules: 2. Draft Handbook on Conflict of Interest Rules 3. Integrity Handbook for state officials 4. Handbook on legislative amendments for areas such as bribery, asset declaration, Commission Act, Election campaign finance and whistleblower provisions. Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

c. The Action Plan as well as the 04 Handbooks have been translated to Tamil and English where in 15 publications were launched in total.

d. The National Action Plan for combating bribery and corruption as well as the 04 Handbooks published along with it has been uploaded on the website of the CIABOC. (https://www.ciaboc.gov.lk/)

07. Launch of the National Action Plan

a. The National Action Plan was ceremoniously launched as the “Warrant of Integrity” on 18th March 2019 at Colombo graced by His Excellency the President as the chief guest and other invitees. b. Approximately 1250 guests including Venerable Sanga and other religious leaders representing all religions participated for the occasion.

c. His Excellency the President and all Parliamentarians including the Prime Minister, the Speaker of the Parliament, the Hon. Leader of the Opposition and all public representatives including Governors and Chief Ministers of the Provincial Councils were invited to grace the event. In addition, all Secretaries including the Presidents Secretary, District Secretaries, Divisional Secretaries; officers from public sector; invitees from the private sector; the Police; the Triforce; officers representing the Civil Security; representatives from Civil Society Organizations; participants representing the general public; participants representing School Students; as well as all foreign ambassadors were invited from whom a majority participated for the event.

d. There were several objectives for the participation of nearly 1250 persons to the launch.

e. The main objective being, the need for raising awareness within the sectors who implement the Action Plan in order to give its maximum benefits to the public. The responsibility to implement this national Action Plan is casted with all public institutions of the country. Moreover, each sector has its own sphere of tasks in the implementation of the plan. Therefore, it is imperative that all parties be aware of the National Action Plan. Hence, participants representing all sectors who bear the responsibility of implementing the Plan were invited to grace the occasion.

Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

f. Specially, the members of the Parliament; all Secretaries including the Presidents Secretary, District Secretaries, Divisional Secretaries; chiefs of Corporations, Boards; Governors and Chief Ministers of the Provincial Councils representing the Public Sector were invited with a view to provide a comprehensive awareness during the launch of the Action Plan. Hence steps were taken to creatively explicate the strategies of combatting bribery and corruption contained in the Action Plan.

08. The monitoring and evaluation

a. The monitoring and evaluation strategy The monitoring and evaluation strategy is the mortar that holds together the edifice supported by the four strategic pillars. The utility of the NAP would diminish if the public does not witness nor is kept informed of progress. Thus, the plan includes a rigorous and periodic monitoring and evaluation mechanism. The 2013 Kuala Lumpur Statement on Anti-Corruption Strategies highlights that in order to implement sustainable anti-corruption strategies, the strategies must be institutionalized to ensure effective implementation, continued relevance and timely modifications. The implementation of strategies at national and sub-national levels by identifying responsibilities and timelines for implementation with a focus on key performance indicators, have been recognized as pivotal in the design and content of this Action Plan. Given that a carefully devised monitoring and evaluation framework is imperative to gauge the success of the plan, Strategy E of the plan focuses exclusively on this aspect. b. Key objectives of the Monitoring and Evaluation Plan.

This framework is to be used to monitor the progress of actions, to evaluate outcomes, and to reassess interventions based on such evaluations. It is an essential tool which provides responsible agencies and policy makers information to arrive at objective conclusions on the way-forward. The key objectives and therein focus areas of this strategy are:

• To monitor whether the actions contained in the NAP have been implemented within the stipulated timelines and whether the key performance indicators have been achieved

• To ensure periodical oversight of the institutional Action Plans for the prevention of corruption Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

• To evaluate progress of strategies and to evaluate whether the implementation of the actions have had the envisaged impact on reducing corruption

• To reassess actions based on the evaluations and decide on the necessity to reallocate resources for strengthened implementation.

c. The following measures have been incorporated into strategy E of the Action Plan

1.Establish requisite mechanism for implementation and monitoring 2. Periodic oversight of institutional Action Plans 3. Periodic assessment of the implementation of the NAP 4. Capacity building for monitoring and evaluation 5. Reward role models and organizations d. The requisite mechanism for monitoring and evaluation

A clear understanding of the monitoring mechanism is essential to ensure that the NAP is properly implemented across institutions. Within this Plan, different bodies and institutions have distinct and complementary responsibilities for oversight, monitoring and reporting on implementation. The President, Prime Minster and Cabinet of Ministers have the ultimate responsibility to ensure that the NAP is implemented with efficacy and that strategies have the envisaged impact. The commitment of the cabinet is necessary to ensure that government institutions receive adequate resources for implementation.

The line Ministries responsible for subjects such as local government, planning, education, finance, public administration is responsible for ensuring that the strategies contained within the NAP including consequential policies and programmes are effectively carried out. Heads of all public-sector institutions, have the responsibility to implement measures contained within the NAP to develop of institutional Action Plans and to appoint of corruption Prevention Committees and integrity officers and report on its implementation. The progress of the institutional Action Plans will then be reported via the relevant line ministries to the National Integrity Council. Corruption prevention committees will be responsible for the implementation of the relevant components of the NAP and the institutional Action Plan. The Commission to Investigate Allegations of Bribery or Corruption (CIABOC) will have an integral role in facilitating, capacity building, providing technical guidance and coordinating various components of the NAP. Given its position as Sri Lanka’s premier anti-corruption agency and the role played in the design and compilation of the NAP, CIABOC has a core role in the implementation of the NAP. Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

Periodic oversight of institutional Action Plans will be carried out by the corruption prevention committees of each institution as well as the National Integrity Council while the periodic assessments of the NAP will be carried out by the National Integrity Council in consultation with CIABOC. As scientifically proven, in recognition of the co-relation between successful progress and motivation, the NAP introduces a system of rewards to encourage enhanced performance in keeping with the spirit of the plan. The rewards system is expected to act as a psychological stimulant to all those engaged in the greater scheme of the anti-corruption strategy in order to make it a success. In summary, institutional corruption prevention committees together with integrity officers are accountable to the heads of institutions who in turn report to the Ministry of Public Administration through their relevant line ministries. The Ministry of Public Administration is accountable to the National Integrity Council with the technical support of CIABOC. The National Integrity Council will report to the Cabinet of Ministers and president through the presidential secretariat.

e. The National Integrity Council

The National Integrity Council, which will comprise of a panel of independent experts with multiple stakeholder representation, will be appointed by the President. One member of the council will be ex-officio from the CIABOC Prevention Division. The National Integrity Council will be the authority entrusted with the responsibility for monitoring and evaluation of the NAP, both in its entirety and of its components. As such, the council will be responsible therein for reporting periodically to the Presidential Secretariat.

The key responsibilities of the National Integrity Council include

➢ To conduct a periodic overall review of the implementation of the plan ➢ To review the reports of relevant institutions every half-yearly and report to the Cabinet. ➢ To make observations, suggestions, and recommendations to relevant institutions based on the review ➢ To review the on-going progress of the NAP by making observations, recommendations and suggestions to the relevant institutions ➢ .To review and adjust, where necessary, key performance indicators within the NAP ➢ To monitor the budgetary agencies on the implementation of NAP and recommend changes and additional resource allocations

In this regard, CIABOC has itemized the role of each institution and have begun discussions to establish the Secretariat for Prevention activities. It has also submitted a cabinet paper requesting the President to appoint a Steering Committee to liaise with government entities. Persons of integrity have been identified to form a National Integrity Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

Council to oversee the overall implementation of the NAP, the appointment of which will be made shortly.

At the same time the Presidential Secretariat intends suggesting to COPA to take into consideration the implementation of the NAP as a criterion in its assessments of the performance of government departments.

09. Implementation of the National Action Plan

a. The visionaries and the philosophers are the whip-crackers who take lead in the journey of a country. They can stimulate the people of the country through their clear vision. The reason behind the formulation of this National Action Plan was to give such vision as to the future of Sri Lanka. The true heirs of this National Action Plan are the People of this Country representing a cross-section of the society, who were engaged with this futuristic dialogue during the time span of a year. The core objectives of the ensuing Action Plan are to build a younger generation nurtured with good values and attitudes, create a public and private service of integrity, and to build a justice system where the law treats all people alike with fairness.

b. The eradication of bribery and corruption is not an individual effort on the part of one institution, but a collective goal of the whole nation. We must be the whip-crackers rather than the spectators. Within the next 5 years, our goal must be to collectively work together in fulfilling our responsibilities to realize the vision of eliminating bribery and corruption from Sri Lanka. If so, the day that the world will come to us will not be much far away.

c. The Cabinet of Ministers also approved the National Integrity Plan in 2019 shortly after approving the NAP. The National Integrity Plan applies to all sectors including the judiciary, the legislature, and the private sector.

d. After the NAP was launched, the Secretary to the President held several rounds of discussions on the implementation of the NAP and have issued a circular requiring to all Secretaries and heads of Department to give effect to the content of the NAP, in particular, the requirement to appoint integrity officers and to develop individual institutional prevention strategies.

e. The circulars issued by the Secretary to the President PS/ACD/01/2019 and Circular dated 2019.07.24 have been passed mandating all government institutions, Boards and Corporations to implement the National Action Plan. Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

f. It is imperative to fully implement the National Action Plan in order to effectively combat bribery and corruption in Sri Lanka. All public institutions must be committed to achieve this vision. g. CIABOC also established a formal prevention unit within its institutional structure and received 4000 applications for the 50 positions created to recruit prevention officers. All these applicants have been interviewed and CIABOC awaits final security clearance to appoint the officers. Their role is to guide and assist the integrity officers appointed to government institutions. While CIABOC has carried out 50 awareness programmes during the period from 2015-2018, it has also established 3 prevention Committees for the general public, for education, and for the public sector. h. In furtherance of implementing the NAP, discussions are underway to include training on anti- corruption for public officials at the time of appointment as well as during in-service training. At the same time, as a result of a series of discussions held with the National Institute of Education (NIE), the NIE has undertaken to include anti-corruption as a component on “good habits” in the school curriculum. i. It is also pertinent to mention that vital sectors in society have taken cognizance of the content of the NAP. As a result, recently, religious leaders from all religions ceremonially presented a set of proposals to leaders of political parties at a widely attended national event, the essence of which required political parties to ensure persons with integrity are nominated for elections by their respective parties. j. CIABOC has also held discussions with the private sector regulatory bodies, especially the Chartered Institute of Accountants in Sri Lanka to impress upon them their role in fighting corruption and to carry out prevention activities within their institutions. k. The Commission has also initiated a prevention campaign through social media. The procurement process for the recruitment of a social media expert as well as an entity to carry out the audio visual campaign has already begun. l. In keeping with international obligations such as UNCAC, OGP, and the GSP+ trade concessions, and the Jakarta Statement on Principles for Anti-Corruption Agencies the draft Composite Act contains extremely progressive provisions such as Whistle blower protection; criminalization of private sector bribery, bribery of foreign officials, and conflicts of interest; an electronic assets declaration system etc.

m. Against this backdrop, the Commission to Investigate Allegations of Bribery or Corruption (CIABOC) sought the approval of the Cabinet of Ministers to amend the CIABOC Act. Further, the Sectoral Oversight Committee on legal affairs (Anti-Corruption and media) directed CIABOC and the Legal Draftsman to prepare a draft composite law comprising the content of the Bribery Act No. 11 of 1954, CIABOC Act No. 19 of 1994, and the Declaration Sri Lanka’s response to CU 2019/267(A)/DTA/CEB prevention of corruption

of Assets and Liabilities Law, No. 01 of 1975. Pursuant to such directive, CIABOC sought the approval of the cabinet of ministers to draft a Composite Act which approval was granted on 30 April 2019.

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY TAJIKISTAN ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

TAJIKISTAN (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY UKRAINE ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

UKRAINE (TENTH MEETING)

The framework for the anticorruption policy (the Anticorruption Strategy) in Ukraine is determined by the Verkhovna Rada of Ukraine (Parliament). The anticorruption strategy is developed by the National Agency for Corruption Prevention (hereinafter referred to as – “the National Agency”) on the basis of an analysis of the situation regarding corruption, as well as on the results of the implementation of the previous anti-corruption strategy. The anticorruption strategy is carried out through the implementation of the state program, which is prepared by the National Agency and is approved by the Cabinet of Ministers of Ukraine (the Government). The heads of state bodies bear the responsibility to ensure an effective realization of the state program on the implementation of the anti-corruption strategy. The state program on the implementation of the anticorruption strategy is subject to an annual review with taking into account the outcomes of the implementation of certain measures, conclusions and recommendations of the parliamentary hearings on corruption. In order to ensure an effective implementation of the objectives of the anticorruption reform and the mission of the National Agency, a series of comprehensive measures aimed at improving and developing the state anticorruption policy have been undertaken. In 2017, the implementation of these measures was carried out thorough the analysis of the situation on prevention and fight against corruption in Ukraine, the activities of state and local self-governmental authorities in the field of prevention and fight against corruption, results of monitoring, coordination and evaluation of the effectiveness of the Law of Ukraine "On the State Anti-Corruption Policy in Ukraine (Anticorruption Strategy) for 2014-2017 "and the State Program on the implementation of the Anticorruption Strategy. In 2014, the draft Law of Ukraine "On the State Anti-Corruption Policy in Ukraine (Anticorruption Strategy) for 2014-2017" was drawn up by the Ministry of Justice of Ukraine in cooperation with the experts of the "Reanimation Package of Reforms". The Reanimation Package of Reforms – is the largest coalition of the leading Ukrainian non-governmental organizations and experts, that have united together to promote and carry out reforms in Ukraine. It is a focal point for 84 non-governmental organizations and 21 expert groups that develop, promote and monitor the implementation of reforms. The draft Resolution of the Cabinet of Ministers of Ukraine "On Approval of the State Program for Implementing the Principles of State Anti-Corruption Policy in Ukraine (Anticorruption Strategy) for 2015-2017" has been evaluated by the experts of the United Nations Office on Drugs and Crime (UNODC) with a positive conclusion. It also has been worked out by experts of the World Bank and generally received satisfied comments. Approaches to prepare the draft program, main priorities, ways to accomplish the aims, international experience were being discussed on December 2, 2014 during the round table on the implementation of the new anti-corruption legislation, which has been organized by the Ministry of Justice of Ukraine in partnership with the UNDP, the EU, the International Renaissance Foundation, as well as on December 22, 2014 during a discussion between representatives of the

1 Ministry of Justice of Ukraine and experts from the Anti-Corruption Group on Civic Initiative "Reanimation Package of Reforms" and the UNDP. Initially, on January 31, 2015, the text of the draft program was presented to the public during national discussion on Ukraine's willingness to implement tangible anti-corruption reforms, which was attended by representatives of non-governmental organizations, experts, as well as by international organizations, including the UNDP, the EU and the OECD and has been organized both by the Transparency International Ukraine and the "Reanimation Package of Reforms". Starting from March 9 to March 20, 2015 in order to take into account public opinion the draft program was made available on the website of the Ministry of Justice of Ukraine. On March 4, 2015, during a special discussion, the draft program was revised in the light of the expressed proposals, particularly, on the determination of indicators for the implementation of the program. The meeting was attended by representatives of state bodies and non-governmental organizations, including experts from the "Reanimation Package of Reforms” and from international organizations (the UNDP, the OECD, the United Nations Office on Drugs and Crime), who agreed with the draft resolutions on the implementation of the Anti-Corruption Strategy 2014 - 2017 years. An analysis of statistical data, research findings and other information on the situation regarding corruption was carried out by conducting the survey on quantitative and qualitative indicators of corruption in Ukraine. In particular, the National Agency jointly with the OSCE Project Coordinator in Ukraine, within the framework of international technical assistance program "Support for Diagnosis, Monitoring, and Persecution of Corruption in Ukraine", developed and approved the Standard Corruption Survey Methodology in Ukraine in order to build up a unified instrument for monitoring the situation on prevention of corruption in Ukraine, which allows to record the dynamics of indicators of the prevalence of corruption and the perception of the effectiveness of anti-corruption activities by the population (decision № 12 from January 12, 2017). The need to establish and implement a special tool as the basic element of the assessment system on the level of corruption stems from the current requirements for development mechanisms and implementation of state anti-corruption policies, which are included, in particular, in the UN Convention against Corruption, that provides for a binding nature for the state to have mechanisms for monitoring situation on corruption and the effectiveness of countering corruption. On September 18, 2017, the National Agency presented the results of the survey on the level of corruption perception in Ukraine, which were being carried out from May 29 to July 14, 2017, by an independent research company GFK Ukraine. A total of 3709 respondents were interviewed, of whom 2585 were the representatives of the population, 1005 entrepreneurs and 119 experts. The results of the survey of corruption perceptions in Ukraine are available on the National Agency's web site. The results of the findings showed the same perception of the level of corruption in Ukraine, both by the public and business representatives. The National Agency, together with experts from the European Union Anticorruption Initiative, analyzed the implementation of the Anticorruption Strategy for 2014-2017 and prepared an analytical report and related recommendations thereto. Thus, according to the results of the analysis, only 64% of the measures were taken during 2014-2017. At the same time, the lack of significant results starting form from the adoption of the Anti-Corruption Strategy is due to the fact that most of the new state bodies, that have been established according to legislative acts from 2014-2015, began their comprehensive functioning only at the end of 2015 - beginning of 2016. In 2018, the National Agency continued to work on draft Anti-Corruption Strategy for 2018-2020 and submitted for consideration to the Cabinet of Ministers of Ukraine, after receiving recommendations which have been jointly prepared by the EU Anticorruption Initiative in Ukraine

2 and the International Foundation for Election Systems and the United Nations Development Program project in Ukraine "Transparency and Integrity of the Public sector ", and holding a working meeting with them. The draft Anti-Corruption Strategy for 2018-2020 was approved by the Cabinet of Ministers of Ukraine and submitted to the Verkhovna Rada of Ukraine (Reg. № 8324 of April 26, 2018). On September 18, 2018, although the draft was on the agenda of the ninth session of the Verkhovna Rada of Ukraine of the eighth convocation, but by the end of the year it wasn’t considered. Under an analysis of the situation regarding corruption in 2017, which was covered in the report of a survey of entrepreneurs, experts and the general public, "Corruption in Ukraine: Understanding, Perception, Prevalence" prepared jointly by the NACP, the independent research company "GFK Ukraine" and the Institute of Applied Humanitarian Research, the Anti-Corruption Strategy for 2018-2020 was prepared. Such a survey was carried out in accordance with the Standard Survey Methodology on the level of corruption in Ukraine (approved by the NACP decision № 12 of January 12, 20171), that is a unified instrument for systematic monitoring and evaluation of corruption and allows to record the dynamics of indicators of corruption prevalence and the perception of the effectiveness of anti- corruption activities by the population. The outcomes of the survey indicate a high level of corruption and the negative society’ perception thereto in Ukraine. Indeed, the perception of corruption by the population and business representatives is at the level of 3.98 and 3.47 under a five-point scale. The main objectives of the draft Law of Ukraine "On the anticorruption strategy 2018- 2020" are: 1) ensuring the implementation of effective anti-corruption policy by improving the legislation on preventing, detection and fight against corruption, identification and tackling reasons and conditions that lead to its manifestations, intolerant society’s attitude to corruption in all fields of public life and in the private sector; 2) increasing transparency of the representative bodies, strengthening the financial discipline of political parties, adherence to the established procedure for receiving contributions from individuals and legal entities, and introducing an electronic reporting system for political parties; 3) carrying out the necessary anti-corruption measures in executive and local self- governmental bodies, ensuring their transparency and a significantly reduction of corruption; 4) completing reforming of the judiciary and criminal justice bodies in Ukraine, ensuring the integrity of prosecutors, a valuable reducing of the level of corruption in the activities of the prosecution bodies and eliminating corruption risks in the litigation; 5 combating corruption in privatization and management of public resources; 6) elimination of corrupt preconditions for building business up, formation of favorable business climate for abandoning corrupt practice and intolerance of business to corruption; 7) strengthening the system of detection and investigation of corruption and corruption- related offenses, seizure of proceeds of crime, returning of confiscated proceeds abroad, ensuring liability of individuals, who committed corruption or corruption-related offenses; 8) ensuring intolerance towards corruption, public trust to anti-corruption policy and positive attitude to whistleblowers, as well as systematic engagement of the population, public associations, business representatives into anti-corruption activities throughout the State. Moreover, the establishment of actions to achieve objective goals was carried out under mandatory recommendations, which have been prepared by the Group of States against Corruption (GRECO) on the results of the fourth round of Ukraine's evaluation, as well as according to recommendations prepared during monitoring of the Istanbul Action Plan of the OECD AN.

3 The evaluation of the effectiveness of the Anticorruption Strategy will be carried out on the basis of annual studies on the situation of corruption in Ukraine and the determination of the level of implementation of international standards in anti-corruption policy. The determination of the level of implementation of international standards will be evaluated on the basis of the implementation of the recommendations of Ukraine to the Group of States Against Corruption (GRECO), as well as according to recommendations provided for in the monitoring of the Istanbul Action of the OECD Anticorruption Network and the improvement of the Corruption Perception Index under the study of the Transparency International ». An assessment of the implementation of the Strategy will be carried out annually on the results of parliamentary hearings in the Verkhovna Rada of Ukraine. To this end, the NACP will prepare a draft annual national report on the implementation of the principles of anticorruption policy, which will include a report on realization of the Strategy. In order to implement the measures provided for by the Anti-Corruption Strategy, the Cabinet of Ministers of Ukraine will approve the state program, which, if necessary, together with the results of the implementation of certain measures, conclusions and recommendations of parliamentary hearings on the national report on the state of corruption. will be annually revised. One of the important aspects of the Law of Ukraine "On Prevention of Corruption" (hereinafter referred to as “the Law”) are the measures that provide for institutional anti-corruption programs in governmental authorities aimed at preventing and rectifying (eliminating) corruption risks. Indeed, since the adoption of this Law, general requirements for anti-corruption programs, the content and procedures for their adoption, as well as the powers of the National Agency for the Corruption Prevention (hereinafter referred to as “the National Agency”) on their approval, are established at the legislative level. The main object of the anti-corruption program is to establish a comprehensive system of action to prevent and counteract corruption in the authorities, to plan and coordinate their activities in the process of implementation of the anti-corruption reforms, as well as to build up legal, social, economic, organizational, managerial and practical instruments aimed at effective prevention of corruption. In order to ensure unified criteria on the evaluation of corruption risks by the authorities according to their powers, the National Agency approved the Methodology for assessing corruption risks in state authorities (Des № 126 of December 2, 2016, registered in the Ministry of Justice of Ukraine on December 28, 2016 № 1718/29848). This Methodology defines a set of rules and procedures for the assessment of corruption risks in state authorities that adopt anti-corruption programs in accordance with paragraph one of Article 19 of the Law. The assessment of corruption risks is carried out within preparation procedure of the draft anti-corruption program or during its periodic review. The National Agency approved the Methodological Recommendations on the Preparation of Anti-Corruption Programs of the Authorities (National Decision Agency from January 19, 2017, No. 31) in pursuance to the State Program on implementation of Anti-Corruption Policy in Ukraine (Anticorruption Strategy) for 2015-2017, approved by the Cabinet of Ministers of Ukraine from April 29, 2015, № 265. The National Agency also approved the Procedure for preparation and submission for approval of anticorruption programs by the National Agency on Corruption Prevention, which establishes unified procedures for the preparation and submission for approval of anti-corruption programs of the authorities, as well as defines mechanism and criteria to adopt relevant programs by the National Agency (decision of the National Agency of December 8, 2017, № 1379, registered in the Ministry of Justice of Ukraine on January 22, 2018, No. 87/31539).

4 In its turn, in the part of normative legal support of the activities of legal entities, in which anti-corruption programs are adopted in accordance with the requirements of the Law, the National Agency jointly with the experts of the UNDP Ukraine project "Transparency and integrity of the public sector" and according to the international standard ISO 37001 "Anti-bribery management systems", other international acts and standards of prevention of corruption among legal persons of public and private sectors of the economy approved the Standard Anti-Corruption Program of a legal entities (decision № 75 of March 02, 2017, registered in the Ministry of Justice of Ukraine on March 09, 2017 № 326/30194). The draft Anticorruption Program was also developed by experts from the American Chamber of Commerce in Ukraine, the European Business Association and the Business Ombudsman Council. In addition, the National Agency together with experts from the United Nations Development Program in Ukraine drafted Guidelines on the preparation and implementation of anti-corruption programs of legal entities (taking into account the comments and proposals of the American Chamber of Commerce in Ukraine, as well as the issues faced by legal entities while preparing anti-corruption programs). These Guidelines also include best practices and examples developed by leading international organizations such as the United Nations, the Organization for Economic Cooperation and Development and the International Organization for Standardization. Since January 2017, the coordination and methodological assistance on identification and elimination of corruption risks as well as preparation and implementation of anti-corruption programs has been given on a regular basis to state governmental authorities, authorities of the Autonomous Republic of Crimea, local self-governmental bodies of the Autonomous Republic of Crimea. The typical (approved by the decision of the National Agency of December 28, 2017, № 1531 "On amendments to the Methodological recommendations for the preparation of anti- corruption programs of the authorities") and external corruption risks (a letter to the Cabinet of Ministers on the necessity of making changes in normative legal acts that contain corruption- related factors) were identified in accordance with the results of the analysis of the anti-corruption programs of the authorities. Within the framework of the implementation of anti-corruption programs, the authorities ensured the functioning of special telephone lines, electronic communications to receive notifications on corruption from the citizens with their anonymity, verification of the facts of submissions (non-submission), the late submission of electronic declarations and other notifications, which were to be submitted to the National Agency. In 2018, the National Agency received for approval 128 anti-corruption programs from state authorities. In 2018, 414 oral consultations and explanations were ensured regarding identification and evaluation of corruption risks in the activities of the state authorities and legal entities that are within competence of their governance, as well as on the preparation and implementation of anti- corruption programs (including conclusions provided by the National Agency). Since Anti-corruption programs as well as measures for their preparation aimed at real reduction of the level of corruption in all spheres of state activity through their use of certain measures which are the optimal and most expected for society, they should not be of a formal nature. In 2018, 129 government agencies, 43 territorial bodies of executive power and local self- governmental authorities conducted an internal assessment of corruption risks and, based on the results of the assessment, developed and adopted anti-corruption programs for 2018 (of which 79 a / p of state bodies, 33 a / p of local authorities and self-governments are agreed with the proposals

5 from the NACP. NACP refused to agree or left without consideration with substantial conclusions due to irrelevant quality of the others). In order to improve the quality of anti-corruption programs, the NSCP has developed and launched a free 3-week online course "Anticorruption Programs of the Authorities" starting from 09.12.2018. The course is based on the NACP analysis of the practical implementation of anti- corruption programs by the authorities during 2017 and January-November 2018, in particular, the issues in carrying out an assessment of corruption risks and developing measures for their elimination. In accordance with the findings and analysis of comments with proposals received at the end of the course, the NACP intends to fatherly improve the legislative and methodological framework on the organization of corruption risk assessment and the preparation of anti-corruption programs. With the participation of 384 representatives of state and private companies, 8 regional workshops on integrity and compliance, namely "Business Integrity: Join, Implement and Win" were held (Kharkiv, Lviv, Odessa, Vinnytsia, Dnipro, Ivano-Frankivsk, Rivne, Chernihiv). The purpose of the workshops aimed at raising awareness on business integrity, best practices for the implementation of anti-corruption programs.

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THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY THE UNITED STATES OF AMERICA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

UNITED STATES OF AMERICA (TENTH MEETING)

1. Please describe (cite and summarize) the measures/steps your country has taken, if any (or is planning to take, together with the related appropriate time frame) to ensure full compliance with this provision of the Convention, and in particular to develop, implement, monitor, and evaluate the impact of the country’s anticorruption policies.

The United States implements and enforces a comprehensive framework of laws, policies, and regulations that promote accountability, transparency, and integrity within the public sector. While the United States does not have a single anticorruption law or strategy, this framework ensures full compliance with provisions of the Convention. It is important to highlight in this context that article 5 of the UNCAC does not address the issue of anticorruption strategies, but rather focuses on “preventive anticorruption policies and practices.” As such, the request for information from States Parties on the matter of strategies may be of value for the purpose of discussion within the PWG but does not correspond directly to an obligation or commitment of States Parties under the Convention.

The United States would highlight several examples of U.S. efforts to implement article 5 of the Convention that may be relevant to this discussion. For example: To promote public sector transparency, the Freedom of Information Act (FOIA)1 provides the public the right to request access to records from any federal agency. Generally any person – United States citizen or not – can make a FOIA request. In addition to responding to specific FOIA requests, agencies are also required to automatically disclose certain information, including frequently requested records. The Office of Information Policy at the Department of Justice is responsible for issuing government-wide guidance on the FOIA as part of its responsibilities to encourage all agencies to fully comply with both the letter and the spirit of the FOIA. The U.S. Department of Justice’s Public Integrity Section is responsible for enforcing laws pertaining to public sector corruption. The Section also has exclusive jurisdiction over allegations of criminal misconduct on the part of federal judges and also monitors the investigation and prosecution of election and conflict of interest crimes. In addition to those handled by the Public Integrity Section, prosecutions are undertaken at the federal level by

1 Freedom of Information Act Statute, Public Law No. 114-85. See https://www.foia.gov/foia-statute.html. 1

individual U.S. Attorney’s Offices, each of which is assigned a jurisdiction within the United States and which in total cover the entire country.

The United States has several monitoring mechanisms in place that ensure compliance with article 5.

Regarding public sector integrity, the core statutory bribery and conflicts of interest laws for the Executive branch were enacted in 1962. The Ethics in Government Act (EIGA),2 which established the Office of Government Ethics (OGE) in the executive branch and created the public financial disclosure program for the Federal government, was enacted in 1978. Over the course of the past fifty years, these laws have been reviewed, amended, and augmented by Congress on a number of occasions. Important amendments occurred as part of the Ethics Reform Act of 1989,3 which made comprehensive changes to EIGA and post-employment laws, and the Honest Leadership and Open Government Act of 20074. Amongst more recent legislative changes include the passage of the Stop Trading on Congressional Knowledge (STOCK) Act of 20125, which established periodic financial disclosure reporting of securities for high-level Executive branch officials, prohibited high-level Executive branch employees from participating in initial public offerings of securities, and established additional restrictions on the use of non-public information. In addition, Congress is currently considering a number of bills that would update and enhance the public integrity framework in the Federal government.

Federal executive branch ethics policies are established through legislation, regulation, and policy implementation. As the supervising ethics office for the executive branch, OGE is tasked with providing overall leadership and oversight of the executive branch ethics program, designed to prevent and resolve conflicts of interest. To this end, OGE has taken a number of steps to increase transparency and accountability of executive branch officials. For example, OGE as has developed a single, comprehensive, and clear set of standards of conduct for all executive branch employees; operates an advisory program service to provide guidance on the application and meaning of the ethics laws and regulations; and maintains an effective system for public and confidential financial disclosure. Because the day-to-day implementation of ethics programs falls to the 130 plus individual departments and agencies, which receive support and guidance from OGE. OGE works closely with these agencies to ensure uniform understanding and application of the government-wide ethics laws, and to identify areas of specific risk to particular agencies that is appropriate for further regulation through supplemental standards of ethical conduct. OGE also oversees agency programs through programmatic reviews and through requests for data.

2 S. 555 – Ethics in Government Act, 95th Congress (1977-1978), https://www.congress.gov/bill/95th- congress/senate- bill/555?q=%7B%22search%22%3A%5B%22%5C%22ethics+in+government+act%5C%22%22%5D%7D&r=6 3 H.R. 3660 – Ethics Reform Act of 1989, 101st Congress (1989-1990) https://www.congress.gov/bill/101st- congress/house-bill/3660 4 H.R. 2316 – Honest Leadership and Open Government Act of 2007, 110th Congress (2007-2008) https://www.congress.gov/bill/110th-congress/house-bill/2316 5 S. 206 – STOCK Act, 112th Congress (2011-2012), https://www.congress.gov/bill/112th-congress/senate-bill/2038 2

In addition to developing ethics policies for the executive branch, OGE also routinely undertakes a number of initiatives to monitor the effectiveness of the laws, regulations, and policies regarding public sector ethics. First, OGE is charged by the EIGA with periodically evaluating the effectiveness of legislation and regulations related to conflicts of interest and ethics in the Executive branch, and proposing necessary amendments to those laws to ensure they continue to adequately prevent corruption in the Executive branch.6 In this regard, OGE submits to Congress potential revisions of EIGA for consideration and provides technical assistance to Congress in regards to potential ethics legislation on request. OGE has also submitted several reports to Congress that contain legislative recommendations regarding ethics laws, including a comprehensive report prepared with input from good government groups and the public in 2006.7 OGE also engages in routine review of ethics regulations, and has issued a number of comprehensive regulatory updates within the past two years, including significant revisions of the ethics program management regulations8, regulations implementing the financial disclosure program9, and regulations governing Executive branch employees’ acceptance of gifts from outside sources.10 These regulation initiatives were undertaken with input from the Department of Justice, Office of Personnel Management, other effected Federal agencies, and the public.

Second, OGE issues a number of legal, program, and educational advisory documents each year aimed at increasing uniformity of legal guidance, promoting good program practices, and increasing programmatic effectiveness. For example, in April 2019, OGE issued a program advisory discussing ways that agency programs can assess ethics risks and education needs, identify appropriate content of ethics education training, and engage in continuous process improvement in their programs.11 Third, OGE’s Compliance Division is responsible for monitoring and reviewing agency ethics programs to ensure compliance with applicable ethics requirements established by statutes, rules, regulations, and Executive Orders. To do so, the Compliance Division, through the Program Review Branch, conducts periodic ethics program reviews (“program reviews”) of agencies’ ethics programs. The purpose of a program review is to identify and report on the strengths and weaknesses of an agency’s ethics program by evaluating (1) agency compliance with ethics requirements as set forth in relevant laws, regulations, and policies and (2) ethics- related systems, processes, and procedures for administering the program. These reviews are a vital means by which OGE can assess the ability of an ethics program to engender faith and confidence in the work of an agency. OGE also conducts an Annual Agency Ethics Program Questionnaire of all executive branch agencies. The Questionnaire asks for extensive information about agency ethics programs, including core elements of the ethics

6 5 U.S.C. app. § 402(b)(11)-(12). 7 https://www.oge.gov/Web/oge.nsf/0/2992B018CA57C5B985257E96006A91E8/$FILE/Report%20to%20the%20Pr esident%20and%20Congress%20on%20Ethics.pdf 8 5 C.F.R. part 2638. 9 5 C.F.R. part 2634 10 5 C.F.R. part 2635. 11 Ethics Education: Using the Regulation to Maximize Effectiveness, OGE PA-19-05 (April 2019), available at https://www.oge.gov/web/OGE.nsf/Program%20Management%20Advisories/818F648FBD1C11A6852583D30046 58A9/$FILE/PA-19-05.pdf?open.

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program that assist in the identification and resolution of potential conflicts of interest. In this way, OGE can identify both agency-specific and executive branch-wide trends in ethics program management, allowing OGE the potential to make evidence-based decisions regarding program risks and good practices.

The Administrative Conference of the United States is an independent federal agency dedicated to improving the administrative process through consensus-driven applied research and providing nonpartisan expert advice and recommendations for improvement of federal agency procedures. Its membership is composed of innovative federal officials and experts with diverse views and backgrounds from both the private sector and academia. Research results are embodied in the Conference recommendations. Like its recommendations, the Conference’s research covers general administrative law topics that cut across many federal agencies and includes specific ways agencies can improve particular procedures.

The U.S. Government Accountability Office (GAO) is an independent, nonpartisan agency that works for Congress. Often called the “congressional watchdog,” GAO investigates how the federal government spends taxpayer dollars. The head of GAO, the Comptroller General of the United States, is appointed to a 15-year term by the President from a slate of candidates Congress proposes. GAO’s mission is to support the Congress in meeting its constitutional responsibilities and to help improve the performance and ensure the accountability of the federal government for the benefit of the American people. GAO provides Congress with timely information that is objective, fact-based, nonpartisan, nonideological, fair and balanced.

GAO’s work is done at the request of congressional committees or subcommittees or is mandated by public laws or committee reports. GAO also undertakes research under the authority of the Comptroller General. They support congressional oversight by: • Auditing agency operations to determine whether federal funds are being spent efficiently and effectively; • Investigating allegations of illegal and improper activities; • Reporting on how well government programs and policies are meeting their objectives; • Performing policy analyses and outlining options for congressional consideration; and • Issuing legal decisions and opinions, such as bid protest rulings and reports on agency rules.

GAO advises Congress and the heads of executive agencies about ways to make government more efficient, effective, ethical, equitable, and responsive.

The Council of the Inspectors General on Integrity and Efficiency (CIGIE) is an independent entity established within the executive branch to address integrity, economy and effectiveness issues that transcend individual Government agencies and aid in the establishment of a professional, well-trained and highly skilled workforce in the Offices of Inspectors General. The concept of a statutory Inspector General (IG) was broadly introduced to the civilian side of the

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Federal government by the Inspector General Act of 197812. The original Inspectors General (IGs) were established in 12 Federal agencies. The concept has proved so successful that today, there are 73 statutory IGs across the Federal government.

In addition to domestic implementation of laws, policies, and regulations in place to prevent and combat corruption, the United States has also incorporated anticorruption into its national security and foreign policies. In December 2017, the White House released a new National Security Strategy13. As required by law, this strategy outlines the worldwide interests, goals, and objectives vital to the national security of the United States. It was presented to Congress and is publically available online. The current National Security Strategy includes countering foreign corruption as one of the priority actions. Based on this strategy, the United States will use economic and diplomatic tools to target corrupt foreign officials and work with countries to improve their ability to fight corruption.

2. Please outline the actions required to ensure or improve the implementation of the measures described above and any specific challenges you might be facing in this respect.

The United States has several measures that ensure or improve the implementation of its anticorruption and integrity framework. These include measures that oblige public organizations to implement standardized anticorruption policies.

Illustrative examples include the Office of Information Policy (OIP), with the mission to encourage and oversee agency compliance with FOIA. OIP is responsible for developing government-wide policy guidance on all aspects of FOIA administration. OIP also provides legal counsel and training to agency personnel. To assist agencies in understanding the many substantive and procedural requirements of the FOIA, OIP publishes the United States Department of Justice Guide to the Freedom of Information Act, which is a comprehensive legal treatise addressing all aspects of the FOIA. OIP also provides a range of other resources to agencies to guide them in their administration of the Act.

In addition to its policy functions, OIP oversees agency compliance with the FOIA. All agencies are required by law to report to the Department of Justice each year on their FOIA compliance through submission of Annual FOIA Reports and Chief FOIA Officer Reports. OIP develops guidelines for those reports, issues guidance and provides training to agencies to help them complete the reports OIP reviews and compiles summaries and assessments of agency progress in administering the law.

12 H.R. 8588 – An Act to reorganize the executive branch of the Government and increase its economy and efficiency by establishing Offices of Inspector General within Departments of Agriculture, Commerce, Housing and Urban Development, the Interior, Labor, and Transportation, and within the Community Services Administration, the Environmental Protection Agency, the General Services Administration, the National Aeronautics and Space Administration, the Small Business Administration, and the Veterans’ Administration, and for other purposes – 95th Congress (1977-1978), https://www.congress.gov/bill/95th-congress/house- bill/8588?q=%7B%22search%22%3A%5B%22%5C%22Inspector+General+Act%5C%22%22%5D%7D&r=1 13 National Security Strategy of the United States of America, https://www.whitehouse.gov/wp- content/uploads/2017/12/NSS-Final-12-18-2017-0905-2.pdf

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In fiscal year 2017, the federal government received a record high of more than 800,000 requests. Agencies responded by processing more than they received at over 820,000. Statistics on other years can be found on the Department of Justice Office of Information Policy website.

To ensure that both executive branch employees and the public are aware of the scope and interpretation of the ethics laws and regulations, OGE shares all legal and program management advisories that it issues through its public-facing website at the time they are published.

Pursuant to OGE regulations, all prospective employees must be alerted that they will be subject to the Standards of Conduct and the criminal conflict of interest laws, as well as their agencies’ commitment to government ethics. As part of Executive branch- wide requirements, all agencies must issue notices to prospective employees in written offers of employment regarding the agencies’ commitment to ethics and the applicable ethics requirements.14

Under the ethics program regulations, supervisory officials are seen as having additional obligations to the ethics program, including modeling good behavior and assisting subordinates to adhere to the ethics laws.15 As a result, employees entering supervisory positions are required to be notified of their heightened responsibilities for advancing government ethics and modeling ethical behavior.16

All Executive branch employees are thereafter required to receive instruction on the ethics laws and regulations within, at the latest, three months of entry into service. The initial ethics training must focus on ethics laws and regulations that the Designated Agency Ethics Official (DAEO) deems appropriate for the audience, and must address concepts related to financial conflicts of interest, impartiality, misuse of position, and gifts. Agencies must also provide employees a summary of the Standards of Conduct; relevant agency supplemental standards; and contact information for the ethics office. Training must be interactive, which means that the employee must take some action with regard to the subject of the training. This training can be accomplished through a mixture of written, oral, and electronic means. In 2017, 98 agencies used written materials, 93 agencies used one-on-one briefings, 89 agencies reported using in-person classroom instruction, 49 agencies used self-paced web-based training, 22 agencies used satellite broadcast/videoconferencing, 18 agencies used instructor-led web-based training, 14 agencies used video, and 15 agencies used other means of providing initial ethics training. Agencies are required to track all employees who are required to receive initial ethics training, whether they have received training, and whether they received the training within the required time period. A limited number of lower-level employees who occupy positions that are not likely to create conflicts of interest can be excluded from the requirement to receive interactive training, but must receive written materials describing the ethics laws and how to contact an agency ethics official. In 2017, over 330,000 Executive branch employees received initial ethics training.

14 5 C.F.R. § 2635.303. 15 5 C.F.R. § 2635.103. 16 5 C.F.R. § 2638.306.

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High-level officials who are appointed by the President with advice and consent of the Senate (PAS) are also required to receive a “live” personal ethics briefing within 15 days of entering government service.17 A training is considered live if done in-person or through electronic means, such as by video conferencing or telephone. Agencies must track how many PAS were required to receive the ethics briefing, whether they received the training, and whether they received the training within the required time period. During this individualized briefing, the agency ethics official discusses the appointee’s basic recusal obligations, the mechanisms for recusal, the commitments made in the appointee’s ethics agreement, and the potential for conflicts of interest arising from any financial interests acquired after the nominee’s financial disclosure report is filed. This ethics briefing is in addition to, and does not supplant, the initial ethics training required for all employees.

In addition to initial ethics training, all officials who are required to file financial disclosure reports or are in other positions that have a higher potential for conflicts of interest must also receive annual training.18 In 2017, over 470,000 officials were required to receive annual ethics training. In addition to those individuals who are required to receive annual training, agencies are authorized to and encouraged to extend additional tailored annual ethics training to specific groups of employees.

In 2017, agencies reported providing additional annual training to all agency employees (47 agencies); human resources personnel (18 agencies); information technology personnel (11 agencies); procurement personnel (34 agencies); supervisors (32 agencies); and other select groups such as bank examiners and grant managers.

Year 2008 2009 2010 2011 2012 2013 2014 2015 201 201 6 7

Number of 289 267 229 189 278 353 390 404 356 337 Employees Required to Receive Initial Ethics Training (in thousands)19

The number of officials requiring annual ethics training tends to be more static than the number of officials requiring initial ethics orientation. Between 2008 and 2017, there was an average of slightly less than 483,000 officials (including PAS and DAEOs)

17 An exception exists for PAS who are nominated to a position as an officer in the uniformed services or a Foreign Service officer. These excluded officials are generally career officials who are receiving PAS appointments as a result of advancement within the civil service. 5 C.F.R. § 2638.305(a); 5 C.F.R. § 2634.201(c)(2). In addition, time extensions may be provided to covered PAS in individual circumstances. 5 C.F.R. § 2638.305(b)(2). 18 5 C.F.R. §§ 2638.307, .308.

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required to receive annual ethics training per year. Since 2013, the yearly average of employees required to receive annual ethics training and who did receive that training was 98.6%. In 2017, agencies had a 97% (460,501 out of 475,970) compliance rate for annual ethics training. Importantly, 96% (131 of 136) of agency heads (who are PAS) completed either initial ethics training or annual ethics training or were not required to receive such training. Agencies also went above and beyond minimally required training. In 2017, 76% of agencies provided annual training to persons not required by the regulation to receive training.

Year 2008 2009 2010 2011 2012 2013 2014 2015 201 201 6 7

Number of 437 515 574 564 430 432 462 463 475 476 Employees Required to Receive Annual Ethics Training (in thousands)20

Each year CIGIE reports its results to the President and the Congress in a public report. In the most recent publically available report for Fiscal Year 2016 CIGIE reported the following outcomes:

• 5,019 audit, inspection, and evaluation reports issued (many of them publically available) • 24,870 investigations closed; • 538,124 hotline complaints processed; • 5,120 indictment and criminal informations; • 4,894 successful prosecutions; • 1,580 successful civil actions; • 6,448 suspensions or debarrements from activity in federal programs; and • 4,315 personnel actions.

Cumulatively, the results of audit and inspections work conducted by OIG’s identified $25.2 billion in potential savings from report recommendations agreed by agency management. In addition, as a result of criminal and other investigative actions an additional $19.2 billion was ordered or recovered. Each individual OIG reports its activity to Congress every 6 months in a public report that highlights its activities and the more significant investigations results.

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The United States does not have any challenges to report at this time.

3. Please describe any lessons learned in the development, evaluation and impact of anticorruption policies or strategies.

The United States continues to learn important lessons through sustained participation in multilateral review mechanisms. These mechanisms help ensure the United States is effectively implementing its anticorruption commitments, and through their recommendations, help identify where the United States can improve. Review by peer countries exposes member states to alternative legal mechanisms, and provides regular opportunities to share best practices. Additionally, the United States routinely involves civil society in these reviews, ensuring non- government stakeholders have the opportunity to provide input on how and where the United States can strengthen its anticorruption efforts. When reports are made public, something the United States does as a matter of policy, this allows even more transparency and opportunities to ensure commitments and recommendations are implemented.

The United States is an active State Party to several anticorruption-related conventions and legal instruments, including the Inter-American Convention Against Corruption, the Anti-Bribery Convention, the Council of Europe’s Criminal Convention against Corruption, and the Financial Action Task Force. As a State Party, the United States also actively engages in related review mechanisms to strengthen compliance of these frameworks. For example, the United States recently finished a review under the Mechanism for Follow-up on Implementation of the Inter-American Convention Against Corruption (MESICIC).

The United States is also a member of several multi-stakeholder initiatives, such as the Open Government Partnership, The Open Government Partnership is an international initiative aimed at securing concrete commitments from governments to promote transparency, increase civic participation, fight corruption, and harness new technologies to make government more open, effective, and accountable. A multi-stakeholder International Steering Committee, co-chaired by the United States and Brazil in its inaugural year, is comprised of government and civil society representatives from around the world.

The United States published its first Open Government Partnership National Action Plan in September 2011, pledging commitments to promote transparency, empower citizens, fight corruption, and harness the power of new technologies. The action plan contains detailed commitments in a wide variety of areas, developed by governments in consultation with citizens. The United States published its fourth National Action Plan in February 2019.

The evaluations and reviews of the United States conducted by the review bodies of these conventions and instruments can be found at the following links:

• Council of Europe's Group of States against Corruption (GRECO): http://www.coe.int/en/web/greco/evaluations/usa

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• Mechanism for Follow-Up on the Implementation of the Inter-American Convention against Corruption (MESICIC): http://www.oas.org/juridico/english/usa.htm • OECD Working Group on Bribery: http://www.oecd.org/daf/anti-bribery/unitedstates- oecdanti-briberyconvention.htm

4. Do you consider that any technical assistance is required to allow you to fully implement this provision? If so, what specific forms of technical assistance would you require?

The United States does not require technical assistance with regard to implementation of this provision.

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THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY UNITED STATES OF AMERICA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

UNITED STATES OF AMERICA (FOURTH MEETING)

Article 5. Preventive Measures Recovery Accountability and Transparency Board o RELEVANT ARTICLE SECTIONS .Article 5, Para 1. – effective, coordinated anti- corruption policies that promote participation of society and reflect the principles of the rule of law, proper management of public affairs and public property, integrity, transparency and accountability .Article 5, Para 2. – effective practices aimed at the prevention of corruption o ABOUT .The American Recovery and Reinvestment Act of 2009 (Recovery Act) was a direct response to the economic crisis. The Recovery Act provided $787 billion in tax benefits, entitlement programs, and funding for Federal contracts, grants and loans, and created the Recovery Accountability and Transparency Board, a non-partisan, non- political agency with two goals: to provide transparency of Recovery-related funds, and to detect and prevent fraud, waste, and mismanagement. o AWARENESS RAISING .The Recovery Act also required the creation of a website "to foster greater accountability and transparency in the use of funds made available in this Act.” Recovery.gov (www.recovery.gov) went live on February 17, 2009, the day President Obama signed the Act into law. The site's primary mandate is to provide taxpayers with user-friendly tools to track how and where Recovery funds are spent. The site also offers the public an opportunity to report suspected fraud, waste, or abuse related to Recovery funding.

Financial Fraud Enforcement Task Force o RELEVANT ARTICLE SECTIONS .Article 5, Para 1. – effective, coordinated anti- corruption policies that promote participation of society and reflect the principles of the rule of law, proper management of public affairs and public property, integrity, transparency and accountability .Article 5, Para 2. – effective practices aimed at the prevention of corruption o ABOUT .The Financial Fraud Enforcement Task Force was created by President Obama in November 2009 as the largest coalition ever created to confront fraud. The Task Force is directed to use the full criminal and civil enforcement resources of the member departments and agencies: (1) to investigate and prosecute financial crimes and other violations relating to the current financial crisis and economic recovery efforts; (2) to recover the proceeds for such crimes and violations; (3) to address discrimination in the lending and financial markets; (4) to enhance coordination and cooperation among federal, state and local authorities responsible for the investigation and prosecution of financial crimes and violations; and (5) to conduct outreach to the public, victims, financial institutions, nonprofit organizations, state and local governments and agencies, and other interested partners to enhance detection and prevention of financial fraud schemes. o AWARENESS RAISING .The Task Force’s website (www.StopFraud.gov) serves as a one-stop site for American consumers to learn how to protect themselves from fraud and to report fraud wherever — and however — it occurs. .The Task Force’s First Year Report (http://www.stopfraud.gov/docs/FFETF-Report- LR.pdf) outlines the accomplishments of the Task Force, including internal governmental coordination and training, and outreach to the public, victims, financial institutions, nonprofit organizations, state and local governments and agencies, and other interested parties to enhance detection and prevention of financial fraud schemes.

Administrative Conference of the United States o RELEVANT ARTICLE SECTIONS .Article 5, Para 3. – periodically evaluate relevant legal instruments and administrative measures o ABOUT .The Administrative Conference of the United States is an independent federal agency dedicated to improving the administrative process through consensus- driven applied research and providing nonpartisan expert advice and recommendations for improvement of federal agency procedures. Its membership is composed of innovative federal officials and experts with diverse views and backgrounds from both the private sector and academia. Research results are embodied in the Conference recommendations. Like its recommendations, the Conference’s research covers general administrative law topics that cut across many federal agencies and includes specific ways agencies can improve particular procedures. o AWARENESS RAISING .Committee meetings are available as video webcasts(http://acus.granicus.com/ViewPublisher.php?view_id=2). .Committee research and recommendations are also available online (http://www.acus.gov/research/research-and-recommendations/). .“AdministrativeFIX,” the official blog of the Administrative Conference of the United States, provides a forum for the administrative law community and the general public to both learn about the Agency and its initiatives and to provide feedback (http://www.acus.gov/administrative-fix-blog/). Open Government Partnership o RELEVANT ARTICLE SECTIONS .Article 5, Para 4 – collaborate with States Parties to promote preventive measures o ABOUT .The Open Government Partnership is an international initiative aimed at securing concrete commitments from governments to promote transparency, increase civic participation, fight corruption, and harness new technologies to make government more open, effective, and accountable. A multi-stakeholder International Steering Committee, co-chaired by the United States and Brazil in its inaugural year, is comprised of government and civil society representatives from around the world. o AWARENESS RAISING

.The U.S. published its Open Government Partnership National Action Plan in September 2011, pledging new commitments to promote transparency, empower citizens, fight corruption, and harness the power of new technologies. The action plan contains detailed commitments in a wide variety of areas, developed by governments in consultation with citizens (http://www.opengovpartnership.org/sites/www.opengovpartnership.org/files/country_act ion_plans/US_National_Action_Plan_Final_2.pdf). THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY VIETNAM

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

VIETNAM (SECOND MEETING)

I. Laws and policies: In accordance with United Nations convention Against corruption (UNCAC), Vietnam has made great efforts to prevent corruption. A variety of legal documents has been issued and revised, including: Law on Anti-corruption 2005; the National Strategy on Anti-corruption towards 2020; Criminal Code 1999 (revised in 2009); Law on Civil servants; Law on Audit; Law on banking and financial institutions; Enterprise Law; Bidding Law; Government Decree No. 37/2007/ND-CP dated 9 March 2007 on asset and income transparency; Government Decree No. 158/2007/ND-CP dated 27 October 2007 on rotation of working positions of civil servants; Direction No. 20/2007/CT-TTg of Prime Minister on salary payment through bank accounts; Joint Circular No. 03/2011/TTLT-BNV-TTCP of Ministry of Home Affairs and Government Inspectorate dated 06 May 2011 on rewarding individuals with outstanding achievements in detecting corruption; Codes of conduct for civil servants of each sector…

Together with legal framework improvement, a project on administration reform with focus on administrative procedure simplification has also been implemented.

II. Practices

Effective propaganda programs:

The Vietnam Innovation Day 2009 (VID 2009), a competition coorganized by the Government Inspectorate of Vietnam and the World Bank Vietnam with the main theme “More Accountability and Transparency, Less Corruption” attracted 152 entries from around the country. 25 most creative, feasible and sustainable projects were granted awards. The huge turnout showed public interest in transparency and accountability of public services and operations of the state agencies. At the same time, the Knowledge Exchange Forum held as a side-event of VID 2009 saw various practical experiences and information on anticorruption shared (see website: http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/EASTASIAPACIFICEX T/VIE TNAMEXTN/0,,contentMDK:22007886~pagePK:1497618~piPK:217854~theSitePK:38 7565,0 0.html)/ (http://www.thanhtra.gov.vn/Desktop.aspx/Tin-tuc/Tin-Thanh- Tra/Ngay_sang_tao_Viet_Nam_Hieu_qua_lon_tu_nhung_de_an_nho/) THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY DJIBOUTI

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

DJIBOUTI (TENTH MEETING)

Rapport sur les réalisations de la République de Djibouti en matière de la corruption (résumé synthétique)

1 – Contexte :

La République de Djibouti (RDD) est pleinement engagée dans la lutte contre la corruption, en effet, la volonté politique est là et s’exerce pleinement. Toutes les institutions nécessaires dans la lutte et prévention contre la corruption sont créées et outillées avec des ressources pérennes (bâtiments, matériels et ressources…). En matière de la politique publique, il y a lieu de signaler qu’un plan d’action est en cours d’élaboration au titre de 2019.

2 – les réalisations de la République de Djibouti :

Les instruments juridiques internationaux et continentaux signés par la RDD ainsi que la mise en place des institutions en charge de la corruption sont résumés ci – après :

a) Les instruments juridiques :

- Signature et ratification convention de l’ONU : Loi n°96/AN/05/5ème L du 08 février 2005 pour ratification de la convention.

- Signature de la convention UA signé en 15/11/2005.

- Signature protocole IGAD en cours de discussion pour finalisation.

b) Les institutions :

- Inspection Générale de l’Etat (IGE) : créée par le Décret n°2004- 0014/PRE/MESN du 21/1/2004.

- Cour de compte (CC) : La Chambre des Comptes a été créée au sein de la Cour Suprême de la République de Djibouti par la Loi N°136/AN/97/3ème L du 2 juillet 1997 complétée par la N°122/AN/01/4ème L du 1er avril 2001 pour devenir une cour indépendante et autonome par rapport aux tribunaux classiques.

- Commission Nationale et Indépendante de Prévention et lutte contre la corruption (CNIPLCC) est créée en 2013 (Loi N° 03/AN/13/7ème L du 16/07/2013).

c) Le plan d’action national :

Plan d’action national de prévention et lutte contre la corruption en cours d’élaboration au titre de 2019 par la CNPLCC en cour. Initiée par la CNIPLCC, des consultants y travaillent d’arrache – pied aux fins d’une validation nationale et une mise en œuvre avec des mécanismes de suivi – évaluation et une coordination nationale.

3 – Conclusion :

Au delà de signature des conventions et de création des institutions compétentes en matière de la prévention et lutte contre la corruption, la République de Djibouti s’attèle à élaborer son plan d’action anti – corruption par le biais de la Commission Nationale Indépendante de Prévention et de lutte contre la Corruption, véritable outil pour parler des réalisations, qui est en train d’être finalisé.

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ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

ALGERIA (TENTH MEETING)

RAPPORT ANALYTIQUE

Ce travail est formulé suivant la note d’orientation du secrétariat de l’ONUDC référencée « CU 2019/84/DTA/CEB du 15/03/2019»sur les informations que les États Parties pourraient fournir en prévision de la tenue de la dixième réunion intersessions du Groupe de travail sur la prévention de la corruption du 4 au 6 septembre 2019.

Thème inscrit à l’ordre du jour : Leçons tirées de l’expérience concernant l’élaboration, l’évaluation et l’impact des stratégies de prévention de la corruption.

(Article 5 de la Convention)

L’élaboration, l’évaluation et l’impact des stratégies de prévention de la corruption

En Algérie, la lutte contre la corruption a toujours été considérée comme une question prioritaire et permanente des pouvoirs publics, qui ont engagé de nombreuses réformes institutionnelles et juridiques tendant à renforcer les fondements de l’Etat de droit et à asseoir les principes de la bonne gouvernance à travers la consécration des valeurs d’intégrité, de responsabilité et de transparence dans la vie publique.

Cette volonté politique s’est traduite par la consécration de ces principes dans la Constitution et en rehaussant le statut de l'Organe national de prévention et de lutte contre la corruption au plus haut niveau des normes régissant l’organisation du fonctionnement de l’Etat.

1 C’est dans cet optique que l’Organe est chargé de traduire ces valeurs et principes dans le cadre d’une politique globale de prévention de la corruption, mission à laquelle, il s’attelle actuellement en élaborant un avant-projet de stratégie nationale de prévention de la corruption.

Cependant, et avant d’aborder le contenu du projet de la politique nationale, il est nécessaire de revenir sur les nombreuses réformes institutionnelles et juridiques qui ont été engagées ces dernières années.

On peut citer entre autre :

 L’installation, en 2001, de la Commission nationale de réforme de la Justice et l’adoption de ses recommandations. Cette commission a été chargée d'établir un diagnostic précis et de proposer les mesures et les actions propres à conforter l’indépendance de la Justice et à rendre le système judiciaire efficace et efficient ;

 L’installation, en 2000, de la Commission nationale de réforme de l'État, chargée de mettre en exergue les défaillances de l’organisation administrative existante et de proposer les règles et mesures tendant à la promotion et au développement du service public et de l'administration.

Sur le plan institutionnel :  La mise en place, en 2011, de l’Organe national de prévention et de lutte contre la corruption ;

 La mise en place, en 2013, de l’Office central de répression de la corruption ;

 La mise en place, en 2016, de l’Observatoire national du service public ;

 Le renforcement de la Cellule de traitement du renseignement financier ;

 Le renforcement du Conseil de la concurrence ;

 La création de l’Observatoire National de la commande publique ;

 La dynamisation du rôle de la Cour des comptes, de l’Inspection Générale des Finances et de la Banque Centrale d’Algérie.

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Sur le plan juridique et réglementaire : La consolidation du dispositif juridique de lutte contre la corruption par :

 la révision Constitutionnelle en 2016, qui a notamment érigé l’Organe national de prévention et de lutte contre la corruption en une institution constitutionnelle et en fixant ses missions ;

 l’amendement de la loi n°06-01 du 20 février 2006, relative à la prévention et à la lutte contre la corruption par la création de l’Office central de répression de la corruption ;

 l’amendement de la loi n°05-01 du 6 février 2005, relative à la prévention et à la lutte contre le blanchiment d'argent et le financement du terrorisme ;

 l’adoption de l’Ordonnance n°07-01 du 1er mars 2007 relative aux incompatibilités ;

 l’amendement du code pénal, par l’introduction d’un chapitre dédié à la protection des témoins, des experts et des victimes en relation avec des affaires de corruption ;

 la révision du code des marchés publics par l’adoption du Décret Présidentiel n°15-247 du 16 septembre 2015 portant règlementation des marchés publics et des délégations de service public ;

 l’amendement par Décret présidentiel n°12-64 du 7 février 2012 complétant le Décret présidentiel n°06-413 du 22 novembre 2006, fixant la composition, l'organisation et les modalités de fonctionnement de l’Organe national de prévention et de lutte contre la corruption ;

 la promulgation du Décret Présidentiel n°16-03 du 7 Janvier 2016 Portant création de l'observatoire national du service public ;

 la promulgation de l’Ordonnance n°08-01 du 28 février 2008 qui a étendu les prérogatives de l’Inspection Générale des Finances au contrôle et à l’audit des entreprises publiques économiques.

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Aussi, une série de textes législatifs et réglementaires, complétant le dispositif juridique qui régule certaines activités exposées aux risques de corruption, ont été adoptés ou amendés (le code du commerce, la loi organique relative à l’information, la loi sur les partis politiques, ...)

En soutien à ces mesures, le Gouvernement a inscrit et engagé des programmes d’action qui consacrent et renforcent dans leurs multiples volets les principes de la bonne gouvernance et de la lutte contre la corruption. Ces programmes d’action comprennent ce qui suit :

 La promotion de la démocratie participative en vue de rapprocher l’administration du citoyen et de l’impliquer activement dans la gestion des affaires locales et nationales ;

 La mise en place progressive des supports de l’administration électronique (e-administration) à travers un vaste programme de numérisation touchant les institutions au contact direct avec le citoyen, tels que la délivrance de documents administratifs biométriques ;

 L’introduction d’une batterie de mesures administratives et juridiques visant l’allègement, l’harmonisation et la simplification des formalités et procédures administratives ;

 Le renforcement du droit des citoyens à l’information et à la liberté d’opinion et d’expression, à travers la mise à jour, notamment, des lois relatives :

- À la protection des données à caractère personnel, - Au droit à l’obtention des informations, documents et statistiques ainsi qu’à leur circulation,

- Aux partis politiques et aux associations ;

 La poursuite de la réforme de la justice qui prend en compte les principes d’indépendance et d’intégrité des magistrats :

- L’adaptation des instruments de politique pénale ciblant en particulier la criminalité économique et financière,

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- L’accompagnement du processus de modernisation de la Justice et le développement continu de la numérisation des administrations et des juridictions pour la mise en place d’une Justice électronique ;

 L’amélioration du climat des affaires par :

- La révision du dispositif réglementaire afférant à la promotion de l’investissement de façon à le rendre plus attractif et plus concurrentiel et garantir plus de transparence,

- la révision du code des marchés publics qui a connu en septembre 2015 une véritable refonte de façon à promouvoir la transparence et réduire les possibilités de corruption ;

 La consolidation des règles de transparence, de redevabilité et d’intégrité dans la vie publique, par la mise en œuvre effective de la Déclaration de patrimoine à l’ensemble des agents publics, qu’ils soient élus ou fonctionnaires ;

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Projet de stratégie nationale de prévention de la corruption

La volonté des pouvoirs publics, d’aller vers une action globale et cohérente en matière de prévention et de lutte contre la corruption, s’est traduite dans la Constitution de 2016, laquelle a chargé l’Organe National de Prévention et de Lutte Contre la Corruption « de proposer et de contribuer à animer une politique globale de prévention de la corruption, consacrant les principes de l'Etat de droit et reflétant l'intégrité, la transparence ainsi que la responsabilité dans la gestion des biens et des deniers publics ».

L’Organe National de Prévention et de Lutte Contre la Corruption a engagé, en conséquence, un avant-projet de stratégie globale de prévention de la corruption qui s’inspire essentiellement des orientations et recommandations de la Convention des Nations Unies contre la corruption CNUCC et du guide pratique de l’Office des Nations Unies (ONUDC) sur l’élaboration et la mise en œuvre des stratégies nationales de lutte contre la corruption.

Le Projet fixe les objectifs à atteindre, définit les actions à entreprendre et détermine les domaines prioritaires et les moyens d’y parvenir.

▪ La vision :

« Promouvoir les valeurs éthiques, l’intégrité et la transparence ».

▪ Les objectifs :

- Asseoir les principes de l’Etat de droit ; - Promouvoir les principes d’intégrité, de transparence et de responsabilité ; - Réduire les causes de la corruption aux niveaux politique, économique et social ; - Améliorer la gouvernance ; - Renforcer la confiance du citoyen dans les institutions de l’Etat.

▪ Les acteurs :

- L’Organe National de Prévention et de Lutte Contre la Corruption ; - Ministères, institutions nationales, établissements organismes publics ; - Secteur économique public et privé ; - Médias, partis politiques, mouvement associatif, citoyens...etc.

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▪ Le plan d’action stratégique :

C’est l’outil principal de mise en place de la stratégie nationale, il développe ses principales orientations et les moyens de leur mise en œuvre à moyen terme.

Le plan d’action stratégique s’appuie sur les politiques et dispositifs existants et dresse les perspectives de renforcement et de modernisation de ces dispositifs, qui permettront l’obtention de résultats tangibles pour l’atténuation de l’ampleur de la corruption.

Ce plan est décliné en axes stratégiques, ayant trait aux réformes institutionnelles, aux réformes juridiques ainsi qu’à la consolidation de la participation des citoyens et des différents acteurs de la société dans la prévention et la lutte contre la corruption.

AXE I : Promotion de l’intégrité et de la transparence dans le secteur public ;

AXE II : Accès effectif du public à l'information ;

AXE III : Multiplication des activités de sensibilisation et promotion du rôle de l’éducation et de la recherche scientifique ;

AXE IV : Consolidation de l’intégrité et de l’indépendance de la justice ;

AXE V : Renforcement de la coopération ;

AXE VI : Implication du secteur économique dans la prévention de la corruption ;

AXE VII : Renforcement du rôle de la société civile dans la lutte contre la corruption ;

AXE VIII : Promotion du rôle des médias dans la prévention et la lutte contre la corruption.

▪ Les actions stratégiques :

Chaque axe est décliné en actions prioritaires incombant aux secteurs et aux acteurs concernés. On peut en citer notamment :

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- Allègement des procédures administratives et Modernisation de l’administration

- Renforcement de l’intégrité et de la responsabilité des agents publics par l’élaboration d’un code de conduite, la déclaration de patrimoine, la gestion des incompatibilités et des conflits d’intérêts ;

- Transparence budgétaire et intégrité dans les marchés publics.

- Elaboration d’une loi d’accès à l’information.

- Elaboration d’une loi relative à la protection des dénonciateurs et des lanceurs d’alertes.

- Promouvoir un sens élevé de probité et d'intégrité morale par des actions de sensibilisation.

- Insérer le volet anti-corruption dans les programmes éducatifs ;

- Promotion du rôle de la recherche scientifique dans la prévention de la corruption

- Consolidation de l’intégrité et de l’indépendance de la justice

- Intensification des accords bilatéraux pour l’entraide judiciaire.

- Le renforcement de la coopération aux fins de l’assistance technique.

- Amélioration des procédures liées au recouvrement des avoirs.

- Renforcement du dispositif institutionnel de lutte contre le blanchiment d’argent.

- Cartographie des risques de corruption.

- Encourager le secteur économique à adopter des systèmes managérial anti- corruption.

- Promouvoir la participation des citoyens dans la gestion des affaires publiques.

- Accroitre la transparence des processus décisionnels ;

- Promouvoir le rôle préventif des médias dans la sensibilisation de l’opinion publique.

- … ▪ Démarche entreprise …

Comme précisé précédemment, l’Organe a procédé à l’élaboration de l’avant-projet de stratégie et à sa formalisation par un groupe de rédaction constitué de cadres de l’Organe.

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Dans une première phase, le projet a fait l’objet d’une transmission à l’ensemble des départements ministériels aux fins d’enrichissement en attendant d’élargir les consultations à d’autres secteurs intervenants dans les domaines les plus vastes possibles et des plus pertinents, de la sphère économique, des medias et de la société civile.

Des réunions de coordinations sont programmées avec les acteurs concernés en fonction de la structure organisationnelle arrêtée et du champ d’application du plan d’action, séquences qui permettront d’identifier toutes les étapes du processus, de préciser les échéances et d’évaluer les besoins en ressources.

La première étape achevée, Il sera procédé à la mise sur pied d’un collectif de rédaction composé de cadres des institutions de l’État, de la sphère économique et de la société civile, pour finaliser le projet, qui sera soumis pour validation au gouvernement.

Alger le 20 mai 2019

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ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

ARGENTINA (SECOND MEETING)

De manera genérica y a modo de referencia de las diversas políticas que desde sus comienzos ejecuta esta Oficina anticorrupción (OA), relacionados con los articulos solicitados, deseamos remitir à la información obrante en el informe de Gestión Anual 2010 de la OA en el punto C.

Dirección de Planificación de Políticas de Transparencia (DPPT), en cuanto a la realización de Políticas orientadas a la transparencia en compras y contrataciones públicas, así como las actividades desarrolladas en materia de implementación del Decreto 1172/03 (incluye los Reglamentos Generales de Audiencia Pública, Publicidad de la Gestión de Intereses, Elaboración Participativa de Normas, Acceso a la Información Pública y Reuniones Abiertas de los Entes Reguladores de Servicios Públicos). El informe puede ser consultado en www.anticorrucion.gov.ar ingresando en la solapa “informes de gestión.” THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY ARMENIA ARTICLE 5 UNCAC PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

ARMENIA (TENTH MEETING)

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTED BY ARMENIA

ARTICLE 5 UNCAC

PREVENTIVE ANTI-CORRUPTION POLICIES AND PRACTICES

ARMENIA (THIRD MEETING)

In countering corruption, Armenia adheres to a policy of prevention, identification and elimination of the causes of corruption, the detection and uncovering of corruption- related offences and the inclusion of civil society in actions to combat what is a dangerous phenomenon. As a result of that policy, positive developments have been achieved in a number of areas. In particular, numerous legislative acts relating to the fight against corruption have been adopted; mechanisms such as the civil service, the declaration by officials of their property and income, licensing and the State registration of legal persons have been placed on solid foundations; and specialized State service entities — the police, the Armed Forces, the tax authorities and the diplomatic service — continue to be reformed.

The Government of the Republic of Armenia, taking as its point of reference the provisions of international instruments and domestic legislation relating to the problem of corruption, has accorded the fight against corruption high priority among its activities. A national anti-corruption strategy and a programme of measures to implement that strategy for the period 2009-2012, establishing the State policy of the Republic of Armenia in that area, together with objectives and expected results, have been prepared and adopted.

In 2010, the State Commission for the Protection of Economic Competition of the Republic of Armenia (hereinafter referred to as “the Commission”) drew up a package of draft laws on amendments and additions to the Act on the Protection of Economic Competition, amendments and additions to the Act on the Organization and Conduct of Audits in the Republic of Armenia and additions to the Act on the State Registration of Legal Persons.

The amendments and additions related to the according of new powers to the Commission, the clearer definition of its functions and the strengthening of the legislative regulation of competition. They were adopted in accordance with the priorities established by the Government of the Republic of Armenia under a programme of measures relating to the activities and priority tasks of the Government for 2009 and taking into account the need to implement a strategic programme of measures to combat corruption in the Republic of Armenia. The package of draft laws was prepared in order to increase the effectiveness of the Commission’s activities; accordingly, the need to strengthen the effectiveness of implementation of a number of legislative provisions in accordance with international standards and requirements was also taken into account.

The first State anti-corruption strategy, together with a plan of action for its implementation, was adopted by the Government of the Republic of Armenia on 6 November 2003 through Decision No. 1522-H. The purpose of the anti-corruption strategy is to reduce the level of corruption, eliminate the causes of and conditions contributing to the emergence and spread of corruption and establish a healthy moral climate in Armenia, thus facilitating the establishment of democratic institutions, civil society and a State governed by the rule of law, together with free market competition, economic development and a reduction in the scale of poverty.

The anti-corruption strategy provides for a systematic approach, identifying a series of high-priority areas and outlining key anti-corruption measures. It also sets out three main pillars of the fight against corruption:

- Increasing public awareness of the dangers and consequences of corruption - Preventing corruption - Upholding the rule of law in order to protect human rights and the lawful interests of the individual.

The Government of Armenia established its anti-corruption strategy and a programme of measures to implement that strategy for the period 2009-2012 by Decision No. 1272 of 8 October 2009. The [overall] programme is divided into the periods 2003-2007 and 2009- 2012. Chapter IV of the programme is devoted entirely to anti-corruption policy in public administration and in certain sectors of the economy.