BASIC ANTI-CORRUPTION CONCEPTS a Training Manual
Total Page：16
File Type：pdf, Size：1020Kb
BASIC ANTI-CORRUPTION CONCEPTS A training manual BASIC ANTI-CORRUPTION CONCEPTS A training manual Council of Europe The opinions expressed in this work are the responsibility of the authors and do not necessarily reflect the official policy of the Council of Europe. All requests concerning the reproduction or translation of all or part of this document should be addressed to the Directorate of Communication (F‑67075 Strasbourg Cedex or [email protected]). All other correspondence concerning this document should be addressed to the Directorate General Human Rights and Rule of Law. For more information on the subject of the publication, please contact: Economic Crime and Co‑operation Unit, Action against Crime Department, Directorate General Human Rights and Rule of Law, Council of Europe F‑67075 Strasbourg Cedex E‑mail: [email protected] Website: www.coe.int/corruption Cover design: Documents and Publications Production Department, Council of Europe Layout: Jouve 2nd edition © Council of Europe, January 2015 Printed at the Council of Europe Contents FIGURES AND TABLES 5 FOREWORD 7 INTRODUCTION 9 1. CORRUPTION 11 1.1. Definition 11 1.2. Forms 13 1.3. Terminology 15 1.4. Causes 18 1.5. Consequences 21 2. MEASURING 23 2.1. Corruption 23 2.2. Excursus: International corruption scores and surveys 30 2.3. Corruption risks 40 3. RESPONSES: OVERVIEW 45 3.1. Opinions and strategies 45 3.2. Reform of legislation and regulations 47 3.3. Judicial reform 47 3.4. Law enforcement 48 3.5. Public administration/civil service reform 48 3.6. Public education and participation of civil society as independent monitors of anti‑corruption reforms 49 4. SUCCESS STORIES 51 4.1. The example of Georgia 51 4.2. Other examples 59 4.3. Success patterns 62 4.4. Literature 63 5. ETHICS 65 5.1. Ethics as an anti‑corruption approach 65 5.2. How to change an ethical culture? 65 5.3. Regulating ethics 67 5.4. Training in ethics 70 5.5. Integrity testing 76 5.6. Literature 80 6. CRIMINALISATION 81 6.1. Elements of crime 81 6.2. Non‑liability 89 6.3. Immunities as an obstacle to prosecution 89 6.4. Sponsorship and criminal law 90 6.5. Literature 92 Page 3 7. POLITICAL FINANCING 93 7.1. Background 93 7.2. State and private funding 94 7.3. Integrity in political finance 95 7.4. Misuse of public resources 97 7.5. Transparency in political finance 97 7.6. Literature 99 8. INTERNATIONAL STANDARDS 101 8.1. Background to international standards 101 8.2. Conventions 104 8.3. Comparison of international agreements 110 8.4. Implementation and monitoring 114 8.5. Non‑binding standards 118 9. APPENDICES 123 9.1. General literature 123 9.2. Internet sources 123 9.3. International standards: Council of Europe 124 Basic anti‑corruption concepts Page 4 Figures and tables FIGURES Figure 2.1: Transparency International’s Corruption Perceptions Index, 2012 (mapped by country) 31 Figure 2.2: Global Corruption Barometer, 2010 (by public service sector) 36 Figure 2.3: Perception v. experience of corruption 37 Figure 2.4: Percentage of respondents in Azerbaijan who believe unofficial payments are used (by public service sector) 37 Figure 2.5: Belief that unofficial payments in Georgia remain quite infrequent (as % of respondents who believe such payments are used) 38 Figure 2.6: Reasons for making unofficial payments or gifts in countries of the former communist bloc (by public service sector) 38 Figure 3.1 The OECD Integrity Framework 48 Figure 4.1: The position of Georgia in perception v. experience of corruption 52 Figure 8.1: Signatories to the United Nations Convention Against Corruption 107 Figure 8.2: Types of bribe 112 Figure 8.3: Implementing the Council of Europe’s Twenty Guiding Principles for the Fight against Corruption 119 Figure 8.4: Implementing the Council of Europe’s Common Rules against Corruption in the Funding of Political Parties and Electoral Campaigns 120 TABLES Table 1.1: Dichotomies 16 Table 2.1: Transparency International’s Corruption Perceptions Index, 2012 (score by country) 31 Table 2.2: Transparency International’s Global Corruption Barometer, 2010 34 Table 6.1 Criminal inviolability of office‑holders in Europe 90 Table 7.1: Possible arguments pro and contra public and private funding of political parties 95 Table 7.2: Types of corruption in political finance 95 Table 7.3: Preventing corruption in political finance 96 Table 8.1: Landmark legislation and treaties 110 Table 8.2: Effects of outcome and facilitation payments 113 Table 8.3: Legal status of facilitation payments under international conventions 113 Page 5 Foreword ver since positions of public power or trust came to exist in society, people have misused them for personal gain. Although in most cultures this has been E seen invariably as a bad thing to do, corruption evolved in so many subtle ways and has so many faces that, to this date, there is no single, universally recognised definition for it. Nevertheless, the current trend is to re‑focus on the original meaning of the word to corrupt, which is to destroy. There has been an increasing recognition of the capac‑ ity of corruption not only to undermine good governance and cripple economic growth, but also to destroy trust in public institutions. Women and men across the Council of Europe area are less and less prepared to tolerate graft, and sanction the Governments for failing to tackle corruption. Very recently in Europe and beyond, we have seen how corruption, when left unchecked, can become the cause of upheaval and disorder with far‑reaching, painful and costly consequences. As an organisation dedicated to upholding the respect for Human Rights, democ‑ racy and the rule of law, the Council of Europe acted early on to address the threat brought on by corruption. Starting in the 1990s, it adopted the Criminal Law and Civil Law Conventions on Corruption, as well as a series of Recommendations to member States – on the twenty guiding principles for the fight against corruption, on codes of conduct for public officials, on common rules against corruption in the funding of political parties and electoral campaigns. By establishing international legal standards and “soft law” recommendations, the Council of Europe acts in line with its statutory mandate to help member States achieve a greater unity for the purpose of safeguarding and realising the ide‑ als and principles which are their common heritage and facilitating their economic and social progress. At the turn of the century, the Council of Europe established a monitoring body to evaluate compliance with these standards ‑ the Group of States against Corruption (GRECO). GRECO is a mechanism for mutual evaluation and peer pressure ‑ in strict respect of the equality of rights and obligations of all its members. The Group collects information through questionnaires and on‑site country visits. The evaluation reports are examined and adopted at GRECO plenary meetings. They contain specific recommendations, which are in turn, subject to follow‑up evaluations. Page 7 As a logical next step, the Council of Europe developed an outreach capacity. Technical cooperation projects, conceived, planned and implemented together with the ben‑ eficiary countries, support them in putting into practice specific recommendations and, more generally, in meeting their commitments as Council of Europe members. The outreach work facilitates access to the best European experience and knowledge and promotes the mainstreaming of good practices and solutions. This manual on Basic Anti‑corruption Concepts is the final product of an extensive effort by the Council of Europe experts‑trainers, Secretariat staff and participants in trainings. It takes on the lessons learned from peer exchanges and expert interventions carried out in different member States of the Council of Europe in the framework of specialised training activities over the last two years. The training concept, the preparation and layout of the training material and the refinement of the methodology are in many ways a novel contribution. A first pub‑ lication of its kind by the Council of Europe, this manual is intended to serve as a tool in support of technical cooperation activities. I am confident that trainers will find in it helpful guidance for structuring and sequencing their training sessions, whereas trainees will use the book as a reference in following and understanding training in basic anti‑corruption concepts. I thank the authors Ms Vera Devine and Mr Tilman Hoppe, all experts and participants in the trainings, as well as my colleagues from the Economic Crime Cooperation Unit at the Council of Europe, whose professional knowledge and commitment underpinned the successful completion of the manual. Ivan Koedjikov Head of Action against Crime Department Directorate General Human Rights and Rule of Law Council of Europe Basic anti‑corruption concepts Page 8 Introduction his training manual, Basic anti‑corruption concepts, forms part of the Council of Europe’s technical co‑operation activities with its member states. The devel‑ T opment, preparation and publication of this deliverable has been fully funded by the Council of Europe. The initial draft of the training manual was piloted at a training event in May 2012 in Moscow, Russian Federation. The training itself was conceptualised around an interactive, four‑ to five‑day seminar, and it was delivered in the format of training and reading materials. Later on, Council of Europe experts and national participants at the May 2012 training session supplied additional input; all this further develop‑ ment aimed to make the training material more complete. The manual’s purpose is two‑fold: for trainers, it serves as a suggested sequential outline of the training session(s). For trainees, it is a source of reference in following and understanding the training, as well as for individual follow‑up after the event.