GOVERNMENT ACCOUNTABILITY
INITIATIVE
QUARTERLY REPORT (August 1 – October 31 2019)
Submission Date: November 13, 2019
Contract Number: 72016918C00002 GAI; Activity Start and End Dates: 6 February 2018 – 5 February 2022 COR: Milena Jenovai
Submitted by: Checchi and Company Consulting, Inc. 1899 L. Street, NW Suite 800 Washington, DC 20036-3804 Tel: 202-452-9700 Email: [email protected]
This document was produced for review by the United States Agency for International Development (USAID/Serbia). It was prepared by Checchi and Company Consulting, Inc.
GOVERNMENT ACCOUNTABILITY INITIATIVE Contract Number 72016918C00002
QUARTERLY REPORT (August 1 – October 31, 2019)
Submission Date: November 13, 2019
Submitted by: Checchi and Company Consulting, Inc. 1899 L. Street, NW Suite 800 Washington, DC 20036-3804 Tel: 202-452-9700 Email: [email protected]
DISCLAIMER: The author’s views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development.
Checchi and Company Consulting, Inc.
CONTENTS
Acronyms...... i EXECUTIVE SUMMARY ...... 1 PROJECT OVERVIEW ...... 4 ACTIVITY IMPLEMENTATION PROGRESS ...... 9 Local Government Accountability ...... 9 Independent Oversight Institutions ...... 23 Adjudication of Corruption Cases ...... 31 Other Technical Assistance ...... 37 PMP UPDATE ...... 39 MANAGEMENT AND ADMINISTRATIVE ISSUES ...... 51 PLANNED ACTIVITIES FOR FOURTH QUARTER INCLUDING UPCOMING EVENTS ...... 51
Checchi and Company Consulting, Inc.
ACRONYMS
ACA Anti-Corruption Agency AMELP Activity Monitoring, Evaluation and Learning Plan AVP Automated Case Management System for Courts CSO Civil Society Organization CPI Commissioner for Information of Public Importance and Personal Data Protection DOJ/OPDAT Department of Justice - Office of Overseas Prosecutorial Development Assistance and Training ERCC Electronic Register of Corruption Cases GAI Government Accountability Initiative IOI Independent Oversight Institution JA Judicial Academy LAP Local Anti-Corruption Action Plan LSG Local Self-Government NA National Assembly MOJ Ministry of Justice PMP Performance Management Plan PPO Public Prosecutor’s Office RPPO Republic Public Prosecutor’s Office SAI State Audit Institution SCC Supreme Court of Cassation TS Transparency Serbia USAID United States Agency for International Development
Checchi and Company Consulting, Inc. i
EXECUTIVE SUMMARY
The third quarter (Q3) of the second year of implementation of the United States Agency for International Development (USAID) Government Accountability Initiative (GAI) was marked by activities to advance adoption of policy reforms, publication of instructional guidance, training to implement new policy reforms, and initiation of youth-focused awareness raising campaigns.
Notable achievements and highlights in the third quarter include:
• The second group of seven GAI counterpart local self-governments was selected with USAID approval. Niš, Kragujevac, Novi Pazar, Sremska Mitrovica, Žabalj, Vračar, and Stari Grad will be supported with tailored assistance in the seven areas of support that GAI offers: local anti-corruption plans, transparency, public participation, municipal open budget, whistleblower protection, and anti-corruption campaigns.
• Four counterpart local self-governments revised or adopted newly developed Local Anti- Corruption Action Plans with GAI assistance. In addition, the Local Anti-Corruption Forum established by the City of Šabac began operations with GAI technical support.
• The first GAI-supported Single Administrative Point in Sombor was established. The Single Administrative Point allows registration of changes in property ownership at both the tax administration and the local utility companies in a single process, allowing more timely and efficient service delivery to residents.
• In support of the specialized anti-corruption court units and Public Prosecutors’ Offices, GAI published the Practicum for Investigation and Adjudication of Corruption Offences to codify best practices for investigation and adjudication of corruption offences and to delineate the benefits of parallel use of criminal and financial investigations and access to open data resources. The Practicum is a guide for Serbian legal professionals implementing the Law on the Organization and Jurisdiction of State Organs in the Suppression of Organized Crime, Terrorism and Corruption. Serbia`s Supreme Court of Cassation Judge Biljana Sinanović noted that the Practicum offers “possible solutions to the efficient use
Checchi and Company Consulting, Inc. 1
of new institutes – primarily financial forensics – in criminal proceedings before the courts and emphasizes achieving better results through the use of liaison officers and task forces”.
• GAI drafted a series of six Performance Audit Methodology Guides for incorporation into the State Audit Institution’s Manual on Performance Audit. The Guides detail internationally accepted evaluation methods that the auditors will use to design performance audits and evaluate evidence gathered to develop valid and reliable conclusions. The methodologies include sampling, questionnaire design, case study, literature search and content analysis, data quality and reliability testing, and use of “best practices” as audit criteria. GAI also developed a methodology for the Institution to calculate reportable performance measures, such as financial and other benefits derived from auditees’ implementation of audit recommendations.
• A Conflict of Interest Manual was developed by GAI in cooperation with the Anti- Corruption Agency to guide public officials’ identification and management of conflict of interest situations. The Manual is a first of its kind tool to advance the Anti-Corruption Agency’s responsibilities to enhance ethics and prevent corruption in state institutions.
• GAI further supported the development of the Anti-Corruption Agency’s 2019-2020 Operational Plan which prescribes how the Anti-Corruption Agency will use its resources towards implementation of Strategic Plan. The Operational Plan identifies the activities and events to be conducted by the Anti-Corruption Agency, including the time frame and Key Performance Indicators.
• GAI continued to raise public awareness of the importance of whistleblower protections in Serbia in a dialogue with the government, whistleblowers, prosecutors and judges, and the international donor community. More than 120 persons attended the September 9, 2019 Whistleblower Protection at Central and Local Level Conference convened in cooperation with the Ministry of Justice, the EU Prevention and Fight Against Corruption project, and the Pištaljka whistleblowers’ portal. GAI complemented the dialogue with publication of the Handbook for Designated Persons for Receiving Whistleblower Reports.
Checchi and Company Consulting, Inc. 2
• GAI renewed support for the Commissioner for Access to Information of Public Importance and Personal Data Protection, after new Commissioner Marinović assumed office in August 2019. In cooperation with the Commissioner, GAI convened a dialogue with civil society on the importance of free access to information of public importance in celebration of Right to Know week.
• GAI initiated its campaigns to raise the awareness of Serbia’s youth on the importance of combating corruption and enhancing good governance. U.S. Magistrate Judge Boal held a lecture for Belgrade University Faculty of Law students on the challenges in investigation and adjudication of white-collar crimes. GAI reached agreement with the University of Belgrade Faculty of Law to support the Faculty’s resumption of the Anti-Corruption Law Clinic. GAI will provide technical assistance to develop training on anticorruption, facilitate a series of domestic and international lecturers on fighting corruption, and support cooperation of the Clinic and specialized anti-corruption units in courts and Public Prosecutor’s Offices. Also, GAI created a campaign, including multi-media promotion and support, for Sombor’s high school student parliaments to convene a vote on school improvement projects to be presented to the City government for funding in the 2020 budget.
Checchi and Company Consulting, Inc. 3
PROJECT OVERVIEW
Activity Name Government Accountability Initiative Activity (GAI) Start and End Dates 6 February 2018 – 5 February 2022 Prime Implementing Partner Checchi and Company Consulting, Inc. Contract Number 72016918C00002 GAI Local governments Main Projected Counterparts Independent Oversight Institutions Anti-Corruption Court Units Work Plan Period 6 February 2018 – 5 February 2019
PROJECT DESCRIPTION
The Government Accountability Initiative is a four-year United States Agency for International Development Activity initiated in February 2018 with an overall objective to strengthen the capacities and connections of key Serbian government institutions and stakeholders resulting in increased government accountability at the national and local levels. GAI consists of three components: Local Government Accountability, Independent Oversight Institutions (IOIs), and Adjudication of Corruption Cases. GAI counterparts include local self-governments (LSGs), the State Audit Institution (SAI), the Anti-Corruption Agency (ACA), the Commissioner for Public Information and Personal Data Protection (CPI), specialized anti-corruption units in courts and the Public Prosecutor’s Office (PPO), and civil society organizations (CSO).
The Activity is structured around three components:
o Component 1. Local Government Accountability
GAI is supporting local governments’ efforts to increase inclusion of the public in government decision-making regarding public policy development and resource allocations; to encourage and incentivize local governments to operate in a more transparent and responsive manner, optimize service delivery, and strengthen whistleblower protection; as well as, to foster accountability with the development of Local Anti-Corruption Plans and set-up of independent bodies to monitor their implementation.
Checchi and Company Consulting, Inc. 4
o Component 2. Independent Oversight Institutions
GAI is providing technical assistance to oversight institutions, such as SAI, ACA, and CPI, to strengthen monitoring of government performance and public officials and encourage them to exercise their duties as defined in the institutions’ respective legislative mandates. To increase responsiveness to findings and implementation of recommendations of oversight institutions, GAI is working closely with relevant authorities, such as the specialized anti-corruption units established in courts and Public Prosecutor’s Offices, relevant ministries, and relevant National Assembly Committees. GAI is also working with the CPI to enhance personal data protection, particularly at the local level, and to raise awareness of the importance of the right to know.
o Component 3. Adjudication of Corruption Cases
GAI is providing technical assistance to specialized anti-corruption units established in courts and the Public Prosecutors’ Offices to strengthen prosecution and adjudication of corruption cases and to establish a system for the collection of unified statistics on corruption cases that distinguishes clearly between different types of criminal offences, the length of cases, and outcome of the proceedings.
The Results Framework for GAI, as depicted below, provides the basis of operation for the three components that form this Initiative. GAI’s overall goal – strengthening the accountability of key democratic institutions in Serbia (DO.1) – aims to deliver two important Interim Results: IR 1.1 – Government Institutions More Responsive to Citizens, and IR 1.2 – Rule of Law and Oversight Improved.
Checchi and Company Consulting, Inc. 5
Results Framework - Government Accountability Initiative
DO1: Accountability of Key Democratic Institutions Strengthened
IR 1.1 Government Institutions More IR 1.2 Rule of Law and Oversight Improved Responsive to Citizens
Sub IR 1.1.1 Capacity of Government Bodies to Engage Sub IR 1.2.2 Oversight Institutions Enhanced Citizenry
Component 2 – Component 1 – Component 3 – Independent Local Government Adjudication of Oversight Accountability Corruption Cases Institutions
Impact Level Impact Level Impact Level Increased Public Increased Follow-up to Increased Adjudication of Participation in Local Oversight Institutions’ Corruption Cases Government Decision- Recommendations making and Oversight
Output Level Output Level Output Level • Increased Effectiveness • Increased Case • Increased opportunity of Independent Investigation and for public input to local Oversight institutions in Management government Corruption Cases • Clearer processes for • Strengthened public participation Monitoring of decision-making Government
Performance
Improving Government Responsiveness on the Local Level
GAI activities are designed to provide support to local governments to enable them to more effectively respond to citizens’ needs, as well as to implement standards and good practices in the field of accountable government consistent with local governments’ legal obligations.
GAI’s technical assistance assumes that each local government has unique characteristics with differing capacities, so technical assistance is tailored to the specific needs of each local government. GAI has offered local governments support in areas of importance to citizens, including adoption, implementation, and monitoring of local anti-corruption plans; improving transparency of their work; enhancing civic participation; and providing the prerequisites for
Checchi and Company Consulting, Inc. 6
whistleblower protection. To share lessons learned, GAI is supporting the exchange of experiences and successes among local governments.
Independent Oversight Improved
To optimize the results and impact of the work of SAI, GAI is supporting the institution to fulfill its mandate consistent with current international professional standards and reflective of risk- based oversight of government. Assistance is designed to enhance the utility of SAI’s work to the National Assembly, to elevate the level of public appreciation for anti-corruption efforts, and to increase the likelihood that SAI’s audit report recommendations lead to concrete, meaningful improvements in Serbian public sector governance and government delivery of services to the public. GAI aims to achieve sustainable, long lasting results, and build on prior USAID assistance to SAI that included training in performance auditing to build SAI’s capacities to assess whether public entities are achieving economic, efficient, and effective use of available resources.
GAI’s support to ACA includes a manifold capacity building effort to implement ACA’s specific strategic goals, derived with GAI’s support in Y1, and focus on strategies to prevent and detect corruption and enhance productive collaboration with key stakeholders, such as the Misdemeanor Courts and specialized anti-corruption PPOs.
Oversight of government is highly correlated with public access to information. GAI support to the Commissioner for Information of Public Importance and Personal Data Protection (CPI) focuses on promotion of the public’s right to know; raising awareness of the importance of free access to public information while placing appropriate attention and balance on data protection; and encouraging institutions to be more open in response to public, CSO, and media requests for public information. GAI continues its focus on development of awareness raising campaigns in support of CPI’s mission while also planning with the new Commissioner support to implement the strategies to enhance their oversight of laws on access to information and data protections.
Adjudication of Corruption Cases
The Law on the Organization and Competences of State Organs in Fight Against Organized Crime, Terrorism and Corruption established specialized anti-corruption court units and Public Prosecutor Offices. The Law, adopted by the National Assembly in 2016, came into force in
Checchi and Company Consulting, Inc. 7
March 2018. GAI supports the specialized anti-corruption courts and Public Prosecutors’ Offices to enhance their capacities to perform duties newly defined in the Law, identify information critical to improve efficiency in adjudication, and enhance procedures for data collection to ensure data quality and security. GAI also will facilitate the creation of an Electronic Register of Corruption Cases to enable a seamless interface for specialized anti-corruption court and PPO data, leading in turn to improved case management, monitoring, and adjudication of corruption cases.
Checchi and Company Consulting, Inc. 8
ACTIVITY IMPLEMENTATION PROGRESS
In this quarter, activities were largely implemented as planned with some delay in activities relating to the final design of an Electronic Register of Corruption Cases (ERCC). All components coordinated activities with other donors’ implementing partners to avoid overlaps and increase synergies. Support has continually been provided to counterpart LSGs, SAI, and ACA, and new support is being planned for the newly selected second group of counterparts LSGs and the CPI.
I. Local Government Accountability
In the reporting period, GAI continued the implementation of tailor-made technical assistance to the first group of seven local self-governments signatories to the November 2018 Memoranda of Understanding with USAID (Group 1 LSGs). GAI selected the second group of seven LSGs (Group 2 LSGs) that will sign Memoranda of Understanding with USAID on November 15, 2019.
LOCAL GOVERNMENT ACCOUNTABILITY
SUPPORT INCLUSIVENESS TRANSPARENCY to 7 LSGs in fortifying engaging the PUBLIC in the work of the LSGs ACCOUNTABILITY in in policy development to BATTLE their daily work and MONITORING CORRUPTION
Source: Clipart from shutterstock.com
Checchi and Company Consulting, Inc. 9
1.1 Local Anti-corruption Action Plan (LAP) Development and Oversight
GAI, through Transparency Serbia, (TS) continued to provide technical assistance to Raška, Sjenica, Vrnjačka Banja, and Vranje in the area of LAP development and oversight. With adoption of a LAP by the Vranje assembly on September 26, 2019, four supported LSGs finalized the process of LAP development and adoption. The majority of assistance provided focused on the establishment of independent bodies for monitoring LAP implementation and on making them operational. Appointment of members of monitoring bodies is expected in December at the next sessions of local assemblies.
Design/Revision of LAPs and Establishment of Independent Monitoring Bodies – Most activities relating to the development and revision of LAPs (Activity 1.1.A) were completed and reported on in the prior quarter. GAI’s focus in this period was on LAP oversight. o Revision of LAPs in Vranje, Vrnjačka Banja, and Sjenica – The City Assembly of Vranje adopted the proposed LAP on September 26. This activity is complete.
o Establishment of Monitoring Bodies – The following support was provided to the local governments by GAI through Transparency Serbia (TS):
➢ Support was provided to Raška to prepare and publish an open call for selection of members for an independent monitoring body. Following the closure of the call, five applications were received. TS provided support in the process of interviewing and selecting candidates.
➢ Vrnjačka Banja completed an open call for selection of members of the LAP monitoring body. Three candidates applied, were interviewed, and will be recommended for appointment at the next local assembly session in December.
➢ Support was provided to Vranje to establish a commission for selection of members of the LAP monitoring body and for administration of the open call. The open call was published on October 17.
Checchi and Company Consulting, Inc. 10
➢ In Sjenica, a call for selection of members of LAP monitoring body was published on September 25. Since the LSG did not receive a sufficient number of applications, the deadline was extended to November 7.
➢ In Šabac, the independent LAP monitoring body (the Local Anticorruption Forum, or LAF) was established, and the activity completed. The LAF adopted documents required for it to become operational, including Rules of Operation, an Annual Workplan for 2019, and a Code of Conduct1. Different areas of the LAP were assigned to individual members to monitor and report on. The LAF has started to prepare an annual report on LAP monitoring, which will be one of the first of its kind in Serbia. As of the beginning of the reporting quarter, LAF members, had started to organize their own meetings and plan work without the TS assistance that was previously required to convene meetings.
o Frequently Asked Questions on LAP – GAI has published Frequently Asked Questions on LAP (LAP FAQ), which were developed by GAI’s subcontractor BIRODI, in cooperation with ACA and the Standing Conference of Towns and Municipalities. The document provides answers to 51 questions asked by LSGs during the process of LAP development and will help local governments to overcome challenges identified in the process of LAP development. The Frequently Asked Questions on LAP document was endorsed by ACA, distributed to all LSGs, and published on the GAI website.
Raising Public Awareness – During the reporting period, TS and GAI continued to inform the public on the process of LAP adoption (Activity 1.1.B). In Q3, communication was focused on
1 Documents relating to the LAP and LAF in Šabac are available on the City’s website .
Checchi and Company Consulting, Inc. 11
informing the public about the importance of the constitution of LAP monitoring bodies in their cities/municipalities and to invite them to apply to work on these fora.
Customer satisfaction surveys conducted in five LSGs Have you heard of the Local Anti- where GAI supports LAP development and oversight Corruption Plan (LAP) and do you know what it is? show that residents in those locations are more aware of the existence of and have a higher rate of Raska 23 36 41 Vrnjacka Banja 21 28 51 understanding of LAPs than the national average. The Dimitovgrad 15 16 69 Sabac 9 16 75 results of GAI’s 2018 nationwide survey reported that Sombor 5 25 70 76% of those polled had not heard of LAPs, 19% had Serbia AVERAGE 5 19 76 heard of it but were unsure of what it was, and only 5% Has heard about it and knows what this is reported they were fully aware. In Vrnjačka Banja and Has heard about it, but is insure of what it is Is not familiar with LAP Raška, where GAI and TS conducted intensive public awareness raising activities, such as open calls for drafting and revising LAPs, public consultations on the draft LAPs, news about the process on local and TS websites and social media, the general public reported a much higher rate of awareness and understanding than the national average. The findings also show there is still much room to promote the LAP and raise public awareness about its existence, effects, and results.
Workshop on LAP Monitoring Mechanisms – As reported in Q1, GAI developed recommendations for LAP Monitoring Mechanisms and submitted them to ACA for endorsement. During the reporting period, ACA and GAI had several rounds of consultations in order to finalize the document, expected to be adopted in early November. ACA has suggested that the presentation of the LAP Monitoring Mechanism be held on November 22, 2019.
1.2 Transparency
All seven LSGs in the first group of GAI counterparts expressed a need to improve communication of relevant information to the public to increase transparency in governance. GAI has initiated technical assistance to create more user-friendly platforms for local government engagement with the public.
Website and Social Media Platform Improvements – Following the development of the model website for LSGs in Q2 (Activity 1.2.A), based on the request of the City of Vranje, GAI
Checchi and Company Consulting, Inc. 12
subcontracted 30 Hills, a local website developer, to pilot the model and develop a new website for the City. The launch of the new website is expected in November 2019.
Use of Social Media for Improved Interaction with Residents – Following a successful workshop on the use of social media by LSGs for better communication with the public (Activity 1.2.B), GAI published a Guidebook for Improved Communication of LSGs through Social Media. The guidebook was shared with GAI LSGs and published on the GAI website. It will be used for training of the Group 2 LSGs.
GAI has discussed further enhancement of transparency of the local governments with Transparency Serbia since the Local Transparency Index (LTI) for 2019 scores were published (Activity 1.2.C). Throughout Year 2, GAI has supported LSGs with activities that address areas for improvement identified in the LTI. GAI will build on these areas, develop action plans to respond to LTI scores of GAI’s Guidebook for Improved Communication of LSGs through Social Media counterpart LSGs, and share and implement activities across counterpart LSG to enhance local government transparency. The LTI scores for GAI counterpart LSGs are available under the update to the Performance Management Plan (PMP) below.
1.3 Public Participation
In the reporting period, GAI continued to build counterpart LSGs’ capacities to improve the conduct of public hearings, and public engagement in planning budgets and local economic development. GAI will support public awareness campaigns to raise the interest among businesses, associations, and the general public to take part in the processes.
Guidance for Organization of Public Hearings – With GAI’s support, the City of Sombor adopted a new approach for the preparation and organization of public hearings on the 2020 Budget (Activity 1.3.A). During Q3, GAI assisted Sombor to implement the newly developed action plan for the organization of the public hearing related to the budget. GAI organized and participated in meetings with heads of local civil society organizations to prepare public consultations on the
Checchi and Company Consulting, Inc. 13
draft budget. Also, GAI worked with high school principals and student parliaments from six high schools to identify strategies for students to participate in the budgeting process by nominating and voting for school facility enhancement projects that will be presented to the LSG for funding in the 2020 budget.
Sombor has previously registered very low public participation in the budget planning process. According to the data from the public satisfaction survey conducted by GAI2, only 1% of the population has previously participated in this process. Still, results of the survey show that 33% of population expressed interest in taking part in public debates and other public events that enable participation in decision-making. To facilitate public engagement, GAI created a public awareness campaign that will be implemented prior to and during the public consultations, including a set of events in the six high schools during the first half of November. The campaign encompasses radio announcements, posters, social media ads, and press releases, as well as planned guest appearances of the Mayor, City Counselor for Budget and Finances, and Head of City Administration.
Obtaining Public Input for Local Economic Development Program Planning – In Dimitrovgrad, GAI has been providing support for the development and implementation of the Action Plan for Organizing the Public Hearing for the 2020 Annual Local Economic Development Program (Activity 1.3.B). In Q3, GAI’s assistance targeted improving the quality of the program, as well as organizing public consultations with businesses. Technical assistance included impact assessment of the program implemented in 2018, which generally lacked clear criteria for award of subsidies, and recommendation of main elements of the Local Economic Development Program for 2020. Focus groups with representatives of businesses and agriculture producers will be organized in early November to present the impact assessment and collect further inputs for the 2020 Program.
1.4 Municipal Open Budgets
GAI is working with the LSGs to facilitate a culture of openness and information sharing on public spending.
2 For more on customer satisfaction surveys see below under Activity 1.5.
Checchi and Company Consulting, Inc. 14
Development of Budget Portal in Vranje – GAI worked with representatives of the City of Vranje on the design and programming of an open budget portal (Activity 1.4.A). The portal will be placed on the new website and will provide information on budget execution and facilitate the process of budget planning. Several features will be made available to the public, such as budget simulation, calculator of local taxes and fees, and voting for capital investments projects. The launch of the portal is expected in November and will be used as a tool to facilitate public discussions on the 2020 budget.
Workshops on Increasing Financial Discipline – In Vrnjačka Banja, as a follow up to the detailed assessment of the public finance and the budgeting process completed in Q2, GAI presented and discussed the main findings with the municipal leadership (Activity 1.4.B). The municipal officials agreed with the recommendations and asked for further assistance to enhance fiscal governance and engage with the private sector to identify options to increase public revenue; to develop a centralized complaint management system for communal service delivery; and to develop a centralized complaints management system for local communal companies.
Development of Public Expenditure Tracking Tools – GAI has been approached by the City of Šabac for support to revise their internal management and financial controls and to develop mechanisms for tracking expenditures and outcomes of specific projects (Activity 1.4.C). Similar support has been requested by several Group 2 LSGs, and GAI will work with them on development of appropriate tools.
1.5 Public Services
Customer Satisfaction Surveys – In the reporting period, GAI, in cooperation with CESID, administered customer satisfaction surveys in five LSGs: Sombor, Šabac, Vrnjačka Banja, Raška, and Dimitrovgrad (Activity 1.5.A). The surveys establish a baseline for these LSGs to monitor the quality and efficiency of local public services and address the needs of their residents. The surveys were developed in cooperation with LSGs, and each survey questionnaire was adjusted to the
Checchi and Company Consulting, Inc. 15
specific profile and needs of each community. Detailed reports based on surveys were shared and discussed with each LSG’s leadership.
A presentation of the survey results was held for the leadership of the City of Sombor on October 18. GAI and Sombor’s representatives discussed further improvements to public services and explored opportunities to continue the support in this area.
The surveys’ findings in all five LSGs show that members of the public are generally satisfied with the quality, efficiency, and responsiveness of civil servants, but that additional attention should be given to specific groups of the population that need more information and assistance in obtaining public services, such as youth or people with lower levels of education. The surveys also showed space for improvement in use of the local websites and social media as sources of information and tools for interaction with local government, given that the use of online outlets is still very low. Overall, surveys confirm very low public participation in decision-making and identify moderate interest in being involved, which establishes a need for activities to improve public engagement.
Establishment of Single Administrative Points – GAI supported Sombor to improve delivery of services for the public, assisting the City to establish the first Single Administrative Point (SAP) in Sombor (Activity 1.5.B). The SAP in Sombor enables automatic registration of change in ownership of properties at the tax administration and local utility companies. The reduction in time to obtain services will provide a benefit to residents, as they will no longer need to visit each institution separately, and will mitigate corruption risks by reducing the number of direct contacts between members of the public and public servants, thus limiting civil servants’ discretionary decisions. The City of Sombor will benefit from more timely data entries in utility company registries and better collection of receipts. Sombor’s Single Administrative Point became operational on 17 September 20193. The City will monitor its implementation to analyze
3 More information available on Sombor’s and GAI’s websites.
Checchi and Company Consulting, Inc. 16
its effectiveness and efficiency. Representatives of the City of Sombor expressed high interest in sharing experiences with other LSGs on the SAP establishment process.
Improvement of Communal Services – The customer service surveys in Raška and Vrnjačka Banja have shown areas for improvement in delivery of services and administration efficiency and transparency (Activity 1.5.C), namely:
o In Raška – GAI developed a methodology for public oversight over local infrastructure works, and development of appropriate tools to facilitate it. As a first step, GAI trained local officials on the methodology followed by meetings with members of the public in local communities to present the tool and raise interest to take active part in this initiative. This is the first such methodology and will be shared with other counterpart LSGs.
In October, GAI organized two focus groups with 32 residents of Raška on public monitoring of capital investment projects. The first one for urban local communities was held in Raška’s municipal building on October 22, while the second was held on October 23 in the rural local community of Draganić. LSG representatives presented capital projects implemented in 2019 as well as those planned for 2020, and focus groups provided excellent feedback, as participants asked questions and suggested priorities for their local communities. Raška’s representatives are determined to continue this practice, and plan to hold similar gatherings in all local communities.
o Vrnjačka Banja – Based on the findings of the satisfaction survey, and given that tourism is the main economic sector in Vrnjačka Banja, GAI agreed with the LSG to support development of a monitoring system to enable users of services to report problems with service delivered by any local utility provider via a single text
Checchi and Company Consulting, Inc. 17
message, phone call, or email, and to receive an answer within 48 hours. Required assurances from the local leadership relating to their commitment and commitment of local communal companies were received in the meeting held in October 17 and based on that agreement, GAI will initiate implementation.
o In Dimitrovgrad municipal officials decided that GAI’s anticipated support for implementation of a document management system (Activity 1.5.D) was not needed because the SwissPro project will provide the needed technical assistance.
1.6 Whistleblower Protection
In the reporting period, Pištaljka and GAI expert Tom Devine finalized the Handbook for Persons Designated to Manage Whistleblower Protection Programs (Activity 1.6.B). GAI printed the Handbook and shared it with all LSGs in Serbia. The Handbook is available on GAI’s website.
GAI and Pištaljka provided continued advisory support to Šabac’s Commission for Receipt of Whistleblowers’ Reports (Activity1.6.D). Also, GAI published a flyer designed to inform local public employees about the City’s internal whistleblowing procedures, and it was distributed to the target audience by the
Handbook for Persons Designated to Šabac City administration Manage Whistleblower Protection Programs In cooperation with the
Ministry of Justice, the EU Prevention and Fight Against Corruption project, and the Pištaljka Portal, GAI organized the Whistleblower Protection at Central and Local Level conference on September 9, 2019, which was attended by representatives of the judiciary, public prosecutors, independent oversight institutions, local governments, Flyer for Šabac City public employees on internal whistleblowing procedures whistleblowers, civil society organizations, the international donor community, and the media.
Checchi and Company Consulting, Inc. 18
In his opening address, US Ambassador Mr. Kyle Scott spoke of corruption as a global problem, which feeds on apathy and undermines government confidence, raises taxes, and discourages investors and jobs, forcing people to work in the gray economy. Recalling the 2019 Survey of Citizens’ Perceptions of Anticorruption Efforts in Serbia, Ambassador Scott stated that very few people are ready to report corruption. He added that one of the most effective ways to fight corruption is to raise awareness about corruption and he noted the importance of whistleblowers in adjudication of corruption cases.
Deputy Head of the Delegation of the European Union to Serbia Ms. Matea Norčić Štamcar commended Serbia on its forward-thinking law, stating that corruption undermines the main postulate of a democratic society – equality – and that corruption is like a disease which is best fought by prevention.
Serbian Minister of Justice, Ms. Nela Kuburović reported that with the adoption of the Law on Whistleblower Protection, Serbia became a pioneer in this area – not only in the region, but throughout Europe. Throughout the four Conference: Whistleblower Protection at panels, the speakers examined the Serbian legal Central and Local Level framework and results of implementation of the Law on Whistleblower Protection. Whistleblowers spoke of the challenges of their experiences. Also, the newly approved, demand-driven EU whistleblower protection directive was examined and how it will influence whistleblower protection throughout Europe and Serbia.
Checchi and Company Consulting, Inc. 19
MEDIA COVERAGE WHISTLEBLOWER PROTECTION CONFERENCE
Efficient Application of the Whistleblower Protection Law On Whistleblower Protection at State and Local Level Europe is partnering with Serbia on Whistleblower Protection Whistleblower Protection on the State and Local Level Pistaljka is a Safe Haven for Whistleblowers Whistleblower Protection Conference: Corruption is a Global Problem; Serbia has Good Laws Borko Josifovski on the Law: Whistleblowers are Now Able to Succeed Courts Efficient, Prosecutors Must Investigate Whistleblower Complaints Participants at the Whistleblower Protection Conference: Corruption is a Global Problem; Serbia has Good Laws Whistleblower Conference Participants Conclude: Corruption is a Global Problem; Serbia has Good Laws Corruption is a Global Problem; Serbia has Good Laws Borko Josifovski on the Serbian Law: Whistleblowers Can Now Be Successful The Courts are Efficient, Prosecutors need to Investigate Whistleblower Complaints Support for Enhancing Whistleblower Protection Conference on Whistleblower Protection at the State and Local Level Held Whistleblower Reports in Serbia are “Left in Drawers” Support for Whistleblower Protection Strengthening Public Prosecutors are the weakest link in Whistleblower Protection in Serbia Praise for the Law, with a Message – Employers to Understand that Whistleblowers are not the Enemy but an Ally Borko Josifovski: Whistleblowers are Now Able to Succeed Corruption is a Global Issue; Serbian Laws are Good Courts are Efficient; Prosecutors Should Investigate Whistleblower Complains Corruption and Whistleblower Protection Efficient Courts; Prosecutors Should Investigate Whistleblower Reports
Checchi and Company Consulting, Inc. 20
1.7 Selection of Local Self-Governments – Second Open Call
From July 16 to August 31, 2019, GAI held the second Open Call for LSGs to express interest to cooperate with GAI on initiatives to create more transparent and accountable governance. The Open Call was published on GAI’s website4 and distributed to all LSGs in Serbia. The Ministry of Public Administration and Local Self-Government, ACA, Standing Conference of Towns and Municipalities, and National Alliance for Local Economic Development (NALED) disseminated information on the call GAI SECOND OPEN CALL FOR SELECTION OF LSG through their networks. The Second Open Call for LSGs to express interest in cooperating with GAI was covered This call, unlike the 2018 initiative, targeted a wider group of by local and national media. Some of the links on the media coverage are below: LSGs, as it was open to city municipalities to enable outreach to Invitation to Local Governments to Apply for Participation in USAID's Program Promoting larger city populations. Selection criteria were slightly changed in Accountable Government and Fight Against Corruption favor of relevance and potential impact of requested assistance, USAID Invites Local Governments to capacity for implementation, and experience, as opposed to Participate in the Government Accountability Project focusing on diversity in terms of size, regional distribution, and USAID Opens Call for Local Governments on level of development among selected LSGs. Accountable Governance Call for Local Governments to Apply for USAID Program Promoting Accountable GAI reviewed the twenty-one (21) applications received to Governance and Fight against Corruption determine their alignment with GAI’s objectives and potential Local Self-Governments Can Apply for USAID Assistance Promoting Accountable impact of requested technical assistance on corruption Governance and Fight against Corruption Government Accountability Initiative reduction, improved transparency, public participation, and accountability. The evaluation further included relevance of proposed activities for the local community, sustainability, and potential for development of innovative approaches that can serve as role models for other LSGs. GAI has also considered capacity for implementation of requested technical assistance and experience based on the research of LSG’s websites, track record in anticorruption policies, transparency indicators, experience with implementation of donor-funded technical assistance and similar.
4 For more information please refer to www.odgovornavlast.rs .
Checchi and Company Consulting, Inc. 21
The selection process included visits to short-listed LSGs to interview leadership and persons responsible for coordination of technical assistance to validate the need for requested technical assistance, evaluate capacity for implementation, and overall commitment.
Based on the selection process, GAI proposed selection of the following seven LSGs; Niš, Kragujevac, Novi Pazar, Sremska Mitrovica, Žabalj, GAI 2nd Public Call - Vračar and Stari Grad. These seven LSGs were 11 Areas of Applicant Interest 10 determined to have the capacity and commitment to 8 8 7 implement initiatives that are relevant to GAI
3 outcomes, have potential to create tangible 1 improvement in transparency and corruption prevention, and develop innovative practices and models for others to follow. USAID consent on the seven selected was received on October 2, 2019.
As with the previous group, GAI will work with selected LSGs on design of concrete activities within proposed areas of assistance, that will evolve through the life of the project, and it is expected that actual technical assistance will be wider than currently indicated based on the applications and preliminary meetings.
Total population of proposed Group 2 LSGs is estimated at 748,000 inhabitants, representing around 11% of total Serbian population. Given that the Group 1 of LSGs, has the population of 358,000, the total population of Groups 1 and 2 that may benefit from GAI technical assistance is estimated at 1,106,000 or 16% of total population.
The newly selected Group 2 LSGs will sign Memoranda of Understanding with USAID in Belgrade on November 15, 2019.
Checchi and Company Consulting, Inc. 22
II. Independent Oversight Institutions
GAI continued to mentor and support SAI’s newly established performance audit structures and ACA’s leadership in operationalizing ACA’s recently adopted Strategic Plan. Also, GAI engaged with the new leadership of CPI to promote the Right to Know and agreed on a set of activities to be implemented in support of the Institution’s mandates.
INDEPENDENT OVERSIGHT INSITUTIONS
SKILL COMMUNICATION POLICIES AND DEVELOPMENT leading to common PROCEDURES advancing IOIs UNDERSTANDING of are introduced to CAPACITIES and the IOIs findings to STRENGTHEN IOIs EFFECTIVENESS BOOST FOLLOW-UP internally
Clipart source: shutterstock.com, freepick.com, canstockphoto.com
2.1 Assistance to State Audit Institution
In this quarter, GAI’s provided SAI with a series of six Performance Audit Methodology Guides, for incorporation into the State Audit Institution’s Manual on Performance Audit and based on methods used by the performance audit teams during mentoring sessions this year. In preparation for more strategic communication with the government and the public on the upcoming publication of SAI’s 12 performance audits, GAI supported SAI’s leadership, audit Sector Heads, the Sector for Audit Methodology and Development, and audit team leaders in reporting on the measurable benefits of SAI audit results and media communication strategies.
SAI Strategic Plan and Performance Measurement – GAI has continued working with SAI’s Sector for Audit Methodology and Development to develop policies and apply methodologies for analysis and reporting on the quantitative and qualitative performance measures against SAI’s strategic goals (Activity 2.1.A), as defined in SAI’s 2019-2023 Strategic Plan. The objective of this support
Checchi and Company Consulting, Inc. 23
is to help SAI implement a uniform methodology to calculate financial and/or non-financial benefits after audit report recommendations are implemented. GAI and consultant Mr. Stephen Caldwell submitted an audit recommendation follow-up strategy and performance measurement methodology guidance to the Sector for Methodology and Development for consideration in revisions to SAI audit policies. The recommendation follow-up proposal will provide a strategy for SAI to collect information from auditees over a period of several years, as needed, to assess and report on progress implementing SAI audit recommendations. The performance measurement methodology will be used to determine the financial and non-financial benefits derived from auditees’ implementation of SAI audit report recommendations for public reporting of the value derived from SAI audits. Both the strategy and the methodology will enhance SAI’s alignment with international state audit institution standards.
To examine how SAI should apply the proposed methodologies for calculation of financial and non-financial benefits, GAI held a workshop on September 30, 2019 with the SAI President, Vice- President, and members of the SAI Council’s audit sector heads, Sector for Methodology and Development, and performance audit Team Leaders. The group also reviewed evidentiary standards and time periods over which benefits should be calculated. SAI will integrate consideration of how each audit will potentially contribute to performance measures when considering topics for performance audits – in the design of annual as well as individual audits.
Mentoring Performance Audit Teams – Mentoring sessions for the performance audit teams continued in the reporting period (Activity 2.1.B), supported by Mr. Caldwell (August 5-14, 2019). GAI assisted the 12 SAI performance audit teams in audit message development and formulation of key conclusions and recommendations based on the evidence collected. Training for all audit teams focused on refining report objectives, logical linkages, and reporting structure including deductive writing. The teams were provided tools to help them draft a one-page Highlights for busy readers, such as Members of Parliament, to capture the issue’s importance and key audit objectives, findings, and recommendations.
Quality Assurance Framework and Risk Assessments – A workshop on a quality assurance framework for performance audits (August 12, 2019) was attended by SAI President, SAI Council members, all SAI Sector Heads, performance audit team leaders, and the Sector for Methodology
Checchi and Company Consulting, Inc. 24
and Development. Mr. Caldwell and the GAI COP provided SAI leadership with feedback and recommendations to improve SAI’s quality assurance framework focused on strategies for SAI to manage institutional risk during audit implementation and reporting, particularly on politically sensitive issues addressed during performance audits.
In the reporting period, GAI submitted to SAI draft criteria and procedures for risk-based selection of audit topics, and trained SAI leadership (October 1-2) along with, for the first time, select financial and compliance audit team leaders from SAI field offices in Novi Sad, Niš, and Kragujevac (October 9) on strategic and annual audit planning. The participants discussed GAI’s proposed processes and policies for assessing whether potential audit topics constituted a high risk of corruption in government and therefore should be considered for inclusion in the annual audit plan for 2020. GAI also led discussion of a format that audit sectors might use for ensuring sufficient information was gathered and presented to the Auditor General for his consideration of proposed audit topics. SAI’s President, Mr. Pejović, was highly satisfied with the trainings, expressing interest in all SAI staff to be trained and/or become familiar with risk assessment for annual audit planning and performance audit selection.
Performance Audit Methodology Guides – GAI’s consultant Ms. Laurie Ekstrand delivered instructive guides for auditors use in more advanced data collection and analysis tools such as sampling, case studies, and designing a questionnaire; on Best Practices as Criteria in performance auditing; and on Data Content Analysis with Evaluation Synthesis, Project Plan, and Logic Model. SAI plans to incorporate the guidance into a Manual on Performance Audit. Ms. Ekstrand also developed procedures for use of the design matrix throughout the audit and policies on convening design summits and message agreements to ensure expertise and stakeholders within SAI with knowledge of matters subject to the audit provide their inputs into the design, data available in government institution, data gathering, and draft report message.
Audit Recommendation Follow-Up Policy – GAI consultants assessed SAI’s current policy and legal framework and recommended revisions to the policy to enable a more efficient, uniform, and effective recommendation follow-up system (Activity 2.1.D). Recommendation follow-up procedures were delivered by Mr. Caldwell.
Checchi and Company Consulting, Inc. 25
Communication, Outreach and Visibility – GAI delivered three trainings to enhance SAI’s communication with key stakeholders, including the public (Activity 2.1.E).
Ms. Bogdanka Rangelov led a workshop with SAI leadership on strategic external communication focusing on its importance, key communication tools, SAI’s desired positioning and communication with external stakeholders, including media, the public, Parliament, auditees, CSOs, and academia (October 7).
During two additional workshops (October 10 and 11), Ms. Rangelov and a respected and popular Serbian journalist, Mr. Zoran Stanojević, shared insights into journalists’ strategies to obtain stories, and the need for SAI to be better prepared for planned and unplanned interaction with the media. The workshops involved the SAI President, Audit Sector Heads, and performance audit team leaders whose reports will soon be issued. The instructors videotaped each participant in live simulations of on-camera ambush interviews; messaging, public speech, appearance, and presentation skills for events; preparation of media statements; and preparation for structured media interviews.
GAI is finalizing SAI’s Communication Strategy as drafted by Ms. Rangelov. The document covers the expert’s analysis of public and journalists’ perceptions and media coverage of SAI, description of the main communication tools, development of a Message House to be used as the main messaging tool for SAI, and generally applicable communication procedures and activities.
Strengthening SAI and NA Cooperation – Further support to improve SAI’s communication with the National Assembly and to enhance the utilization of SAI reporting was provided during Mr. Caldwell’s in-country mentoring assistance sessions. GAI proposed strategies for SAI’s communication with National Assembly Committees with jurisdiction over specific performance audit topics (Activity 2.1.F.). SAI has historically reported to the National Assembly Committee on Finance, State Budget, and Control of Public Spending, however the scope of performance audits presents opportunities for SAI to expand the base of consideration to other Committees in an effort to increase the National Assembly’s utilization of SAI reporting for oversight of government performance, legislative action, and support for SAI’s recommendations for action by auditees.
GAI began organizing a roundtable for SAI to present its SAI’s 2019-2023 Strategic Plan and its annual audit planning processes with select National Assembly Committee members and
Checchi and Company Consulting, Inc. 26
Committee staff (Activity 2.1.G.). The tentative date for this roundtable was set for October 9, 2019, but Mr. Pejović indicated that having in mind the upcoming rebalance of the Budget of the Republic of Serbia and regular Parliamentary elections in the spring of 2020, the roundtable be best postponed until after the new Parliament is established.
2.2 Assistance to the Anti-Corruption Agency (ACA)
During this quarter GAI provided ACA with the Conflict of Interest Manual, an important guide for officials’ use in managing ethical standards and conflict of interest in the workplace. In support of a key competence to ensure public officials’ accurate reporting of assets and income, GAI assessed ACA’s current policy and practices to identify which declarations and public officials’ declarations should be reviewed. GAI also provided ACA a set of recommendations for training and organizational improvements and staffing of the Agency’s Department for Research and Analytics to enhance the performance of ACA’s core duties.
Operationalizing ACA’s Strategic Plan – GAI expert Mr. Ljubomir Trajkovski continued to work with ACA’s Operational Plan Development Team to finalize the Agency’s Operational Plan (Activity 2.2.A) and develop key performance indicators to implement ACA’s five-year Strategic Plan 2019-20235. A set of consultative meetings were held with ACA (September 23 and 24). GAI and Mr. Trajkovski met ACA appointed heads of ACA’s strategic goals and heads of the operational objectives and discussed the draft operational plans for each strategic goal. Based on the meetings and comments, GAI will work with ACA to finalize the draft Operational Plan and Performance Measurement Framework.
Asset and Income Declaration Statement Reviews – Further assistance to improve ACA’s efficiency and effectiveness in implementation of a core competence (Activity 2.2.B) was provided by GAI expert Mr. Tillman Hoppe.
GAI and Mr. Hoppe held a series of consultations to gather ACA feedback and finalize a proposed risk-based methodology to prioritize examination of public officials’ income and asset declaration filings. On September 16, Mr. Hoppe facilitated a roundtable discussion on the draft risk-based
5 The document is available on ACA’s website at this link.
Checchi and Company Consulting, Inc. 27
methodology for asset declaration oversight with representatives from ACA’s Department for Oversight of Officials’ Assets and Incomes and Department for Registers and Records. The risk- based methodology presented offers manual prioritization of declarations for annual verification, which can be applied within ACA’s current operating environment.
Analytical Skill Capacity Building for ACA – In the reporting period, GAI and STTA Ms. Elizabeth Young, Research and Assessment Specialist, worked with ACA’s Department for Research and Analytics to assess ACA’s capacity to evaluate the effectiveness and efficiency of implementation of its core oversight functions, including monitoring of asset declaration filings, actions taken on conflict of interest determinations and reporting to external stakeholders.
Ms. Young held a series of meetings with ACA representatives (August19-23) to collect input for a gap-analysis. The meetings were used to identify gaps in the staff’s knowledge and skills pertaining to research and analytics, and to map out challenges and identify priorities, in line with ACA’s objectives relating to research and analytics. Ms. Young also met with BIRODI, a civil society organization which is seen as an external stakeholder that utilizes the Agency’s data and reports.
Based on her research, Ms. Young delivered a report identifying ACA’s staff training needs and priorities. Ms. Young also provided a set of recommendations for improved organization and staffing of the Agency’s Department for Research and Analytics, which should enable the Department to better support other departments and enhance the performance of ACA’s core duties, as well as improve reporting and communication toward key stakeholders, such as the National Assembly, PPO, and the public.
Conflict of Interest Manual – GAI and Mr. Jure Škrbec, Conflict of Interest Expert, assisted ACA to develop a Conflict of Interest Manual (Activity 2.2.D) to help public officials appropriately identify and manage conflict of interest situations. The GAI-supported Conflict of Interest Manual will be disseminated by ACA to public officials as a part of preparation for commencement of implementation of the Law on Corruption Prevention next year. This activity is envisaged by the Action Plan for Chapter 23.
Checchi and Company Consulting, Inc. 28
2.3 Raising Public Awareness on the Right to Access to Information
GAI welcomed the newly appointed Commissioner for Access to Information of Public Importance and Personal Data Protection, Mr. Milan Marinović, and reached agreement on immediate term technical assistance to deliver in a renewed launch of support for the institution.
On September 13, the Commissioner Mr. Milan Marinovic presented the current situation in the field of data protection and free access to information. According to the Commissioner, the implementation of the Law on Personal Data Protection should have been delayed for lack of capacities of institutions, therefore CPI will focus on prevention and education of all actors to support implementation of the Law. GAI shared with the Commissioner the high-level interest of GAI-supported LSGs in receiving training related to the implementation of the Law on Personal Data Protection, particularly to address challenges foreseen in fully utilizing benefits of Single Administrative Points. Institutions expected by local administrations to participate in Single Administrative Points would be required to share information subject to certain data protections, but may be reluctant to do so for fear of noncompliance with the Law. GAI will facilitate CPI’s delivery of the training to all public institutions of GAI’s 14 counterpart LSGs.
Legal Framework for Access to Information – The Commissioner informed GAI that the Ministry of Public Administration and Local-Self Government provided CPI with draft amendments to the Law on Free Access to Information of Public Importance. CPI is of the opinion that the procedure for obtaining the information should be more precisely regulated. The Commissioner emphasized the importance of accelerating the process of obtaining information. The existing law envisages that a requestor of public information may file a complaint with two institutions (the CPI and the misdemeanor court) when information requested is not obtained. The CPI advocates a two-stage complaint system – first the complaint is filed with the Commissioner, and if not resolved, then the Commissioner should file a complaint with the misdemeanor court.
The Commissioner also expressed the need for support to offer improvement to the draft Law on Free Access to Information of Public Importance. Namely, the Commissioner believes that the mandate for inspection on implementation of the Law should be transferred from the Administrative Inspectorate to the CPI to improve its application and effects. CPI currently has the mandate for inspection of the Law on Personal Data Protection. GAI agreed that it would
Checchi and Company Consulting, Inc. 29
identify an international expert to present international experiences on oversight of free access to information of public importance.
Dialogue with CSOs on Use of Public Information – To mark Right to Know Week (September 23-29, 2019) on September 23, GAI and the CPI jointly convened a dialogue with CSOs on the use of public information (Activity 2.3.A). The Forum, entitled “A Culture of Openness, Transparency and Accountability”, engaged Serbian civil society organizations and representatives of media in a dialogue on public rights to access information of public importance, the current legal framework and operating environment. The forum identified a need for and possible opportunities for greater and easier access to government information in the Republic of Serbia.
Important discussions were held around changes to the draft Law on Free Access to Information as proposed by the government. A number of previously proposed amendments, such as the exclusion of state-owned companies from the Law and the possibility to file complaints against the Commissioner’s decisions have been omitted from the latest draft. The participants concluded that the provisions on partial exemption of Forum: A Culture of Openness, Transparency and Accountability state companies, as well as the dismissal of the Commissioner without clear criteria by the National Assembly, should be considered further.
Forum participants supported the Commissioner’s recommendation to expand the independent oversight institution’s authority to allow it to inspect public bodies compliance with the Law and to initiate misdemeanor proceedings for breaches of the Law. Participants also agreed on the necessity to provide mechanisms for faster and easier access to government-held information, and to ensure transparency and public debate as the draft Law is finalized.
Checchi and Company Consulting, Inc. 30
III. Adjudication of Corruption Cases
GAI published the first ever Practicum for Investigation and Adjudication of Corruption Offences to advance prosecution and adjudication of corruption cases pursuant to the March 2018 Law on the Organization and Competences of State Organs in Fight Against Organized Crime, Terrorism and Corruption. GAI continued to support the newly established Working Group for the development of an Electronic Register of Corruption Cases (ERCC), working closely with an IT Consultant to create a Database Model and Data Dictionary for an ERCC. GAI also initiated a focus on youth with a lecture by a visiting US Magistrate to University law students on adjudication of white-collar crimes in the United States.
ADJUDICATION OF CORRUPTION CASES
ELECTRONIC SHARING CHAPTER 23 REGISTRY KNOWLEDGE assisting Serbia to to improve corruption to increase meet the case MONITORING ADJUDICATION and EU REPORTING and REPORTING streamline PRACTICE REQUIREMENTS
Clipart source: shutterstock.com One of GAI’s areas of focus this quarter was sharing knowledge and best practices from the US with Serbian legal practitioners and law students. Judges and public prosecutors from the four specialized anti-corruption units heard best practices from US Magistrate Judge Jennifer C. Boal on U.S. experiences in adjudication of corruption and financial crimes (October 116), and Belgrade University law students heard Judge Boal speak at the Belgrade Faculty of Law on the main aspects of a criminal investigation in the U.S. (October 10).
6 More below, under Annual Judges’ Conference, on p. 34.
Checchi and Company Consulting, Inc. 31
Youth Focus – Anti-Corruption Clinic – In her presentation “The Anatomy of a Federal Criminal Case in the U.S.”, Judge Boal explained the limits on police investigatory authority and the areas of investigation that require judicial permission, the arrest of a defendant and the bail decision. She further introduced the criminal discovery process, jury selection, trial, and sentencing. Throughout her presentation, Judge Boal focused on challenges in investigation and adjudication of white-collar crimes. In the Q&A session, Judge Boal addressed the application of sentencing guidelines in the U.S, length of trials and potential benefits of expert witness testimony. Judge Boal and the students also discussed case law examples from the practice of the Supreme Court of the United States. The event was attended by more than 50 Law Faculty students from undergraduate and postgraduate programs.
3.1 Support to the Anti-Corruption Specialized Court Units
The Practicum for Investigation and Adjudication of Corruption Offences – GAI finalized and published the Practicum for Investigation and Adjudication of Corruption Offences.
On September 20, 2019 in Belgrade, GAI and the Judicial Academy (JA) held the first presentation of the Practicum for Investigation and Adjudication of Corruption Offences (Activity 3.1.A) – the first such publication in Serbia. More than 50 participants attended, representing the Supreme
Court of Cassation, Appellate Courts, Republic Public Prosecutor’s Office (RPPO), Organized Crime Prosecutor’s Office, specialized anti- corruption units in Higher Courts and Public Prosecutor`s Offices, the Anti-Corruption Unit of the Criminal Police Directorate, independent oversight institutions that nominate liaison officers “The Practicum is a tool for practitioners, mean as under the Law on the Organization and Jurisdiction guide to help them best implement the possibilities of State Authorities in the Fight against Organized created by the anti-corruption legal framework” Darko Luković, Head of Anti-corruption Unit, Crime, Terrorism and Corruption (Anti-corruption Ministry of Interior Agency, Customs Administration, Tax Administration, Agency for Business Registries, etc.) and partner projects (funded by European Union Pre-Accession Funds (IPA), the Organization for
Checchi and Company Consulting, Inc. 32
Security and Co-operation in Europe, Department of Justice - Office of Overseas Prosecutorial Development Assistance and Training (DOJ/OPDAT).
The authors of the Practicum presented the structure and content MEDIA REPORTS ON THE PRESENTATION of the publication. They highlighted that the aim of the publication OF THE PRACTICUM is to provide guidance and practical instruction for investigation, prosecution and adjudication of financial crimes and corruption, USAID and the Judicial Academy Present the Practicum for and serve as a resource material that will be used for designing of Investigation and Adjudication of Corruption Offenses future initial and in-service training programs at the JA. Practicum for the Investigation and Adjudication of Corruption Anti-Corruption Case Law Harmonization – Having reached an Presented
agreement with the Supreme Court of Cassation on organizing a USAID and the Judicial Academy Presented the Practicum for workshop to further foster anti-corruption case law harmonization Investigation and Adjudication of (Activity 3.1.B), GAI reached out the Presidents of the specialized Corruption Offenses anti-corruption court units in four Higher Courts in Belgrade, Novi Sad, Niš and Kraljevo for their support. The case law harmonization workshop is planned for the representatives of all four anti-corruption court units and four Appellate Courts. The first workshop is planned for December 2019.
Post-Mortem Analysis – On September 30, 2019, 4 Digits Consulting delivered an inception report on a case Post-Mortem Analysis. (Activity 3.1.C) The report will provide an overview of the adjudication of corruption cases received and resolved by the Belgrade, Niš, Novi Sad, and Kraljevo specialized anti-corruption court units in the period from March 1, 2018 to June 30, 2019. The consultants are currently analyzing 250 cases, divided into two groups: 125 cases received and resolved after establishing of special anti-corruption units and 125 “old system” cases (cases tried and resolved in the period 2014 to 2018, prior to forming of the anti-corruption Units).
Adjudication Capacity Building – During the Initial Needs Assessment in 2018, GAI identified the need for harmonization of case management in the four specialized anti-corruption court units in Higher courts in Belgrade, Novi Sad, Niš, and Kraljevo. To build capacity of the courts in this area (Activity 3.1.D), GAI obtained technical concurrence and opened a call for requests for proposals for the design and implementation of training for court registry staff on the AVP case management
Checchi and Company Consulting, Inc. 33
software module used in specialized anti-corruption units. The procurement process is in its final stages to select the best qualified vendor.
Annual Judges’ Conference – In support of the specialized anti-corruption court judges, as part of the Annual Judges’ Conference in Vrnjačka Banja (Activity 3.1.E), GAI in cooperation with the Supreme Court of Cassation organized a Roundtable on the Challenges and Experiences in the Area of Fight Against Corruption (October 11, 2019) The roundtable was opened by Judge Biljana Sinanović, who spoke of challenges in implementation of the rounds of amendments in the 2016 Criminal Code and the Law on the Organization and Jurisdiction of State Organs in the Suppression of Organized Crime, Terrorism and Corruption.
U.S. Magistrate Judge, Jennifer C. Boal, from Boston, Massachusetts, engaged by GAI, introduced the Serbian judges to the U.S. experiences in adjudication of corruption and financial crimes and the use of experts and related evidence in criminal proceedings under the provisions of the U.S. Federal Rules of Evidence.
The event also featured a short presentation of the Anti-Corruption Practicum, which was introduced by the authors: Brankica Marić, Deputy Higher Prosecutor and Chief of anti- “The Practicum offers possible solutions to the efficient corruption PPO Unit in Belgrade; Vlatko use of new institutes – primarily financial forensics – in Božović, Head of Organized Crime Investigation criminal proceedings before the courts, and emphasizes achieving better results through the use of liaison Unit in the Office for Suppression of Organized officers and task forces” Judge Biljana Sinanović, SCC Crime, Ministry of Interior; Goran Nikolić, Financial Expert of anti-corruption PPO Unit in Belgrade and Dragana Stojadinović, Financial Expert of the Organized Crime Prosecutor’s Office.
More than 90 participants attended the event: judges, and representatives of JA and partner projects. Importantly, GAI also fostered the participation of 16 deputy prosecutors and Heads of anti-corruption PPO Units from Belgrade, Niš, Kraljevo, and Novi Sad, at this event. Each roundtable participant received a copy of the Practicum.
Checchi and Company Consulting, Inc. 34
Approximately 100 copies of the Anti-Corruption Practicum were provided to the JA, SCC, MOJ, RPPO, and the Anti-Corruption Unit of the Criminal Police Directorate, Ministry of Interior. GAI also distributed additional copies of the publication to all four anti-corruption units in courts and PPOs, and to other interested parties.
Given that a wider professional audience showed great interest in the publication, GAI prepared and printed a limited number of copies of the Practicum in English. The copies were distributed among interested representatives of donors and implementing partners and the electronic publication of the Practicum in English is available on GAI’s website7 . GAI will use the English version of the publication for possible promotion in the region.
To assist the specialized anti-corruption PPO units (Activity 3.1.F) GAI supported 16 deputy prosecutors from all four specialized anti- corruption prosecutors’ units to participate in the work of the Annual Judges’ Conference in Vrnjačka Banja (October 9 to 11, 2019). This was the first time that deputy prosecutors were able to participate in the roundtables held during the first two days of the Conference on topics such as money laundering, asset seizure, and witness protection. The deputy prosecutors also took part in an anti-corruption roundtable organized by GAI on October 11, which was focused on the status of experts in criminal proceedings and the use of reports from financial forensic experts as evidence.
Support to Specialized PPO Units – Earlier in 2019, recognizing the demand for more sophisticated anti-corruption training, GAI held consultations with a few European institutions (Anti-Corruption Academy, International Centre for Asset Recovery, CEELI Institute) regarding the possibility to support organization of such training for public prosecutors from the anti- corruption court and prosecution units in Serbia (Activity 3.1.F). In October, GAI was approached by the CEELI Institute regarding an upcoming three-day advanced anti-corruption
7 Following are the links to the document on GAI’s website in Serbian and in English.
Checchi and Company Consulting, Inc. 35
training program for investigators and prosecutors which will be organized from 9-11 December 2019 in Prague. CEELI Institute offered to cover the full costs for 10 participants from Serbia (8 deputy prosecutors from anti-corruption units and 2 financial forensic experts).
GAI met with DOJ/OPDAT to coordinate and facilitate the selection of participants from the four anti-corruption PPO Units for the training course (October 24). GAI plans to provide necessary logistical support to a group of selected participants. Among other proposed candidates, GAI nominated three of the Anti-Corruption Practicum drafters (the head of the anti- corruption PPO Unit in Belgrade and two financial forensic experts). GAI plans to rely on them and other participants in preparation and implementation of interactive case-based training curriculum for a series of national training courses in Q4 and the beginning of Y3.
3.2 Electronic Register of Corruption Cases
Electronic Register of Corruption Cases Pilot Development – GAI has continued to work closely with Mr. Goce Armenski, GAI’s IT consultant, on the preparation of a report on a database model and data dictionary for an ERCC (Activity 3.1.B). As in the previous quarters, progress continues to depend heavily on the willingness of eJustice Division of the MOJ to provide access to the existing case management systems, their installer packages, and contacts with IT companies maintaining them.
In October, Mr. Armenski, in consultation with GAI, sent a letter to the MOJ/eJustice Division, requesting further assistance in accessing the installation database for the AVP module that is being installed in the four anti-corruption court units. Access to the installation database is a necessary precondition for the analysis of the complete structure of the database and identification of catalogues and their content. The consultant has been using access to test versions of AVP and the Standardized Application for Prosecutors’ Offices (SAPO) provided by the MOJ in July 2019, which are not giving the complete picture in terms of their content and structure. GAI and Mr. Armenski have also requested MOJ’s assistance in reaching out to the local IT company (eSmart Systems) entrusted with maintenance of the AVP system in order to better understand the content and structure of the AVP module, and its tables and catalogues.
Checchi and Company Consulting, Inc. 36
Mr. Armenski finalized a list of questions on the content of tables in AVP and forwarded it for response to the MOJ/eJustice Division. He is still working on reviewing and describing the content of tables in the AVP application in order to be able to finalize the report on data dictionary and database model for an ERCC. Until mid-October, the consultant reviewed and described the content of 184 out of more than 400 tables in the AVP identified to date. GAI and the Consultant are still awaiting assistance from the MOJ/eJustice Division in accessing the installation database for AVP module installed in the four specialized anti-corruption court units to finalize the report.
GAI obtained technical concurrence for release of an RFQ for engagement of an IT specialist to help with preparation of tender documentation for design, development and implementation of an ERCC. The process of evaluation and selection of the best candidate is ongoing.
Coordination with Other Implementers
In Q3, GAI continued to liaise regularly with the EU IPA 2013 Prevention and Fight Against Corruption project to avoid overlaps and utilize best practices in supporting the four anti- corruption units in the Public Prosecutors’ Offices.
GAI held coordination meetings with DOJ/OPDAT do discuss ongoing and future activities and coordination. GAI and DOJ/OPDAT are working jointly on the selection of participants from the four specialized anti-corruption PPO units for the upcoming advanced anti-corruption training program for investigators and prosecutors organized by CEELI Institute.
Also, GAI met with representatives of Human Dynamics, at their request, to discuss the upcoming EU IPA 2017 project on strengthening the independence, accountability, and efficiency of the prosecutorial system in Serbia. The project will be working to strengthen capacities and cooperation of the State Prosecutorial Council and Republic Public Prosecutor’s Office in performing their competences in strategic planning, HR and financial management, supervision and career development in respect of Public Prosecutors’ Offices.
Other Technical Assistance
• 2019 Survey of Citizens’ Perceptions of Anticorruption Efforts in Serbia – GAI discussed with an EU implementing partner collaboration in design and administration of the 2019
Checchi and Company Consulting, Inc. 37
survey. However, in order to ensure comparability of data and ownership and transparency of data received, GAI will conduct the Survey, as previously. GAI selected CeSID d.o.o. to administer the survey in the coming three years. • Engaging Youth in the Fight Against Corruption – In this quarter, GAI completed the solicitation of a marketing agency that will provide full support in development of National Youth Anti-Corruption campaign and selected the Executive Group for this task. GAI held several meetings with the Executive Group to brief the agency and share relevant information and data gathered from workshops, the 2018 baseline public opinion survey on Citizens’ Perceptions of Anticorruption Efforts in Serbia and GAI’s activities, results and envisaged outcomes. The agency provided insights from their own experience and analytics and jointly, GAI and the Executive Group started working on integrated campaign development.
Campaign development and execution will include development of slogans, creative concepts, key visuals, copy and graphical proposal, design of the materials, videos, TVC and radio, integration of the overall campaign, preparation of the communication plan, including PR and digital activities in order to reach most of targeted population, raise their awareness of the impacts of corruption on quality of life and anti-corruption efforts and create their engagement in combatting corruption.
As a first step, GAI and the Executive Group developed a campaign for the public participation process on the planning of the 2020 budget for the City of Sombor. The campaign entitled “The Choice Is Yours” (in Serbian “Ti se pitas”) aims to engage high school students from six high-schools in Sombor to participate in local budget planning and development by voting for the best project, proposed by the Student Parliament, aimed to improve the school. The goal of the campaign is to raise awareness among the students on their ability to vote and influence on budget planning by choosing the project they would like to see implemented in their school.
Checchi and Company Consulting, Inc. 38
PMP UPDATE
• Local Transparency Index – Indicator 1.1.2 in the USAID/Serbia Country Development Cooperation Strategy (CDCS) Results Framework is an overarching indicator of progress, providing an understanding of accountability and transparency of government at the LSG level. The Local Transparency Index for 2019 was presented by Transparency Serbia in September 20198, based on research conducted on 145 local self- governments (cities and municipalities) and 25 city municipalities, throughout Serbia. The national average LTI for 2019 is 40 out of 100, which remains the same as the baseline year’s (2015) value, missing the target value for FY 2019 (42 out of 100) by 2 points. However, the average score of GAI’s first seven counterpart LSGs exceeded GAI’s 2019 target value by seven (7) points (47 out of 100). Four of GAI’s 7 LSGs realized increases in their LTI, while three experienced declines.
Overview of LTI scores of GAI Group 1 LSG
In FY 2019, GAI worked with seven selected LGSs to improve accountability, increase transparency, inclusiveness, and openness of local governments, and strengthen whistleblower protection. The first group of seven selected governments include: Dimitrovgrad, Raška, Sjenica, Sombor, Šabac, Vranje, and Vrnjačka Banja.
The LTI results show that the average score of GAI’s seven counterpart LSGs (47 out of 100) is above the national average calculated (40 out of 100). Three of GAI’s seven counterpart LSGs (Vrnjačka Banja, Vranje, and Sombor) are ranked in the top 15 LSGs and five of GAI’s seven counterpart LSGs have a score above the national average.
Vrnjačka Banja is among the top five LSGs out of 145 that improved their score more than 20 points from the last nationwide LTI in 2015. Compared to the 2015 LTI scores, Vrnjačka Banja gained 9 points for including information on the work of Local Assembly and Municipal Council and 3 points improvement due to enhanced communication of the Mayor with the public.
8 The 2019 LTI report is available on Transparency Serbia’s website in Serbian and English.
Checchi and Company Consulting, Inc. 39
Out of all GAI counterpart LSGs, Raška registered the largest drop in LTI scores – 44. In comparison this is 13 points less than 2015, and 18 points when compared to this LSG’s scores in 2017. When comparing LTI scores for 2015 and 2017, it is understandable that Raška’s scores dropped due to the lack of information on and transparency of the work of the Local Assembly and Municipal Council. Derivation of LTI scores is particularly sensitive to the amount of information about local administration that is displayed on websites and publicly accessible documents issued by the administrations. The greatest loss in points, 11 out of the 18 lost points compared to 2017 scores, relates to the LSG failing to publish decisions of these bodies on its website.
Table 1- LTI Scores – taken from approved GAI AMELP Performance Reporting Table
Baseline Target Actual Performance Indicator and definition Value & FY 19 FY 19 Year
1.1.2 Local Transparency Index (TS) Definition: Average numerical score, on a scale from 0 to 100, on the Local Transparency Index developed by Transparency Serbia, for Local Governments assisted 40.35 by GAI. The initial baseline is the average score of all 42 40 LGs covered by the 2015 Index. (The LTI 2015 is more (2015) complete than the 2017 Index). As the project progresses, GAI will report on progress of LSGs GAI selects to support as well as the entire universe of LSGs covered in each year’s Index.
479 GAI support Group 1 LSGs average LTI score 51 47.2 (2015) 33 a.1 Sjenica 36 34 (2015) 41 a.2 Šabac 44 41 (2015)
42 a.3 Vrnjačka Banja 45 62 (2015)
9 In order to facilitate comparability, and as stated in the PRIS, the average baseline LTI for the 1st group reflects the 2015 average LTI value of all selected LSGs. Individual baselines have been provided for each LSG. Note that only two LSGs (Raška and Vranje) were assessed in 2017 and their baseline values reflect the scores received in the 2017 LTI survey.
Checchi and Company Consulting, Inc. 40
Baseline Target Actual Performance Indicator and definition Value & FY 19 FY 19 Year
46 a.4 Dimitrovgrad 49 38 (2015
52 a.5 Sombor 55 52 (2015)
62 a.6 Raška 65 44 (2017)
62 a.7 Vranje 65 60 (2017)
The LTI survey was conducted by Transparency Serbia in the period of March – August 2019 and the results reflect the values of indicators measured at that time. Most of the LTI scores that have dropped, when compared to the previous scores, show less information that was publicly shared by LSGs on their administration’s work. The support that GAI provided to LSGs was implemented during the same period as the LTI survey was being administered, therefore the LTI scores for 2019 fail to capture the assistance GAI provided the seven supported LSGs to improve their transparency. The results of GAI’s support will be reflected in the 2020 scores.
• Number of Persons Trained – Indicator 1.1.3 Number of Public-Sector Employees and Representatives of Civil Society Organizations Trained on Good Governance Principles and Accountability. The target value for trainings in FY 2019 was set at 690 trainees and the number was surpassed, as GAI trained over 1,400 persons in 57 different sessions. Three circumstances resulted in the FY 2019 target having been surpassed. First, in FY 2018, the MOJ moved the dates for the trainings of PPOs on AVP to October 2018, so 239 prosecutors who participated in the training are reflected in values for FY 2019. Second, only one MOU- counterpart LSG indicated a desire for whistleblower protection trainings in response to the 2018 Open Call. However, the respondents to the Survey of Citizens’ Perceptions of Anticorruption Efforts in Serbia issued in December 2018 indicated whistleblower protection is one of the top three activities that government needs to implement to combat corruption. In reaction, GAI extended invitations to all LSGs in Serbia to participate in the training
Checchi and Company Consulting, Inc. 41
sessions and the attendance exceeded expected numbers. Third, SAI restructured its organization in December 2018 to increase from two to 12 performance audit teams and requested GAI to train all of the new audit teams, all audit sector heads, the Sector for Methodology and Development, and the SAI Council.
The disaggregated values, per trainee institution, are available in the table below. Number of trainees Institution of trainee Female Male Total
Local Government 184 131 315
State Audit Institution 254 139 393
Anti-Corruption Agency 52 25 77
Judges 83 54 137
Prosecutors 141 98 239
Central Government Bodies 29 26 55
CSOs 15 16 31
Media 10 6 16
TOTAL 768 495 1263
• Mechanisms Adopted to Increase Public Engagement in Selected Local Self- Governments – To meet Indicator 1.1.1.1 Number of policies or mechanisms adopted in line with procedures to increase public engagement in selected local self-governments, GAI worked with all seven selected LSGs on improving their openness to developing policies and creating mechanisms to increase public engagement. The target value for FY 2019 of seven (7) was exceeded, as LSGs reported that they adopted a total of 14 different policies or mechanisms.
The table below provides an overview of the actual number of GAI-supported mechanisms adopted by the LSGs in FY 2019, disaggregated by LSG and type of policy or mechanism.
Checchi and Company Consulting, Inc. 42
Local Number Type of Policies/Mechanisms Government Adopted
• Local Anti-Corruption Plan (LAP) Sjenica 2 • Procedure for conducting public debate for LAP • Local anti-corruption Forum (LAF) operational rules and workplan Šabac 3 • Commission for receipt of Whistleblower Complaints established • Rulebook on internal whistleblowing procedures • Local Anti-Corruption Plan Vrnjačka Banja 2 • Procedures for conducting public debate for LAP • Procedures for conducting public Dimitrovgrad 1 debate on local economic development plan (for 2020) • Procedures for conducting Public Sombor 2 Debate on budget (for 2020) • Single Administrative Point established • Local Anti-Corruption Plan Raška 2 • Procedures for conducting Public Debate for LAP • Local Anti-Corruption Plan Vranje 2 • Procedures for conducting Public Debate for LAP • LAPs – 4 • LAF rules and procedures- 1 • Public debate – 6 Total 14 • Whistleblower Complaint Commission – 1 • Whistleblowing Rulebook-1 • Single Administrative Point -1
• Number of Mechanisms Adopted by SAI – The target value for FY 2019 of five (5) mechanisms adopted for indicator 1.2.2.3 Number of mechanisms adopted by SAI to improve its capability to oversee government performance was exceeded. SAI confirmed it adopted seven mechanisms developed with GAI support, namely: (1) application of a design matrix methodology throughout the course of a performance audit; (2) SAI’s
Checchi and Company Consulting, Inc. 43
Strategic Plan 2019- 2023; (3) guidelines and framework for SAI performance measurement; (4) application of risk-based criteria to develop annual audit plan for performance audits; (5) design summit for performance audit; (6) refined quality control checklists to be used by performance audit team leader, sector heads, and the Sector for Audit Methodology and Development; and (7) instructions for implementing various evaluation methodologies for performance auditing.
• Number of Mechanisms Adopted by ACA – The target value for FY 2019 of six (6) mechanisms for indicator 1.2.2.4 Number of mechanisms adopted by ACA to improve its capability to conduct oversight was met. ACA confirmed the adoption of the following mechanisms developed through GAI support: (1) ACA Strategic Plan 2019-2023; (2) Framework and structure for the development of the Operational plan 2019-2020; (3) Model Acts for Dealing with Conflict of Interest; (4) Model Acts Governing Reporting Complaints on Public Authority Abuse of Office; (5) Model acts Managing Authority Public Receipt and Management of Donations; and (6) Conflict of Interest Manual.
• USG-Supported Anti-Corruption Campaigns – The target value of four (4) USG- supported anti-corruption campaigns for indicator 1.2.2.5 Number of USG-supported anti-corruption campaigns in FY 2019 was met. GAI’s campaigns are aimed designed to raise awareness on the importance of accountability of government on at all levels, which. Campaigns are delivered through, but not limited to, communication to broad audiences on anti-corruption efforts of government and the importance of good governance and sharing information through international practitioners on best practices on corruption prevention and adjudication. The implemented campaigns included:
o Raising awareness on the importance of fight against corruption – On December 11, 2018, GAI presented the results of its 2018 nationwide survey on Citizens’ Perceptions of Anticorruption Efforts in Serbia, to a large audience representative of state and local government institutions, independent oversight institutions, members of Parliament, civil society organizations and media. More than 25 media outlets reported on the event, including national broadcasters such as RTS and N1; and the Voice of America and BBC, both in Serbian, carrying the messages of the importance of accountability and transparency at all levels of
Checchi and Company Consulting, Inc. 44
government. The purpose of the event was not only to present the results of the survey and encourage public dialogue, but to highlight the public’s impressions of what government should do to prevent, detect and adjudicate corruption. Key takeaways from the survey: the majority of young people do not think Serbia is moving in the right direction; people feel that whistleblower protection should be one of the top priorities of government in combating corruption; and approximately half of individuals surveyed do not recognize the efforts made by SAI and ACA to combat corruption. GAI has utilized the survey results to support SAI’s capacity building in strategic communications and auditing government programs and activities of highest risk of corruption. GAI bolstered whistleblower protection implementation frameworks at the local level through trainings of nearly 25% of local government designated persons. GAI also initiated plans for awareness raising campaigns targeted at youth in local government and is planning to engage with the University of Belgrade Law Faculty and its students.
o Raising awareness on the importance of fight against corruption by sharing international experiences in adjudication of corruption cases – GAI organized an expert judges’ roundtable in Belgrade, in co-operation with the SCC and the JA, with more than 50 judges from the four specialized anti- corruption units; the four Courts of Appeals; and the SCC attending, as well as representatives from the donor community. Throughout April 2018, to raise awareness on the importance of combating corruption and strengthening adjudication of corruption cases, GAI worked with media, which broadly carried the messages and reported on the event (Radio and Television of Vojvodina, Dnevnik and Politika dailies), or directly through interviews with Judge Pamela Zelinska from the Slovakian Special Criminal Court, and Judge Andrei Claudiu Rus, from the Romanian High Court of Cassation and Justice, (NIN and Nedeljnik weekly, Politika and Danas dailies) to promote the importance of combating corruption and strengthening adjudication of corruption cases.
o Promoting the importance of whistleblowers and whistleblower protection – On September 9, 2019, GAI, in cooperation with the Ministry of
Checchi and Company Consulting, Inc. 45
Justice, the EU IPA 2017 Prevention and Fight Against Corruption project, and the Pištaljka Portal organized the “Whistleblower Protection at Central and Local Level” conference with representatives of the judiciary, public prosecutors, independent oversight institutions, local governments, whistleblowers, civil society organizations, the international donor community and the media. In conjunction with whistleblower protection trainings conducted in partnership with Pištaljka, GAI organized a series of media interviews with international whistleblower expert Tom Devine to promote the value of implementing Serbia’s whistleblower protection law and to share comparative international practices.
o Promoting the Right to Know – On September 26, 2019, GAI and the CPI convened a forum entitled “A Culture of Openness, Transparency and Accountability” to mark the Right to Know Week and promote the importance of access to information of public importance with civil society and media organizations10. • GAI Learning Session - The Learning session for GAI for the third quarter was held in October with the aim to reflect on and analyze activities implemented and results achieved in the quarter. Each component presented implemented activities, linking the outcomes to GAI’s Theory of Change11. Component 3 suggested a change to the TOC, which has been presented in the updated GAI AMELP.
During the session, the teams performed an after-action review of implemented activities in Q3, asking: 1) What was supposed to happen? 2) What was reality? 3) What went well? 4) What did not go well? and 5) What should be changed? GAI components focused on impact and analyzed outcomes without GAI support in the selected areas. GAI also assessed the sustainability of results achieved, with the teams identifying which activities are most sustainable within each component, how these activities differ from the activities
10 For more information on the Forum, see under Dialogue with CSOs on Use of Public Information (p.30). 11 GAI’s current Theory of Change is available in GAI’s approved AMELP.
Checchi and Company Consulting, Inc. 46
that were graded lower on the sustainability scale and what should be done to increase the sustainability of all GAI-supported activities
Discussions were very active and focused on individual counterpart capacities, reactions, and feedback from assistance provided.
1. What factors are most conducive to adoption of durable good governance measures at the local self-government level? o Introduction of new policies and new procedures that become part of the business culture of the local governments is crucial. GAI tailored support is still relevant, matching local needs, providing ownership, and ensuring sustainability of the policies and procedures.
o Particularly important is the introduction of transparency of the work of the LSGs and availability of information for the public, CSOs, and media.
o Improving websites where information is easily available to interested parties is important, but even more important are changes in behavior of the LSG employees to make the information available.
o LSGs need to have the capacities, interest, willingness, and commitment to introduce and integrate new policies and measures.
o With the proliferation of donor support to LSGs in the field of good governance and accountability, constant coordination and cooperation with other implementing partners is crucial, although more complex.
o Increasing sustainability of GAI assisted good governance measures (procedures) by replicating success stories with the second group of LSGs.
o Knowledge, understanding and credibility of local experts and/or CSOs that GAI subcontracts is crucial to success and continual commitment of LSGs to activities.
2. How can committed local self-governments be insulated from national political pressures? o Capacities need to be strengthened and trained to make them more capable of efficiently performing their job, offering high-quality citizen-centric services.
Checchi and Company Consulting, Inc. 47
o Assist the development of accountable business environments in the LSGs, with transparent procedures and an information sharing culture.
o Promotion of the work of these LSGs and the values they represent.
o Create networks, sharing knowledge and best practices with the other LSGs ready to be accountable in their work and not to succumb to political or other pressure.
o Identify areas where they can work with CSOs to improve residents’ life in the local communities, generate interest from residents and to jointly work on important initiatives.
o Credibility of CSOs GAI works with to assist local governments is important as is their expertise. This builds trust with LSGs, fostering relationships that will last beyond GAI’s life span.
3. How can IOIs continue to play an important role in government oversight during a time of changing leadership? o Develop key messages including good examples of institutional governance and systemic weaknesses in government, and consistently communicate messages to external stakeholders in ways that targeted audiences can understand, own, and act upon.
o Strengthen open accountable business cultures in the IOIs, with the introduction of relevant methodologies, procedures, and models.
o Enhance relationships with external champions of good governance for SAI with National Assembly Committees including and beyond the Committee on Spending, CSOs, and media. For ACA continued support to improve interaction with the Misdemeanor Courts, PPOs, LSGs, and CSOs to improve impact on accountable governance.
o Focus SAI and ACA resources on high-impact, high-value “targets” that will increase the public trust in IOIs and their impacts to combat corruption.
Checchi and Company Consulting, Inc. 48
4. Why do IOI recommendations not lead to substantial concrete follow-up action? • For SAI: o Legislation that constrains the ability of SAI to aggressively follow-up on recommendations made to an auditee. Current legislation limits the SAI follow-up with auditees to only one- time at the 6-month post-audit recommendation mark. Beyond that 6-month follow-up, the SAI must initiate a new audit, which results in an inefficient use of SAI resources.
o Lack of SAI communication of needed action in a manner that convinces the recipient of the need to take sustainable action.
o SAI recommendations that are often not specific enough to enable measurable progress, and SAI lack of a consistent and reliable methodology used by all audit sectors to calculate measurable financial or qualitative benefits for government derived from auditee implementation of SAI recommendations. • For ACA: o Lack of committed and aggressive follow-up on filings before the Misdemeanor Courts and prosecutors’ offices.
o Lack of development of sufficient evidence and timely presentation of filings.
o Insufficient consultations with PPOs to build relationships for decisive action on ACA filings.
5. What are the key reasons for limited adjudication of corruption cases? o As there is no body of court case law, the important decisions on the use of new procedural institutes introduced by the new Law12 are not harmonized.
o Specialization of the new units has not been fully implemented in practice.
o Limited resources: lack of counterpart IT equipment, case-management software, and staff.
12 Law on the Organization and Jurisdiction of State Organs in the Suppression of Organized Crime, Terrorism and Corruption.
Checchi and Company Consulting, Inc. 49
6. Are the Serbian executive and judicial branches committed to fair, impartial resolution of corruption cases? o The public perception survey by CeSID shows that people have limited trust in and grade the work of courts and PPOs as low.
o No single factor can be associated with the resolution of corruption cases.
o The work of law enforcement agencies is heavily reported on by the media, whereas the follow-up of the prosecution and courts is slow and has limited media coverage, revealing existing discrepancies in the close cooperation of the various bodies to combat corruption, as is envisaged by law.
Several important discussions were held around the roll out of future activities, based on lessons learned, as well as the introduction of new counterparts – such as the new group of LSGs and the new Commissioner’s requests for support to the CPI.
Overall conclusions remain: • Counterpart ownership is the key to success and sustainability of activities. • Adaptiveness of GAI activities is important. Fostering continual listening, learning, and adapting remains a priority, as is the development of alternative strategies for unforeseen situations. • Detailed activity planning and donor coordination remains important due to the proliferation of donor assistance in the field of accountability and good governance.
At the end of the session, GAI teams looked at the possible impact the forthcoming regular parliamentary elections in 2020 will have, how this will impact activities until the end of Y2 as well as the first half of GAI Y3. All of GAI’s conclusions and lessons learned will be integrated into the update memo to the current work plan and future technical assistance delivery.
Checchi and Company Consulting, Inc. 50
MANAGEMENT AND ADMINISTRATIVE ISSUES
In the reporting period, no changes were made in the core long-term GAI staff. Numerous solicitations have been issued and contracted for short term technical assistance positions and Firm Fixed Price contracts to support local self-governments and SAI. For example, subsequent to issuance of a competitive solicitation, GAI selected the Executive Group to support the development and implementation of marketing and promotional activities to support LSGs and select counterparts related assistance. To move ahead in the development of the ERCC GAI has advertised the position of an IT Specialist/Consultant to assist in the design of technical specifications and selection of vendor for an ERCC, as well as for the development for providing training on AVP to the specialized anti-corruption court units.
PLANNED ACTIVITIES FOR FOURTH QUARTER INCLUDING UPCOMING EVENTS
Local Government Accountability
• Assistance for development and implementation of LAPs – Following the adoption of LAPs in Vrnjačka Banja, Raška, Vranje, and Sjenica, GAI will continue to assist these LSGs to establish independent monitoring bodies and build the capacity of these bodies to become operational. In Šabac, GAI will continue to support the independent monitoring body to monitor and to produce their first report on LAP implementation. GAI will also initiate support LSGs from Group 2 – two city municipalities (Vračar and Stari Grad) to develop LAPs, and support Novi Pazar in specific areas relating to LAP implementation.
Checchi and Company Consulting, Inc. 51
In December, GAI and TS will organize a workshop for both Group 1 and Group 2 LSGs, for representatives of local administration and independent monitoring bodies, to discuss achievements and share experiences in LAP development, implementation and monitoring.
• LAP monitoring mechanism – GAI will follow up with ACA on publishing and presenting LAP Monitoring Methodology (tentatively, presentation of the LAP Monitoring Methodology is planned for 22 November) and will continue to test and implement the methodology through direct technical assistance to counterpart LSGs, implemented by TS. GAI and ACA will further explore opportunities for cooperation in this area, such as 1) co- organizing training for LAP monitoring mechanisms and 2) an online tutorial on LAP monitoring methodology.
• LAP FAQs – GAI will have further dialogue with ACA on assistance the Agency has requested to further encourage LSG learning, monitoring, adoption, and implementation of LAPs that will build on the published LAP FAQs and assist LSGs in developing and implementing LAPs.
• Local government model website – In Q4, GAI will finalize and release the website for the City of Vranje. Promotion of these two important tools and a public campaign to encourage wider use of website and portal will be organized in this period. As Group 2 LSGs has expressed interest in support in this area, the model website will be offered to them, as well as to other stakeholders that work on improving local transparency.
• Support to public budget hearing in Sombor – In Q4, GAI will support the organization of public budget hearings in local communities and public participation events in high schools in Sombor. To raise awareness and increase public engagement in the budget planning process for Sombor, GAI will implement a complementary public awareness campaign to encourage the public to participate. Also, follow-up activities are planned to ensure that all participating in the public consultation process receive feedback on their suggestions and comments.
• Support for local economic development plan hearings in Dimitrovgrad – GAI continue working with the Municipality Dimitrovgrad to implement activities envisaged by the Action Plan for Organization of Public Hearings, including intensive communication with
Checchi and Company Consulting, Inc. 52
business and business associations, supported by the promotional campaign. Focus groups with representatives of businesses and agriculture producers will be organized in early November, to present impact assessment and collect inputs for 2020 Program.
• Open Budget Portal in Vranje – GAI intends to finalize and launch an Open Budget Portal, in parallel with the development and launch of the City’s new website. GAI will promote the portal to local public and among other interested LSGs as a best practice.
• Follow-up of the financial assessment in Vrnjačka Banja – Based on financial assessment and training provided in Q2 and on further discussion on assessment results, GAI will start with providing support to LSGs to implement recommendations in areas such as the capital investments planning process, inclusion of businesses into organization of local tourist events in order to reduce budgetary expenditures and development of centralized complaints management system for local communal companies.
• Customer satisfaction surveys – In Q4, GAI will present the customer satisfaction survey results to the four LSGs, and to further discuss possible public presentations of the results as well as the ways the data gathered will be used.
• Single Administrative Points (SAPs) in Sombor and Šabac – GAI, with the city of Sombor, will continue to monitor establishment of the first SAP through regular collection of data on number of cases/customers that use this mechanism. The data will be used to analyze the impact and evaluate the use of the SAP. Also, GAI will continue monitor the ongoing implementation of the SAP in Šabac.
• Establishment of public project monitoring system – In Q4, GAI will finalize methodology for enabling the public to monitor public projects in Raška. The developed methodology and tool will be made available as models for other LSGs.
• Establishment of system for reporting problems with public services – In Q4, GAI will initiate the implementation of public services reporting system in Vrnjačka Banja to enable users of services to report problems with service delivered by any local utility provider via a single text message, phone call, or email, and to receive an answer within 48 hours.
Checchi and Company Consulting, Inc. 53
• Whistleblower Protection – In Q4, GAI will continue working with Pištaljka to extend trainings on whistleblower protection to encompass representatives of local public companies and local public service providers. GAI plans to establish network of designating persons for whistleblowing complaints and continue training them. Also planned is an awareness raising campaign to raise awareness on the importance of and promote whistleblowing.
• Training for implementation of the Law on Personal Data Protection – GAI with the CPI will organize training for14 LSGs and other public entities from their territory for implementation of newly adopted Law on Personal Data Protection. This will be the first training of its kind, and the need for this training surfaced with the implementation of other GAI activities, as it was identified that LSGs lack of understanding and capacities to fully implement the Law in order to protect personal data.
• MoU Signing event with Group 2 LSGs – The signing of Memoranda of Understanding with the second group of seven selected LSGs is planned for November 15, 2019. The event will be held at the Metropol Hotel in Belgrade.
• Support to Group 2 LSGs – After the MoU’s are signed with Group 2 LSGs, GAI will start defining SoWs and providing technical assistance. The assistance will be based on their expressed interest and tailored to the local governments needs and capacities.
Independent Oversight Institutions
• Performance Auditing Assistance
o In Q4, GAI will provide another round of basic training on performance audit this year for the newly employed auditors and SAI financial and compliance auditors to familiarize them to performance auditing. SAI President has requested GAI to provide training to all SAI financial and compliance auditors to familiarize them with the concepts and enable them to contribute to selection of performance topics and support implementation of performance audits, as needed.
Checchi and Company Consulting, Inc. 54
o GAI will provide training to SAI on utilizing guides drafted on sampling, questionnaire design; case studies; literature search and content analysis, data quality and reliability testing, and use of “best practices” as audit criteria.
• Performance Measurement Framework and Recommendation Follow-up – GAI will finalize policies and procedures with SAI and start planning assistance to measure benefits of past SAI performance audits to set up baseline values for performance measures.
• Fraud Risk Assessment Framework – GAI will further explore with SAI leadership training on an internationally accepted fraud risk assessment framework for SAI’s use in detecting fraud in high risk functions and sectors of government, such as procurements. The framework can also serve as a basis for SAI’s interface and potential support in building the capacities of internal audits within government.
• Communication, Outreach, and Visibility – GAI will finalize the development of SAI’s Communication Strategy and implement planned outreach activities.
• Operational Plan and Performance Measurement for ACA – GAI will continue support to ACA in finalizing 2020 Operational Plan, including Indicator Framework for measuring the ACA’s performance.
• Advancing Ethical Conduct in Government – GAI will assist ACA to facilitate a roundtable on ethical leadership with the ministries that oversee the implementation of strategies regulating ethical conduct and the principles of good governance within public bodies. The aim of the roundtable is to encourage the leadership in state bodies to take ownership of their need to raise awareness of obligations to exercise ethical conduct and available tools, including the model acts of misconduct developed with GAI assistance.
• Enhancing Communication and Interaction with Misdemeanor Courts – GAI will assist ACA to organize a roundtable with misdemeanor courts to analyze interaction of these institutions and map areas for improvement, including the possibilities for
Checchi and Company Consulting, Inc. 55
electronic transmission of files, implementation of plea agreements, and case monitoring and reporting.
• Advocacy for Improvement of the Legislative Framework – GAI will assist CPI to advocate improvement of the legislative framework relating to the Law on Free Access to Information of Public Importance and provide an analysis of comparative legal practices in the field of oversight of the implementation of similar laws, with a focus on the mandate of inspection.
Adjudication of Corruption Cases
• Support to Anti-Corruption Specialized Court Units and Prosecutors Units:
o GAI will continue to liaise with the CEELI Institute and organize participation of Serbian prosecutors at the three-day advanced anti-corruption training program for investigators and prosecutors (9-11 December 2019; Prague, Czech Republic). GAI will work with DOJ /OPDAT to coordinate the selection of participants from the four anti-corruption PPO Units and will provide the necessary logistical support to the designated participants.
o GAI will work with the Public Procurement Office to support training for specialized anti-corruption units in the Public Prosecutors’ Office and to organize workshops to present the upcoming new Law on Public Procurement to public prosecutors.
o The final report presenting the findings of the Post-Mortem Analysis with recommendations for organizational, procedural and normative improvements, is expected to be delivered during November 2019. GAI will organize an official event to present key findings of the analysis for a wider group of stakeholders.
o GAI will support the organization of case law harmonization workshop of specialized anti-corruption court units in the four Higher Courts in Belgrade, Novi Sad, Niš and Kraljevo, and four Appellate Courts. The workshop is foreseen to be organized mid- Q4 2019.
Checchi and Company Consulting, Inc. 56
o In Q4, GAI will conduct AVP training for specialized anti-corruption court units. The training was initially planned to be performed in cooperation with the MOJ, which has informed GAI that it lacks the human resources to conduct the training and advised GAI to contract consultants. GAI initiated this activity in Q3 and the procurement process is in the final stage of evaluation and selection of the best qualified vendor. Trainings for the court registry staff on the AVP module are planned to be implemented during Q4.
• Development of ERCC – Based on the Report on Database Model and Data Dictionary for an ERCC provided by the IT Consultant, GAI will facilitate a meeting of the WG for development of an ERCC established by MOJ, to present the main findings of the Consultant. In Q4 GAI will also initiate preparation for an ERCC design with defined hardware and software architecture solutions.
• Anti-Corruption Law Clinic – GAI will support the Belgrade University Law Faculty on the implementation of a legal clinic on combating corruption. The program will be designed as a single semester curriculum for students of the final years of studies. It is envisaged that the Clinic will operate from February until June 2020. GAI’s assistance will include selection of topics, development of a legal textbook and leaflets, organizing “Street Law” campaign(s). GAI will engage, legal anti-corruption practitioners from counterparts, such as Pištaljka, ACA, SAI, and CPI as guest lecturers, and foster close cooperation of the Faculty with the them as well as the specialized anti-corruption units in courts and PPOs.
Other Assistance
• 2019 Survey of Citizens’ Perceptions of Anticorruption Efforts in Serbia – In Q4, the nation-wide public opinion survey of public perception of Government efforts to combat corruption for 2019, will be conducted and reported. GAI is consulting with Transparency Serbia to consider any additional questions to be added to the Survey. A high-level presentation of the results will be organized around the Anti-Corruption Day (December 9).
Checchi and Company Consulting, Inc. 57
• Enabling youth in the fight against corruption – GAI is working with the Executive group to develop an integrated communication campaign with activities targeted at raising awareness among youth on the importance of engaging in their decision making at all government levels, especially in their local communities, and raising awareness on impact of corruption on quality of life and anti-corruption efforts. The Youth focused campaign will also be integrated across the three components, as identified in prior discussions in this text.
Checchi and Company Consulting, Inc. 58
U.S. Agency for International Development Serbia
92, Bulever Kneza Aleksandra Karadjordjevica Belgrade Tel: +381 11 706 4000 Fax: +381 11 3618267 usaid.gov/serbia
Checchi and Company Consulting, Inc. 59