NATIONAL POLICIES

ALLOCATION OF RESPONSIBILITIESIs an Anti-Corruption Agency a Good Thing?

and What are country’s international obligations?

Slides for a session at RIPA International © Denis Osborne, 2007

Ethics and Governance

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WHO IS REPONSIBLE FOR WHAT? Politicians, business leaders set example: provide

political will, private sector leadership, Top-down People pressure + media essential! Bottom-up Voters to demand candidates explain wealth etc Managers are responsible: Mid-level All should maintain integrity, stop acting corruptly;

build trust, report corruption, help investigators Specialist groups have roles; what?

Accountants, auditors, fraud examiners, bankers, investment managers, lawyers…

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SPECIALISTS, AGENCIES? Specialists have their roles for: LAW: lawyers including prosecutors and judges,

law-makers MONEY: auditors, forensic accountants, etc, tax

collectors, investors, contractors, ‘business’ REGULATION: health, food and drugs, safety,

environment INVESTIGATION: investigators,

with one agency responsible for criminal investigation?

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SPECIALISED A-C AGENCIES Many different patterns What do they do?

Almost all INVESTIGATE, some do much more How INDEPENDENT are they? To whom report? What SAFEGUARDS vs misuse of power, funds?

Described (Heilbrunn) by their mandate and accountability Universal: (HK) investigation, prevention, education Investigative only (Singapore’s CPIB) Parliamentary (ICAC Australia NSW), and No anti-corruption agency (US, UK) functions

dispersed between other bodies (US, UK)

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CONTROVERSY ABOUT AGENCIES Heilbrunn’s paper (WBI website?), ‘donor concerns’ Opposed mainly to Hong Kong multi-function pattern Argues not effective elsewhere Because never intended to be so – set up for show

BUT THAT would be true of any structures or patterns Because multi-function expensive, as in HK

BUT Hong Kong staff mostly investigators HK finds prevention more cost-effective Good to link investigators with managers

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OTHER ISSUESAnswers to questions may depend on local context,culture and history: YOU GIVE THEM Should agency prosecute as well as investigate?

A May agency initiate enquiry without any report?

B Should agency examine all reports received?

C Should it consider anonymous reports?

D

INTERNATIONAL COMMITMENTS

Corruption as global problem affecting security, safety and trade requires global

co-operation and standards, hencethe UN Convention, UNCAC,

the OECD Convention andother agreements

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COMPLIANCE Compliance with international conventions that

a government has ratified depends for the most part on politicians and lawyers

But managers do well to know about such things To which does my government accept an obligation? Do I consider those obligations met? Would my advice on meeting them be:

competent, welcomed, acceptable? Might they provide arguments in favour

of initiatives for which we want support?

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UNCAC, 2005 Purposes strengthen measures to prevent and combat

corruption (corruption not defined…) facilitate international co-operation in this

including asset recovery wanted by ‘developing countries’

promote integrity in managing public affairs including checks on money laundering

wanted by ‘developed’

Four main issues with 70 clauses or provisions

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UNCAC ISSUESFour main issues Law

example: no bribes to win contracts, facilitation ‘OK’ Prevention International co-operation Asset recoveryBalancing needs of developing and

industrialised economiesCountries asked to ratifyImplementation reviewed from time to time

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OECD CONVENTION, 1997 Main feature: required governments to criminalise

payment of bribes to foreign public officials Passed 1997 Came into force

when countries ratified aimed mainly at OECD members ratified by some non-OECD members some who ratified needed to amend laws UK in process of changing law

but legal processes very slow

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SEVERAL OTHERS Some with less legal standing, but important, include

International Chamber of Commerce, ICC, with tougher stance than UNCAC on ‘facilitation payments’

Professional bodies and ‘standards’ Asia-Pacific Action Plan against Corruption; Africa?

Some requirements now by World Bank, etc as condition for loans or aid

Requirements by companies Pressures also from ‘conferences’

International Anti-Corruption Conferences, ‘IACC’, regional eg ADB with OECD