Sanctioning conflict of interests in Romania. An end-to-end process · 2017. 6. 29. · Page 1 Sanctioning conflict of interests in Romania. An end-to-end process Silviu POPA Secretary

Sanctioning conflict of

interests in Romania.

An end-to-end process

Silviu POPA

Secretary General

National Integrity Agency (ANI)

Efficient anti-corruption policies

must have (good) teeth:

• Dissuasive sanctions for non-compliance;

• Imposing accountability for decision makers;

• Specialized unit in applying sanctions (exclusive

competence).

Prevention

Sanctioning /

Combatting

Transparency

Assets / interests

disclosures Incompatibility

Conflict of interests

Corruption deeds

PREVENTION

DUAL OBJECTIVE SYSTEM

Conflict of interests Illicit / Unjustified enrichment

Captures information about

sources of income, shares,

and other financial

Interests

Serves to assist the filer in

preventing conflicts of

interests

Captures information

about assets to monitor

changes in wealth

Source: 2016 World Bank Study

1

2

3

4

2008 – 2011

• Hundreds of files are opened

• First investigations are

finalized

• ANI is declared

unconstitutional – amended

framework

• First High Court decision on

asset confiscation

2017

• Sanctioning efforts doubled

by preventive actions

• Proactive selection of cases

• Education

2012 - 2016

• Evaluation reports

remains definitive

• First administrative

sanctions in cases of

incompatibilities and

conflict of interests

1996 - 2007

• Obligation to disclose is

introduced

• Setting the stage for

asset confiscation

procedures

• Incompatibilities and

conflict of interests are

regulated

• Notification

Managing conflict of interests / incompatibilities

cases – an end-to-end process

1



1

2

• Notification

• ANI`s investigation



1

3

2

• Notification


• Challenging timeframe



1

3

4

2

• Notification



• Court proceedings



1

3

5

4

2

• Notification



• Court proceedings

• Applying the sanctions

Mix of sanctions

INCOMPATIBILITIES

3 years interdiction

Disciplinary sanctions

CONFLICT OF INTERESTS

3 years interdiction

Cancelling the

contracts

Disciplinary sanctions

Publicity

Let’s see them in practice:

INCOMPATIBILITIES

ANI`s findings Confirmation rate Administrative

sanctions

3 years interdictions

1579 cases regarding

- 8 Govt officials

- 76 MPs

- 1103 local elected

officials

- 205 civil servants

etc.


INCOMPATIBILITIES


sanctions



- 8 Govt officials

- 76 MPs


officials


etc.

80,1 %


INCOMPATIBILITIES


sanctions



- 8 Govt officials

- 76 MPs


officials


etc.

80,1 %

- 419 resigned or

ended their mandate

- 183 dismissed

- 179 other types of

sanctions


INCOMPATIBILITIES


sanctions



- 8 Govt officials

- 76 MPs


officials


etc.

80,1 %

- 419 resigned or

ended their mandate

- 183 dismissed

- 179 other types of

sanctions

328 persons under

interdiction

CASE STUDY - INCOMPATIBILITY:

- Mr. C.A.– Manager of a Hospital

- C.A. held at the same time the position of hospital manager and other salaried or

compensated offices in seven companies, as well as in its own Natural Authorized

Person

- C.A. breached the legal regime of incompatibilities

““The office of natural person manager is incompatible with the exercise of any other paid, unpaid or compensated offices, except for the offices or activities in the medical area in the same sanitary unit, of the educational, scientific

research or artistically-literary creation activities […]”;”

- ANI evaluation report remained definitive

- OUTCOME: C.A. was dismissed from the office and he has received the

interdiction of the right to hold a public office for 3 years.

Let’s see them in practice (II):



sanctions


534 cases regarding

- 3 Govt officials

- 60 MPs

- 365 local elected

officials

- 47 civil servants etc.




sanctions


534 cases regarding

- 3 Govt officials

- 60 MPs

- 365 local elected

officials


93,48 %




sanctions


534 cases regarding

- 3 Govt officials

- 60 MPs

- 365 local elected

officials


93,48 %

- 125 resigned or

ended their mandate

- 50 dismissed

- 45 other types of

sanctions




sanctions


534 cases regarding

- 3 Govt officials

- 60 MPs

- 365 local elected

officials


93,48 %

- 125 resigned or

ended their mandate

- 50 dismissed

- 45 other types of

sanctions

166 persons under

interdiction

Let’s see them in practice (III):


CANCELLING CONTRACTS

Definitive won;

14

Definitive lost;

7

Won - 1st

degree Court;

42

Lost - 2st

degree Court; 11

Pending before

Court;

[VALUE]

Criminal conflict of interests

• 322 cases

• Only 54 cases reached the Court (administrative fines and imprisonment decisions –

suspended) regarding 21 MPs, 11 local elected officials, 5 heads of institutions, 2 public

servants

- Mr. A.V. – Director of the Forensic Medical Institute and Rector of Medicine superior

education institution;

- A.V. hired himself in an European funded project – implemented by the Forensic Medical

Institute;

- A.V. breached the legal regime of criminal conflict of interests –

“The deed of the civil servant who, while exercising their office duties, takes action, or participates in the making of a decision, whereby a material advantage is obtained directly or indirectly for them (…) shall be punished by 1 to 5 years of imprisonment and the interdiction of

the right to hold a public office”

- ANI notified the prosecutor`s office which later sent the file into Court;

- OUTCOME: Court convicted A.V. to one year of suspended imprisonment for criminal

conflict of interests.

Lessons learnt or how to discourage public

officials to breach integrity laws?

Achieve a strong and diverse track record of cases;

Raise awareness;

Fight for uniform jurisprudence;

Offer 24/7 guidance;

Raise accountability among heads of institutions;

PREVENTION!

Threats or how a solid system of integrity can

be compromised?

Constant attempts of legal framework modification;

“Ocean” of laws;

Prescription periods;

Legislative gaps.

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Sanctioning conflict of interests in Romania. An end-to-end process · 2017. 6. 29. · Page 1 Sanctioning conflict of interests in Romania. An end-to-end process Silviu POPA Secretary