How to Develop Assessment Tools for Standards of Professional Conduct: A Review of 78 Countries

Transcription

1 How to Develop Assessment Tools for Standards of Professional Conduct: A Review of 78 Countries Presented by: April 14, 2007 Presented at: 2007 PREM Learning Week Civil Service Course April 20, 2007 Washington DC

2 Questions yet to be answered What are the standards of conduct? Why are they important? Can we hold civil service accountable to these standards? What are the major problems in doing so? Are asset disclosure and freedom of information good tools for measuring accountability? Should we (the bank and international donors) support/promote them? When and when not? Page 2

3 Standards of Conduct What standards of conduct? ( ) a set of various ethical principles and values the observance of which in the performance of public service is required and expected by the government and the public (Slovak Government (2002:) Ethics in public administration) Why? One or combinations of Laws (Slovakia) Resolutions (UK) Internal Regulations (rway) To do what? How to set these standards? Page 3

4 Codes of Conduct objectives examples UK New Civil Service Code of Conduct (adopted June 6, 2006) Integrity Honesty Objectivity Accountability Impartiality (Political Impartiality) Slovakia Service Code of Conduct for Civil Servants (adopted July 31, 2002) Impartiality Diligence Honesty Courtesy Accountability Observance of Laws Page 4

5 Content of Codes in CEE countries (Palidauskaite, 2003) Poland Estonia Czech Bulgaria Macedonia Latvia Objective - * (indirectly) Principles of ethics Conflicts of interest (Asset disclosure) Gifts and favors Outside activities Use of information Political activity Conduct in private life Use of state property Working time Physical presentation Relations with media Post employment Sanctions Enforcement mechanism Page 5

6 Problems Codes of Conduct are running into Unrealistic expectations Too much control Institutional support Viable legal system Professionalism of civil service Shift in political will Page 6

7 Public Accountability project Why asset disclosure and FOI laws are important for managing civil service? Asset disclosure Pros Cons Freedom of information Pros Cons How such laws can address the reasons why we think they are necessary? What are the key features that these laws must have? Page 7

8 Public Accountability Project The quality of the legal and institutional frameworks in law as of July 2006 for Asset Disclosure, Conflict of interest, Freedom of Information and Immunity Data collection Primary sources: laws, regulations Secondary sources: reports, evaluations & interviews with 3 in-country experts 24 questions (criteria) Scores varying from 100% (all legal and institutional provisions) to 0% (no provisions) Page 8

9 78 Countries (53 IDA) Latin & Central America (4) Bolivia, Dominican Republic, Guyana, Honduras Africa (28) Angola, Benin, Botswana, Burkina Faso, Burundi, Congo, DRC, Ethiopia, Gambia, Ghana, Guinea, Kenya, Madagascar, Malawi, Mali,, Nigeria, Senegal, Sierra Leone, South Africa, Tanzania, Uganda, Zambia, Zimbabwe Europe and Central Asia (25) Albania, Armenia, Azerbaijan, Bosnia and Herzegovina, Bulgaria, Croatia, Czech Republic, Estonia,., Slovenia, Slovak Republic, Tajikistan, Turkey, Ukraine, Uzbekistan South Asia (5) Bangladesh, India, Nepal, Pakistan, Sri Lanka Middle East and rth Africa (2) Algeria, Morocco East Asia (14) Cambodia, Fiji, Indonesia, Lao PDR, Mongolia, Palau, Papua New Guinea, Philippines, Solomon Islands, Taiwan, Timor Leste, Tonga, Vanuatu, Vietnam Page 9

10 Asset Disclosure findings 61 out of 78 countries (83%) Africa 21 out of 25 countries Europe and Central Asia 24 out of 25 Latin American and Caribbean 4 out of 4 Middle East and rthern Africa 2out of 2 countries South East Asia 3 out of 5 countries Page 10

11 Asset Disclosure Requirements per Region as of July % 80% 60% 40% 20% 0% 75% 64% 96% 100% 100% 60% Page 11 Percentage of countries Africa East Asia Latin America a.. Europe and Ce... South Asia Middle East a..

12 Asset disclosure (ADEX) example Georgia Turkey Kenya Existence Coverage Declaration Requirement Comprehensiveness Frequency Sanctions Monitoring & Oversight Declaration verification (content only) Public Access Page 12

13 Good Quality of Asset disclosure (ADEX) Country Albania (ECA) Lithuania (ECA) Latvia Uganda Croatia Estonia Hungary Palau (EAP) Slovenia (ECA) Nigeria (ADEX) Percentage of key criteria as of July % 96% 94% 94% 91% 90% 90% 90% 86% 83% Page 13

14 100% 80% 60% 40% 20% 0% Quality of Asset Disclosure legislation (ADEX) as of July % 70% 63% 62% 46% 45% Page 14 Latin America Europe and Central Asia East Asia Africa South Asia Middle East & rth Africa Percentage of criteria

15 Asset Disclosure Major Problems Coverage Enforcement mechanism Penalties Audit Public Access Page 15

16 Standard Deviation of Asset Disclosure legislation (ADEX) as of July Standard deviation Africa East Asia Europe and Central Asia Latin Am erica Middle East & rth Africa South Asia Page 16

17 Does Asset Disclosure Legislation Have the Potential to Work? Only 30% of the laws have all of the key/critical elements Only 40 % of declarations are designed to include the minimal sources of income a public official might have Only 26 % of countries require audit of the content Only 30 % of countries require declarations to be made public Page 17

18 Freedom of Information (FOIEX) Why are FOI important? 29 out of 78 countries (47%) Africa - 5 out of 28 countries Europe and Central Asia - 24 out of 25 countries Latin America & Caribbean - 2 out of 4 countries Middle East and rth Africa - 1 country out of 2 South East Asia 2 out of 5 countries East Asia - 4 out of 14 countries) Page 18

19 100% 80% 60% 40% 20% 0% Percentage of countries which have adopted FOI as of July % 50% 50% 40% 29% 18% Page 19 East Asia Africa South Asia Middle East and th... Latin America and Car... Europe and Central Asia Percentage of countries

20 Freedom of Information Example Georgia Turkey Kenya Existence Right to information Coverage Request Processing & Submission Exemptions Tests to Override n-disclosure Monitoring & Oversight Public Access Sanctions Page 20

21 Good Quality Freedom of Information Laws Country Zambia (AFR) Moldova (ECA) Macedonia (ECA) Lithuania (ECA) Estonia (ECA) Dominican Republic (LAC) Slovenia (ECA) South Africa (AFR) Armenia (ECA) Bosnia and Herzegovina (ECA) Percentage of key criteria as of July % 86% 84% 82% 78% 77% 75% 74% 73% 73% Page 21

22 Quality of Freedom of Information (FOIEX) Scores per Region as of July % 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% 17% 13% 59% 32% 23% 23% Page 22 Percentage of criteria East Asia Africa South Asia Middle East and rth Africa Latin America and Carribea Europe and Central Asia

23 FOI Major Problems Exemptions and tests to override them Appeal and enforcement bodies/authorities Public access to information (time spans and costs) Penalties for officials not applying the legislation Page 23

24 Standard Deviation of 2006 FOIEX Page 24 Europe and Central Asia East Asia Africa South Asia Middle East and rth Africa Latin America and Carribea Standard deviation

25 Do FOI Have the Potential to Work? Only 12 % of FOI have all of the key criteria Only 18 % have enforcement mechanisms Only 13 % have penalties for public officials not applying the legislation Only 12 % have clearly defined exemptions as well as tests to override non-disclosure Page 25

26 When Should a Country Adopt Such Laws? When not? Level of democratization Costs Enforcement Mechanisms Page 26

27 What Happens Over Time? Should We Support such Reforms? Trends in Quality of Asset Disclosure (ADEX) in Central and Eastern Europe Dorhoi (2005) Anti-Corruption Strategies and Fighting Corruption in Central and Eastern Europe, Michigan State University, PhD Dissertation Page 27

28 Trends in Quality of Freedom of Information (FOIEX) in Central and Eastern Europe Dorhoi (2005) Anti-Corruption Strategies and Fighting Corruption in Central and Eastern Europe, Michigan State University, PhD Dissertation Page 28

29 Im m unity Index Trends in Quality of Immunity (IMEX) across Central and Estern Europe Average Immunity scores Dorhoi (2005) Anti-Corruption Strategies and Fighting Corruption in Central and Eastern Europe, Michigan State University, PhD Dissertation. Page 29

30 Next steps The 2006 Public Accountability Index is currently being reviewed within the Bank and will officially be launched end of April 2007 Mid-2007 second round of data collection Further refinement of the questionnaire add criteria on institutional arrangements Expand the number of countries (to 150 by December 2007) Include the conflict of interest area (information already collected) and add new area: civil service Expansion from in law to in practice Page 30

31 Discussion

32 Comparison to Other Instruments Public Accountability Index Integrity index Anti-Corruption Assessment Index (ACAI) Sample size 78 countries; approx. 150 countries by March countries in 2004; 43 in countries in 1995, 2002 & 2003 Areas Asset disclosure 9 questions 2 questions 9 Questions Conflict of interest 9 questions ne 9 Questions FOI 9 questions 2 questions 8 Questions Immunity 6 questions 1 question 6 Questions Page 32

33 Actionable indicators In law In practice Public access to declarations: i. Are the declarations made publicly available? ii. When the declarations are made publicly available? iii. Where the declarations are made publicly available? iv. For how long is the record maintained? Page 33

34 Actionable indicators In law In practice Public access to declarations: i. Are the declarations made publicly available? ii. When the declarations are made publicly available? iii. Where the declarations are made publicly available? iv. For how long is the record maintained? Page 34

35 Quality of Asset Disclosure provisions (ADEX) Ranking Country ADEX 1. Albania 97% 2. Lithuania 96% 3. Uganda 94% 4. Latvia 94% 5. Croatia 91% 6. Palau 90% 7. Estonia 90% 8. Hungary 90% 9. Slovenia 86% 10. Nigeria 83% 11. Papua New Guinea 82% 12. Serbia 81% 13. Honduras 81% 14. Taiwan 79% 15. Bolivia 79% 16. Vanuatu 78% 17. Kyrgyz Republic 78% 18. Romania 78% 19. Mozambique 77% 20. Solomon Islands 77% 21. Guyana 77% 22. Algeria 77% 23. Philippines 74% 24. Georgia 74% Ranking Countries ADEX 25. Sri Lanka 74% 26. Mauritius 73% 27. Dominican 72% 28. Mali 70% 29. Moldova 70% 30. Azerbaijan 69% 31. Niger 67% 32. Slovakia 67% 33. Ukraine 67% 34. Kenya 66% 35. Armenia 65% 36. Czech Republic 65% 37. Macedonia 65% 38. Poland 64% 39. Burundi 63% 40. Madagascar 63% 41. Zambia 62% 42. Bangladesh 62% 43. Indonesia 61% 44. Ghana 60% 45. Bulgaria 60% 46. Nepal 60% 47. Pakistan 60% 48. Namibia 59% 49. Tanzania 58% Page 35

36 Quality of Asset Disclosure (ADEX) Ranking Country ADEX 50. South Africa 57% 51. Bosnia 57% 52. Gambia 56% 53. Vietnam 56% 54. India 56% 55. Burkina Faso 54% 56. Tajikistan 54% 57. DRC 53% 58. Benin 52% 59. Senegal 51% 60. Morocco 49% 61. Malawi 48% 62. Turkey 44% 63. Kazakhstan 43% 64. Congo 28% 65. Mongolia 27% 66. Zimbabwe 4% 67. Angola 0% 68. Botswana 0% 69. Ethiopia 0% 70. Guinea 0% 71. Mauritania 0% 72. Sierra Leone 0% 73. Cambodia 0% 74. Fiji 0% 75. Lao 0% 76. Timor Leste 0% 77. Tonga 0% 78. Uzbekistan 0% Page 36

37 Quality of Freedom of Information (FOIEX) Number Country FOIEX 1. Zambia 90% 2. Moldova 86% 3. Macedonia 84% 4. Lithuania 82% 5. Estonia 78% 6. Dominican Republic 77% 7. Slovenia 75% 8. South Africa 74% 9. Armenia 73% 10. Bosnia 73% 11. Hungary 67% 12. Zimbabwe 66% 13. Croatia 66% 14. Georgia 65% 15. Latvia 65% 16. Romania 65% 17. Taiwan 62% 18. Azerbaijan 62% 19. Poland 62% 20. Uganda 61% 21. Bulgaria 61% 22. Czech Republic 58% 23. India 55% 24. Serbia 54% Ranking Country FOIEX 25. Pakistan 51% 26. Ukraine 49% 27. Slovakia 46% 28. Tajikistan 46% 29. Morocco 46% 30. Kyrgyz Republic 44% 31. Turkey 44% 32. Uzbekistan 41% 33. Albania 40% 34. Philippines 31% 35. Bolivia 28% 36. Mozambique 22% 37. Indonesia 22% 38. Vietnam 22% 39. Botswana 11% 40. DRC 11% 41. Madagascar 11% 42. Mali 11% 43. Mauritania 11% 44. Mauritius 11% 45. Palau 11% 46. Papua New Guinea 11% 47. Solomon Islands 11% 48. Timor Leste 11% 49. Kazahstan 11% Page 37

38 Quality of Freedom of Information (FOIEX) Ranking Country FOIEX 50. Hungary Croatia Georgia Latvia Romania Azerbaijan Poland Bulgaria Czech Republic Serbia Ukraine Slovakia Tajikistan Kyrgyz Republic Turkey Uzbekistan Albania Kazahstan Dominican Republic Bolivia Guyana Honduras Morocco Algeria India Pakistan Nepal Bangladesh Sri Lanka 0.00 Page 38

39 Quality of Immunity (IMEX) Ranking Country IMEX 1. Bosnia 100% 2. South Africa 96% 3. Estonia 95% 4. Bangladesh 92% 5. Mauritius 88% 6. Lithuania 86% 7. Albania 86% 8. Slovakia 86% 9. India 83% 10. Palau 82% 11. Turkey 79% 12. Guinea 78% 13. Tanzania 78% 14. Latvia 78% 15. Slovenia 78% 16. Ghana 76% 17. Mali 76% 18. Benin 76% 19. Burkina Faso 76% 20. Morocco 76% 21. Mozambique 75% 22. Nepal 74% 23. Czech Republic 73% 24. Angola 72% Ranking Country IMEX 25. Niger 72% 26. Lao 72% 27. Indonesia 72% 28. Cambodia 72% 29. Guyana 72% 30. Botswana 71% 31. Bulgaria 69% 32. Hungary 69% 33. Bolivia 69% 34. Romania 68% 35. Poland 68% 36. Ukraine 68% 37. Georgia 67% 38. Kenya 65% 39. Philippines 65% 40. Sri Lanka 65% 41. DRC 64% 42. Nigeria 64% 43. Croatia 64% 44. Moldova 64% 45. Macedonia 64% 46. Serbia 63% Page 39

40 Quality of Immunity (IMEX) Country IMEX 47. Ethiopia 61% 48. Uganda 61% 49. Fiji 61% 50. Tonga 61% 51. Madagascar 60% 52. Burundi 60% 53. Taiwan 58% 54. Solomon Islands 58% 55. Honduras 58% 56. Papua New Guinea 57% 57. Sierra Leone 56% 58. Senegal 56% 59. Namibia 56% 60. Uzbekistan 56% 61. Mongolia 54% 62. Pakistan 53% 63. Malawi 52% 64. Gambia 51% 65. Congo 51% 66. Algeria 51% 67. Zimbabwe 50% 68. Mauritania 49% 69. Armenia 49% 70. Dominican 49% 71. Zambia 48% 72. Timor Leste 48% 73. Kazakhstan 47% 74. Azerbaijan 47% 75. Vanuatu 43% 76. Vietnam 42% 77. Tajikistan 33% 78. Kyrgyz Republic 31% Page 40