Anti-Corruption & Civil Rights Commission Republic of Korea

Transcription

1 Anti-Corruption & Civil Rights Commission Republic of Korea

2 Background Targets Procedures Outcome

3 Background Previous anti-corruption strategies were geared toward detecting corrupt acts and punishing the individuals responsible. They had a limited impact on preventing corrupt practices in that they did not address the mechanisms causing corruption and therefore failed to formulate effective countermeasures The Corruption Impact Assessment is an analytical framework designed to identify and remove factors causing corruption in laws and regulations

4 Table 1. Types of corruption factors and corruption prevention measures Type Corruption factors (examples) Corruption prevention measures Laws and Institutional systems Unrealistic standards, excessive regulation, non-transparency in handing procedures, etc. Corruption Impact Assessment and institutional improvement Culture and behavioral patterns Practices of entertainment, grafting and influence peddling, lack of a sense of ethics, self-centered attitude, etc. Education and innovation Monitoring and control Lack of means of corruption control, absence of concrete, stringent, and timely punishment, etc. Detection and punishment

5 Assessments framework Citizens Stakeholders (associations/unions) Civic groups and economic organizations Survey on the needs for assessment Survey on legislation and practices Submission of opinions Corruption Impact Assessment ACRC Check whether recommendations are reflected in enactment/amendment bills Identification and selectionof tasks Institutional improvement Monitoring and evaluation of compliance Notify recommendations Submission of materials Compliance recommendations Notification of assessment tasks Recommendation of improvement/ Evaltation of compliance Request of Consultation Submission Of consultation Government agencies Outside experts Legal departments Establishment of enactment plans Arrangement of discussions and interviews related to assessment Departments related to the legislation concerned Identification and submission of assessment tasks Preparation of basic materials Corruption Impact Assessment Advisory Group Analysis and review of basic materials Expert groups Identification and examination of assessment tasks Review and submission of opinions

6 Targets

7 Target Screening out corruption causing factors of laws in the enactment and amendment as well as existing legislation The assessment covers all forms of legislation germane to public life Acts, Presidential Decrees, Prime Ministerial decrees, Ordinances of Ministries Forms of legislation Administrative rules In other directives, regulations, announcements, notices, ordinances and rules autonomous laws and regulations Public corporations rules

8 Assessment model

9 Assessment model The Corruption Impact Assessment is based on a systemic model, which was designed to examine corruption factors in regulations or laws in terms of demand, supply, and procedure. The evaluation model consists of three corruption-causing factors: ease of compliance with laws and regulations propriety of discretion, transparency of administrative procedures. Each of These three factors is divided into three criteria. The assessment form contains a checklist to lessen the burden of assessment.

10 Table 2. Evaluation model for Corruption Impact Assessment Factors Ease of compliance (demand) Propriety of discretion (supply) Transparency of administrative procedure (procedure) Criteria - Adequacy of the burden of compliance - Adequacy of the level of sanctions - Possibility of preferential treatment - Clearness of discretionary regulations - Appropriateness of the scope of discretionary power - Concreteness and objectiveness of discretionary standards - Accessibility and openness - Predictability - Corruption control system

11 1 Ease of compliance ( demand ) Criteria Adequacy of the burden of compliance Adequacy of the level of sanctions Possibility of preferential treatment contents Whether the level of expense & sacrifice borne by people, businesses, organizations to comply with legal responsibilities is appropriate or not in light with social norm Whether the content and level of penalties, compared with those pursuant to similar laws, are appropriate Possibility of certain class, business, group or individual enjoying favor or benefit thanks to application of laws

12 2 Propriety of discretion ( supply ) Criteria Clearness of discretionary regulations Appropriateness of the scope of discretionary power Concreteness and objectiveness of discretionary standards Contents Whether discretion (who has it, the scope of it, process to exercise it) is clearly and firmly defined Whether the scope of discretion given is appropriate in light of international and domestic norm Whether discretion related criteria or requirement to exercise it is specific enough to be applied to reality and objective enough to be translated as the same by the third person

13 3 Transparency of administrative procedure ( procedure) Criteria Accessibility and openness Predictability Corruption control system Contents Whether participation by people, businesses, organizations in the exercise of discretion or performance of duties is guarantee, and there is special system for related information disclosure Whether required papers & steps, administrative handling process, period and the results are ease to know and predictable Whether a special system to control corruption exists such as one to regulate corruption coming from efforts to avoid compliance burden or to seek favor, coming from face to face encounter during working

14 Procedures

15 Corruption impact assessment on legislation to be enacted/amended ADMINISTRATIVE AGENCY 1 legislative proposal 3consultation with relevant agency(10days) 2 submission 5 notification of assessment result ACRC (ASSESSMENT) 4advance notice of enactment/revision(20days) 6 notification consultation advisory committee 7review by regulatory reform committee 8 submission of opinions 9review by ministry of government legislation

16 Administraive agency Administrative agencies must prepare a legislative proposal subject to evaluation as well as basic materials necessary for such evaluation. After examination and verification of the relevant materials by their legal departments, those agencies should submit them to ACRC upon commencement of consultation on the bill with the agencies concerned. Administrative agencies should submit legislative proposals to ACRC, Whenever agencies start to consult on the bill with agencies concerned.

17 Anti Corruption & Civil rights commission The evaluation by ACRC is conducted within the timeframe for existing legislative procedures in order to prevent any delay in such procedures. Evaluation begins during consultation by the agencies concerned (10 days) and is completed by the preliminary announcement of legislation (20 days). Therefore, the assessment should be finished within 30 days of submission of legislative proposals to ACRC.

18 Advisory group the evaluation process of proposed legislation guarantees consultation with the relevant agencies, as well as collection of opinions from interested institutions and persons to ensure fair and effective evaluation. The Corruption Impact Assessment Advisory Group has been in operation to promote professionalism and objectivity in Corruption impact assessment.

19 Corruption impact assessment on existing legislation ACRC Selection of Item ASSESSMENT Consultation Assessment of result notification of assessment result Check of the result ADMINISTRATIVE agency Institutional improvement according to recommendations -if necessary, requesting re-deliberation consultation advisory committee

20 Concerning existing legislation, ACRC identifies high-risk areas, formulates assessment plans conducts assessments according to research. ACRC determines the subjects of assessment based on an overall review through consultation. when necessary to conduct fact-finding investigation in relevant fields In addition, the evaluation process of proposed legislation guarantees consultation with the relevant agencies, as well as collection of opinions from interested institutions and persons to ensure fair and effective evaluation it will be disclose assessment-results to the public.

21 The emphasis of evaluation is placed, on making institutional improvements with a view to removing corruption risks and factors. Assessment results are, therefore, used to improve relevant bills or legislation and establish institutional devices including sub-laws, rather than to directly withdraw unreasonable bills or existing laws. In addition, the evaluation process of proposed legislation guarantees consultation with the relevant agencies, as well as collection of opinions from interested institutions and persons to ensure fair and effective evaluation. The Corruption Impact Assessment Advisory Group has been in operation to promote professionalism and objectivity

22 Corruption impact assessment on administrative rules Given the large number (10,000 or so) of administrative rules, ACRC Conducts assessments on laws and their subordinate administrative rules issued by government agencies together. Additionally, it requests government agencies to submit existing administrative rules and carries out intensive assessments on those rules. First of all, ACRC select ministry of land,transport and maritime affairs and conduct assessment rules and recommended 98 corruption causing factors It is now performing assessments on these rules in ministry of knowledge economy.

23 Corruption impact assessment on autonomous laws, regulations LOCAL GOVERNMENTS 1 Basic materials related to assessment (departments related to the legislation concerned) 2 consultation with relevant department(20day) 2 CIP deparement ACRC Corruption impact assessment 3 review by regulatory department 4 review by legislation department 6review by local state council Advisory committee 5 check whether recommendations are reflected

24 Corruption impact assessment on autonomous laws, regulations More than 60,000 autonomous laws and regulations are now in force, and over 10,000 are enacted or revised annually, so a comprehensive evaluation by ACRC was not possible. Considering such large volume and the purpose of local autonomy systems, ACRC is guiding 262 local governments to establish and operate assessment systems of their own. ACRC is planning to supplement the existing assessment model and provide an assessment manual by the first half of 2008 so that each local government can use it autonomously. Based on the current evaluation criteria, the evaluation model for autonomous laws and regulations will include items to improve responsibility and responsiveness of local governments.

25 Self assessment flow chart Decision on self-evaluation Work pattern model Evaluation model determination Evaluation Criteria model Omission of Corruption Impact Assessment Check item by item Check item by item According to work type evaluation model According to work type evaluation model 1. Accounting 2. contract 3. sales 4.Construction 5. Asset management 6. trust 7. Personnel 8. Audit 9. Inspection 10. Operation of Committee 1. Ease of compliance 2. Adequacy of discretion 3. Transparency of administrative process

26 Evaluation model check list for each type of works Work type Check list Existence 1 Trust. Commission 2 Control. Check 3 Approval. Permission 4 Assistance. Support 5 Inspection 6 Imposition. Collection Matters related to trust and commission of municipalities Matters on-site visit (guidance, regulation, checkup) in fire fighting, health care, environment, welfare Matters related to approval, permit, patent, authorization, designation, criteria, exam, inspection, test and cancellation, suspension Matters related to budget and fund support for various associations and organizations Matters related to on-site inspection in tax affairs, industry, economy, administrative system Matters related to various imposition and collection of fines, surcharge, charge for compelling compliance, allotment, fee, redemption of development benefit YES, NO 7Personnel Matters related to recruitment, promotion and placement 8Committee Matters related to authority, formation, operation of various committees with deliberation and resolution function

27 Corruption Impact Assessment on public corporations rules ACRC is guiding more than 574 public corporations to establish and operate assessment systems of their own. ACRC is planning to supplement the existing assessment model and provide an assessment manual by the first half of 2008 so that each local government can use it autonomously. Based on the current evaluation criteria, the evaluation model for public corporations s rules will include items to improve responsibility and customer s satisfactions.

28 outcome

29 Corruption impact assessment on legislation to be enacted or amended last year, ACRC has received requests for assessment of a total of legislative proposals for enactment or amendment. ACRC identified 496 corruption-causing factors from 269 proposals (20% of evaluated proposals) and recommended that the competent agencies address these factors. ASSESSMENTS COMPLETED( ) Bills received Agreed to original bill Assessments completed Recommended amendment Assessment in progress 1,368 (100%) 1,099 (80.0 %) 269 (20.0%)

30 Recommended amendments by area( ) Education/ Culture 83 Industry/ Development Science/ Information National defense/welfare of patriots & veterans 63 Environment/ Health 32 Finance/ Economy General/ administration Law enforcement/ Justice

31 Corruption impact assessment on existing legislation ACAC focused on not only the assessment of enacted and revised legislation, but also corruption issues requiring immediate action. Thus, it conducted a Corruption Impact Assessment on legislation related to the promotion of the gaming industry, public water management and reclamation, and the process to grant permissions on road occupation for construction, and presented suggestions for improvements based on assessment results.

32 Legislation Problems and corruption status Major recommendations Legislation on the promotion of the gaming industry Legislation on public water manageme nt and reclamation Rating of gambling games as lawful ones Lack of transparency and accountability in the organization and operation of the Game Rating Board Collusion between supervising public officials and gaming businesses Lenient crackdown on and punishment for illegal land reclamation from public water Inadequate post-management after permission of public water occupation and use, and lenient punishment against violators Decrease in government-vested properties due to inflated costs for reclamation work Blocking gambling games by abolishing the prize system set forth in the Gaming Act Improving transparency in the organization and operation of the Game Rating Board Carrying out guidance and control in a more organized manner and establishing a dedicated agency Devising a system to systematically manage and supervise public water Issuing a restoration order for illegal damaging of public water and introducing an advance warning of fines Improving the cost-estimation system to curb undue favors for those who reclaimed land from public water Legislation on the process to grant permission s on road occupation for constructio n Common practices of bribery in the direct or vicarious application process Frequent abuse of discretion such as rejection of permission based on arbitrary decisions Lack of supervision of illegal occupation and use of roads Making it obligatory to fill in the name of the application agency and the application fee in the application form Making it obligatory to present legal grounds for requesting supplementation of or returning applications Introducing an advance warning of fines and lump-sum payment of road occupation fees

33 Conclusively the findings from corruption impact assessment are utilized in pushing for institutional improvements. The corruption impact assessment, therefore, functions as an advance analysis system for efficient institutional improvements. When assessment results indicate a need for improvement, ACRC formulates measures to implement the institutional improvements and recommends execution of such measures to each agency concerned.

34 The corruption impact assessment is expected to contribute to uprooting corruption-causing factors in each and every area, ultimately putting an end to the so-called dead zones of Corruption An anti-corruption mechanism will be active in all policy formulation and execution processes in the future, dramatically improving the transparency of policies. Moreover, development and dissemination of various mechanisms To eliminate each type of corruption-causing factors will facilitate selection of policy alternatives that are less likely to give rise to corruption. Over the long term, such actions will raise policymakers.