German UNCAC Project Pilot Activities

German UNCAC Project Pilot Activities

Division State and Democracy Supporting the Implementation of the UN Convention against Corruption (UNCAC) German UNCAC Project Pilot Activities Eschborn 2007

Published by: Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH P.O. Box 5180 65760 Eschborn T +49 6196 79 0 F +49 6196 79 1115 E info@gtz.de I www.gtz.de Division State and Democracy Supporting the Implementation of the UN Convention against Corruption (UNCAC) Author: UNCAC-Team Contact: dedo.geinitz@gtz.de, johanna.joerges@gtz.de Eschborn 2007

Table of Contents Pilot Activities 2 I. Ongoing and Completed Activities 2 II. Groundwork Inputs for GTZ Projects 12 III. Pilot Measures at the Preparation and Planning Stage 18

Pilot Activities Context Pilot activities to specifically promote the implementation of the UN Convention against Corruption (UNCAC) through German development cooperation are strategically oriented. Hands-on initiatives show how UNCAC provisions can be implemented, how this works in processoriented terms, and what long-term benefits this generates for the partner countries and international development cooperation (DC) organisations involved. The measures initiated and promoted by the German UNCAC Project contribute to compliance with Convention provisions at the macro, meso and micro levels. They highlight the fact that it is not just a matter of criminal prosecution (repression), but above all prevention. The pilot activities promote innovative national and regional approaches designed to lift the taboos shrouding the theme of corruption, whilst concomitantly fostering standards that can be introduced into the international debate as good practices. Pilot activities are no stand-alone initiatives. They contribute directly to achievement of the objective of the German UNCAC Project, namely to support selected partner countries in the implementation of the Convention through analytical as well as application-related initiatives, to upgrade and mainstream corruption control within German DC, and to support the German side in the further development of the Convention and its implementation at the international level. By December 2007, the project had implemented and/or supported some 20 pilot activities which originated directly from the dialogue on UNCAC implementation with partner countries, international organisations and German Technical Cooperation projects. Another ten measures are now in the pipeline. All pilot activities are designed to help profile the fight against corruption in German DC and to advance international networking 1. The project has established a budget line for the pilot activities. Budgets for individual initiatives range from a few thousand euros for short-term national and international consultancy services, meetings and workshops to larger amounts of up to 150,000 euros for comprehensive studies, for intensive in-country activities such as supporting compliance reviews / gap analyses or training in asset recovery and for regional networking. I. Ongoing and Completed Activities 1. Bangalore Principles for Judicial Conduct (Chapter II, Art. 11) Partner: UN Office on Drugs and Crime (UNODC), Judicial Integrity Group (JIG) Proposal: May 2005 Term: July through to October 2005 with follow-up through to the second Conference of States Parties (COSP) at the beginning of 2008 and the 6 th meeting of the Judicial Integrity Group scheduled for 2008 http://www.igac.net/publications.html http://www.unodc.org/unodc/en/corruption/judiciary.html Objective: To have the International Judicial Integrity Group (JIG) complete its work on the Bangalore Principles of Judicial Conduct by way of a contribution to UNCAC Art. 11 (Measures relating to the judiciary and prosecution services), in particular to their implementation in development cooperation (DC) projects in the field of law and justice, e.g. further training of judges and judicial personnel, implementation of national integrity systems derived from the Bangalore Principles. The commentary on the Bangalore Principles, themselves incorporated into the UN system in October 2005 through UNODC, which was finalised in 2006 and is entitled Draft 1 Not listed here are the many, indepth comments by the UNCAC cooperative project, for example on the OECD guiding principles for multinational companies, on the governance and anti-corruption strategy promoted by the World Bank, or its own expert reports in which UNCAC is always at the forefront. 2

United Nations Principles on Judicial Integrity, will buttress application of the principles internationally. To give it a wider basis, the commentary is to be supplemented by a Technical Guide and by Procedural Regulations, which are expected to serve the interface between the judiciary, legislation, executive branches and the public. Result: Activities concerning the Bangalore Principles were completed at the 4 th working meeting of the UNODC-based JIG held in Vienna from 28 to 29 October 2005. It was at this meeting that the Bangalore Principles were expanded into universal Principles on Judicial Integrity. They were then debated at the 16 th meeting of the UN Crimes Commission from 25 to 28 April 2006, and subsequently submitted as a resolution to the Economic and Social Council (ECOSOC). ECOSOC adopted the Principles as resolution 2006/23 in the July of the same year. The next step involved the completion of the comprehensive commentary on the Principles on Judicial Integrity and the Principles of Conduct for Judicial Personnel by the end of October 2006, followed by their submission to the international community of states for assessment. Subsequent to international consultation, the commentary was debated and adopted by the UN system at the end of February 2007 at the fifth working conference of the JIG. UNODC also submitted a Guide to Strengthening Court Integrity and Capability. The Principles will be forwarded in the near future via the UN Crimes Commission and ECOSOC to the UN General Assembly. At the forthcoming 6 th meeting of the JIG scheduled for 2008 the final version of the commentary will be acknowledged and the draft Procedural Regulations will be forwarded for discussion. Evaluation: With comparatively little outlay, an important initiative covering the entire field of conduct in the dispensation of justice has been brought to a successful conclusion for the time being. The commentary contributes to the practical application of the Principles which offer DC projects a comprehensive approach for promoting ethical conduct and practices in law and justice. The Principles will become the leading international standards in this field. When the States Parties first convened at an UNCAC conference in December 2006, the Principles were praised in terms of their significance as a good practice for implementation of Article 11. The fact that the Principles on Judicial Integrity were adopted by actively involved and/or interested governments at the 16 th and 17 th working conferences of the UN Crimes Commission in 2006 and 2007 is to be welcomed; in this way, they are helping implement Article 11 and thus promote the UN process. This theme should also be incorporated into bilateral policy dialogue. JIG members will continue to further implementation of the Principles. As an informal group of Chief Justices from various countries, JIG values its independency with regard to the contents of its activities Activity by Judges for Judges 2. UNODC will act as a secretariat for JIG, a function for which it requires financial support; inter alia, it is planned to construct a JIG website and to finance further working meetings, as well as to secure the final stages of work on the commentaries. 2 It became very clear during the discussions that, in the Common Law system, the judiciary is profiled by a very specific concept, which may also affect the interpretation of UNCAC implementation. A synthesis of Common Law and Civil Law can be created through the category functional equivalence, as suggested for the OECD Convention on Combating Bribery of Foreign Public Officials: The Convention borrowed this concept from the methodology of comparative law and developed it further. The approach assumes that every legal system has its own logic, which is not necessarily determined by legal texts alone. Only the holistic appraisal of the law in operation, including informal rules and practices as well as functions assumed by other institutions, will allow one to assess whether the overall legal effects produced by a country s legal system adequately meet the requirements of the Convention. The crucial advantage over the more formal methods of comparison of law is that the functional approach goes beyond comparing individual institutions. Even if it is a challenging methodology, it is especially well suited for the purposes of peer review evaluation envisaged by the OECD anti bribery system. M. Pieth, OECD International Commentary on the Convention, December 2004, p. 24. 3

The Bangalore Principles on Judicial Integrity have sound potential for development cooperation, possessing as they do the capacity to be transferred 1:1 to Technical Cooperation (TC) projects in the field of law and justice, as is now being considered or even executed in Ghana, Tanzania, Peru and Paraguay, for example. We are expecting corresponding proposals for pilot-scale activities for the UNCAC. Initiatives of this kind, that are to start up in Africa as part of the East African Judiciary Working Group or Economic Community of West African States (ECOWAS) for example, directly promote implementation of UNCAC Art. 11. On top of this, they also make a statement in terms of integrity standards in public administration. 2. Guide Book on the Prevention and Combating of Corrupt Activities Act 2004, South Africa (Chapter II, Art. 14 and Chapter III, Criminal Law, Art. 15 24) Partner: National Anti-Corruption Forum in cooperation with Public Sector Anti- Corruption Section, Dept. of Public Service and Administration; Support by GTZ (PN 2002.2451.9), Public Service Reform, South Africa Proposal: August 2005 Term: October through to December 2005 with follow-up through to May 2006 www.nacf.org.za/guide-prevention-combating-corrupt-activities/index.html Objective: To elaborate a user-friendly guide book on the Prevention and Combating of Corrupt Activities Act 2004 for the public and private sector as well as for organisations within civil society. The brochure targets broad-scale awareness-raising and PR work, with the objective of promoting the prevention of corruption, and here in particular anti-corrupt behaviour, whilst making the UNCAC and pertinent national legislation better known. It is also to be used for further training measures. Ultimately, the guide book is also to support activities by the National Anti-corruption Forum and state bodies. Result: The book has since been completed and some 15,000 copies have been published. During a fact-finding trip undertaken by a South African delegation of the Public Service Commission to Germany on the theme of conflicts of interest and the elaboration of a management system (in line with the recommendations given in the OECD Guidelines on Managing Conflicts of Interest), the pilot measure was praised for helping advance UNCAC implementation. By way of an addition, the theme of conflicts of interest has been included as well. Evaluation: Employing a low level of funds, the project contributes to the broad-scale communication of information on corruption prevention, to the implementation of integrity standards and the promotion of civil rights. Chapter II of the UN Convention, Prevention, is at the heart of activities. Other aspects looked at include criminal acts such as bribery and money laundering (Chapter II, Prevention Art. 14 and Chapter III, Criminal Prosecution, Art. 15-24) 3. Supporting the UNCAC und Organization of American States (OAS) Convention Implementation of the Results of the Report Card Survey in Central American Countries (Chapter II, Art. 7-10, 12, 13) Partner: Transparency International in cooperation with National Chapters from ten Central American countries Proposal: September 2005 Term: November 2005 with follow-up through to December 2006 www.transparency.org/regional_pages/americas/convenciones/informe_de_cumplimiento www.transparency.org/news_room/in_focus/2006/procurement_americas/espanol Objective: To conceptualise and present the results of national TI initiatives targeting the monitoring of administrative procedures and participation in public orders in the public and private sectors in keeping with the criteria of participation, transparency, responsibility and access 4

to information. The Report Card Surveys measure and evaluate the level of integrity in public administration along with private-sector conduct in the following priority areas: public procurement and private-sector participation, declaration of assets by incumbent officials, participation of civil society, access to information and witness protection. On the occasion of the international TI conference in Berlin from 11 through to 13 November 2005, the results of the Report Card Surveys were discussed and debated on 11 November within the scope of a workshop attended by representatives of TI s ten National Chapters. The discussion process focused on good practices as results of the Report Card Surveys and as inputs for monitoring implementation of the two conventions. Result: The workshop was implemented. The results of the Report Card Surveys shed light on the level of integrity in the three areas referred to, whereby in terms of future work the following points are of importance: The survey results are more positive than the Corruption Perception Index (CPI) for individual countries. This highlights the fact that specific surveys geared to direct information, i.e. monitoring of transparency and a broad-scale discussion of this, lead to more specific results and to a different perception. It would appear that the process of detailing those aspects that constitute integrity in a national and regional context can be more readily incorporated into the reform agenda. This applies in particular to tender procedures for construction and procurement measures. Above all, the results make it clear that comprehensive and clear regulations do exist at the level of laws, regulations and participation. In contrast, hands-on implementation in the various countries leaves a lot to be desired, although this too can be deemed as transparent and in line with the corresponding provisions. A lack of transparency is evident in the countryspecific information deficits that have been identified and in the barriers blocking access to information about the entire process of planning, programming, budgeting and monitoring of state infrastructure projects and public procurement activities. Furthermore, there are too many gaps and too much scope for discretion in the application of procedures, a situation that promotes a lack of transparency and potential for corruption. Evaluation: The results of the national Report Card Surveys will flow into further TI work and in particular into the dialogue with the state and private sector. They will be exploited for the purpose of DC. Furthermore, they are intended to help promote the alignment of national legislation as well as hands-on implementation and review procedures. Given the complexity of the surveys and the problems experienced in accessing information, we are working on the assumption that the Report Card Survey method, which produces realistic information accepted by all actors involved, will be expanded on. The political will to harness the results for reforms stands and falls with the active distribution of high-quality information, its PReffective dissemination and the active participation of all relevant institutions from the state sector, industry, academia and civil society. 4. Disseminating the UNCAC and Compliance Review in Colombia (Chapter II, Chapter III) Partner: Colombian President s Anti-corruption Programme; Transparency International Colombia; Support by GTZ project (PN 2002.2159.8) Decentralisation and Local Development for Peace Proposal: October 2005 Term: December 2005 with follow-up through to May 2006 http://www.u4.no/projects/pdocview.cfm?id=1406 Objective: To make the UNCAC known on a wider scale in administration, industry and civil society, thereby generating impetus for the process of ratification and implementation. Further- 5

more, ongoing Colombian anti-corruption laws are to be compared with the UNCAC, taking account of the experience gained with the Inter-American Convention against Corruption. The preliminary results were presented on International Anti-corruption Day, 9 December 2005. Result: The UNCAC lobbying initiatives were completed in cooperation with TI Colombia with the presentation and wider-scale dissemination of a Spanish-language version of the UNCAC. The comparison of UNCAC provisions with the current legal status in Colombia has also been completed and the result presented at the annual meeting of the Colombian TI Chapter. This work is to be published in a UNODC-financed anthology on themes relating to prosecution in Latin America. Evaluation: Dissemination of information on the UNCAC, especially in terms of what its implementation would mean, serves to inform the institutions and decision-makers involved but also the public at large. Thus with low outlay, an initial contribution to the Compliance Review with UNCAC statutory provisions has been made. Publication of this good practice means that UNODC and participating DC agencies focus their attention on the process and result. This work has been included in a study conducted by the UNCAC project which aimed to compare UNCAC implementation in Indonesia, Cameroon, Colombia and Germany. 5. Compliance Review / Gap Analysis in Indonesia (Comparative Study of National Anti-Corruption Legislation and Institutional Mechanisms; Chapters I and II, Art. 5, 6, Chapters III - V) Partner: National Anti-corruption Authority (KPK), Partnership for Governance Reform (national NGO with CIM consultancy), EU and UNDP, Basel Institute on Governance, Promotion by GTZ project (PN 2002.2579.7), Support for Good Governance (SfGG) Proposal: October 2005 Term: February through to November 2006 www.kpk.go.id/modules/wmpdownloads/index.php www.baselgovernance.org/publications/commissioned-work/ www.u4.no/projects/project.cfm?id=688 Objective: To conduct a Compliance Review / Gap Analysis to identify gaps in UNCAC implementation at the legislative and practical level. The initiative is related to ongoing Indonesian anti-corruption initiatives being promoted by multilateral and bilateral donors too. The results of the Compliance Review / Gap Analysis are intended to promote national legislative processes, especially the hands-on implementation of measures targeting prevention and combating of corruption at the national and regional level. Result: In January and February 2006 talks were completed on the contents and approach for working through the detailed terms of reference put forward by the Partnership for Governance Reform and KPK. A road map and a joint team approach were agreed upon. On the Indonesian side, the team is made up of experts from KPK and the Partnership, headed by the Indonesian chief negotiator on the UNCAC. GTZ commissioned the Basel Institute on Governance headed by Supervisory Board Chairman, Prof. Mark Pieth, who is also Chairman of the OECD Working Group on Bribery in International Business Transactions 3, to support the Indonesian team. The core issues at stake here are the legal and procedural consequences of the Compliance Review which also stretch to the context of technical cooperation (TC) geared to direct corruption control. 3 Working Group of the OECD-Convention on Combating Bribery of Foreign Public Officials. Prof. Pieth is one of the best known international anti-corruption monitoring experts. He was a leading member of the Independent Inquiry Commission into the Iraq Oil-for-Food Programme on the UN and is Facilitator of the Wolfsberg AML Banking Initiative. 6

Work inputs resulted in an overview of all relevant Indonesian laws and regulations in the form of an UNCAC-compatible matrix. The Indonesian regulations were then assessed in terms of their compliance. Finally, recommendations were given on further implementation, with a special focus on the practical aspects of corruption control. To this end, a procedure was chosen that involved all relevant stakeholders and which fitted into the context of ongoing governance reforms in Indonesia. In the meantime, Indonesia has now set up nine internal working groups to implement various areas identified; these are now actively involved in executing the recommendations. Evaluation: Supplementing the Colombian initiative, this measure is the first comprehensive, national Compliance Review with binding UNCAC provisions and one that can help set the agenda for the process of implementation, including monitoring issues. Hands-on cooperation has brought to light two fields of interest: KPK has a strong interest in clear and well-defined national provisions for preventing and combating corruption, as this could strengthen its own position. For KPK, the benefits of the initiative are located at the national and regional level, whereby practical work is at the fore. The head of the Indonesian team is more interested in aspects relating to international criminal prosecution, in particular international cooperation and the compliance-driven, concrete steps concerning the recovery of misappropriated and corruptly acquired assets that have been moved abroad. The two positions do not necessarily contradict each other, but they do underline differing fields of interest: on the one hand we have prevention and the active fight against corruption in Indonesia (KPK), and on the other a focus on recovering illegally acquired assets (asset recovery), i.e. the confiscation of accounts as well as the securing of misappropriated money in financial havens such as Singapore, the Bahamas or the Channel Islands. The latter may distract from the urgent problems that corruption is causing in Indonesia. On the other hand, the many largescale cases of corruption involving substantial figures in their millions call for intensive international cooperation, as provided for by the UNCAC. The Indonesian Compliance Review / Gap Analysis has, by virtue of its status as a good practice, set standards in the international discussion, both because of its simply structured approach and because of the intensive dialogue process, which was ultimately responsible for its further application in the implementation of the recommendations. It has been possible to disseminate the work widely. At the first conference of UNCAC States Parties (December 2006 in Jordan), the Compliance Review met with praise. Other countries have since followed suit and employed this approach to review compliance of their own national rules with UNCAC. 6. CRINIS Index for measuring the transparency of party financing and election and campaign financing / political corruption (Chapter II, Art. 7, 10, 13, Chapter III, 23, 24) Partner: Transparency International (TI), The Carter Centre Proposal: February 2007 Term: through to end-2008 http://www.transparency.org/regional_pages/americas/crinis Objective: To measure the level of transparency in political campaign and party financing and thus strengthen public trust in democratic institutions and reforms. Result: By analysing the legal framework and political practices in detail, Crinis has developed an index for measuring the transparency of campaign and party financing. Crinis examines both election campaign periods as well as legislation periods. The Crinis Index is used for awareness-raising work and for advocacy and makes for comparisons between existing legal framework conditions and ongoing practices. It also detects the respective strengths and weaknesses in the countries concerned and facilitates comparisons between various nations. In 2006, the Index was used in eight Latin American countries: Argentina, Colombia, Costa Rica, Guate- 7

mala, Nicaragua, Panama, Paraguay and Peru, whereby the various reform needs became clear, specifically: Citizens do not have adequate access to information Candidates fail to disclose information about the funds they raise Casting an informed vote is difficult Private donations remain hidden Reports submitted are not reliable Government oversight is ineffective In July 2007, TI tabled the Index and results of the country studies for debate at a Berlin conference, with a view to discussing the Index s transferability to other regions, in particular through National Chapters, as well as to evaluating the methodology behind it. Evaluation: Crinis is an additional procedure for measuring corruption and transparency that is intended to supplement the Corruption Perception Index (CPI). Pilot runs are to be initiated in African and Asian countries in which reforms of representative systems have started and the Index is to be included in debates about procedures for measuring corruption. The decisive factor here is the use made of results for political dialogue at various levels. 7. Further training for members of staff at the Indonesian Anti-Corruption Authority (KPK) with regard to the recovery of stolen assets (Chapter V) Partner: Indonesian Anti-Corruption Authority (KPK), International Centre on Asset Recovery (ICAR) at the Basel Institute on Governance Proposal: February 2007 Term: June through to November 2007 with follow-up in 2008 www. forthcoming Objective: To transfer the additional know-how the KPK needs for assessment and investigative work as well as for international cooperation leading to the recovery of stolen assets (asset recovery) in keeping with the needs determined within the scope of the Compliance Review / Gap Analysis. The measure aims to communicate practical techniques and methods to twentyfive KPK investigators and public prosecutors, as well as to the Attorney General, thus enabling them to pursue, confiscate and return stolen assets. The seminar focuses on five cases (two international and three complex Indonesian ones). A scheduled follow-up session will support the KPK in clarifying practical issues pertaining to international cooperation with for instance public prosecution services in the UK or Singapore. Result: Through this training measure and a scheduled coaching input, Indonesia s KPK will be in a position to successfully process asset recovery in cases that have accrued, e.g. in locating and recovering many millions of euros from money embezzled by the Suharto clan. The KPK will acquire practical know-how through on-the-job training. Evaluation: Cooperation with the International Asset Recovery Centre based at the Basel Institute on Governance that collaborates with UNODC and INTERPOL will motivate other partner countries to actively deal with this theme. The cooperation anticipated with international partner institutions with regard to activating stolen money (in particular from Switzerland, Liechtenstein, Great Britain, USA and Singapore) means that the theme of asset recovery will stand out in the further implementation of agreements from the First Conference of States Parties. The pilot measure will lead to a series of good practices and will contribute to preparations by the Indonesian KPK for the second UNCAC Conference of States Parties scheduled to be held in Indonesia in February 2008. 8

8. Regional Seminar on Asset Recovery and Mutual Legal Assistance for countries ADB/OECD Anti-Corruption Initiative for Asia and the Pacific (Chapter IV Chapter V) Partner: Indonesian Anti-Corruption Authority (KPK), ADB/OECD Anti-Corruption Initiative for Asia and Pacific and the Basel Institute on Governance, UNODC, Proposal: November 2005 Term: September 2007 www.kpk.go.id www.oecd.org/pages/0,3417,en_34982156_34982385_1_1_1_1_1,00.html Objective: This regional seminar serves two objectives: it places the theme of asset recovery in the spotlight of the ADB/OECD Anti-Corruption Initiative for Asia and Pacific for the years 2007 and 2008 and is a follow-on activity to the Indonesian UNCAC Compliance Review. The seminar is an initial step towards sensitisation, the build-up of know-how and promotion of regional and international exchanges of experience. As such, it serves both to implement UNCAC provisions on prevention and repression, whilst promoting international cooperation on asset recovery. Result: The seminar is being implemented by the Indonesian government (KPK) with sectoral backstopping from the Basel Institute on Governance and the Secretariat of the ADB/OECD Anti-Corruption Initiative for Asia-Pacific. Other partners include UNODC, the Asia-Pacific Economic Cooperation Anti-Corruption Taskforce (APEC ACT), as well as the OECD anti-corruption division. Over the course of several sessions, the seminar will look at formal and informal procedures for accessing international legal assistance and will address state-of-the-art techniques for tracking, freezing, confiscating and returning of stolen assets from key financial centres in Asia and the OECD region. Three practical examples (from Nigeria, Peru and the Philippines) serve to communicate the subject s complexity and promote hands-on implementation. Evaluation: The seminar fosters capacity building. Decisive factors for successful asset recovery include awareness-raising, specific know-how and political dialogue between those involved. With this seminar, Indonesia s KPK is contributing to preparations for the second UNCAC Conference of States Parties scheduled to be held in Indonesia in February 2008. 9. Support for the ADB/OECD Anti-Corruption Initiative for Asia and the Pacific: Financial contribution to the work programme 2007 and 2008 (Chapter II Chapter V; Chapter VI) Partner: Secretariat of the ADB/OECD Anti-Corruption Initiative for Asia and Pacific Proposal: June 2007 Term: December 2008 www.oecd.org/pages/0,3417,en_34982156_34982385_1_1_1_1_1,00.html Objective: A subsidy for the work of the ADB/OECD Anti-Corruption Initiative for Asia and the Pacific supports the work of the secretariat geared explicitly to the UNCAC in the period 2007 and 2008. This measure closes a gap in communication and cooperation between the DAC Govnet Anti-Corruption Task Team and the Anti-Corruption Division of the OECD where the OECD Anti-Bribery Convention is located, as it is the secretariat of the initiative. Result: Support for the Asia-Pacific Initiative helps foster regional cooperation in corruption control, in particular implementation of the OECD convention against bribery of foreign officials in international business transactions and, on top of this, helps advance implementation of UNCAC provisions. All of this takes place through capacity development and the targeted support of national initiatives, inter alia needs-related networking to prevent cross-frontier money laundering, together with policy formulation and implementation and mutual monitoring. In spite of a convention-driven framework for action, countries involved set their own priorities in the implementation strategies, thus demonstrating/proving their ownership. 9

Evaluation: Extending the networking should help to mainstream the theme of corruption control in the Asia-Pacific region more strongly within DC and, in particular, within our work. The processes and results of the ADB/OECD Anti-Corruption Initiative for Asia and the Pacific are to flow into the work of the Asia sector network on governance. Moreover, they are to be purposely integrated into the work surrounding UNCAC compliance. In particular, this means that the UNCAC has to be communicated in German DC projects, thereby highlighting the advantages of our work thanks to our direct cooperation with partner institutions. It will be necessary to introduce the measure to the regional departments, country directors and programme managers, as well as to officers responsible for contracts and cooperation involved in governance projects, and to the experts for economic cooperation in the embassies. 10. Survey on NGO Participation in Anti-corruption in Jordan, Morocco, Bahrain (Chapter II, Art. 13) Partner: The Jordanian Transparency Forum (JTF), Arab Archives Institute Proposal: September 2006 Term: August 2007 www.alarcheef.com www.gtz.de www.u4.no Objective: To survey the role civil society plays in the fight against corruption in Jordan, Bahrain and Morocco, whereby the results are applied nationally, regionally and for the Conference of States Parties to the UN Convention against Corruption. Furthermore, the process-oriented work also aims to promote dialogue in Arab countries. Indicators: Provision of the outputs agreed with JTF Submission of three country studies in English and Arabic Submission of a summary of the three country studies in English and Arabic Presentation of the study results at the NGO forum at the COSP Result: Although originally scheduled for the first COSP, it was not possible to finish and standardise the three sub-studies until the first half of 2007. In August 2007 the book on anti-corruption activities by governments and non-governmental organisations in the Arab world, including case studies from Jordan, Bahrain and Morocco, will be presented. The focus here is on the particular difficulties NGOs have in the region and on proposals for improving dialogue and activating forces within civil society. Evaluation: Through civil-society participation, work has advanced the theme of corruption control in Arab countries. The legislative, administrative and cultural aspects presented promote understanding of the respective situation. The discussion concerning the antagonistic tendencies between state institutions and civil society organisations highlights the importance of strengthening forces within civil society when combating corruption. 11. Anti-corruption Policy-making in Practice What can we learn for the Implementation of UNCAC? (Chapter II, Art. 5, Chapter VI, Art. 62) Partner: U4 Anti-Corruption Resource Centre and U4 Partnership Proposal: March 2007 Term: February 2008 with follow-up in 2008 www.u4.no/ www.gtz.de 10

Objective: Article 5 of the UNCAC fosters the creation of national anti-corruption strategies (mandatory provision). An increasing need for consultancy and support in the elaboration of policy recommendations is to be expected, both for governments and DC organisations, with regard to the ways in which Article 5 preventive anti-corruption policies and practices can be implemented. The U4 study examines how states implement these provisions and compares national processes leading to the emergence and design of national anti-corruption policies in selected countries (Georgia, Indonesia, Nicaragua, Pakistan, Tanzania, and Zambia). The study relates the processes to priorities of international development cooperation. Result: An initial sub-study was presented at the end of May at the follow-up conference to the December 2006 Conference of States Parties in Montevideo, Uruguay. The study was finalised in November 2007 and presented to the Federal German Ministry for Economic Cooperation and Development (BMZ) in October and to the OECD-DAC Govnet s Anti-Corruption Task Team (ACTT) in November 2007. The study met great interest at both occasions. Follow-up dialogue will generate ideas on how lessons learned and the recommendations for activating Chapter VI of the UNCAC can be disseminated aiming at encouraging focused support. Evaluation: The U4 study takes a close look at national ownership, and content and priorities of national anti-corruption strategies, their implementation, coordination and monitoring as well as at the role of the international community. The study provides concrete recommendations on how anti-corruption policies can be supported more effectively. 12. International Anti-corruption Workshop on Technical Assistance for Implementation of the United Nations Convention against Corruption Conference of States Parties (COSP) Resolution 1/6 in Montevideo, Uruguay, 30 May through to 1 June 2007 (Chapter VI) Partner: UN Office on Drugs and Crime, Secretary to UNCAC (UNODC), partner countries, development agencies, anti-corruption experts Proposal: March 2007 Term: May/June 2007 http://www.unodc.org/pdf/crime/convention_corruption/cosp/wgs/wg3/v0786903e.pdf Objective: To conduct a workshop based on Resolution 1/6, which was adopted at the first Conference of States Parties and recommended a meeting between practitioners and experts from the legal and development-policy context of multi-lateral and bilateral donor and recipient countries (Norwegian proposal). The objective of this event in the run-up to the COSP Working Group on Technical Assistance 4 scheduled to convene in October 2007 was to generate a joint understanding and to filter out best practices along with possibilities for coordination. Result: The convention project attended by invitation of UNODC and presented examples of UNCAC implementation by German DC in cooperation with partner countries. In a narrower sense, this active participation has had a direct impact on the project s work and, in a wider sense, on DC as a whole (UNCAC as an instrument for mainstreaming anti-corruption). The workshop clearly showed that UNCAC should be employed as a mainstreaming instrument for DC. A German input to the work by the Working Group on Technical Assistance communicates the experience gained by the UNCAC project in an international context. Evaluation: One of the objectives of the workshop to reach a joint understanding was only achievable in part. Many participants were able to obtain a clear picture of development-policy correlations, frameworks and ongoing initiatives and structures. However, this was at the expense of a forward-looking discussion, generating the impression that the differing views of good governance, Technical Assistance etc. and the fear some recipient countries have of do- 4 The Working Group on Technical Assistance is one of three working groups set up as a result of the First Conference of States Parties (more are scheduled for the Review of Implementation and Asset Recovery), which are directly intended to advance preparations for the second Conference of States Parties scheduled for January 2008. 11

nor-steered programmes are based on a series of misunderstandings and/or a marked lack of knowledge about the background to DC. 13. DANIDA Business Anti-corruption Portal Partner: DANIDA (lead agency) with co-funding from United Kingdom, Germany (GTZ) Netherlands, Norway and Sweden Proposal: 2006 Term: 2007 2010 www.business-anti-corruption.com Objective: The internet portal is a business anti-corruption initiative, in fact a public-privatepartnership approach, designed to give small- and medium-sized enterprises access without payment to tools and information for use in the fight against corruption during the preparation and implementation of business activities and investments in developing and emerging economies. The portal, which works as a network supports specific tools enabling companies to assess corruption risks and prepare for dialogue with national partner companies. The portal is further expected to make a total of 50 country profiles available, updated semi-annually, annually, or as necessitated by major changes or developments in the context of the country profiled. The choice of countries to be profiled and the normal frequency for updating will be determined by a steering group of donors, to be established and chaired by Danish Ministry of Foreign Affairs. Result: There is an acute need for SMEs working in the developing world to develop their own contact network where they can seek out additional knowledge, exchange experiences and obtain help. The SME anti-corruption network will be updated regularly. Local embassies, chambers of commerce, civil society organisations and other relevant organisations will also be recruited into the network. Evaluation: Forthcoming according to the business plan. II. Groundwork Inputs for GTZ Projects 14. Anti-corruption Clearing House in the Indonesian Corruption Eradication Commission, KPK (Chapter II, Art. 6, 13, Chapter III, Art. 36) Partner: Anti-Corruption Clearing House in the Indonesian National Anti-Corruption Commission (KPK), Support for Good Governance Project, (PN 2005.2201.1) Proposal: April 2005 Term: November 2006 through to December 2009 http://www.u4.no/projects/pdocview.cfm?id=1378 www.kpk.goi.id Objective: To meet its statutory mandate in terms of the repression and prevention of corruption, the KPK has to consolidate its internal structures and procedures and improve and expand its cooperation and communication with other governmental and non-governmental actors. German TC is helping the KPK set up an information and communication platform (Anti-corruption Clearing House). The objective was to conduct a project review. Result: An appraisal mission for the new project Anti-corruption Clearing House agreed on at the 2005 government negotiations took place from 15 May through to 05 June 2006 under the management of the UNCAC cooperative project, resulting in an agreement on three TC measures: i) staff training to evaluate anti-corruption initiatives, disseminate good practices and strengthen communication with civil society; ii) introduction of a knowledge management system 12

to improve the compilation, analysis, processing and dissemination of information and strengthen horizontal and vertical communication; iii) launch of a quality management system along with corresponding staff training. Evaluation: The Anti-corruption Clearing House is the Commission s information and documentation centre and is thus located at the interface of repression and prevention. The objective is to establish systematic documentation with a view to analysing the causes and impacts of corruption in Indonesia. The Clearing House serves the purpose of networking and PR work by the KPK, whilst concomitantly generating informed policy recommendations on corruption prevention for the Indonesian government. 15. Launch of the Business Keeper Management System (BKMS) in the Kenyan Anti-Corruption Authority, KACC (Chapter II, Art. 6, Chapter III, Art. 33) Partner: Kenyan Anti-Corruption Commission (KACC), GTZ project Support of Good Governance (PN 2003.2022.6) Proposal: Start 2006 Term: September 2006 through to December 2008 www.kacc.go.ke Objective: Initiating and harnessing tips leading to the exposure of corruption (whistle blowing) is one of the greatest challenges in the work performed by anti-corruption authorities. The objective here is to support KACC in the introduction of an automated and anonymous communication system for informants. Result: Via the UNCAC cooperative project, GTZ s Kenya-based Good Governance Support Programme suggested to KACC that it employs the Business Keeper Monitoring System (BMKS) as used by the state office of criminal investigation (LKA) in the federal German state of Lower Saxony (Niedersachsen). KACC subsequently launched this web-based system in October 2006, allowing it to establish secure and anonymous contacts with whistleblowers. Only six months after it had been introduced, some 500 reports had been sent via the system. An average of 67 percent of the informants used an anonymous post box to communicate with KACC. 44 per cent of the reports were in KACC s field of responsibility (in contrast to 20 per cent of the reports transmitted via other channels) and 89 per cent of these were classified as relevant. Evaluation: During the introduction phase, the BKMS system already generated numerous leads concerning large and expansive cases of corruption requiring further investigation or even legal action in the courts. In the meantime the system is now fully operational and integrated within KACC s communication system as well as those of various partner authorities. Since June 2007 the system has been financed in full by the KACC. It is expected that the experience gained will foster the debate about information-gathering and the protection of informants, as provided for in UNCAC. This measure will result in a good practice. 16. Supporting the Anti-corruption Commission in Sierra Leone, (Chapter II, Art. 6, 13) Partner: Anti-Corruption Commission and Ministry of Education, Sierra Leone, GTZ project Support for the Anti-corruption Commission (PN 2003.2238.8) Proposal: July 2005 Term: October 2005 through to April 2008 www. forthcoming Objective: The GTZ-backed project supports the PR department of the Anti-corruption Commission (ACC) in implementing the anti-corruption strategy within the PR sector. This is done 13

through media campaigns and through the elaboration of teaching materials for school students. Since they account for a large proportion of the population, and given their special role in postwar society, young people constitute the project target group. Result: The UNCAC sector project has provided decisive support to this measure, helping it to prepare offers and implement activities, whereby the focus was on the elaboration of teaching materials for the school year curriculum 2007 in collaboration with the Ministry of Education. On top of this, radio and TV spots concerning the Commission s work were put together and broadcast, whilst Integrity Clubs were promoted at secondary-level schools. Evaluation: Education offers a valuable starting point for corruption control in a fragile post-war country. With its focus is on traditional values, fairness and justice and opportunities in life, the project closes a gap here. 17. Corruption control within the Framework of the Afghan Development Strategy (ANDS) Partner: GTZ Office Kabul, UNDP, ANDS Secretary Proposal: December 2005 Term: Expert inputs January 2006 through to March 2007 www. not established Objective: To provide anti-corruption inputs as a cross-cutting theme in the implementation of a national development strategy (ANDS) and to accentuate the profile of German DC in the promotion of good governance. Result: The pilot measure has identified openings for prevention measures in ANDS implementation and has incorporated these into the dialogue process between Afghan institutions and the donor community, also with an eye to German DC. Based on UNCAC provisions (Afghanistan signed the Convention in February 2004) and the OECD-DAC principles for joint donor action in anti-corruption, proposals have been put forward concerning an action plan, including a Log Frame, inter alia concerning standards for maintaining transparency, responsibility and reliability and for assessing risks of corruption in the development process. Furthermore, two training measures have been implemented in cooperation with the U4 Anti-Corruption Resource Centre for experts working in DC organisations on site and for Afghan institutions (civil society, media, university). The Bangalore Principles for Judicial Conduct could be propagated as standards for judicial integrity in the BMZ-financed TC project on legal consultancy. Evaluation: The expert s proposals and the dialogue on site have identified and communicated points of approach for mainstreaming the theme of corruption control within TC in the form of promotion for transparent government action, based also on the possibilities offered in hands-on DC. The overall critical framework conditions in Afghanistan as well as the coordination problems on the donor side and vis-à-vis Afghan institutions have prevented active implementation of the proposals. 18. Bilateral Government Negotiations Madagascar Partner: Ministry of Planning, GTZ Office Madagascar Proposal: Dialogue 2005 2006 Term: Government negotiations April 2007 www. not established Objective: To support corruption control in the field of natural resource management. Result: The UNCAC cooperative project assisted the GTZ Office in Madagascar in the preparations for the government negotiations so as to establish the theme on site. The possibility of 14

support for UNCAC implementation was documented in the record of the government negotiations. Evaluation: Corruption control is included in policy dialogue; accentuating the DC profile. 19. Project Progress Review on the Subject of Corruption Control within the Good Governance Programme in Ghana (Chapter II, Art. 6, Art. 13, Chapter III, Art. 36) Partner: GTZ Programme Good Governance in Ghana (PN 2001.2451.), Serious Fraud Office (SFO), Ghana Anti-Corruption Commission (GACC), Commission on Human Rights and Administrative Justice (CHRAJ) Proposal: Dialogue 2005 2006 Term: March 2006 www. forthcoming Objective: On the one hand, to advise on mainstreaming anti-corruption strategies in German DC in Ghana and, more specifically, to advise on the project s own explicit anti-corruption inputs, in particular with regard to supporting Ghana in UNCAC implementation. On the other hand, the project progress review (PPR) also served to promote the UNCAC project, by feeding back experience from concrete project work. Result: The PPR visited state and non-governmental partner institutions and took part in a GACC workshop. It became apparent that anti-corruption measures have a high standing in political discussion in Ghana. Corruption control is referred to in Ghana s PRSP (Growth and Poverty Reduction Strategy Paper, GRSP), in the APRM report on Ghana and in the Multi Donor Buget Suppot Triggers. Furthermore, Ghana has signed the AU Convention against Corruption and ratified the UNCAC. Nonetheless, the political will to see through implementation is weak and key authorities such as the SFO and CHRAJ are not adequately equipped for the task at hand. The interest shown by the private sector and civil society is also slight. Evaluation: Corruption control is a cross-cutting theme within DC with Ghana and intensive inputs are being rendered to build up the institutional capacity within partner structures. The link to UNCAC is evident. Participation, project reviews and evaluations are valuable for internal cooperation, in particular for knowledge transfer and building up know-how. 20. Multi-Donor Governance and Anti-Corruption Mission to Cameroon (Chapter VI, Art. 62) Partner: OECD, World Bank, CIDA, MSI/USAID, Ministry of Foreign Affairs Netherlands, DFID, Ministry of Foreign Affairs France, GTZ Proposal: April 2006 Term: 15 23 July 2006 http://www.oecd.org/dataoecd/40/51/37687235.pdf Objective: The mission objective was to make a preliminary assessment of the situation with regard to governance and corruption (control) in Cameroon and to suggest further joint steps to the donors detailing how corruption could be analysed and combated more strongly in the country, involving all stakeholders. The international make-up of this mission was new and expressed the donors will to elect a coordinated approach. The approach is in line with DAC principles on Joint Donor Action in Anti Corruption, and relates to the corresponding agreements of the Paris Declaration and the UN Convention against Corruption, as well as the OECD Convention on Combating Bribery of Foreign Public Officials. 15