German UNCAC Project Pilot Activities by sdfgsg234

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									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 Corrup-
tion (UNCAC) through German development cooperation are strategically oriented. Hands-on
initiatives show how UNCAC provisions can be implemented, how this works in process-
oriented terms, and what long-term benefits this generates for the partner countries and inter-
national 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 na-
tional 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 ob-
jective of the German UNCAC Project, namely to support selected partner countries in the im-
plementation 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 re-
gional 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 6th meeting of the Judi-
              cial 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 de-
velopment 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 inter-
nationally. 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 4th 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 In-
tegrity. They were then debated at the 16th 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 Princi-
ples on Judicial Integrity and the Principles of Conduct for Judicial Personnel by the end of Oc-
tober 2006, followed by their submission to the international community of states for assess-
ment. 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 6th 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 inter-
ested governments at the 16th and 17th 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 func-
tion 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 com-
mentaries.




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 coopera-
tion, 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 pi-
lot-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 fur-
ther 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 Com-
mission 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 communi-
cation 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 ac-
tivities. 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 – Im-
plementation 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 Cen-
             tral 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 pri-
vate 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 indi-
   vidual 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 pro-
   curement 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 vari-
   ous 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 country-
   specific 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 pur-
pose 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 PR-
effective 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 ac-
count of the experience gained with the Inter-American Convention against Corruption. The pre-
liminary 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 imple-
mentation 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 Govern-
             ance, 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 imple-
mentation 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 con-
trol.

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 spe-
cial 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 recom-
mendations.

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 crimi-
   nal 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 Indo-
nesia (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 large-
scale cases of corruption involving substantial figures in their millions call for intensive inter-
national cooperation, as provided for by the UNCAC.

The Indonesian Compliance Review / Gap Analysis has, by virtue of its status as a good prac-
tice, set standards in the international discussion, both because of its simply structured ap-
proach 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 dis-
seminate 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 aware-
ness-raising work and for advocacy and makes for comparisons between existing legal frame-
work 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 con-
ference, 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 Re-
              covery (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 investiga-
tive 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 twenty-
five 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 In-
stitute 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 Indo-
nesian KPK for the second UNCAC Conference of States Parties scheduled to be held in Indo-
nesia 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 semi-
nar 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 pro-
visions on prevention and repression, whilst promoting international cooperation on asset re-
covery.

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 Eco-
nomic 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 pro-
cedures 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 re-
covery include awareness-raising, specific know-how and political dialogue between those in-
volved. 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 con-
trol 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 intro-
duce 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, Bah-
rain 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 stan-
dardise the three sub-studies until the first half of 2007. In August 2007 the book on anti-cor-
ruption activities by governments and non-governmental organisations in the Arab world, in-
cluding 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 strate-
gies (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 communi-
cates 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 ex-
pense 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-private-
partnership 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 econo-
mies. 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, annu-
ally, 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 Af-
fairs.

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 ob-
tain help. The SME anti-corruption network will be updated regularly. Local embassies, cham-
bers of commerce, civil society organisations and other relevant organisations will also be re-
cruited 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 cor-
ruption, the KPK has to consolidate its internal structures and procedures and improve and ex-
pand 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-cor-
ruption 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 docu-
mentation 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 pre-
vention 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 Gov-
            ernance (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 ob-
jective here is to support KACC in the introduction of an automated and anonymous communi-
cation 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 Octo-
ber 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 Com-
mission (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 post-
war 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 broad-
cast, 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 pro-
motion of good governance.

Result: The pilot measure has identified openings for prevention measures in ANDS imple-
mentation 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 (Af-
ghanistan signed the Convention in February 2004) and the OECD-DAC principles for joint do-
nor action in anti-corruption, proposals have been put forward concerning an action plan, in-
cluding a Log Frame, inter alia concerning standards for maintaining transparency, responsi-
bility and reliability and for assessing risks of corruption in the development process. Further-
more, 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 prob-
lems 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 prepara-
tions 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 negotia-
tions.

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 Gov-
ernance 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 in-
puts, 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 ex-
pressed the donors’ will to elect a coordinated approach. The approach is in line with DAC prin-
ciples 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 Conven-
tion on Combating Bribery of Foreign Public Officials.




                                                                                                 15
Result: The mission took place in Cameroon from 17 to 22 July 2006 at the invitation of the
Cameroon government and the 8+6 5 donor group in Yaoundé (Canada, Japan and the USA, as
well as representatives of the World Bank, IMF and UNDP). The mission succeeded in making a
joint evaluation of the situation in Cameroon and joint recommendations for further action. The
support provided by the GTZ Office in Cameroon was extremely helpful.

Evaluation: As one of the first of its kind, the joint mission showed the donor’s will to cooperate
more intensively both internationally and within Cameroon in the field of corruption control. The
mission also addressed the applicability of the DAC Anti-Corruption Principles. This is a positive
sign for the future. In spite of the brief time frame and the relatively large number of participants,
a number of logical recommendations have been made for future work. The mission constituted
a valuable first step which, on the other hand, could only provide a brief snapshot of
Cameroonian reality. If the donor community wishes to combat corruption and bad governance
effectively, further steps are necessary and the donor side will have to provide proof of its com-
mitment. The country representatives in the 8+6 group succeeded in creating an effective plat-
form for the short term here, but action must follow. At the TC level, various types of co-
operation are already ongoing with other DC agencies and donors. However, there is cause and
potential for more.

In certain sub-areas, German TC is helping to promote transparency and legal security and to
combat corruption. This includes, for example, GTZ’s decentralisation programme which is
helping civil society in the field of budget control. It also includes easier access to legal sources
and improved law enforcement in the forestry sector, also supported by a GTZ programme, and
the academic works on corruption and democracy in Cameroon that the Friedrich-Ebert Foun-
dation (FES) has supported in the past. Approaches such as these should definitely be
strengthened and expanded to other areas in which German TC already operates (e.g. health).
The BMZ’s country concept 2004 for example states that: “The problem of corruption which
affects all areas of DC should also be tackled through concrete consultancy and increased
awareness-raising in ongoing projects in all sectors” (p. 12). This would mean active prevention,
with consequences for improvement of governance standards. However, it does not necessarily
have to be understood as referring to corruption directly. More important is the orientation of
governance to strategic aspects, such as legal security, access to information and to financial
planning instruments, improved performance by public administrations and the mainstreaming
of Codes of Conduct, improved internal control and reforms of the procurement system in indi-
vidual sectors. Thanks to its direct cooperation with its partners in Cameroon, GTZ can offer
excellent expertise for those areas in which Cameroon has urgent development needs, in
particular the management of public finances, external financial controls, procurement systems
and the strengthening of legal institutions.


21. Secondment of a Consultant to the Good Governance Programme, Ghana

Partner:       GTZ Good Governance Programme Ghana (PN 2001.2451)
Proposal:      March 2007
Term:          May – August 2007
www.           not established

Objective: To second a junior consultant in support of the Good Governance Programme in the
fight against corruption.

Result: Assistance in conceptual issues, organisation of meetings, dialogue with partners and
provision of requisite expertise.



5
 The group consists of eight European ambassadors, the ambassadors from Canada, Japan and the
USA, as well as representatives of the World Bank, IMF and UNDP.

16
Evaluation: Strengthen the Ghana Anti-corruption Coalition, activate anti-corruption inputs in
TC projects, sharpen profile of donors and DC organisations.


22. Implementing the UN Convention against Corruption (UNCAC)
Compliance Review / Gap Analysis, Bangladesh (Chapter II, Art. 5, 6, Chapter III)

Partner:       Centre for Governance Studies at BRAC University Bangladesh,
               GTZ Office Bangladesh
Proposal:      March 2007
Term:          6 to 8 months
http://www.igs-bracu.ac.bd/research.php?pageid=17

Objective: Bangladesh ratified UNCAC on 27 February 2007, but has not yet developed a
systematic implementation strategy. The fact that the second Conference of UNCAC States
Parties is scheduled to be held in Indonesia in January/February 2008 means that special im-
portance is now attached to UNCAC implementation in Bangladesh. At this second conference,
the States Parties are required to report on the progress they have made. In this context, the
Compliance Review offers a sound basis and can be used within the framework of the
ADB/OECD Anti-Corruption Action Plan for Asia and the Pacific.

In the wake of a political crisis, Bangladesh has been run by an interim government since Janu-
ary 2007. This government has made numerous arrests in connection with corruption. A sys-
tematic approach to corruption control, as promulgated in the Compliance Review, would con-
stitutes an important step and one that would boost the country’s international reputation.

Result: In March 2007, the German UNCAC project received a proposal of the international
secretariat of Transparency International (TI) and the Basel Institute on Governance for a Com-
pliance Review in Bangladesh. This Compliance Review is in prepared in close cooperation and
under the auspices of an inter-ministerial committee headed by the Ministry of Law, Justice and
Parliamentary Affairs. It feeds the forthcoming Bangladesh National Integrity Strategy. The
analysis and subsequent training / capacity development involve various stakeholders
(designated GoB focal points are teaming up with national and international experts from the
Basel Institute on Governance). The GTZ Office in Bangladesh and BMZ took care of ad-
ministration and funding of the proposal.


23. Implementing the UN Convention against Corruption (UNCAC)
Compliance Review / Gap Analysis, Kenya (Chapter II, Art. 5, 6, Chapter III)

Partner:    Kenya Anti-corruption Commission in cooperation with partner institutions;
            GTZ Good Governance Programme (PN 2003.2022.6)
Proposal:    October 2007
Term:        6 to 8 months
www.         forthcoming
www.kacc.go.ke

Objective: Kenya was the first country that signed the UNCAC in December 2003. Since then a
number of anti-corruption initiatives and approaches for governance reform have been
launched. Compliance with the UNCAC and the African Convention against Corruption was
initiated, however, could not be completed during the past years. The intended Compliance Re-
view aims at providing a comprehensive overview about the legal situation and how regulations
are being implemented. Additionally, the self assessment proposed by the 1st Conference of
States Parties (COSP) to the UNCAC is expected to be pursued.

Result: Compliance Review and self assessment check list are completed for further imple-
mentation of the two anti-corruption instruments and for reporting to the 2nd COSP.

                                                                                            17
III. Pilot Measures at the Preparation and Planning Stage


24. Follow-up of the Results of the 2nd COSP
Partner:     UN Office on Drugs and Crime, Secretary to UNCAC and national partner institu-
             tions
Proposal:    2008 (not yet decided)
Term:        2008
www.         forthcoming

Objective: Supporting strategic recommendations / resolutions of the 2nd COSP.

Result: Active implementation of specific provisions of UNCAC; contribution to compliance;
generation of good practices.


25. Follow-up of the Outcome of the U4 Study on Anti-corruption Policies
Partner:     U4 Anti-Corruption Resource Centre, UNODC, national partner institutions in
             Georgia, Indonesia, Nicaragua, Pakistan, Tanzania, Zambia
Proposal:    2007 (not yet decided)
Term:        2008
www.         forthcoming
www.u4.no
www.gtz.de

Objective: Supporting strategic positioning of partner countries vis-à-vis UNCAC; reflecting
national anti-corruption policies and strategies vis-à-vis UNCAC Article 5.

Result: Generating negotiation positions for implementing and further developing the resolu-
tions and recommendations of the 2nd COSP.


26. Central America: Integrity Standards in the Police Force (Chapter II, Art. 7, 8)

Partner:       National police and non-governmental organisations form up to nine Central
               American Countries
Proposal:      2008 (not yet decided)
Term:          2008
www.           not yet established

Objective: To internally contribute to considerations for reorganising the police force in line with
democratic principles and to introduce effective, efficient and transparent procedures, taking
account of human rights. To this end, a regional seminar serves as a first step to encourage
national anti-corruption measures in the police force in Central American Countries. The aim is
to promote non-corrupt conduct within the police force.

Result: The UNCAC sector project has reworked the proposal with regard to standards of in-
tegrity and encouraged the integration of UNCAC provisions. This proposal is currently under
discussion.




18
27. Ecuador: UN Simulation of the Recovery of Stolen Assets (Chapter V)

Partner:      Johann Wolfgang Goethe University Frankfurt, GTZ sector project on develop-
              ment-oriented drug control, EOD (PN 2003.2056.4), GTZ programme on
              modernisation and decentralisation (PN 2004.2224.6)
Proposal:     March 2007
Term:         2008
www.          not yet established

Objective: To sensitise future specialist and management staff to corruption control and to the
UNCAC in particular as well as to the recovery of illegally acquired assets (asset recovery). By
simulating a General Assembly and conducting a management game on asset recovery,
participants are made aware of the complexity of the theme of corruption. The simulation shows
how important it is to harmonise national laws in line with the provisions of international law
(support for UNCAC implementation). Taking into account the various nationalities and thus
interests, participants learn to create joint solutions without external assistance.

Result: Strengthening national and regional awareness on the negotiation and implementation
of global regimes with emphasis on UNCAC.

Evaluation: not yet foreseeable.


28. Piloting the Bangalore Principles for Judicial Conduct – Cooperation with the Inter-
national Judicial Integrity Group and UN Office on Drugs and Crime
Partner:       Judicial Integrity Group, UNODC, judiciary in partner countries, GTZ rule of law
               projects
Proposal:      2007 (not yet specified)
Term:          2008 – 2009
www.           not yet established

Objective: To give judges and judicial employees short-term and systematic advanced training
in national integrity standards, using the results of the UNODC Judicial Integrity Group. The
measure ties in with Article 11 of the UNCAC. It will also advance the implementation process
(signing and / or ratification).

Result: not yet specified.

Evaluation: Compliance with national reform efforts for judicial integrity, improving access to
justice, contributing to good governance. Initiative contributes to UNCAC implementation, also
in terms of the AU-Convention against Corruption and African Peer Review Mechanism
(APRM).


29. Regional Seminar on Asset Recovery and Mutual Legal Assistance in
Countries in Sub-Saharan Africa (Chapter IV – Chapter V)

Partner:      National Anti-corruption Commissions; Ministries of Justice and Domestic Affairs;
              Basel Institute on Governance/International Centre for Asset Recovery, UNODC
Proposal:     May 2007
Term:         2008
www.          not yet established

Objective: The regional seminar serves two objectives: first it puts the theme of asset recovery
in the spotlight of the Anti-corruption Convention of the African Union and the UNCAC, and
second it is intended to strengthen the capacity of national institutions to recover illegally


                                                                                             19
acquired assets whilst promoting regional cooperation. The seminar follows the approach laid
down in the Asia Pacific Initiative (cf. no. 8).

esult: Over the course of several sessions, the seminar will look at formal and informal proce-
dures for accessing international legal assistance and will address state-of-the-art techniques
for tracking, freezing, confiscating and returning stolen assets from key financial centres in
Africa and western countries (safe havens). Practical examples serve to communicate the
theme’s complexity and promote its hands-on implementation.

Evaluation: The seminar fosters capacity building. Decisive factors for successful asset re-
covery include awareness-raising, specific know-how and policy dialogue between those in-
volved.


30. Support to Combating Corruption at the Supreme Audit Office in Peru
(Chapter II, Art. 5, 7, 8, 9, 13, 14 as well as a series of criminal-prosecution aspects from
Chapter III, inter alia Art. 15, 16)

Partner:       Sector ministries, Anti-corruption Alliance, civil society
               Support by GTZ projects Strengthen the National Financial Control System (PN
               2003.2182.8); Promote Good Governance and Civil-society Participation (PN
               2004.2187.5), Reform the Criminal Prosecution System (PN 2002.2066.5).
Proposal:      March 2006 (not yet decided)
Term:          2008
www.           not yet published

Objective: To mainstream measures designed to strengthen corruption control within the rou-
tine auditing work of the court of audit, i.e. uncover cases of embezzlement, manipulation or
exploitation of administrative procedures with a view to obtaining unlawful advantages. The
court of audit and criminal prosecution authorities work hand in hand here.

Result: The pilot measure follows a process-oriented approach in which, based on an analysis of
weaknesses in the procedures used to pursue corruption, proposals are tabled that aim to bring
about successive stages of reform. The communication of results is geared to achieving a consen-
sus between the stakeholders in the court of audit and those in the criminal prosecution authorities,
which is intended to facilitate their implementation.

Evaluation: The pilot measure directly addresses Chapter II of the UNCAC and here Article 5
(Preventive anti-corruption policies and practices), 7 (Public sector), 8 (Codes of conduct for
public officials), 9 (Public procurement and management of public finances, 13 (Participation of
society), 14 (Measures to prevent money-laundering) as well as series of aspects dealing with
criminal prosecution in Chapter III, inter alia active and passive bribery (Art. 15, 16).


31. Supporting the AfDB/OECD Anti-corruption Portal for African Countries

Partner:       AfDB/OECD, African Union, African countries
Proposal:      2008 (not yet decided)
Term:          2008 – 2009
www.           not yet established

Objective: Contribution to establishing an anti-corruption portal according to the experience
gained in the ADB/OECD Asia Pacific Anti-corruption Initiative.

Result: Regional initiatives are activated.

Evaluation: not yet foreseeable.

20
32. Piloting the OECD DAC Joint Donor Action in Anti-corruption

Partner:      Anti-corruption Task Team of DAC Govnet, U4 partners, partner countries,
              GTZ projects
Proposal:     2008 (idea)
Term:         2008 – 2009
www.          not yet established

Objective: To test the principles for joint donor action in anti-corruption and the common
response principles against deteriorating governance in selected countries aiming at
encouraging governance reform and broadening the base for cooperation between partner in-
stitutions and aid agencies vis-à-vis OECD’s policy agenda and UNCAC.

Result: Improved partner – donor cooperation.

Evaluation: not yet foreseeable.




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