1. UNCAC direct impact on
Public Administrations
Francesco Checchi, UNDP Bratislava Regional Centre
Tashkent, April 2009

2. Defining Corruption
 World Bank: Misuse of public power for
private benefit;
 UNDP: Misuse of public power, office or
authority for private benefit – through
bribery, extortion, influence peddling,
nepotism, fraud, speed money or
embezzlement;
 More recently: the misuse of entrusted
power for private benefit.
Tashkent, April 2009

3. Defining Corruption
 Defining corruption based on the causes of
corruption:
 Robert Klitgaard’s: C (Corruption) = M
(Monopoly) + D (Discretion) – A
(Accountability), or
 Corruption = (Monopoly + Discretion) –
(Accountability + Integrity + Transparency)
Tashkent, April 2009

4. Defining Corruption
 The UNCAC does not define corruption –
why ? (corruption as a changing
phenomenon – defined by the UNCAC as a
crime)
 From a methodological perspective UNDP:
corruption as a “governance deficit”
[reflected in the UNCAC chap.2]
Tashkent, April 2009

5. Corruption – A Global Threat
 World Bank – More than 1 trillion US$ is paid in
bribes a year and the harm exceeds the proceeds –
US$ 1 bribes = US$ 1.7 damage
 Asian Development Bank – Cost of corruption = up
to 17% of GDP
 Corruption impacts disproportionately the poor and
other disadvantaged groups
Tashkent, April 2009

6. UNCAC
 In force in Uzbekistan since July 2008
 No self implementation of the
convention
 The UNCAC has mandatory and non-
mandatory provisions
Tashkent, April 2009

7. UNCAC Aims and Structure of
Convention
1. Prevent and Combat Corruption More Efficiently and
Effectively
2. International Cooperation & Technical Assistance including
Asset Recovery
3. Integrity, Accountability and Proper Management of Public
Affairs and Property
 4 pillars: Preventive Measures – criminalization and law
enforcement – international cooperation – asset recovery
– Plus technical assistance and information exchange
Tashkent, April 2009

8. 4 Important articles
for the work of the academy
 Art. 5 (1-4) Preventive AC policies and
practices
 Art. 7 (1) - Measures for Public Sector
(employment)
 Art. 8 - Codes of Conduct for Public
Officials
 Art. 10 – Public Reporting
Tashkent, April 2009

9. UNCAC
Article 5 (1) - Requirements
 Effective and coordinated Anticorruption Policies
A
I
M
E
D
reflect
Participation of Society
– Respect of the Rule of Law
– Proper Management of Public Affairs and Public Property
– Integrity, Transparency and Accountability
Tashkent, April 2009

10. Art 5 (3-4)
 Para (4) (Subject to State’s own Domestic System)
Cooperate Regional & Int’l - International Programs
Organizations - Projects to implement
AC Policies (e.g.ACPN)
Tashkent, April 2009

11. Article 7 (1) Measures for Public Sector
(employment)
1. Each State Party shall, endeavour to adopt, maintain and strengthen
systems for the recruitment, hiring, retention, promotion and
retirement of civil servants
(b) That are based on principles of efficiency, transparency and objective
criteria such as merit, equity and aptitude; States Parties should
consider:
 developing a system to attract and retain individuals of the highest
level of skill and integrity. How?
 establishing an institution such as a public services commission to
handle or provide guidance on recruitment, employment and
promotion procedures.
 All posts should be openly advertised and filled under agreed
recruitment procedures which would range from transparent
procedures for selection and appointment criteria, to the
confirmation of qualifications and references for successful
candidates.
Tashkent, April 2009

12.  All appointments should have stated terms and conditions of
service, and remuneration, commensurate with the duties and
responsibilities of the post.
 Public officials should have proper training, including ethics
training, and career development as well as financial benefits
such as health insurance, vacation leave, sick leave, and
protection of retirement benefits.
 There should be annual evaluation of pay scales taking into
account cost-of-living increases as well as comparability
across the public sector, and taking account of salary levels
for similar functions in the private sector.
Tashkent, April 2009

13.  There should also be annual performance appraisals for
individual members of staff for determination of effectiveness,
training needs, career progression and promotion.
 Payroll records should be underpinned by a centralized or
institutional personnel database against which to verify the
approved establishment list and the individual personnel
records (or staff files).
Tashkent, April 2009

14. (b) That include adequate procedures for the selection
and training of individuals for public positions considered
especially vulnerable to corruption and the rotation,
where appropriate, of such individuals to other positions;
The institution for the PA should consider conducting an
audit to:
 determine which public positions or activities are
particularly vulnerable to corruption; and
 prepare a report addressing the assessments and specific
risks within vulnerable sectors, with consequential
proposals to deal with them.
 Management should also introduce specific support and
oversight procedures for public officials in positions that
are especially vulnerable to corruption, including regular
appraisals, confidential reporting, registration and
declaration of interests, assets, hospitality and gifts
Tashkent, April 2009

15. (c) That promote adequate remuneration and equitable
pay scales, taking into account the level of economic
development of the State Party;
 One major area of concern, particularly for developing or transitional
States Parties, is ensuring adequate remuneration for public officials.
 Both the level and certainty of payment may encourage corruption.
 ‘Adequate’ means that, at the least, pay scales should allow public
officials to meet living costs commensurate with their position and
responsibilities and comparable with similar positions in other sectors.
 States Parties should also ensure that the pay scales are linked to
career progression, qualifications and promotion opportunities.
Tashkent, April 2009

16. (d) That promote education and training programmes to
enable them to meet the requirements for proper
performance of public functions and that provide them with
specialized and appropriate training on corruption
 all public officials should benefit from suitable courses on
professional ethics.
 Training should incorporate discussion on the resolution of
specific practical examples and the appropriate means for
raising or reporting concerns.
 adequate information to staff on their rights and duties, and
on the risks of corruption or misconduct attaching to the
performance of their functions
Tashkent, April 2009

17. Art. 8 - Codes of Conduct for Public
Officials
 each State Party shall endeavour to apply codes or standards
of conduct for the correct, honourable and proper
performance of public functions.
 take note of the relevant initiatives of regional, interregional
and multilateral organizations in this area
 establishing measures and systems to facilitate the reporting
by public officials of acts of corruption to appropriate
authorities
Tashkent, April 2009

18. Art 8
 So it is the responsibility of the state to give the instruments and
possibility to the civil servants to properly perform functions of the
PA
The CODES of conduct: establishes clearly what is expected of a
specific public official or group of officials, thus introducing
fundamental standards of behavior against corruption.
 standarrds may include:
 Democratic Values: to serve the public interest.
 Professional Values: Serving with competence, excellence, efficiency,
respect for the law, objectivity, transparency, confidentiality and
impartiality.
 Ethical Values: Acting at all times in such a way as to uphold the
public trust.
 People Values: Demonstrating respect, fairness and courtesy in their
dealings with both citizens and fellow public officials.
Tashkent, April 2009

19. Art 8
 Thus codes should address issues of public service
 procedures to ensure fairness and transparency in
providing public services and information
 cover acceptance of gifts, hospitality, and other
benefits,
 relating to conflicts of interest
 placing restrictions on political activities and
ensuring that political activities do not influence
public office duties
Tashkent, April 2009

20. Art 8. State Party should ensure
that
 support mechanisms are in place to encourage the
use of the Code;
 compliance with the Code may be taken into
account in relation to career progression, etc;
 code of conduct training is ongoing;
 the organisation continually promotes its ethical
culture (a code of conduct is an important but not
the only tool for this);
 the Code is enforced through disciplinary action
when necessary;
 the Code is regularly reviewed for currency,
relevance and accessibility
Tashkent, April 2009

21. Art 8 (3) measures and systems to facilitate
the reporting by public officials of acts of
corruption
 States Parties are required to establish
adequate rules and procedures
facilitating officials to make such
reports. These are intended to:
encourage an official to report, to
know who to report to, and to be
shielded from possible retaliation from
employers or actions in the courts.
Tashkent, April 2009

22. Art. 10
Public Reporting
Each State Party shall introduce measures as may be necessary
to enhance transparency in its public administration, including
with regard to its organization, functioning and decision-
making processes
 These may include: Publishing information on decisions and
legal acts that concern members of the public;
 Simplifying administrative procedures,
 Adopting procedures or regulations allowing members of the
general public to obtain, information on the organization,
functioning and decision-making processes of its public
administration
Tashkent, April 2009

23. Art 10
key characteristics
of effective access are:
 those responsible for decisions are publicly known;
 those decisions they are planning to take are
publicly known;
 people have access to information about decisions
with technical information available in plain
language;
 people know what decisions have been taken and
the reasons for them; and
 there is a right to challenge or appeal any decision.
Tashkent, April 2009

24. Thank you !
Tashkent, April 2009