Basic anti‑corruption concepts

154 Pages·2015·2.19 MB·English

BASIC
ANTI-CORRUPTION
CONCEPTS
A training manual
BASIC
ANTI-CORRUPTION
CONCEPTS
A training manual
Council of Europe
The opinions expressed in this work
are the responsibility of the authors
and do not necessarily reflect the official
policy of the Council of Europe.
All requests concerning the
reproduction or translation of all
or part of this document should
be addressed to the Directorate of
Communication (F‑67075 Strasbourg
Cedex or [email protected]).
All other correspondence concerning
this document should be addressed
to the Directorate General Human
Rights and Rule of Law.
For more information on the subject of
the publication, please contact:
Economic Crime and Co‑operation Unit,
Action against Crime Department,
Directorate General Human Rights
and Rule of Law,
Council of Europe
F‑67075 Strasbourg Cedex
E‑mail: [email protected]
Website: www.coe.int/corruption
Cover design: Documents
and Publications Production
Department, Council of Europe
Layout: Jouve
2nd edition © Council of Europe,
January 2015
Printed at the Council of Europe
Contents
FIGURES AND TABLES 5
FOREWORD 7
INTRODUCTION 9
1. CORRUPTION 11
1.1. Definition 11
1.2. Forms 13
1.3. Terminology 15
1.4. Causes 18
1.5. Consequences 21
2. MEASURING 23
2.1. Corruption 23
2.2. Excursus: International corruption scores and surveys 30
2.3. Corruption risks 40
3. RESPONSES: OVERVIEW 45
3.1. Opinions and strategies 45
3.2. Reform of legislation and regulations 47
3.3. Judicial reform 47
3.4. Law enforcement 48
3.5. Public administration/civil service reform 48
3.6. Public education and participation of civil society as independent
monitors of anti‑corruption reforms 49
4. SUCCESS STORIES 51
4.1. The example of Georgia 51
4.2. Other examples 59
4.3. Success patterns 62
4.4. Literature 63
5. ETHICS 65
5.1. Ethics as an anti‑corruption approach 65
5.2. How to change an ethical culture? 65
5.3. Regulating ethics 67
5.4. Training in ethics 70
5.5. Integrity testing 76
5.6. Literature 80
6. CRIMINALISATION 81
6.1. Elements of crime 81
6.2. Non‑liability 89
6.3. Immunities as an obstacle to prosecution 89
6.4. Sponsorship and criminal law 90
6.5. Literature 92
PPaaggee 33
7. POLITICAL FINANCING 93
7.1. Background 93
7.2. State and private funding 94
7.3. Integrity in political finance 95
7.4. Misuse of public resources 97
7.5. Transparency in political finance 97
7.6. Literature 99
8. INTERNATIONAL STANDARDS 101
8.1. Background to international standards 101
8.2. Conventions 104
8.3. Comparison of international agreements 110
8.4. Implementation and monitoring 114
8.5. Non‑binding standards 118
9. APPENDICES 123
9.1. General literature 123
9.2. Internet sources 123
9.3. International standards: Council of Europe 124
Basic anti‑corruption concepts Page 4
Figures and tables
FIGURES
Figure 2.1: Transparency International’s Corruption Perceptions Index,
2012 (mapped by country) 31
Figure 2.2: Global Corruption Barometer, 2010 (by public service sector) 36
Figure 2.3: Perception v. experience of corruption 37
Figure 2.4: Percentage of respondents in Azerbaijan who believe unofficial
payments are used (by public service sector) 37
Figure 2.5: Belief that unofficial payments in Georgia remain quite infrequent
(as % of respondents who believe such payments are used) 38
Figure 2.6: Reasons for making unofficial payments or gifts in countries
of the former communist bloc (by public service sector) 38
Figure 3.1 The OECD Integrity Framework 48
Figure 4.1: The position of Georgia in perception v. experience of corruption 52
Figure 8.1: Signatories to the United Nations Convention Against Corruption 107
Figure 8.2: Types of bribe 112
Figure 8.3: Implementing the Council of Europe’s Twenty Guiding Principles
for the Fight against Corruption 119
Figure 8.4: Implementing the Council of Europe’s Common Rules against Corruption
in the Funding of Political Parties and Electoral Campaigns 120
TABLES
Table 1.1: Dichotomies 16
Table 2.1: Transparency International’s Corruption Perceptions Index, 2012
(score by country) 31
Table 2.2: Transparency International’s Global Corruption Barometer, 2010 34
Table 6.1 Criminal inviolability of office‑holders in Europe 90
Table 7.1: Possible arguments pro and contra public and private funding
of political parties 95
Table 7.2: Types of corruption in political finance 95
Table 7.3: Preventing corruption in political finance 96
Table 8.1: Landmark legislation and treaties 110
Table 8.2: Effects of outcome and facilitation payments 113
Table 8.3: Legal status of facilitation payments under international conventions 113
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Foreword
E ver since positions of public power or trust came to exist in society, people
have misused them for personal gain. Although in most cultures this has been
seen invariably as a bad thing to do, corruption evolved in so many subtle ways
and has so many faces that, to this date, there is no single, universally recognised
definition for it.
Nevertheless, the current trend is to re‑focus on the original meaning of the word to
corrupt, which is to destroy. There has been an increasing recognition of the capac‑
ity of corruption not only to undermine good governance and cripple economic
growth, but also to destroy trust in public institutions. Women and men across the
Council of Europe area are less and less prepared to tolerate graft, and sanction the
Governments for failing to tackle corruption. Very recently in Europe and beyond, we
have seen how corruption, when left unchecked, can become the cause of upheaval
and disorder with far‑reaching, painful and costly consequences.
As an organisation dedicated to upholding the respect for Human Rights, democ‑
racy and the rule of law, the Council of Europe acted early on to address the threat
brought on by corruption.
Starting in the 1990s, it adopted the Criminal Law and Civil Law Conventions on
Corruption, as well as a series of Recommendations to member States – on the
twenty guiding principles for the fight against corruption, on codes of conduct
for public officials, on common rules against corruption in the funding of political
parties and electoral campaigns.
By establishing international legal standards and “soft law” recommendations,
the Council of Europe acts in line with its statutory mandate to help member
States achieve a greater unity for the purpose of safeguarding and realising the ide‑
als and principles which are their common heritage and facilitating their economic
and social progress.
At the turn of the century, the Council of Europe established a monitoring body
to evaluate compliance with these standards ‑ the Group of States against
Corruption (GRECO). GRECO is a mechanism for mutual evaluation and peer
pressure ‑ in strict respect of the equality of rights and obligations of all its
members. The Group collects information through questionnaires and on‑site
country visits. The evaluation reports are examined and adopted at GRECO plenary
meetings. They contain specific recommendations, which are in turn, subject to
follow‑up evaluations.
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As a logical next step, the Council of Europe developed an outreach capacity. Technical
cooperation projects, conceived, planned and implemented together with the ben‑
eficiary countries, support them in putting into practice specific recommendations
and, more generally, in meeting their commitments as Council of Europe members.
The outreach work facilitates access to the best European experience and knowledge
and promotes the mainstreaming of good practices and solutions.
This manual on Basic Anti‑corruption Concepts is the final product of an extensive
effort by the Council of Europe experts‑trainers, Secretariat staff and participants in
trainings. It takes on the lessons learned from peer exchanges and expert interventions
carried out in different member States of the Council of Europe in the framework of
specialised training activities over the last two years.
The training concept, the preparation and layout of the training material and the
refinement of the methodology are in many ways a novel contribution. A first pub‑
lication of its kind by the Council of Europe, this manual is intended to serve as a
tool in support of technical cooperation activities. I am confident that trainers will
find in it helpful guidance for structuring and sequencing their training sessions,
whereas trainees will use the book as a reference in following and understanding
training in basic anti‑corruption concepts.
I thank the authors Ms Vera Devine and Mr Tilman Hoppe, all experts and participants
in the trainings, as well as my colleagues from the Economic Crime Cooperation
Unit at the Council of Europe, whose professional knowledge and commitment
underpinned the successful completion of the manual.
Ivan Koedjikov
Head of Action against Crime Department
Directorate General Human Rights and Rule of Law
Council of Europe
Basic anti‑corruption concepts Page 8
Introduction
T his training manual, Basic anti‑corruption concepts, forms part of the Council of
Europe’s technical co‑operation activities with its member states. The devel‑
opment, preparation and publication of this deliverable has been fully funded
by the Council of Europe.
The initial draft of the training manual was piloted at a training event in May 2012
in Moscow, Russian Federation. The training itself was conceptualised around an
interactive, four‑ to five‑day seminar, and it was delivered in the format of training
and reading materials. Later on, Council of Europe experts and national participants
at the May 2012 training session supplied additional input; all this further develop‑
ment aimed to make the training material more complete.
The manual’s purpose is two‑fold: for trainers, it serves as a suggested sequential
outline of the training session(s). For trainees, it is a source of reference in following
and understanding the training, as well as for individual follow‑up after the event.
The manual focuses on corruption and possible responses to it, as documented by
international standards and understandings. However, although general statements
about corruption can be made, corruption is largely country specific, as are possible
responses to it.
Chapters 1 and 3, and the Excursus in Chapter 2, were written by Council of Europe
expert Ms Vera Devine (United Kingdom); the rest of Chapter 2 and Chapters 4 to 9
were the work of Council of Europe expert Mr Tilman Hoppe (Germany).
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