International experience on how to Evaluate, Validate and Implement Tools for Integrity and Compliance: International experience on how to Evaluate, Validate and Implement 29 November 2018 Vilnius, Hotel “Crowne Plaza” Florian HAUSER Structural Reform Support Service European Commission

Overview Building quality of governance and public administration (including integrity & anti-corruption) – how the Commission supports? e.g. Structural Reform Support Service What is the Quality Public Administration Toolbox? What does the Toolbox say about integrity and anti- corruption?

EU support to public administration (including integrity) EU Treaty – rule of law - EU Law - #whistleblower Charter of Fundamental Rights of the European Union (right to quality PA) Analysis (European Semester, Justice Scoreboard, open data portal) Financial Management and Control standards in EU funds EU financial support to pubic administration (ESF/ERDF) – EUR 4.5bln Legislation (e.g. e-procurement) and guidance (professionalization) (Soft) standards (e.g. e-government action plan; Tallinn declaration; ISA) Research funding (Horizon 2020 – e.g. DIGIwhist.eu; anticorrp.eu ) Technical Support (Structural Reform Support Programme – EUR 222 Mio 2017 – 2020) Networks & projects (DG HOME support & funding) Coordination & coherence = a challenge…

Commission proposal for an EU law on whistleblower protection (April 2018)

2015 Toolbox 2017 edition

Reminder - Why a Toolbox? Common message & understanding – inside Commission & among Member States European Semester Analysis - identifies needs for reform & improvement of civil and judicial administration – how to deliver? EU funding – make the right investment choices? Technical support – provide the right guidance

What is the Toolbox? Compendium – pooling knowledge & experience from Member States, Commission, international Non-prescriptive basis for discussion with practitioners and stakeholders; Commission as a facilitator Theory & Practice – seminars and case examples More than 20,000 downloads Five countries translated

Style & Readers Guide Green Boxes Blue Boxes Orange Boxes Compendium style (many sources, underlying messages, lessons, not a roadmap – context may limit transferability) + Blue Boxes Commission policy and initiatives Orange Boxes Key studies and speeches Green Boxes Case studies Lighter Green "Cited" from existing studies and guides Darker Green Checked with "original sources" Now 1000+ pages

What's new? Updated content – new developments (e.g. Tallinn declaration on e- government, procurement package) New content based on user feedback – performance management, behavioural insights, multi-level governance More detail/depth – managing integrity and corruption risk Verified cases examples, new cases (+ 50, now 223 in total, and from all EU Member States) Inputs from country seminars

Themes 2017 edition ALL SUPPORT INTEGRITY!! Principles & values of good governance Nine thematic chapters: Policy-making, implementation and innovation Ethics, openness and anti-corruption Government structures – organisation, cooperation and coordination Organisations – managing performance, quality and people Service delivery and digitalisation Business environment Quality justice systems Public funds, procurement and EU funds management effectively Public administration reform – making positive change happen Some considerations managing Thematic Objective 11 ALL SUPPORT INTEGRITY!!

Pathology and cure? International governance benchmarks (WB, OECD, WEF, etc.) give a snapshot proxy of performance (useful) BUT – benchmarks don't tell us much about root causes of problems (clientilism, culture) (Formal) Reforms on paper (job descriptions, evaluations, etc. often not fully implemented – clientilistic system left untouched) – real change? "Rationalisation" - depletes capacities and knowhow; low morale and apathy

Possible way forward… openness to society, dismantle clientilistic policies size of public sector is the lesser problem, but irrational structure, uneven allocation of staff attractiveness as an employer (adequate structures, less bureaucracy, team orientation, mobility) fight red tape & extend citizens' rights through e-government make administration a tool for entrepreneurship & growth

Where to find? ec.europa.eu/esf/toolbox http://ec.europa.eu/social/main.jsp?catId=738&langId=en

Outlook From document to interactive tool WIKI style Easy updating Collaborative

Theme 2: Embedding ethical and anti-corruption practices Quality of Public Administration “A Toolbox for Practitioners” Theme 2: Embedding ethical and anti-corruption practices

Three questions: Book recommendation How do I get to power? Where is the money? How do I stay in power?

“Rent seeking” … “Legal corruption” Plus: “Rent seeking” … “Legal corruption”

When does the risk of corruption arise? Opportunity (discretionary power + public 'resources') Constraints (legal + normative) Risk of corruption

Key Questions for ethical and anti-corruption practices How to set the framework for integrity and combatting corruption? What role for transparency and accountability play in (re)building public trust? What preventative measures to strengthen ethical performance and reduce the scope for corruption? How to detect and act on corruption?

1. Establishing the policy framework Inspiring examples: UK’s Seven Principles of Public Life; Ireland’s Standards in Public Office Commission Ethical values and standards Codes of ethics Codes of conduct Risk-based strategies Anti-corruption strategies Risk assessment Laws and regulations International conventions and principles National laws, traditions and structures Integrity coordinators and anti- corruption agencies Inspiring example: Finland’s “Values in the Daily Job – Civil Servants’ Ethics” Inspiring example: Lithuania’s Anti-Corruption Strategy & Programmes Inspiring examples: Slovenia’s sample integrity plan & methodology; Lithuania’s corruption risk analysis Inspiring example: UK Bribery Act 2010 Inspiring example: Integrity coordination in the Flemish Government, Belgium

2. Building public trust through transparency & accountability Open government Public Sector Information Directive External scrutiny Strong institutions from outside the executive and judiciary Civil society organisations Lobbying Inspiring examples: Italy’s OpenCoesione open government strategy; UK’s Local Government Transparency Code

3. Promoting integrity and reducing the scope for corruption Human resources management and training Identification of sources and risks of corruption Ethics and dilemma training Disclosure by public officials Verification Unintended consequences Targeted approach Simplification, controls and automation Inspiring examples: Slovene police’s ethics code and training; dilemma training in the Flemish Government Inspiring example: Detecting health corruption through fraud audit in Calabria, Italy

4. Detecting and acting on corruption Whistle-blowing mechanisms Protection of whistle-blowers Investigation, prosecution and sanctions Anti-corruption agencies Punitive sanctions Inspiring example: UK’s PIDA & the role of PCaW Inspiring example: Ireland’s Protected Disclosures Act Special section: Corruption in Health

5. Designing Measures Effective measures = driven by context, not by theory Prepare and implement policies and strategies around the equation corruption risk = opportunity – constraints (find balance, build trust) Systemic approach mindset (not fragmentation), but also behavioural Take a balanced approach between “rules” and “values” that builds trusts Ultimate point? Values are internalised, rules are implicit and recourse to enforcement is the last resort (overcontrol = culture of mistrust) Good governance = ethical administration.

Thank you! Any Questions?