1. “Embedding ethical and anti-corruption practices”
Quality of Public Administration
“A Toolbox for Practitioners”
“Embedding ethical and anti-corruption practices”
Nick THIJS,
Senior lecturer, EIPA

2. Context Linking "Policy" to Funding Learning & Managing Knowledge
20 countries country specific recommendations from European Semester; EUR 5 Billion+ for 18 countries under ESF/ERDF ; ex-ante conditionalities; demand for guidance
Learning & Managing Knowledge
12 commission directorates general involved; many (existing) initiatives (public sector innovation, Small Business Act, Digital Agenda, etc.); comprehensive overview; complement with intl. good practice (e.g. HR); break down silos
No new policy!
Guidance (non prescriptive); basis for discussion with practitioners and stakeholders; Commission as a facilitator
Both PA and judiciary.

3. Themes Introduction Principles & values of good governance
Seven thematic chapters:
Better policy-making
Embedding ethical & anti-corruption practices
Professional and well-performing institutions
Improving service delivery
Enhancing the business environment
Strengthening the judicial system
Managing public funds effectively (including PP and ESIF, TO11)

4. Verification of case studies (170; mainly member states)
Process
Commission Inter-service Group – agree structure and develop content on basis of CSR and TO11 relevance
Presentation & discussion of drafts (EUPAN, ESF committee, TO11 practitioners, academia)
Verification of case studies (170; mainly member states)
May 2014 – Feb 2015

5. Green Boxes Content & Style 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"

6. http://ec.europa.eu/esf/toolbox Publication Hard copy
Abridged Version (140 pages)
E-version
Abridged version
Full publication 7 chapters
Links/Cross-references

7. Outline theme 2 Introduction
Key questions for ethical and anti-corruption practices
Establishing the policy framework (Ethical values and standards, Risk-based strategies, Laws and regulations, Coordinators and agencies)
Building public trust through transparency and accountability (Open government, External scrutiny)
Promoting integrity and reducing the scope for corruption (Human resources management and training, Disclosure by public officials, Simplification, controls and automation)
Detecting and acting on corruption (Whistle-blowing mechanisms, Investigation, prosecution and sanctions)
Key messages – call for future action

8. Introduction Context: Definition of the key terms:
Anti-corruption measures as part of economic adjustment programmes, the European Semester (CSRs) and Europe 2020.
Corruption is toxic for long-term economic prosperity and sound public finances.
Definition of the key terms:
Ethics: set of values that guide the performance of public duties.
Integrity of the whole system of administration: serving the public interest.
Corruption: the misuse of public position or power for personal or private gain.
Grand and petty corruption
Systemic and sporadic corruption
When does corruption arise?
One in 12 Europeans surveyed in 2013 had experienced or witnessed a case of corruption in the past 12 months, one in four felt personally affected by corruption in their daily lives. Over four in ten companies felt corruption, patronage and nepotism to be a problem for doing business.
Analysis by the EU-financed ANTICORRP programme shows a strong correlation between corruption and government over-spending, under-collection of taxes, fiscal deficits, and under-absorption of ESI Funds. It is also strongly associated with ‘brain-drain’ from the economy to more meritocratic environments.
Opportunity (discretionary power + public 'resources')
Constraints (legal + normative)
Risk of corruption

9. 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?

10. 1. Establishing the policy framework
Introduction
Ethical behaviour in public life should be the norm.
Systemic corruction represents the absence of public service ethos and a failure to identify or take corrective action.
The challenge for public administrations is to:
incentivise integrity
deter corrupt activities
dismantel systemic corruption
This demands leadership.

11. 1. Establishing the policy framework
1.1. Ethical values and standards
Ethical behaviour starts with attitudes and values at the top of the administration.
Integrity policies can be codified as standards for behaviour.
Codes of ethics
Codes of conduct
Inspiring examples: UK’s Seven Principles of Public Life; Ireland’s Standards in Public Office Commission
Inspiring example: Finland’s “Values in the Daily Job – Civil Servants’ Ethics”

12. 1. Establishing the policy framework
2. Risk-based strategies
Anti-corruption strategies:
Necessary when corruption is systemic
and requires a clear, comprehensive and centrally coordinated package of measures
Key ingredient: sound evidence base
Risk assessment:
Identify the highest risk of corruption and capacity for change
Risk-mapping as a tool: likelihood and impact of corruption (risk matrix and ‘heat map’)
Inspiring example: Lithuania’s Anti-Corruption Strategy & Programmes
Inspiring examples: Slovenia’s sample integrity plan & methodology; Lithuania’s corruption risk analysis
The Commission supports national authorities through OLAF’s HERCULES III programme, and the risk-scoring tool for ESI Funds, ARACHNE.

13. 1. Establishing the policy framework
1.3. Laws and regulations
Ethical principles are embedded in the legal base :
Art. 83 (1) TFEU
International conventions and principles (e.g. Council of Europe, UN and OECD)
National laws, traditions and structures
to regulate conflicts of interest
to protect whistle-blowers
Inspiring example: UK Bribery Act 2010

14. 1. Establishing the policy framework
1.4. Coordinators and agencies
Integrity coordinators: some Member States have allocated resources at the center of Government to manage their ethics policies.
Anti-corruption agencies (ACAs):
education and awareness-rising on corruption
monitoring and coordination
prevention, investigation and prosecution
Inspiring example: Integrity coordination in the Flemish Government, Belgium

15. 2. Building public trust through transparency & accountability
Introduction
Corruption:
undermines public trust in public administration
results from a failure of individuals to be accountable for their behaviour
relies on secrecy
Antidote: transparency and accountability

16. 2. Building public trust through transparency & accountability
2.1. Open government
The increasing importance of modern communication and social networks encourages the public sector to be more open.
The public monitors if PA meet their obligations on transparency.
Public Sector Information Directive
Inspiring examples: Italy’s OpenCoesione open government strategy;
UK’s Local Government Transparency Code
All Member States are signatories to the 2009 Malmö Ministerial Declaration on e-Government, includes the objective to strengthen transparency of administrative processes, followed up in the e-Government Action Plan

17. 2. Building public trust through transparency & accountability
2.2. External scrutiny
Transparency is an effective tool when matched by external scrutiny and public’s active participation. This requires:
Strong institutions from outside the executive and judiciary:
Supreme Audit Institutions
Information Commissioners
Ombudsmen
Media
Healthy NGOs
Civil society organisations
Lobbying
The EU Transparency Register provides citizens with access to information about who is engaged in activities aiming at influencing the EU decision making process. Registration is voluntary, but incentivised by controlled access to European Parliament & automatic alerts to consultations of interest.

18. 3. Promoting integrity and reducing the scope for corruption
Introduction
Officials acting in the best interests of their organisations are the foundation of well-functioning institutions.
Public authorities should promote integrity in the workplace.
Prevention is the highest priority within anti-corruption measures.
Balanced approach: accentuating the positive benefits of ethical behaviour + being aware of the potential for corrupt activities.

19. 3. Promoting integrity and reducing the scope for corruption
3.1. Human resources management and training
Human resources management should integrate ethical values into personnel policies
and provide clear rules in the ‘grey areas’ of integrity (e.g. meritocratic appointments, preventing conflicts of interest)
Identification of sources and risks of corruption
Ethics and dilemma training
Inspiring examples: Slovene police’s ethics code and training;
dilemma training in the Flemish Government

20. 3. Promoting integrity and reducing the scope for corruption
3.2. Disclosure by public officials
As a preventive measure, many PA oblige public officials to submit a signed declaration of their income, assets and business interest:
The key to success is verification
The downside of disclosure is the danger of unintended consequences
Targeted approach: disclosure is best targeted in areas where it can be most effective.

21. 3. Promoting integrity and reducing the scope for corruption
3.3. Simplification, controls and automation
‘Rule-changing’ approaches aim to take the scope to misuse entrusted power out of the equation through:
Administrative simplification to reduce red tape and lower corruption.
Internal controls: ‘four eyes’ principle, clear and published procedures and internal audit.
Automation: positive impact of online services to reduce corruption.
Inspiring example: Detecting health corruption through fraud audit in Calabria, Italy

22. 4. Detecting and acting on corruption
Introduction
Reallistically, corruption will never be wholly eradicated.
A regulatory and reporting framework must be in place (systems for detection and prosecution).
Whistle-blowing is the most effective way of exposing wrongdoing.

23. 4. Detecting and acting on corruption
4.1. Whistle-blowing mechanisms
Whistle-blower: someone who reports or discloses information on a threat or harm to public interest.
But often, nothing is done about the wrongdoing and the whistle-blower suffers repercussions.
Protection of whistle-blowers
Research shows that external whistle-blowing is more effective that internal whistle-blowing.
An integrity policy encourages staff to discuss matters openly.
Inspiring example: UK’s PIDA & the role of PCaW
Inspiring example: Ireland’s Protected Disclosures Act

24. 4. Detecting and acting on corruption
4.2. Investigation, prosecution and sanctions
Transition from regular to rare corruption: chances of detection and probablity of being penalised are high.
Anti-corruption agencies: law enforcement and responsible for detection, investigation and prosecution.
For maximum deterrence, detection should be matched by punitive sanctions (effective disciplinary policies, penalties and possibly restitutions).

25. Key messages- call for future action
Agree and adopt a set of values to guide behaviour and actions
Prepare and implement policies and strategies around the equation corruption risk = opportunity – constraints
Make sure these policies and strategies are comprehensive
Take a balanced approach that builds trusts
Ultimate point? Values are internalised, rules are implicit and recourse to enforcement is the last resort.
Good governance = ethical administration.

26. Thank you! Contact: Nick Thijs n.thijs@eipa.eu
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