Advanced Training in prevention of Corruption Systems and Methodologies,10-11 November, Vienna Dan Dionisie

1. Review of UNCAC implementation
“Going Beyond the Minimum” approach
Vienna, 10-11 November 2011

2. UNCAC
Prevention Criminalization
Asset International
Recovery Cooperation
Vienna, 10-11 November 2011

3. Review mechanism – Terms of reference
WHO? Steps
Intergovernmental peer review: Selection of the experts
‐ 1 State under review Based on self‐assessment using OMNIBUS
‐ 2 reviewing States (1 from same region) software
Desk review of self‐assessment by the
Country pairings determined by drawing reviewing state parties
of lots Constructive dialogue between State under
review and reviewing States
 States nominate governmental experts
(up to 15) & a focal point for coordination May be other steps (country visit or meeting
in Vienna)
Guiding Principles Results
Transparent, efficient, non‐intrusive, “Country review report” (agreed &
inclusive and impartial confidential)
Executive summary (translated & publicly
Constructive: no ranking; emphasis on available)
assistance & exchange of knowledge Thematic implementation report (analytical)
Vienna, 10-11 November 2011

4. Review mechanism – Phases
Process in phases:
 2 cycles of 5 years each
 ¼ of States Parties reviewed each year
1st cycle (2010‐2015)
Chapter III –Criminalization and law enforcement
Chapter IV – International cooperation
2nd cycle (2015‐2020)
Chapter II –Preventive measures
Chapter V – Asset recovery
Vienna, 10-11 November 2011

5. ECIS countries - review schedule
Year 1 (2o1o-2o11) Year 2 (2011-2012) Year 3 (2012-2013) Year 4 (2013-2014)
Bulgaria Azerbaijan Armenia Albania
Croatia Estonia Cyprus Belarus
Lithuania Georgia* Hungary BiH
Ukraine Kazakhstan Latvia Kyrgyzstan
Montenegro FYR Macedonia Moldova
Russia Romania Poland
Serbia Slovenia Tajikistan
Slovakia Turkmenistan
Uzbekistan
*deferred from previous year
2nd session of the Implementation Review Group: 30 May – 3 June 2011
Vienna, 10-11 November 2011

6. Introducing GBM
The Minimum Beyond the Minimum
Designate Focal Point Stakeholder involvement (Gov Depts,
UNCAC Self-Assessment Checklist Parliament, CSOs, etc)
Two chapters Comprehensive
Compliance-f0cused Capacity-focused
Confidential report and public Public report, media
summary of review process
Vienna, 10-11 November 2011

7. Guidance Note
• Developed by UNDP
Regional Centre in Bangkok
• Endorsed at global level by
UNDP and UNODC
Key Issues
Political Will
 Stakeholder involvement
 National ownership
 Keep the public informed
Follow-up
Vienna, 10-11 November 2011

8. Methodology
 Three preliminary steps:
1) Designation of a Lead Agency
2) Establishment of a Steering Committee
3) Identification of a Team of Technical Experts
 Six phases:
1) Initial stakeholder workshop to launch and plan the
process
2) Data collection: document gathering and consultations
3) Analysis and drafting of the report
4) Validation workshop and finalization of the reports
5) Publication and dissemination of the reports
6) Follow-up
Vienna, 10-11 November 2011

9. Timeline
Preparation Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Follow-up
•Designation of •Establishment of •Stakeholder •Document •Stakeholder •Draft Self- •Validation •Development of
Lead Agency Steering Workshop gathering and consultations/on- Assessment workshop/Report national strategy
Committee •Document translation site visit reports finalization and action plan
•Preparation for gathering and •Compile intitial •Draft Self- •Preparation for •Report •Implementation
Stakeholder translation results Assessment Validation publication and of reforms
workshop reports workshop dissemination
Vienna, 10-11 November 2011

10. But… Why bother? – strategic considerations
• UNCAC is not end in itself
 even less is the review process
 ultimate objective is to effectively fight corruption
• Negotiations: lowest common denominator
• UNCAC opened up space for AC, but review
mechanism applied at minimum standards
may reduce it
 GBM takes full advantage of UNCAC as platform for
comprehensive action and stakeholder engagement
 corruption needs to be tackled comprehensively, partial review focus
may distract attention from key areas not under review (prevention,
asset recovery)
 opportunity for promoting the AC agenda and broad stakeholder
mobilization is best used with GBM
Vienna, 10-11 November 2011

11. Why bother? – strategic considerations (cont’d)
• “The State party under review shall endeavour to
prepare their responses to the comprehensive self
assessment checklist through broad consultations at
the national level with all relevant stakeholders, the
private sector, individuals and groups outside the
public sector.” (TOR of review mechanism, para.28)
• Stimulates national involvement in anti-corruption
• encourages inter-institutional dialogue and cooperation
• helps consensus building
Vienna, 10-11 November 2011

12. Why bother? – strategic considerations (cont’d)
• Provides policy makers with detailed information and
analysis
• e.g. for developing national AC strategy (Serbia)
• useful for other obligations and external monitoring (e.g. EU
progress reports)
• Provides a benchmark to measure progress over time
• Provides clear overview of technical assistance needs
• IRG noted that all TA needs under UNCAC should be
addressed
• Fulfills international obligation to report under UNCAC
• Facilitates sharing of knowledge and expertise with other
countries, partnerships with donors
Vienna, 10-11 November 2011

13. Why bother? – tactical considerations
• By adopting GBM, a country signals political
will and openness
• Opportunity to mobilize the administration
on AC agenda
• Opportunity to engage with CSOs, build
trust
• …and avoid / reduce criticism, shadow
reports
• Get more support for AC initiatives
Vienna, 10-11 November 2011

14. Why bother? – tactical considerations
• For ACA, opportunity to take leading role
with other stakeholders
• gain visibility, recognition (some ACAs are
new institutions and have problems with
positioning vs others)
• expand partnerships
• external partners are in search of AC
“champions” to support
• UNDP committed to support countries
undertaking self-assessment with GBM
(TA/experts, process facilitation)
Vienna, 10-11 November 2011

15. Thank you!
dan.dionisie@undp.org
http://europeandcis.undp.org/anticorruption
Bratislava, 28-29 March 2011