1. U4 – who we are
Operational since 2003 as a web-based resource centre funded by:

2. Rationale Existing ACA-literature shows little detail on UNCAC
Often focussing on specialised agencies
Need to identify institutional functions and mandates required in article 6
and what this means for states

3. General point for clarification
Article 6 is intimately linked to article 5:
Article 6,1: “Each State Party shall, in accordance with the fundamental principles of its legal system, ensure the existence of a body or bodies, as appropriate, that prevent corruption by such means as:
Implementing the policies referred to in article 5 of this Convention and, where appropriate, overseeing and coordinating the implementation of those policies;
Increasing and disseminating knowledge about the prevention of corruption.”
Article 5,1: “Each State Party shall, in accordance with the fundamental principles of its legal system, develop and implement or maintain effective, coordinated anti-corruption policies...”

4. Required tasks Article 6 is intimately linked to article 5
States are to ensure the existence of a body or bodies, as appropriate, that prevent corruption
by such means as:
implementing
overseeing and
coordinating the implementation of anti-corruption policies;
and to increase and disseminate knowledge about the prevention of corruption.

5. Functions in Technical Guide
Requiring public sector institutions to produce action plans
Guiding/reviewing their implementation
Evaluating/inspecting institutions
Receiving/reviewing complaints
Receiving audit, investigative and parliamentary reports
Research in legislation and admin. procedure
Undertaking public opinion surveys and developing other sources of information

6. Context of ac-policy making
But AC-policies can take place in different forms at different levels
and will have to include preventive functions of UNCAC chapter 2:
Public sector (Art. 7)
Codes of conduct for public officials (Art. 8)
Public procurement and management of public finances (Art. 9)
Public Reporting (Art. 10)
Measures relating to the judiciary and prosecution services (Art. 11)
Private Sector (Art. 12)
Participation of society (Art. 13)
Measures to prevent money laundering (Art. 14)

7. Who implements? Coordination Public policy Public Service Service
units
Coordination
can be done by Executive
(e.g. Presidential Office, ACA)
for
Communication
Guidance
Training
Public
Agencies
Public policy
etc
Ministries
Implementation: the implementation of preventive anti-corruption policies referred to in article 6 can only be achieved through the participation of a multiplicity of public institutions and agencies. Preventive anti-corruption policies refer to the wide range of preventive measures of Chapter II and are usually not “dressed” as anti-corruption policies but rather as procurement, probity, transparency, access to information policy, or other. Therefore, to be effective, States Parties need to appoint a variety of different institutions with implementing these policies, most of which often already exist.
Coordination: 7

8. Who oversees? Public policy A Public policy B Arm-length oversight
Service
Service
units
Oversight levels:
Intra-institutional oversight
Cross-institutional oversight
& coordination
National oversight
Public
Agencies
Public policy A
etc
Ministries
Implementation: the implementation of preventive anti-corruption policies referred to in article 6 can only be achieved through the participation of a multiplicity of public institutions and agencies. Preventive anti-corruption policies refer to the wide range of preventive measures of Chapter II and are usually not “dressed” as anti-corruption policies but rather as procurement, probity, transparency, access to information policy, or other. Therefore, to be effective, States Parties need to appoint a variety of different institutions with implementing these policies, most of which often already exist.
Coordination:
Public policy B
Arm-length
oversight 8

9. Knowledge management
Different objectives to increase knowledge about corruption prevention:
knowledge required for policy making, implementation, oversight and monitoring
knowledge to be used in trainings and staff specialisation
knowledge to generate public support for anti-corruption reform
This knowledge can be aimed at different audiences:
governmental policy and decision-makers
public officials for their day-to-day work
the general public.
Knowledge can be increased through research, monitoring reports, and take many different forms: baseline studies, perception surveys, sector studies, political economy studies, stakeholder analysis, indicator mapping, report cards, etc.
Many actors potentially involved, depending on purpose

10. Required independence
UNCAC stipulates that
body or bodies are to be granted necessary independence
and the necessary material resources and specialized staff
to enable them to carry out its or their functions effectively and free from any undue influence

11. Independence revisited
Independence to be adapted to different functions
Function
Type of Independence
Policy implementation
Mainly financial, some functional
Coordination of implementation
Financial and functional
Policy oversight:
Intra-institutional
Cross-institutional
National
Functional
Functional and financial
Functional and financial, organisational desirable
Coordination of oversight
Knowledge management
Organisational and functional desirable

12. Consequences for institutional arrangements
Need to broaden anti-corruption understanding
Institutional arrangements need to fit national context
Where ACA present, it should not be overburdened
ACA should take over functions as to their comparative advantage
Different institutions will have to be involved in the different functions
Full independence hardly ever needed for preventive functions described in article 5 and 6

13. U4 Anti-Corruption Resource Centre
Thank you!
Hannes Hechler
U4 Anti-Corruption Resource Centre
Are there examples of innovative involvement of parliamentarians in either anti-corruption policy making or in other areas of policy making which might be relevant? I know for example in the Poverty Reduction Strategy processes some parliaments have been established committees to identify priorities. Is there anything we can learn from this experience?