This handbook is a reference guide on available legal tools, the latest legislative and policy trends, and pertinent measures and practices to prevent and suppress corruption. The handbook is aimed at raising awareness of the range of international instruments available to national policymakers and anti-corruption practitioners.
DCAF-NATO: Building Integrity Self-Assessment Questionnaire and Peer Review Process. A Diagnostic Tool for National Defence Establishments
This Building-Integrity handbook contains a questionnaire, guidance on organising the process in-country, a sample note which can be used to brief the Defence Minister or Head of the Armed Forces on how to introduce the peer review process, and an outline of the format of the visit by the NATO review team. A separate Word document is available for recording the results of the questionnaire. While aimed primarily at Defence, the nation may apply the Integrity Self-Assessment Process to other Ministries and institutions in the security sector.
The Business Principles for Countering Bribery were originally developed through an extensive multi-stakeholder process involving companies, non-governmental organisations and trade unions, as a tool to assist enterprises to develop effective approaches to countering bribery in all aspects of their activities. The Business Principles aim to provide a framework that can assist enterprises in developing, benchmarking or strengthening their anti-bribery programmes. The Business Principles reflect a high, yet achievable standard of anti-bribery practice. They apply to the bribery of public officials as well as private-to-private transactions.
NATO Code of Conduct is intended to be read in the context of the NATO Civilian Personnel Regulations, other personnel policies, or applicable national military regulations.
The APEC Code of Conduct for Business is a practical example of an Anti-Corruption Code of Conduct.
This is a reference tool for member and non-member countries to use in order to increase the degree of budget transparency in their respective countries. The Best Practices are organised around specific reports for presentational reasons only. Different countries will have different reporting regimes and may have different areas of emphasis for transparency. This publication is based on different member-countries’ experiences.
The Summary of World Bank Group Integrity Compliance Guidelines incorporates standards, principles, and components commonly recognized by many institutions and entities as good governance and anti-fraud and corruption practices. Although they are directed principally at sanctioned “parties,” others are encouraged to consider their appropriateness for adoption. They are not intended to be all-inclusive, exclusive or prescriptive; rather a party’s adoption of these Guidelines, or variants thereof, should be determined based on that party’s own circumstances.
The ICC Rules on Combating Corruption constitute the cornerstone of ICC’s anti-corruption work, serving both as a tool for self-regulation by business and as a roadmap for governments in their efforts to fight extortion and bribery.
This Handbook on Integrity Action Plans aims to help practitioners in defence establishments produce real and lasting change. The Handbook outlines how practitioners ought to assess corruption risks and address identified weaknesses and shortcomings. The publication emphasises the need for leadership and active support from the top in order to secure a clear mandate and how to tailor the chosen approach to the institutional context.
The Norwegian Ministry of Defence (2011): Ethical guidelines for contact with business and industry sector
“Ethical Guidelines for Contact with Business and Industry in the Defence Sector” was first issued by the Ministry of Defence in April 2007. This revised edition of these guidelines aims to clarify and simplify the rules that apply. The revision is part of the development of the Ministry of Defence’s Action Plan for Attitudes, Ethics and Leadership (AEL).
The Norwegian defence sector’s employees face ethical and attitudinal challenges and dilemmas every day: in military operations, in contact and collaborations with business and other private and public actors, in research activities, or in day-to-day work. Therefore, leaders and employees must always be equipped to make good decisions. Latter is the objective of this publication which provides an action plan on attitudes, ethics and leadership.
The Norwegian defence sector promotes certain general values of openness, broadmindedness, respect, responsibility, and courage. The sector encompasses the Ministry of Defence and four administratively subordinate agencies: the Norwegian Armed Forces, the Norwegian Defence Estates Agency, the Norwegian National Security Authority, and the Norwegian Defence Research Establishment. All bodies of the Norwegian Ministry of Defence must adhere to the values platform outlined in this publication.
These guidelines provide OSCE staff with advice on supporting cross-dimensional approaches to security sector governance and reform (SSG/R). The purpose of such approaches is to promote a move away from the kind of fragmented support which has a limited impact and towards the practice of building on cross-dimensional synergies. This is done in order to provide coherent and effective support for the pursuit of common strategic SSG/R objectives. While the guidelines are designed for the use of OSCE staff, they may also be of relevance to other national and international actors seeking to enhance their support in the field of SSG/R.
U4 Issue 2013:8: Methods for learning what works and why in anti-corruption: An introduction to methods for practitioners
This paper offers practical guidance to practitioners who design, implement, and disseminate evaluations and research on anti-corruption. A range of quantitative and qualitative methods can be used to answer operational questions on the impact of anti-corruption interventions. Although some methods can produce stronger evidence than others for a specific evaluation, there are trade-offs between rigour and costs and between aspiration and feasibility. Donors should let the evaluation question, programme attributes, and availability of data determine the most appropriate methods for a given study. With careful planning and adequate resources, donors can use many of the methods presented in this paper. This should give more reliable results and produce needed knowledge on what works in anti-corruption, laying the basis for more effective anti-corruption initiatives. U4 is a web-based resource centre for development practitioners who wish to effectively address corruption challenges in their work.
NATO-DCAF (2010), Building Integrity and Reducing Corruption in Defence. A Compendium of Best Practices.
This compendium is the product of cooperation between Transparency International UK, the NATO Program for Peace team, and DCAF. The compendium focuses on concepts and tools which ensure good practices in defence management and policy through “building integrity”. Designed primarily as an introduction and reference tool, defence personnel, civilians in the defence sphere, democratic institutions, and civil society will also find materials on building integrity and anti-corruption measures which are relevant to their own security governance activities.
DCAF, UNDP (2008), Public Oversight of the Security Sector. A Handbook for Civil Society Organzations
This Handbook provides structured guidance for civil society organisations (CSOs) on the role they can play in democratic security sector oversight. Although many CSOs have facilitated security sector reform processes in transition and post-conflict states, much of their potential remains untapped. Similarly, the longer term role CSOs play in maintaining a democratically-managed security sector is sometimes under-emphasised in the developed and developing worlds. The Handbook is designed primarily for civil society and non-governmental organisations. The publication is also relevant to democratic institutions, democratic representatives, policymakers, SSR practitioners, researchers, security sector institutions, the media, and international organisations partnering with CSOs on democratic security governance issues.
UN Inter-Agency SSR Task Force, Security Sector Reform Integrated Technical Guidance Notes.
The UN SSR Integrated Technical Guidance Notes are a useful tool for anyone interested in Security Sector Reform and Democratic Security Sector Governance. The purpose of the Integrated Technical Guidance Notes (ITGNs) is therefore to foster a “One United Nations” approach to SSR by providing a common framework to guide United Nations support to nationally led SSR efforts.
Hans Born, Ian Leigh (2005), Making Intelligence Accountable: Legal Standards and Practice for Oversight of Intelligence Agencies.
This publication classifies and evaluates the legal standards that currently exist regarding the democratic accountability of intelligence services. The publication also identifies and recommends best practices applicable to both transition countries and well-established democracies.
Born Hans, Wills Aidan, DCAF-Ministry of Foreign Affairs of the Netherlands (2012),Overseeing Intelligence Services: a Toolkit.
DCAF’s toolkit on overseeing intelligence services is a compendium of booklets (tools) that provides policy-relevant information on the establishment and consolidation of independent bodies to oversee state organisations involved in the collection, analysis, production and dissemination of intelligence in the national security domain.
DCAF, Inter-Parliamentary Union (2003), Parliamentary Oversight of the Security Sector
Parliaments have a vital role to play in the good governance of the security sector and the provision of transparent and accountable public security. This handbook is divided into eight sections, each containing several chapters and can be read in two different ways. A complete reading of the Handbook will provide the most comprehensive understanding of security issues and the role of parliamentary oversight. However, it is also possible to make a selective reading of those sections and chapters which are of particular concern to the user. The index and various cross-references are designed for this purpose. Throughout the Handbook, there are separate boxes which clarify complex issues in the main text, provide examples of laws or regulations, and highlight practices of parliamentary oversight of the security sector in various countries. At the end of most chapters, there is a section called — “what you can do as a parliamentarian,” where concrete recommendations are given. However, these recommendations must be observed from the national context.
The Handbook has been developed to serve as a useful, practical tool for companies seeking compliance advice in one, easy-to-reference publication. The publication is divided into three sections. The first section provides an overview of the international anti-corruption framework, within which companies conducting international business must operate. The second section provides a brief introduction to how companies can assess their risk in order to begin developing an effective anti-corruption ethics and compliance programme. The third and most significant section brings together major business guidance instruments.
This Good Practice Guidance is addressed to companies for establishing and ensuring the effectiveness of internal controls, ethics, and compliance programmes or measures for preventing and detecting the bribery of foreign public officials in their international business transactions. Guidelines are also addressed to business organisations and professional associations which play an essential role in assisting companies in these efforts. The publication recognises that to be effective, such programmes, or measures, should be interconnected with a company’s overall compliance framework. This publication is intended to serve as non-legally binding guidance to companies in establishing effective internal controls, ethics, and compliance programmes or measures for preventing and detecting foreign bribery.
This Glossary explains the key elements required to classify corruption as a criminal act, according to three major international conventions: the OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions; the Council of Europe’s Criminal Law Convention on Corruption; the United Nation’s Convention against Corruption. The specific purpose of this Glossary is to assist the countries of the OECD Anti-Corruption Network for Eastern Europe and Central Asia in their efforts to reform national anti-corruption criminal legislation according to the requirements of the above-mentioned conventions. This tool seeks to remedy the lack of knowledge about international law and recent developments in international treaties that some national legislators may face. This glossary should be useful for legal practitioners in any country that aims to strengthen international cooperation and domestic rules to fight corruption.
European Partners against Corruption, European contact point network against corruption (2011), Anti-Corruption Authority Standards.
This document lists ten guiding principles and parameters on the notion of independence of Anti-Corruption bodies. These principles and standards are intended to be aspirational for, rather than legally binding on, organisations. They recognise that there are many different approaches across the world and are, thus, intended to be responsive to the legal and policy frameworks established in individual countries and organisations.
The United Nations Convention against Corruption was adopted by the General Assembly by its resolution 58/4 of 31 October 2003. The objective of the legislative guide is to assist States seeking to ratify and implement the Convention by identifying legislative requirements, issues arising from those requirements and various options available to States as they develop and draft the necessary legislation.
The present Technical Guide primarily focuses on the provision to anti-corruption practitioners and authorities of relevant technical advice, tools and examples of good practices to make the articles of the Convention operational. The Technical Guide attempts to highlight policy issues, institutional aspects and operational frameworks related to the full and effective implementation of the provisions of the Convention. The objective of the Guide is to lay out a range of policy options and considerations that each State Party needs, or may wish, to take into account in national efforts geared towards implementation of the Convention. Thus, the Guide intends only to raise and highlight issues pertinent to such implementation and by no means purports to be used as a complete and exhaustive counselling material for national policymakers, especially in view of the different legal systems and traditions and the varying levels of institutional capacity among States Parties.
The United Nations Handbook on Practical Anti-Corruption Measures for Prosecutors and Investigators is part of a larger package of materials intended to provide information and resource materials for countries developing and implementing anti-corruption strategies at all levels, as well as for other elements of civil society with an interest in combating corruption.
The United Nations Guide on Anti-Corruption Policies, which contains a general outline of the nature and scope of the problem of corruption and a description of the major elements of anti-corruption policies, is suitable for use by political officials and senior policy-makers.
The United Nations Anti-Corruption Toolkit contains a detailed set of specific Tools intended for use by officials called upon to elaborate elements of a national anti-corruption strategy and to assemble these into an overall strategic framework, as well as by officials called upon to develop and implement each specific element. Case Studies, setting out practical examples intended to illustrate the use of individual tools and combinations of tools in actual practice are included in the Toolkit. They provide information about the conditions under which a particular programme will or will not work and how various tools can be adapted or modified to suit the circumstances in which they are likely to be used.
The Compendium of International Legal Instruments on Corruption compiles for reference all the major relevant global and regional international treaties, agreements, resolutions and other instruments. These include legally binding obligations, as well as some “soft-law” or normative instruments intended to serve as non-binding standards.
The purpose of this Guide is to support and inform those who are tasked with reforming and strengthening the justice systems of their countries. The Resource Guide also aims to provide development partners, international organizations, and other providers of technical assistance who deliver support to this process.
This paper provides a practical overview of how an agency may work with the media to win the support of the public in the fight against corruption. The paper is intended as a “how-to” guide to help agencies understand how to control the way they present themselves to the public, how to frame their agencies’ work, and how to develop allies in the press and the community at large. Overall, this paper is designed to help anti-corruption agencies become more effective in fighting corruption.
This Guidebook serves as a reference material for governments, international organizations, the private sector, academia and civil society, by providing an overview of good practices in ensuring compliance with article 9 of UNCAC, which requires establishing appropriate systems of public procurement, as well as appropriate systems in the management of public finances.
The OECD Principles for Transparency and Integrity in Lobbying help decision-makers address concerns raised by lobbying practices. These are the only international principles addressing concerns raised by lobbying and providing guidance on how to meet expectations of transparency and accountability in the public decision-making process. They are part of the OECD strategy for a stronger, fairer and cleaner economy.
The objectives of GAIN are to integrate anti-corruption solutions in service delivery to contribute to Millennium Development Goals acceleration and post-2015 development goals; to strengthen state/institutional capacity to implement UNCAC and prevent corruption; to mitigate corruption risks in climate finance and natural resource management; to enhance civic engagement, youth and women’s empowerment for increased transparency and accountability at national and local levels; and improve results-based management and institutional effectiveness on anti-corruption.
The Istanbul Anti-corruption Action Plan is a sub-regional peer review programme launched in 2003 in the framework of the Anti-Corruption Network. The programme supports anti-corruption reforms through country reviews and continuous monitoring of implementation of recommendations, which promote the UN Convention against Corruption and other international standards and best practice. This programme:
- reviews the legal and institutional frameworks for fighting corruption and makes recommendations
- monitors progress in implementing the recommendations
The results are discussed at regional meetings and published as country and progress reports.
The UN Convention Against Corruption Self-Assessment process is an opportunity to engage in national dialogue on anti-corruption policies and programmes and stimulate reforms to curb corruption. This practical Guidance Note provides a methodology for national stakeholders on how to conduct a comprehensive and participatory Self-Assessment of UNCAC implementation.