The elected government of any nation has the responsibility to ensure the management of the security sector is in line with democratic best practices and the provision of security as a public good. Governments also bear the political responsibility for the activities of the security sector. As a result, governments need detailed and extensive plans and management structures to ensure security policies and practices are transparent and accountable.

Security institutions that are responsive to public needs tend to be transparent; those which are indifferent to public needs tend to be opaque. This section outlines key institutional governance issues affecting key government ministries responsible for security sector agencies.

Governments must also ensure that the legal framework for the activities of each security sector institution is exhaustive. The legal framework for ministries, directorates and security institutions needs to be developed in line with international good practice and ensure consistency with the rule of law. Legislation needs to clearly define the roles and responsibilities of each security institution, specify the authorisation procedures for administrative and operational activities, identify the applicability of internal rules and procedures, ensure instruments exist for other stakeholders to engage and monitor security institutions, identify the constitutional basis for each components’ activities, and ensure security institutions’ employees are accountable for their actions before the law. Additionally, legal frameworks need to incorporate and facilitate access to information for the general public and democratic institutions.

Ministry of Defence

With a primary focus on defence policy, ministries of defence need to perform a variety of roles in order to implement security policies in a transparent and accountable manner. Given the resource-intensive nature of procurement in defence, ministries of defence, need to be able to procure services transparently, without any interference by corrupt vested interests. Overall, the defence sector requires robust internal management systems to ensure the effective delivery of services, and prevent corruption and the waste of limited financial and human resources.

Human Resources Management

Transparent and effective human resources management provides a robust means for enhancing professionalism among security sector personnel, civilian management and civilian staff. Encouraging effective human resources management by defence ministries and relevant directorates includes the development of transparent salary, promotion and professional development policies; the creation of comprehensive databases for personnel management; the establishment of merit-based recruitment and performance evaluation systems; and the development of an effective salary payment system.[1] Efforts should be made to increase the participation of women in the security sector, as well as facilitate their retention and promotion.

Financial Resources Management

Financial resource management is based on the premise that the defence sector is subject to the same principles of public sector management as other sectors. Budgetary policies need to be transparent in order to ensure they are affordable and complement other government priorities and strategies. Financial resources management should be supported through the development of transparent and accountable procurement systems; the development of efficient auditing systems; and enhancing financial planning and management not only within ministries, but also within the management units of security sector institutions themselves.[2]

Anti-Corruption and Building Integrity

A key issue uniting approaches to human and financial resources management is the need for a strong anti-corruption framework. Transparency and corruption challenges in the defence sphere often affect not only transition states but also established democracies. Building Integrity programming provides a variety of best practices and anti-corruption measures. [3]

Institutional and Programme Management

Within the defence ministry, administrative and programme management enhances accountability and encourages adherence to professional rules and regulations. Effective institutional management at the level of management units, directorates and ministries should be encouraged through policy and planning cycles that reflect national priorities and available resources; developing mechanisms for dealing with the abuse of power; and setting up anti-corruption mechanisms and disciplinary measures. Internal accountability mechanisms should be established and enforced.

Rules and Procedures

Defence ministries need to ensure that each component of the military has a clear set of enforceable rules and procedures to govern its personnel’s behaviour. Whilst all security personnel remain subject to the jurisdiction of criminal and civil courts, internal regulations provide a way for the management to enforce discipline internally for misdemeanours or failure to adhere to (as per military law) internal regulations.

Codes of Conduct

Defence ministries need to ensure that each component of the military adheres to codes of conduct formulated at national and international levels. A variety of codes of conduct have an impact on the work of security sector institutions, covering issues such as integrity and anti-corruption; codes of ethics for law enforcement and intelligence personnel. Whilst codes of conduct are not a substitute for the enforcement of rules, procedures, or civil and criminal law, they can engender greater transparency and accountability, as well as a highly developed understanding of and sensitivity to the obligations and duties of a professional working in the security field. In this way they must also be clear and understandable for the general public, as well.

Ministry of Finance

With the task of ensuring the sufficient provision of funds for provision of public security, finance ministries can positively impact the delivery of public security by ensuring the effective management of funds earmarked for security providers.

Once governments and democratic institutions have established budget lines for security providers, finance ministries can ensure that a variety of financial management and anti-corruption systems are in place to ensure transparent and effective use of scarce financial resources.

Finance ministries may also have responsibilities within the realm of security provision: customs are often incorporated into a border service framework and provide a law enforcement service.

Ministry of Interior

Ministries of Interior carry the responsibility for a broad range of law enforcement services from community police through to investigations, border management and penitentiary management. Large ministries of this type often face a variety of management challenges. Interior ministries must furthermore align their service providers with the needs of the criminal justice system.

Internal Management of Law Enforcement Institutions

All law enforcement institutions require robust internal management systems to ensure the effective delivery of services, prevent corruption and the waste of limited financial and human resources.

Human Resources Management

Transparent and effective human resources management provides a robust means for enhancing professionalism among law enforcement personnel, including their civilian management and civilian staff. Encouraging effective human resources management by the ministry and its directorates includes the development of transparent salary, promotion, and professional development policies; the creation of comprehensive databases for personnel management; the establishment of merit-based recruitment and performance evaluation systems; and the development of an effective salary payment system. Efforts should be made to increase the participation of women in the security sector, as well as facilitate their retention and promotion.

Financial Resources Management

Financial resources management is based on the premise that the law enforcement sector is subject to the same principles of public sector management as other sectors. Budget policies need to be transparent in order to ensure they are affordable, and to ensure they complement other government priorities and strategies. Financial resources management should be supported through the development of transparent and accountable procurement systems; the development of efficient auditing systems; and enhancing financial planning and management not only within ministries but also within the management units of security sector institutions themselves.

Anti-Corruption and Building Integrity

A key issue uniting approaches to human and financial resources management is the need for a strong anti-corruption framework. Transparency and corruption challenges in the defence sphere often affect not only transition states but also established democracies. Building Integrity programming provides a variety of best practices and anti-corruption measures. [4]

Institutional and Programme Management

Within the interior ministry, administrative and programme management enhances accountability and encourages adherence to professional rules and regulations. For effective institutional management at the level of management units, directorates and ministries should be encouraged through policy and planning cycles that reflect national priorities and available resources; developing mechanisms for dealing with abuse of power; and setting up anti-corruption mechanisms and disciplinary measures. Internal accountability mechanisms should be established and enforced.

Rules and Procedures

Interior ministries need to ensure that each law enforcement agency has a clear set of enforceable rules and procedures to govern its personnel’s behaviour. Whilst all security personnel remain subject to the jurisdiction of criminal and civil courts, internal regulations provide a way for the management to enforce discipline internally for misdemeanours or failure to adhere to internal regulations.

Codes of Conduct

Interior ministries need to ensure that each law enforcement agency adheres to codes of conduct formulated at national and international levels. A variety of codes of conduct have an impact on the work of security sector institutions, covering issues such as integrity and anti-corruption; codes of ethics for law enforcement and intelligence personnel. Whilst codes of conduct are not a substitute for the enforcement of rules, procedures, or civil and criminal law, they can engender greater transparency and accountability, as well as a highly developed understanding of and sensitivity to the obligations and duties of a professional working in the security field. Codes of conduct must also be clear and understandable for the general public.

Ministry of Foreign Affairs

Ministries of Foreign Affairs can positively influence the delivery of transparent and accountable security policies in a variety of ways.

In transition or post-conflict states, the ministry will often be the focal point for coordination between international donors and international organisations running development and technical assistance programmes. In this context, the Ministry can play a vital role in ensuring that reform assistance packages are coordinated, do not duplicate each other, and develop the capacity of democratic institutions as well as government institutions and security sector agencies.

Resources

Hari Bucur-Marcu, Philipp Fluri, Todor Tagarev, Defence Management: An Introduction, (Sofia: Procon, 2009)

Mark Pyman, Anne-Christine Wegener, Building Integrity and Reducing Corruption in Defence and Security: 20 Practical Reforms, (Transparency International DSP: 2011).

OSCE, Police Reform within the Framework of Criminal Justice Reform, OSCE TNT/SPMU/Publication Series Vol 11, 2013.

OSCE, The Role of Capacity Building in Police Reform, 2006.

Pierre Aepli (ed.), Toolkit on Police Integrity, DCAF, 2012.

Todor Tagarev (ed.), Building Integrity and Reducing Corruption in Defence, (Sofia: Procon, 2010)

UNODC, Handbook on Police Accountability, Oversight and Integrity, UNODC, 2011.

Valeri Ratchev, Civilianisation of the Defence Ministry: A Functional Approach to a Modern Defence Institutions, 2011.

[1] See Pierre Aepli (ed.), Toolkit on Police Integrity, DCAF, 2012.

[2] Hari Bucur-Marcu, Philipp Fluri, Todor Tagarev, Defence Management: An Introduction, (Sofia: Procon, 2009)

[3] See, for example, UNDP and World Bank, Security Sector Expenditure Review Sourcebook, (forthcoming 2017).

[4] See Todor Tagarev (ed.), Building Integrity and Reducing Corruption in Defence, (Sofia: Procon, 2010) and Mark Pyman, Anne-Christine Wegener, Building Integrity and Reducing Corruption in Defence and Security: 20 Practical Reforms, (Transparency International DSP: 2011)

 


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