113TH INTERNATIONAL TRAINING COURSEREPORTSTHE
COURSEREPORTSOF
OF THECOURSEGROUP 3
GENERAL PREVENTIVE MEASURES AGAINST THE
CORRUPT ACTIVITIES OF PUBLIC OFFICIALS
Chairperson
Co-Chairperson
Rapporteur
Co-Rapporteur
Members

Advisers

Mr. Nelson Nogot Moratalla
Mr. Md. Kamal Uddin Bhuiyan
Mr. Roderick Kamburi
Ms. Kyoko Fujino
Mr. Yudi Handono
Mr. Errol Ozil Hinson
Mr. Nguyen Thanh Hai
Ms. Yoko Nihei
Mr. Masaki Kitahara
Mr. Tetsuya Yamaji
Deputy Director Masahiro Tauchi
Professor Akihiro Nosaka
Professor Shinya Watanabe

I. INTRODUCTION
A public official is a position of trust withthe duty to always act for the public
interest. Therefore, the ultimate loyalty
of public officials shall be for the public
interest of their country, as expressed
through the democratic institutions ofgovernment. Public officials should behonest, fair and impartial in theperformance of their functions and indealing with the public. They should, at
no instance, demonstrate undue
preferential treatment to any particulargroup or individual, or improperly
discriminate against any group orindividual, or otherwise abuse and misuse
the power and authority vested in them.
In so doing, public officials can avoid
being publicly criticized. Corrupt activities
by public officials, however, have persisted
in many countries for years. Furthermore,
the magnitude and complexity ofcorruption has been observed to be
increasing recently. Sophisticated methods
have been used to avoid detection and(Philippines)(Bangladesh)(Papua New Guinea)(Japan)(Indonesia)(Saint Vincent)(Vietnam)(Japan)(Japan)(Japan)(UNAFEI)(UNAFEI)(UNAFEI)

enhance this illegal activity. To makematters worse, corruption has been
expanded into a transnational crime,
respecting no borders.
Corrupt activities by public officials
undoubtedly distorts their integrity andneutrality in performing their official
duties. It also breeds a feeling of distrustand discontent by the public towards theirgovernment. As a consequence, these
activities by public officials may ultimately
weaken or collapse the administration of
government and the economic structure ofa country. It undermines good governanceand causes a great damaging effect to thecountry.
As corruption becomes a global concern,
effective preventative measures must be
taken both at the domestic andinternational level. Critical use of suchmeasures is deemed effective to deter
further corrupt activities. Since mostpreventive measures used to address
corruption in government are reactive, thisreport will attempt to focus on proactive

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RESOURCE MATERIAL SERIES No. 56
measures and to hit the problem right at
the determined inception point.
II. ESTABLISHING A
MANAGEMENT SYSTEM OFPERSONNEL AND ETHICALSTANDARDS FOR PUBLIC
OFFICIALS
The measures for deterring corrupt
activities among public officials will be
discussed here from the viewpoint of amanagement system of personnel;
recruitment, training, rotation of personnel
and staff; improving working
environments; promotion systems; anddiscretionary power. In addition, a
discussion on the importance of a code of
ethics will be taken up.
A. Recruitment
At the very stage of recruiting
government officials, two situations are
identified that have bearing on thepossibility of corruption. The first one iscorrupt activities at the selection stage ofgovernment applicants. Presumably, some
new government entrants are recruited
through the practice of nepotism and bribe
giving. The act of nepotism is itself taboo
in government service, and bribe-giving is
unlawful, hence, at the initial stage, italready constitutes corruption and a
violation of law. To leave this practiceunnoticed is both dangerous and costly togovernment. To preempt this problem, afair and impartial process of recruitment
should be established. The following
measures are therefore suggested:(i) T h e s c r e e n i n g b o d y o r
recommendation panel to be separate
and distinct from the recruiting bodyor panel. This rationale is to ensurethat each body or panel performs
their task or obligation professionally,
with utmost diligence, and to further
ensure checks and balances.

564

Furthermore, a system or procedureof screening applicants should beproperly in place for strict adherenceby the members. Likewise, it is
proposed that recruitment policies
and standards be established.
(ii) It is also recommended that interview
procedures be determined. Insteadof a single interviewer, a panel or aninterview board may be organized by
officers with a wide range ofexpertise. Hence, this could be one
way of avoiding prejudice and bias
from among the members of theboard or panel.
The second situation is when the new
government entrant succumbs to corrupt
activities once they are in government
service. Under the presumption that the
new government entrants lawfully passed
all the stages in the processing, without
resorting to the first situation as statedabove, this event may happen in the future.
Those who may be blinded with fame andpower are likely to be corrupt. Though his/her situation seems complicated,considering the time period or elements
involved when that official starts to become
dishonest or inept, and considering also themagnitude of factors such as environment,
peer pressure, family problems, lifestyles,etc, this group favorably endorses thefollowing points for consideration:(i) Aside from qualifications andexperience, it is also necessary thatall government applicants arethoroughly screened, including
extensive background or characterchecks in all areas of his/her public
and private life. Vertification of
personal records such as records fromthe police, organizations where he/she belongs, former employers or coemployees, teachers, community
leaders and others should be113TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE
conducted, preferably before his/ herprobation period expires.
(ii) Psychiatric and/or psychologicaltesting may be conducted to further
help in detecting those who have thetendency to change their attitude andcharacter once in the service, withready access to government resources
and information.
B. Training
Provision of regular training to public
officials is also encouraged. While training
serves many purposes, such as improving
skills and knowledge, it is also useful inredirecting attitudes and changing values,
thus in a way deterring public officials fromengaging in corrupt activities. To ensure
the provision of effective training, thefollowing are suggested:(i)Morals and ethics are recommended
to be the main subjects in the training
program.
(ii) Initial training and in-service
training should be made mandatory
for all public officials.
(iii) Refresher training is likewise neededfor obvious reasons, such as to reemphasize the sense ofaccountability, responsibility andtransparency in the performance of
his/her duties.
(iv) Institutional training should be
supplemented with on-the-job
training to hasten professionalism,
develop discipline, improve skills andenhance community interactions andrelations.
C. Rotation of Personnel and Staff
Corrupt activities tend to occur when apublic official remains in a particular unit
or section in the organization for a long
period of time. The longer he/she remains
in the unit/section, the more he/she
becomes a target of manipulators or the

more intense the tendency to commit awrong becomes. Then, the chances ofcompromising his/her position with
undesirable elements within and outsideof the organization become imminent.
What should be done to those who haveover-lived in a particular unit or section?
The answer is simple. The government isrecommended to have a program of
personnel and staff rotation within thefunctional positions in the organization orwithin the geographical location of theoffices. With this measure, public officials
would find it hard to establish strong
connections with outside groups such that
potential bribers may think otherwise
before arrangements are made with
officials. Similarly, rotation also deters thedevelopment of close attachments with all
people and hence, special favors or
preferential treatment with close
associates may be avoided.
However, it may be difficult to find analternative appropriate position for somepersonnel and/or staff. The number of
positions which use his/her special skills
and knowledge, may be restricted.
Considering family members, some may
hesitate to be transferred to organizations
located at a different place. In the above
case, at least, it is recommended that those
who are responsible for the subordinate’s
behavior supervise his/her behavior moreclosely, considering the above risk.
D. Improving Work Environments
Public officials must be provided withproper and adequate work conditions inorder to ensure a decent living for them andtheir families. Mostly lower and middle
level public officials in some developing
countries are low paid, compared withthose employed in private business. In asituation like this, public officials may havethe tendency to succumb to the temptationof committing dishonest acts in return for

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RESOURCE MATERIAL SERIES No. 56
a favor that has to do with the discharge
or performance of his/her official duties. In
consonance with this presumption, theprovision of adequate salaries and facilities
is recommended as long as the limit ofgovernment budget permits. By so doing,
there is a possibility that need-based
corruption at the lower and middle level
will be minimized, if not totally reduced.
Additionally, the installation of agrievance system within the organizationis also one way of ensuring effective
communication among officials. It is
helpful in improving working relationships
and inducing a healthy work environment.
Through this system senior officials will
also be more careful in all their official
dealings, for fear of being charged bysubordinates or exposed unnecessarily.
Furthermore, work simplification(including streamlining of the bureaucracy)
is important. This not only reduces costson the part of the government, but also
contributes to easing the workload of eachpublic official who has a backlog of work.
E. Promotion System
Since promotion encompasses anincrease in salary and higher status in theorganization, it is understandable thatevery person in an organization looks
forward to his/her promotion. Promotion
motivates public officials to work hard andcontinue to struggle to maintain theirstatus or be promoted again. However, if apublic official feels deprived of thisprivileged in the organization where he/shebelongs, not because of his/her own ability
but due to a lack of vacancies, he/she may
seek alternative means of earnings. Thosemeans could be illegal. The intensity of
dissatisfaction with the higher-ups may
tend to accelerate further if special favors
or preferential treatment have been
detected or are known to have been appliedby the promoting authorities. To resolve
this dilemma, adherence to existing

566

standard procedures and criteria forpromotion is most highly recommended.
Some of the important factors to consider
for promotion are:(i) Seniority (the length of service in theorganization)(ii) Merit (the activities worthy of praiseor reward; achievement)(iii) Competence (the ability, skill or
knowledge to do what is needed atwork)
However, if promotion is strictly seniority
based, officials promoted may not have thecapability or competence required for the
position. Therefore, seniority criteria
should not be given much emphasis.
At the stage of conducting an evaluationof potential promotees, applicant officials
may resort to utilizing undue influence or
perhaps apply grease money to be favorably
considered. This dirty tactic will again ruin
or distort the established standard
procedure, resulting in decisions withpartiality and bias. To exclude bias inpromotion, the following suggestions areforwarded:(i) The criteria used to award promotion
be spelt out clearly.
(ii) That selection of promotees shall bedone objectively and in consonancewith the established standard.
(iii) The system to ensure fairness shallbe observed at all times.
(iv) An appropriate internal body shall beestablished to address and attend tocomplaints pertaining to unfairness
and bias in promotion.
F. Discretionary Power
Wide discretionary powers granted to
public officials always have the tendency
to corrupt the said public official. So, inorder to exercise due prudence in theperformance of their official duties, public

113TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE
officials are suggested to have only limited
discretionary power, subject to such
limitation as may be authorized by law.
The more power an official has, thestronger the tendency to corrupt thatpower. In other words, people may exert
influence on public officials who have wide
discretionary authority, in order to gain
preferential favors as in the awarding ofcontracts of works/projects or of delivery
contracts of materials and supplies, andothers.
For countermeasures, it is proposed thatthe scope of administrative discretion isclarified by legislation and enabling laws.
In addition, fairness and transparency inthe administrative procedure have to be
pursued. Necessity for restrictions and therationale of subsidies has to be reviewed
periodically. Moreover, information
disclosure and transparency inpolicymaking processes have to beadvanced.
G. Code of Ethical Standards
An international Code of Conduct for
Public Officials has been formulated andapproved by the participating countries
during the 1996 United Nations General
Assembly. More so, some countries havetheir own Codes of Conduct for Public
Officials fully institutionalized andimplemented. Generally, these codes
prescribe the conduct guidelines forofficials holding public office.
A Code of Ethics is considered to be one
effective tool in instilling discipline andharmonizing the job performance of public
officials, and strict compliance oradherence to its provisions is a sure way ofguaranteeing efficient and honest public
service. When a country makes a code, thefollowing are highly recommended to beconsidered:

1. Declaration of Income and Assets
A statement of income and assets is adocument that would help to detect thedisproportionate income of a government
official. However, arguments were raised
as to the extent of disclosure of income andassets, and whether a family member’s
income and assets should also be included.
In some countries, all public officials are
required to file their income and assets
annually, while others file it every two
years. Similarly in other countries, only
high level government officials are requiredor mandated to file their income and assets
to the government. From the standpointof cost effectiveness, we need to determine
the level/position of officials in thehierarchy who should be required to file.
Disclosure of income and assets of all
family members, in some instances, may
show or indicate an unusual accumulationof wealth not proportionate to the official’s
legal income. In this regard, each country
may consider such an act as an
infringement of privacy, which may violate
their constitutional rights.
2. Obligation to Official Duties
In principle, public officials are expected
to devote their time only to official duties
and functions. If a public official engages
in income generating jobs directly or
indirectly related to his/her official
function, their official function might beplaced in jeopardy or be compromised. In
this regard, public officials have to refrainfrom engaging in other vested interest
activities outside of their government
function, to preserve their integrity andavoid conflicts of interest. Checking therisk of a potential conflicts of interest
situation, or of compromising their official
position, the unit head should make thedecision of permission.
The following are some provisions that
may be incorporated in formulating a Codeof Ethics in each country:

567

RESOURCE MATERIAL SERIES No. 56(i) Public officials shall not be engaged
in other paid employment unless thehead of the organization approves it,
considering the risk of a potential
conflict of interest or compromise of
their official function.
(ii) Public officials shall not ask for or
accept any benefit in the course of orby reason of their official position.
(iii) Public officials, upon taking an oathof office, shall declare to thegovernment all personal assets andliabilities, to include (possibly) thatof their spouse and children.
(iv) P u b l i c o f f i c i a l s s h a l l n o t
misappropriate public funds.
(v) Public officials shall not use theirposition for the benefit of themselves
and /or their family.
(vi) Public officials shall take an oath of
secrecy and loyalty.
(vii) Public officials shall not hold any
personal interest in any businessenterprise that conducts business forprofit with the government. We term
this ‘divestment of interest’.
(viii) Public officials (except certain posts
such as assumed by politicians) shallnot be engaged in politics.
(ix) Public officials shall not allow theirofficial integrity or personal integrity
to be compromised.
III. INTERNAL INSPECTION AND
DISCIPLINARY ACTIONS
Running a big organization may be arather difficult task for management. If
public officials eagerly seek means for theirown convenience, this attitude may lead toengaging in corrupt activities to satisfy
such own personal interests while in the
public service. However, if other people
have a way of monitoring such behavior,
their selfish intent may be deterred. For
this purpose, inspection and disciplinary
action takes on important role. So, in thefollowing discussion, we will deal more with568

the mechanism or system of installinginternal inspection procedures anddisciplinary actions.
A. Internal Inspection
Every organization should take theresponsibility of regulating the behavior ofeach member. If unworthy behavior has
been noticed, immediate and appropriate
measures are suggested to be taken. In
order to address this situation, internal
inspection measures or systems aresuggested to regulate and monitor thefunctioning of the organization. The otherpurpose of this is to check administrative
problems in the organization, including
determination of work efficiency andpossible irregularities in their duties andfunctions. The following areas of concern
are hereby discussed in this report.
1. Procedure of Internal Inspection
The procedure of internal inspection
should be clearly established andformulated. Likewise, a standard should
be determined and adhered to strictly, andbe made known to all members of theorganization. Keeping the members awareof the existing procedures will eventually
guide them to behave in the manner
expected of them by the regulations.
2. Internal Inspection Units
Establishment of an internal inspection
unit is also necessary to carry out thesefunctions. The unit should be an
independent body, not controlled by anyone
in the organization except the head.
Interference from other sub-heads of theorganization may make the unit ineffective
and inefficient. In this regard, such units
should be attached to the office of the headof the organization.
3. Internal Inspectors
Internal inspectors are expected to be
professionally knowledgeable in all aspectsof the trade, such as knowledge of the basic

113TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE
law, research strategies, effective reportwriting, investigation techniques andprocedures, record keeping, and othersimilarly required skills. They are also
expected to possess the necessary attitudeand character to perform the job withdiligence and utmost honesty or
impartiality. Furthermore, training for
inspectors is also important. Preliminary
training or orientation is necessary forthem to initially acquire the qualities
required of inspectors. In addition, it isalso equally important to emphasize theinspectors’ accountability andresponsibility for their job in the course of
the orientation or training.
4. Powers and Authority
Since this is an internal system, thepowers and authority of internal inspectors
should be as provided for in theorganizations’ internal administrative
regulations, or as may be prescribed by ahigher authority such as the head of thegovernment agency or ministry, or by anational law.
5. Duties
The following may be some of the duties
of an internal inspector:(i)

Audit the expenditure of theorganization.
(ii) Ensure propriety in procurement
procedures or systems.
(iii) Ensure observance of public tenderor bidding procedures.
(iv) Ensure internal security policy onclassified materials.
(v) Check on abuse or misuse of powerby officials or employees.
(vi) Check on misuse or misapplication of
the organization’s resources.
(vii) Point out problems encounteredduring inspection work.
(viii) Other matters of interest.

6. Reporting
After the conduct of inspection,
inspectors are required by regulations tosubmit results of the inspection to the headof the agency concerned or to where theinspection was conducted. The reportneeds to indicate all the important areas
or aspects of the inspection as prescribedby the regulations, such as the answers to“Who? What? When? Where? and How?”.
More specifically, a pre-determined
standard format should be proposed.
Findings of grave concern involving serious
violations of law should be known
immediately by the head of theorganization for his/her immediate andappropriate action.
7. Sources of Information
The conduct of internal inspections could
be determined in many ways and could beinitiated under the following circumstancesor sources:(i) Suggestion boxes.
(ii) Hotlines (telephone, computer etc).
(iii) Persons responsible for keeping
sensitive records.
(iv) Informers or informants that provide
information for free and for a fee.
The key is how to motivate people to offer
information. At least, we must guarantee
the confidentiality of the informer orinformant. In addition, it is recommended
to find easy and/or handy methods which
let people offer information.
8. Conduct of Inspection
Inspections can be conducted either byschedule or randomly. Depending on the
purpose and timing, such types ofinspection can be adopted by any
government agency or organization.
Regular or scheduled inspections may havethe important purpose of determining theefficiency of the performance of officials interms of resource utilization or regular569

RESOURCE MATERIAL SERIES No. 56
administrative functions. On the other
hand, the conduct of unscheduledinspections may detect misbehavior
amongst officials, or react to reports orcomplaints of irregularities.
Areas for inspection must also be
considered. Offices that are highly
vulnerable or prone to corruption, e.g,finance or logistic sections, should beconsidered for frequent inspection, toensure the efficient and effective use oforganizational resources.
9. Manuals
The publication of a manual for internal
inspection would greatly help in the smooth
conduct of inspections, and guide users
accordingly.
B. Disciplinary Action
1. Regulations
Internal administrative disciplinary
action is an important deterrent measurein curbing corruption in the public service.
However, disciplinary actions may inflictdamage to the reputation of public officials
if discriminately administered. In thiscontext, regulations for disciplinary action
should be established. The recommended
disciplinary process is shown in theschematic diagram annexed to this report.
In this process, opportunity for the accused
to appeal is guaranteed if he/she feels
deprived of his/her rights. It also provides
an avenue or a system of compensation fordamages to those who are victims ofwrongful accusation.
2. Sanctions
The head of the organization should beheld responsible for whatever his/her
subordinate officials do. This is the essenceof responsibility endowed upon all headsof agencies or organizations in government.
In consonance with this authority, he/she
also has the inherent power to impose
disciplinary sanctions or punishment to570

his/her subordinates who have been foundto have acted irregularly in theperformance of his/her official duties andfunctions. The extent of that authority may
be determined by internal regulations orby law. Penalty should be based on thegravity of the offence. Examples of thetypes of administrative disciplinary
sanctions are as follows:(i) Reprimand(ii) Admonition(iii) Censure(iv) Reduction of pay(v) Reduction in salary rank or grade(vi) Forced retirement(vii) Demotion(viii) Dismissal
3. Devices for Effective Application ofDisciplinary Action
Firstly, if the offence or misconduct
committed is so grave that the internal
disciplinary machinery or administrative
sanctions are deemed inappropriate,
collaboration with other appropriate
government agencies must be sought. In
the case of criminal offences noted, the law
enforcement agency must immediately beprovided with the necessary information on
the nature of the offence. In this regard,an appropriate system or procedure shouldbe established to facilitate the referral ofcases of this nature.
Secondly, it is important to consider thatsanctions imposed on any erring public
officials, the nature of any cases and what
the organization has done must be given
according space in newsletters or news
bulletins, to serve as a deterrent to wouldbe violators. To be clarified, naming theofficial will bring him/her disadvantages,
but it will prevent vague rumors which maylead other officials to unrest.

113TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE
IV. INTRODUCING AUDITING ANDOMBUDSMAN SYSTEMSDISCOURAGE CORRUPTION;ACCESS TO INFORMATION; AND
ACTIVITIES TO INCREASE PUBLIC
AWARENESS
In this portion of the report, we shall look
into three topics. First, we will discuss theaudit system and ombudsman system as ameans to reduce or discourage corruption
in the public service. Secondly, we will
discuss the means for the public to haveaccess to government information. Finally,
we will look into some measures in order
to increase awareness regarding the ills ofcorruption, and how to prevent it.
A. Auditing System
We acknowledge that the purpose of anaudit inspection is to ensure that there istransparency and accountability within theorganization. In order to attain this, a bodyshall conduct an audit of accounts, revenue
and expenditure of an organization. This
is to ensure that expenditures have beenrecorded properly and within the scope,
procedures and limitations established by
l a w. T h r o u g h a n a u d i t s y s t e m ,organizational funds are safeguarded
against abuse and misuse. It also
discourages would-be offenders in theorganization from abusing their positions.
So auditors here act as whistle-blowers. As
we acknowledge the importance and thesensitivity of the work involved, we believethat the auditor must be given thenecessary powers and independence tocarry out their duties without fear or favor.
Along this explanation, suggestions toimprove the work of an auditor must be
looked into. We, therefore, look at twomodels in this paper, the Bangladesh andJapan audit systems, as an example.
1. Bangladesh
Bangladesh has a Controller/Auditor
General. Their independence isguaranteed by the Constitution (Art.127 ofConstitution). The President appoints thehead of the organization. He/she holds
office up to the age of 60 years. Their main
duty is to audit state organizations’accounts of expenditure and revenue, andto submit findings to the President, whothen releases the report to parliament. The
auditor has the power to access to allproperty that the government possesses.
The main role is to audit the financial
accounts of government agencies andsubmit a report to Parliament. There may
be some variation in the methods used incarrying out the audit work. However, thework is to serve one purpose, that is, toaudit the financial accounts of thegovernment agency.
2. JapanJapan has its Board of Audit. The bodywas established based on the provisions ofArticle 90 of the Japanese Constitution.
This provides that the final accounts on the
expenditure and revenue of the State shallbe audited by a Board of Audit andsubmitted by Cabinet to the Diet, together
with the statement of audit during the
fiscal year.
The Board is comprised of the Audit
Commission, which is the decision-making
body, and the General Executive Bureau,
which is the executive responsible for theoperation. The Audit Commission consistsof three (3) commissioners appointed by
Cabinet with the consent of both houses of
the Diet (upper and lower houses). The
Emperor attests the appointment, which
is for a period of seven years.
The General Executive Bureau iscomprised of a secretariat and five bureaus.
They are responsible for carrying out audit
work under the direction and supervisionof the Audit Commission. The jurisdictionof the Board of Audit extends to all stateaccounts and public corporations.

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RESOURCE MATERIAL SERIES No. 56
3. Recommendations
Participants from Indonesia, Papua New
Guinea, Philippines, St. Vincent andVietnam agreed that the nature of theauditors work in their countries is similar
to that of the two countries mentioned
above. This observation tends to confirm
that the role and function of the auditor
are similar in most ways in most countries,
especially countries represented in this
discussion. The current trend caused by
the massive increase of corruption cases
involving public officials, suggests thenecessity to strengthen the workings ofauditors.
In making theserecommendations, we are mindful of thelaws and legislation varying from country
to country concerning the auditors’ role,
their powers, and independence:(a) Appointment
The President of the country, thePrime Minister or equivalent highranking official/organ may appoint
the auditor. The national auditor
shall appoint field auditors.
(b) Composition
There shall be at least one auditor,
who should be the head of thenational audit bureau and assisted bydeputies and audit inspectors. The
appointment of these officers may be
within the scope of responsibility of
the auditor.
(c) Independence
The auditors’ independence should beguaranteed by the constitution. That
is to say, the office of the auditor
should be prescribed by provision of
the constitution so that it is not
subject to direction or control byanyone.
(d) Powers
The auditor shall also be given
powers to exercise in the performance572

of its functions. Thus, he/she isexpected to conduct inspections of allrecords of the organization
specifically on the use of government
funds and resources. If anomalies are
discovered during the course of audit
work, the auditor shall refer thematter to the head of the organizationand to other appropriate government
agencies. The auditor shall summon
anyone within and outside of theorganizational to appear and produce
evidence relating to the matters being
looked into. He/she has the power todirect individuals and organizations
to cease, withdraw or terminate anytransaction considereddisadvantageous to the government.
He/she can also recommend
disciplinary actions against public
officials for breach of organizationalrules and regulations, misuse of
power and abuse of discretion.
(e) Functions
The primary function of the auditor
is to carry out audit inspection of all
government organizations, including
its subsidiaries and statutory bodies.
Findings with recommendations
shall be reported to the government
at the appropriate time.
B. Ombudsman System
The term “ombudsman” is a Swedish
word for “attorney” or “ representative”,
indicating their official role as a public
protector. The institution was set up in the
17th century by the Swedish King, Charles
XII with the official title of Hogsta
Ombudsman (Supreme Royal
Ombudsman). The job was to “Keep an eye
on royal officials” and supervise theexecution of the laws. Sometimes, the King
would allow the Ombudsman to represent
him/her in some official functions. To thisday, a number of countries have adopted
the Swedish ombudsman system and have

113TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE
developed the institution. In somecountries, the ombudsman has their
independence guaranteed by theconstitution. In this report, we introduce
the current ombudsman system in Papua
New Guinea and the Philippines. In
addition, we likewise consider the system
adopted in Vietnam, as that with a function
similar to the ombudsman.
1. Papua New Guinea
The ombudsman in PNG has two main
divisions: the Complaints Division, thatreceives normal complaints from thecitizens; and the Leadership Division, that
deals mainly with the high-ranking
government officials. It does not cover the
lower bracket of public service machinery.
This is left for the police to handle.
The ombudsman has investigative
powers but does not have prosecution
powers such as in the Philippines. Rather
it refers its investigation files to the publicprosecutor who initiates prosecution before
what we call a ‘Leadership Tribunal’. The
Tribunal is made up of a judge of the
National Court who is the chairman, andtwo members from the Magisterial Service,
all appointed by the Chief Justice. The
ombudsman does not adjudicate on otherorganization’s disciplinary matters. These
are internal matters for the respective
organizations to handle.
The functions of the ombudsman, among
other things, include ensuring leaders do
not place themselves in a position in which
they could have a conflict of interest or
might compromise their position when
discharging their duties; to ensure they do
not use their office for personal gain or
favor for themselves or for other persons;and to examine the annual declaration ofassets and liabilities, income, businessconnections, positions etc.

2. Philippines
The ombudsman is a constitutional body.
Its independence is guaranteed in thePhilippine Constitution and has the powerof investigation and prosecution. It has
broad and comprehensive powers to
institute reforms in the bureaucracy andprosecute erring government officials. It
has a Special Prosecutor’s Office, which
prosecutes cases brought before a special
court known as the “Sandiganbayan”
which is coined from the Filipino words“sandigan” meaning “something to lean” onand “bayan” meaning “country”.
The President, on the recommendationof the Judicial Bar Council, appoints theombudsman and the members of theSandiganbayan. It is a fixed term of officeof seven years without reappointment;
removable from office only by
impeachment. As the dispenser of justice,
the ombudsman administratively sanctions
erring government officials. It also
criminally charges and prosecutes them,including private persons found to haveconspired with them.
3. Vietnam
Vietnam operates on a system that issimilar to that of an ombudsman. However,it comes under a ministry and is controlled
by a cabinet minister. It has offices set up
in the districts and receives complaints
from the citizenry. Vietnam has a Civil
Ordinance on Civil Complaints and
Denunciation, which was endorsed by the
President in May 1991. The purpose of theOrdinance is to “ensure the civil right tocomplain, to strengthen the law, promotesocialist democracy, defend the interest of
the state, the lawful rights a group/
community and the interests of the citizen.”
4. Recommendations
One of the major functions of an
ombudsman is corruption prevention. It
prevents the commission of an act by

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ordering or stopping the implementationof government contracts that are found to
be disadvantageous to the government. It
likewise files charges and prosecutes casesin court against public officials or private
persons found to have connived with him/
her. It also holds disciplinary authority
over all government functionaries, except
the President of the Republic or the Prime
Minister and other elective officials, or
those officials removable only from officeby impeachment. These broad powers are
inherently provided for in the Philippine
ombudsman. So, it is for these reasons thatthe creation of an ombudsman is favorably
considered as an effective means ofpreventing corruption in government. The
Papua New Guinean and the Philippine
ombudsmen could be cited here as
operating effectively in their respective
countries.
C. Access to Government
Information
People in many countries contend only
accessing part of the government’s
information through publications such as
annual reports. These publications arehelpful for people to understandgovernment activities. However, thesepublications only include limited
information on the government. Whatcitizens want to know may be excluded inthese official reports.
Since the mission of government officials
is for public service, disclosing information
possessed by the government should bepromoted for the public as a matter ofobligation of the government and as of rightto the citizen. In other words, citizen’s
rights to access government information
should be guaranteed as a basic right.
Without information as to the governments’
activities, a person cannot make ameaningful contribution on matters ofgovernment, especially on government
policies and programs. Therefore, the574

degree to which citizens are allowed accessto the information of the government, is amanifestation of a truly democratic systemof governance. However, in some countriesof the world, this right is basically
restricted, sanitized and regulated.
In most cases, the right to have accessto government information may influence
government officials to attend to theirduties honestly and fairly. Conscious ofpeople watching or monitoring government
officials through this right, people ingovernment become cautious, thus thisindirectly contributes to avoiding thecommission of irregularities or abuse of
p o w e r. S i m i l a r l y, t h e s e n s e o faccountability and responsibility of
government officials is enhanced andimproved.
Of course, not all government
information can be made available to thepeople. The law must protect some
information that is considered sensitive innature. Examples of the type of
information that a country may wish toconsider non-disclosable are;(i) Matters relating to national security,
defence and internation al relations
with the government of any othercountry or with an internationalorganization.
(ii) Trade secrets and privileged orconfidential commercial or financial
information obtained from a person
or body.
(iii) Matters to protect law enforcement
interests, such as the ongoinginvestigation and prosecution ofcrimes.
(iv) Matters to maintain personal privacy
and security of a person.
However, the wider the range of nondisclosable information becomes, the lessthe civilian’s right to have access to113TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE
government information is guaranteed. It
is interesting that law concerning theaccess to information held byadministrative organs in Japan prescribesthat even non-disclosable information
stipulated under this law may be disclosed
when it is deemed of public interest.
In addition, non-disclosable information
should be prescribed and clarified in detailby the laws or regulations of the country.
If we leave the range to someone’s
discretion, he/she may be pressured not todisclose the information by those who feel
it is inconvenient to publicize that
information. Furthermore, it is also
important to establish an organization,such as an information disclosure review
board, who would determine what otherinformation could be disclosed to the public.
D. Measures to Increase Public
Awareness
As government officials are consideredpublic servants of the people, the publicshould monitor whether government
officials perform their duties in pursuit of
the public interest or not. Irresponsible
activities by public officials may be
unavoidable if the public has no interestin government activities, and leave public
officials without the public’s monitoring. In
this instance, knowledge of how corruption
works, the methods used in corruption, andareas where corruption tends to occur, may
be useful for the public so as to detectcorrupt activities amongst public officials.
It is said that Hong Kong has
successfully recovered from the serious
disease of corruption amongst public
officials. The Independent Commission
Against Corruption (ICAC), established tofight corruption, has contributed
significantly to reducing corrupt activities
by public officials in Hong Kong. It has
regarded education on combating
corruption as one of the secrets of theirsuccess. The ICAC is composed of three
departments: the Operations Department,
Corruption Prevention Department, andCommunity Relations Department. The
Community Relations Department is incharge of public education efforts. The
successful experience of Hong Kong may
encourage us to educate people as acountermeasure for the corrupt activitiesof public officials.
While government needs to takeresponsibility to encourage publicawareness, the body or unit in charge ofthis responsibility is not restricted only tothe anti-corruption section of theo r g a n i z a t i o n . To p r o m o t e p u b l i cawareness, it is imperative thatgovernment take the initiative toencourage people to actively involve
themselves in government affairs of public
interest. The following means andactivities are suggested in order to increase
public awareness.
1. Educational Program in Schools
This program envisions stirring theconsciousness of the youth and imbuing inthem the profound sense of responsibility
as dynamic participants of the society byencouraging them to undertake researchand studies on prevention and control. The
Ministry or Department of Education may
develop instructional materials that will
make the students aware of andunderstand the ills of corruption, and themeans of deterring the same. Lectures anddiscussions inside classrooms may besupplemented with study-tours togovernment agencies, anti-corruption
bodies, NGOs and other organizations, tofurther broaden the youths’ knowledge of
their functions and responsibilities.
2. MediaMedia is a powerful tool for bringing
news and information to the people. It
takes the form of both written and audio-

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RESOURCE MATERIAL SERIES No. 56
visual media such as television,
newspapers, radio, computer internet, andmagazines of local, national, andinternational publications. As a tool or
instrument for information dissemination,
and as the source for such information,press freedom should not be abridged nor
curtailed by government when used to
expose anomalous activities or the
ineptitude of government officials. As such,
all media services available in the country
may be fully utilized to bring a clear
message to the public on the evils ofcorruption and its impact on good
governance.
3. Posters
The use of posters can also be very
effective in sending messages to the people.
Illustrations in the posters can convey
many messages. When posters are all over,the message will surely register in theminds of the people fast and easily. In
addition, such posters reach out even toilliterates, so they can understand what themessage is all about. Intricately designed
posters with anti-corruption slogans are
surely eye-catchers, and thus attract theinterest and attention of the public. With
this method, the people are made aware ofwhatever agenda the poster intends toconvey. The public will either start to reactor may remain unperturbed or passive.
4. Workshops, Seminars, and Public
Forums/Dialogues
People can acquire knowledge anddeepen their understanding on government
activities by attending workshops,
seminars, and public forums/dialogues. In
this regard, the public are encouraged toattend. To do that, topics of interest
affecting them and their government
should be widely published or broadcast
beforehand. Some prominent speakers ofknown probity from the public and private
sectors, NGO’s, labor unions, religious
sects, the academe and other organizations,576

such as the ICAC, community leaders orbusiness sector leaders, may be invited tobe the resource persons. Active
involvement of all sectors of the community
in government affairs, especially in
exposing or criticizing abuses ingovernment by public officials, or
discussing publicly contemplated
government projects or programs they
foresee to be disadvantageous, manifest
awareness of the public in government
operations.
5. Invitation to Join Prize Contests
This means that the public are enticed
to join prize contests such as slogan making
contests, essay contests, or poster-making
contests, all with the central topic of theevils of corruption or preventive measures
to stamp out corruption or any otherrelated subjects. This is done to arouseinterest, motivate, and encourage people
to participate actively on the subject of
corruption. This method may elicit
suggestions, new ideas, concepts andopinions from the people. Thus, it could
possibly aid legislators in making
improvements to the existing laws or tocreation of new laws or regulations thatwould improve efficiency in government
service.
6. People’s Day
This new approach called “People’s Day”
is actually practiced in the Philippines. It
was purposely installed as a system forencouraging the public to be involved ingovernment, and to consider public officials
as public servants always ready to assist
and provide efficient public service. This
practice provides the general public withthe opportunity of getting immediate
assistance and action, directly from thehead of the government agency orfunctionaries, on matters which were often
not acted on by subordinates, or oncomplaints of wrongdoing against his/her
own staff or personnel. Through this

113TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE
system, government records, exclusive of
those categorized as top-secret or strictly
confidential and non-disclosable under thelaws of the land, are made public andpeople can ask for information or records
right there and then. In this way, thegovernment can practice transparency.
Not only the government itself but also
civilian organizations such as NGOs planthese activities. In this regard, thegovernment should provide encouragement
and extend utmost support to these
activities. People in government should
arrange for media interviews to allow free
discussion of topics of public concern, andto let the people know what theirgovernment is doing.
V. CONCLUSION
Corruption is indeed endemic in mostsocieties of the world. It knows no borders
and spreads like a virus or illness. If its
impact is so deep, a country is placed in a
no-win situation and loses structurally,
institutionally and economically. Alongthis line, this group endeavored to pinpointand determine possible preventive
measures that a country can adapt or
implement to eventually eradicate the evilsof corruption.
Management systems for personnel andestablishing ethical standards for public
officials has been given emphasis, alongwith the concepts involving activities at therecruitment stage of public officials,
training, rotation of personnel and staff,
promotion systems, improvement of work
environments, limiting the discretionry
power of officials, and the formulation of a
Code of Ethics for each country. The
existence of ethical standards for public
officials is also a meaningful way ofembodying better performance from public
officials and regulating behavior in the
public service. We opined that corruption

in government should be addressed at thestage of inception, rather than simply apply
reactive measures to prevent it.
Countermeasures to prevent corrupt
activities can also be addressed through theconduct of internal inspections ingovernment agencies and functionaries. As
such, any instance of ensuing illegal
activities or irregularities among public
officials can easily be detected andprevented. Inspections could be done either
on a scheduled basis or by random, as theneed arises. These measures are sure waysof deterring the commission ofirregularities. Officials found guilty of
misbehavior can be immediately subject todisciplinary action by the respective headsof their organization. In addition, thesanctions to be imposed may range frommere reprimand to dismissal fromgovernment service.
Introducing an ombudsman system ineach country is perhaps an act that needs
political will if such a system is to havebroad powers of investigating andprosecuting all government officials
accused of misdemeanors in public service,
such as the acts of corruption and bribery.
In some countries like Papua New Guinea
and the Philippines, their ombudsman
system is so powerful that a number ofpublic officials have been charged andpunished accordingly, as provided for bylaw. Similarly, an auditing system can bea supplemental system to further checkand correct inefficiencies by government
officials.
Finally, the freedom of the press and thepeople’s right to have access to government
information should not be abridged orcurtailed by the government. Creating
public awareness regarding corruption andirregularities in government is also one
way of preventing the incidence ofcorruption. In this regard, the group

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considers some measures to enhance public
involvement in creating public awareness,such as educational programs in schools,
use of the media and posters, conduct ofworkshops, dialogues or forums, theconcept of a People’s Day and others.
While we suggest countermeasures toprevent corrupt activities among public
officials in this paper, how we canguarantee implementation of thesecountermeasures is important. The device
to manage personnel and internal
inspections may contribute to detering
corrupt activities among middle and/or
lower officials. However, to monitor corrupt
activities among high-ranking officials
within the government itself may be arather difficult task.
Here, we suggest two methods to combat
corrupt activities among high-ranking
officials. One of them is to mobilize civilianpressure. Civilians need not be afraid ofrevenge for the result of their criticism of
a high-ranking official’s behavior. In thiscontext, increased awareness of monitoring
government activities among civilians isessential to deter corrupt activities. The
other method is to utilize international
conferences and international training on
the topic of combating corruption. Withrising global concern over the issue of thecorrupt activities of public officials, there
are various on-going efforts for preventing
such activities through internationalorganizations like the United Nations,OECD, Council of Europe etc. Attending
these opportunities, high-ranking officials
in each country would share ideas on theevil effects of corruption amongst public
officials. Various recommendations andsuggestions would help to facilitate thecombat of corrupt activities. Somecountries which have no or insufficientregulations and statutes on this subject
may adopt these recommendations. The
experiences of others would contribute very578

effectively to reform of their attitude
towards corrupt activities.

Fact-finding body
recommends
dismissal of report/
complaint (dropped[3B] and closed)

No probable cause or
insubstantial evidence[5B] Impose discipline
Reprimand
Admonition
CensureSuspension
Reduction of pay
Reduction of rank or position
Combination of the above[7A]

Found with mitigating/extenuating
circumstances.
Refer back to step 4B(proceed with charges for the
lower offence)[6B]

Refer to appropriate bodyfor serious offences of acriminal nature (lawenforcement/prosecutor
body)

[6C]

File appeal or motion forreconsideration:
1. Summary dismissal authority
2. High appellate body.

Respondent

Found guilty of
dismissable act.
Issue dismissal
order

[6A]

Dismissing authority(high body) conducts
dismissal proceedings,
evaluates evidence andwitnesses

[7B]

[5A]

Formal administrative
charge starts:
Respondent:
1. Furnish copy ofcomplaints
2. 72 hrs required tosubmit counter affidavits
and witnesses
3. Inform of the right tocounsel of their own choice[4B]

Non-dismissable act orminor cases

Summary dismissal
proeedings
recommended by thefact-finding body**

Dismissable act[4A]*

Preliminary inquiry - a proceeding whereby the complainant and the respondent are given the opportunity to be heard and submit their affidavits
and counter-affidavits. Purpose is to establish a prima facie case.
** Summary dismissal proceedings - an administrative process of determining whether a factual or legal basis exists to dismiss the respondent.

[2]
Head of the Agency
Initiate action
Direct fact-finding body(preliminary inquiry*)[1] Information
Suggestion box
Hotline (telephone,computer, etc.)
Officer responsible forsensitive records
Informer or informant

Substantial evidence/probable cause[3A] Fact-finding
body commences
investigation(Internal Affairs Office)

ANNEXURE ISCHEMATIC DIAGRAMADMINISTRATIVE DISCIPLINARY PROCEEDINGS

113TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE

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