i

 A Global Forum on Fighting Corruption:

Safeguarding Integrity Among

Justice and Security Officials

Washington, D.C.

February 24-26, 1999

 FINAL REPORT

 Contents

Part Page

 - Declaration of Global Forum Delegation Heads iii

 - Guiding Principles for Fighting Corruption and Safeguarding v

Integrity Among Justice and Security Officials

 1 Origins 1

 2 Opening - Keynote Address by Vice President Gore 5

 3 Significance of Corruption 17

 4 Economic Governance, the Private Sector and Corruption 25

 5 Ethics Regimes in the Public Sector 39

 6 Legal Frameworks and Enforcement Authorities 53

 7 Upholding Integrity Among Justice and Security Officials 63

 8 Religious Values and the Struggle Against Corruption 75

 9 Integrity and Corruption Issues Specific to:

 9a National Security Forces 87

 9b Other Security Forces 93
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 9c Customs Services 101

 9d Financial Regulatory Officials 103

 9e Procurement Officials 107

 9f Judiciary 111

 10 Global and Regional Anticorruption Frameworks 113

 11 Internal Oversight 121

 12 Non-Governmental Organizations 135

 13 Strategies for Making Corruption Visible 137

 14 Roundtable Discussion by Delegation Heads 151

 15 Closing Address by Vice President Gore 163

 16 Other Events 167

 17 Synthesis 175

 18 Acknowledgements 177

 19 List of Participants 181

 20 Contents of Appendix to the Final Report 197

 21 Index 207

22 Contacts for the Secretariat of the Vice President Global

Forum On Corruption 212

Appendix CD-ROM 
iii

Global Forum on Fight Corruption:

Safeguarding Integrity Among Justice and Security Officials

DECLARATION

For the past three days, we participants from 90 governments, gathered here in

Washington D.C. at the invitation of U.S. Vice President Al Gore, have worked intensely

to examine the causes of corruption and practices that are effective to prevent or fight it.

Elected officials, ministers responsible for security and justice, experts in public ethics

and anti-corruption from every region of the world were joined by distinguished

academics and lay and clerical figures from many of the world’s great religions.

We are on the eve of a new millennium. As never before, the world’s people

need officials of their governments to serve them with unquestioned integrity.

Corruption of justice and security officials betrays their trust. Corruption cannot long coexist with democracy and the rule of law. Corruption misallocates resources, hurts the

poor, and weakens economies and societies. After three days of serious, searching

work, we emerge persuaded that corruption is not inevitable. It is made by actions of

men and women. Governments and their peoples can act and can succeed in our

struggle against it, if only we have the will and the determination to do so.

We have considered and shared with one another many practices that help

control or punish corruption in public office. We are conscious of the efforts being

undertaken in many regional bodies, such as the Organization of American States, the

Council of Europe, the Organization of Economic Cooperation and Development, the

European Union, and the Global Coalition for Africa. We call on all of our governments

to cooperate in appropriate regional and global bodies to rededicate themselves to

adopt effective anti-corruption principles and practices, and to create ways to assist

each other through mutual evaluation.

We feel a common urgency to act. We also continue the dialogue we have

begun in this forum. We will gather again in a second Global Forum on Fighting

Corruption, to be held next in the Netherlands, and we propose thereafter an annual

Global Ministerial forum on fighting corruption. Protecting our citizens from corruption

among their justice and security officials must be one of the most basic responsibilities

of our governments and of us as individual officials of our governments.

We are one in our personal commitment to this end.

February 26, 1999
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v

GUIDING PRINCIPLES FOR FIGHTING

CORRUPTION AND SAFEGUARDING INTEGRITY

AMONG JUSTICE AND SECURITY OFFICIALS

NOTE: Annotated Version. In this document, each of the practices is followed by a

parenthetical letter or letters indicating from which source or sources the statement of

the practice was derived, including agreements, documents and other sources in

existing international literature or experience regarding corruption, public integrity or

related matters of crime. Sources are identified in the listing at the end of this document.

Corruption, dishonesty and unethical behavior among public officials represent

serious threats to the basic principles and values of government, undermining public

confidence in democracy and threatening to erode the rule of law. The aim of these

Guiding Principles is to promote public trust in the integrity of officials within the public

sector by preventing, detecting, and prosecuting or sanctioning official corruption and

unlawful dishonest, or unethical behavior.

It is anticipated that these guiding principles will be implemented by each

government in a manner appropriately tailored to the political, legal, economic and

cultural circumstances of the country. Due to the different functions and missions of

different judicial, justice, and security officials, not all effective practices are applicable in

all categories. This document does not prescribe a specific solution to corruption

among justice and security officials, but rather offers a list of potentially effective

corruption-fighting practices for consideration. The list of practices, which may apply to

other sectors of government in addition to justice and security officials, is intended to

help guide and assist governments in developing effective and appropriate means to

best achieve their specific public integrity ends.

1. Establish and maintain systems of government hiring of justice and security

officials that assure openness, equity and efficiency and promote hiring of

individuals of the highest levels of competence and integrity.

Effective practices include:

• Systems for equitable compensation adequate to sustain appropriate livelihood

without corruption (J, N);

• Systems for open and merit based hiring and promotion with objective standards

(C,I);

• Systems which provide assurance of a dignified retirement without recourse to

corruption (J, N);
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• Systems for thorough screening of all employees for sensitive positions (N);

• Systems for probationary periods after initial hiring (N);

• Systems which integrate principles of human rights with effective measures for

preventing and detecting corruption. (N).

2. Adopt public management measures that affirmatively promote and uphold

the integrity of justice and security officials.

Effective practices include:

• An impartial and specialized institution of government to administer ethical codes

of conduct (C, D, I, J);

• Training and counseling of officials to ensure proper understanding of their

responsibilities and the ethical rules governing their activities as well as their own

professionalism and competence (C );

• Training addressed to issues of brutality and other civil rights violations that often

correlate with corrupt activity among justice and security officials (N, substantial

international literature relating to human rights issues);

• Managerial mechanisms that enforce ethical and administrative standards of

conduct (B, D, H, I, J);

• Systems for recognizing employees who exhibit high personal integrity or

contribute to the anti-corruption objectives of their institution (N);

• Personnel systems that include regular rotation of assignments to reduce

insularity that fosters corruption (B,D, I, J, N);

• Systems to provide appropriate oversight of discretionary decisions and of

personnel with authority to make discretionary decisions (B, D, I, J, N);

• Systems that hold supervisors accountable for corruption control (B, D, I, J, N);

• Positive leadership which actively practices and promotes the highest standards

of integrity and demonstrates a commitment to prevent and detect corruption,

dishonesty and unethical behavior (N);

• Systems for promoting the understanding and application of ethical values and

the standards of conduct required (N);
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• Mechanisms to support officials in the public sector where there is evidence that

they have been unfairly or falsely accused. (N)

3. Establish ethical and administrative codes of conduct that proscribe conflicts

of interest, ensure the proper use of public resources, and promote the

highest levels of professionalism and integrity.

Effective practices include:

• Prohibitions or restrictions governing officials participating in official matters in

which they have a substantial direct or indirect financial interest (I, N);

• Prohibitions or restrictions against officials participating in matters in which

persons or entities with whom they are negotiating for employment have a

financial interest (I, N);

• Limitations on activities of former officials in representing private or personal

interests before their former governmental agency or department, such as

prohibiting the involvement of such officials in cases for which former officials

were personally responsible, representing private interests by their improper use

of influence upon their former governmental agency or department, or using

confidential knowledge or information gained during their previous employment

as an official in the public sector (N);

• Prohibitions and limitations on the receipt of gifts or other advantages (F, I, N);

• Prohibitions on improper personal use of government property and resources (C,

F, N).

4. Establish criminal laws and sanctions effectively prohibiting bribery, misuse

of public property, and other improper uses of public office for private gain.

Effective practices include:

• Laws criminalizing the giving, offer or promise by any party (“active”) and the

receipt or solicitation by any official (“passive”) of a bribe, and criminalizing or

sanctioning the giving or receiving of an improper gratuity or improper gift. (A, C,

E, F, G, I, others).

• Laws criminalizing or sanctioning the illegal use by officials of government

information (C, F);

• Laws affirming that all justice and security officials have a duty to provide honest

services to the public and criminalizing or sanctioning breaches of that duty (I).
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• Laws criminalizing improper use of official power or position, either to the

detriment of the government or for personal enrichment.

5. Adopt laws, management practices and auditing procedures that make

corruption more visible and thereby promote the detection and reporting of

corrupt activity.

Effective practices include:

• Systems to promote transparency, such as through disclosing the financial

circumstances of senior officials. (C, I, J).

• Measures and systems to ensure that officials report acts of corruption, and to

protect the safety, livelihood and professional situation of those who do, including

protection of their identities to the extent possible under the law (F, I);

• Measures and systems that protect private citizens who, in good faith, report acts

of official corruption (C, D, E, F, I, L);

• Government revenue collection systems that deter corruption, in particular by

denying tax deductibility for bribes or other expenses linked to corruption

offenses. (B, C, D, J);

• Bodies responsible for preventing, detecting, and eradicating corruption, and for

punishing or disciplining corrupt officials, such as independent ombudsmen,

inspectors general, or other bodies responsible for receiving and investigating

allegations of corruption (B, D, I);

• Appropriate auditing procedures applicable to public administration and the

public sector (D, I, J);

• Appropriately transparent procedures for public procurement that promote fair

competition and deter corrupt activity (B, C, D, F, J).

• Systems for conducting regular threat assessments on corrupt activity (N).

6. Provide criminal investigators and prosecutors sufficient and appropriate

powers and resources to effectively uncover and prosecute corruption crimes.

Effective practices include:
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• Empowering courts or other competent authorities to order that bank, financial or

commercial records be made available or be seized, and that bank secrecy not

prevent such availability or seizure (C, E, J, K, L);

• Authorizing use under accountable legal supervision of wiretaps or other

interception of electronic communication, or recording devices, in investigation of

corruption offenses (E, F, J, L);

• Authorizing, where appropriate, the admissibility of electronic or other recorded

evidence in criminal proceedings relating to corruption offenses (E, F, J, L);

• Employing where appropriate systems whereby persons charged with corruption

or other corruption-related criminal offenses may secure more advantageous

treatment in recognition of assisting in the disclosure and prosecution of

corruption offenses (E, F, K, L);

• The development of appropriate information gathering mechanisms to prevent,

detect and deter official corruption and dishonesty (N).

7. Ensure that investigators, prosecutors and judicial personnel are sufficiently

impartial to fairly and effectively enforce laws against corruption.

Effective practices include:

• Personnel systems to attract and retain high quality corruption investigators (N);

• Systems to promote the specialization and professionalization of persons and

organizations in charge of fighting corruption (D, E, J);

• Establishment of an independent mechanism within judicial and security

agencies with the duty to investigate corruption allegations, and with the power to

compel statements and obtain documents from all agency personnel (N);

• Codes of conduct or other measures that require corruption investigators,

prosecutors, and judges to recuse themselves from any case in which their

political, financial or personal interests might reasonably raise questions about

their ability to be impartial. (N);

• Systems that allow for the appointment, where appropriate, of special authorities

or commissions to handle or oversee corruption investigations and prosecutions

(N);

• Standards governing the initiation of corruption investigations to ensure that

public officials are not targeted for investigation for political reasons (N).
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8. Ensure that criminal and civil law provide for sanctions and remedies that are

sufficient to effectively and appropriately deter corrupt activity.

Effective practices include:

• Laws providing substantial criminal penalties for the laundering of the proceeds

of public corruption violations (A, C, E, J, L);

• Laws providing for substantial incarceration and appropriate forfeiture of assets

as a potential penalty for serious corruption offenses (A, C, E, G, others);

• Provisions to support and protect whistleblowers and aggrieved private parties

(B, D, J).

9. Ensure that the general public and the media have freedom to receive and

impart information on corruption matters, subject only to limitations or

restrictions which are necessary in a democratic society.

Effective practices include:

• Establishing public reporting requirements for justice and security agencies that

include disclosure about efforts to promote integrity and combat corruption (D, H,

I, J);

• Enacting laws or other measures providing a meaningful public right of access to

information about corrupt activity and corruption control activities (D, H, I, J).

10.Develop to the widest extent possible international cooperation in all areas of

the fight against corruption.

Effective practices include:

• Systems for swift and effective extradition so that corrupt public officials can face

judicial process (A, C, E, G, L, others);

• Systems to enhance international legal assistance to governments seeking to

investigate and prosecute corruption violations (A, C, E, G, L, others);

• Systems to facilitate and accelerate international seizure and repatriation of

forfeitable assets associated with corruption violations (A, C, E, F, G, L, others)

• Inclusion of provisions on combating corruption in appropriate bilateral and

multilateral instruments (N).
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11.Promote, encourage and support continued research and public discussion in

all aspects of the issue of upholding integrity and preventing corruption

among justice and security officials and other public officials whose

responsibilities relate to upholding the rule of law.

Effective practices include:

• Appointment of independent commissions or other bodies to study and report on

the effectiveness of efforts to combat corruption in particular agencies involved in

justice and security matters (N);

• Supporting the efforts of multilateral and non-governmental organizations to

promote public integrity and prevent corruption (N);

• Promoting efforts to educate the public about the dangers of corruption and the

importance of general public involvement in government efforts to control corrupt

activity (C, I, J, N).

12.Encourage activities of regional and other multilateral organizations in anticorruption efforts.

Effective practices include:

• Becoming parties, as appropriate, to applicable multilateral legal instruments

containing provisions to address corruption;

• Cooperating in carrying out programs of systematic follow-up to monitor and

promote the full implementation of appropriate measures to combat corruption,

through mutual assessment by governments of their legal and practical

measures to combat corruption, as established by pertinent international

agreements. (A, E, L, M);

• Participating actively in future international conferences on promoting integrity

and combating corruption among justice and security officials.
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Listing of Sources

A. OECD Convention on Combatting Bribery of Foreign Public Officials in

 International Business Transactions.

B. OECD Council Recommendations Against Corruption, May 1997.

C. OAS Inter-American Convention Against Corruption.

D. Council of Europe Committee of Ministers 20 Recommendations Against

Corruption, November 1997

E. Council of Europe Criminal Law Convention on Corruption.

F. Council of Europe Conclusions of the Second European Conference of

Specialized Services in the Fight Against Corruption, October 1997

G. European Union Convention on Corruption of EU or Member Officials, May 1997

H. European Parliament Resolution on Combating Corruption in Europe, December

1995

I. United Nations Secretariat Manual: Practical Measures Against Corruption, July

1990

J. United Nations Commission on Crime Prevention and Criminal Justice: Report of

Expert Group on Action Against Corruption and Bribery, March 1997

K. United Nations Convention Against Illicit Trafficking in Narcotic Drugs or

Psychotropic Substances

L. United Nations Draft Convention Against Transnational Organized Crime

M. Financial Action Task Force, 40 Recommendations

N. Observed experience of governments (“common sense”).