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Index of the session

Preventing and investigating corruption and fraud: the Anti-Fraud Office of Catalonia Workshop on "Fighting against corruption" Tunis, 20-21 May 2014 TAIEX JHA 48941 European Commission / Ministère de la gouvernance et de la lutte contre la corruption. Index of the session. Background.

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Index of the session

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  1. Preventing and investigating corruption and fraud: the Anti-Fraud Office of CataloniaWorkshop on "Fighting against corruption" Tunis, 20-21 May 2014TAIEX JHA 48941European Commission / Ministère de la gouvernance et de la lutte contre la corruption

  2. Index of the session • Background. • Nature & Independence. • Purpose: General Competences. • Introduction to the Anti-Fraud Office • Sphere of Action. • Collaboration. • Specific Investigative Competences. • Investigative powers. • Procedure. • Result of the proceedings: • Recommendations • Training. • Legal reports for legislative initiatives. • Following up of the proceedings. • Investigations Activities • Prevention Activities

  3. Background | Implementing UNCAC United Nations Convention against corruption Article 6 October 31, 2003 Act 14/2008 on the Anti-Fraud Office of Catalonia November 5, 2008

  4. The Anti-Fraud Office| Nature & Independence • Administrative External Controlling Body

  5. The Anti-Fraud Office| Purpose General Competences

  6. The Anti-Fraud Office| Purpose Specific Investigative Competences

  7. The Anti-Fraud Office| Collaboration

  8. The Anti-Fraud Office| Sphere of action Act 14/2008 on theAnti-Fraud Office of Catalonia Article 2 November 5, 2008

  9. The Anti-Fraud Office| Sphere of action Government. Parliament. 190 bodies, entities, companies, foundations & consortia* majority owned, or where the majority of directors are appointed by the Generalitat. • Including, in its case, their dependent: • Public bodies or entities • Public companies • Foundations • Consortia 4 Provinces. 41 Regions. 947 Municipalities. 1037 bodies, entities, companies, foundations & consortia* majority owned, or where the majority of directors are appointed by local entities**. PUBLIC SECTOR OF CATALONIA Respecting its autonomy (constitutionally recognized) 8 public universities. Act 14/2008 on the Anti-Fraud Office of Catalonia Article 2 November 5, 2008 * Source: 2014 Generalitat de Catalunya Budget. ** Source: Register of Local Entities of Catalonia.

  10. The Anti-Fraud Office | Limits to its sphere of action

  11. The Anti-Fraud Office| Investigative powers

  12. The Anti-Fraud Office| Investigation Reporting and detection Whistle-blower protection Receive complaints about public servants and citizens Detect suspicious activities Reservation of identity Prior determination of plausibility Case dropped Investigation Adopt preventive measures Governing principles Discretion and confidentiality Proporcionality Diligence and speed Results of the investigation Evidence of wrongdoing  Communication to Prosecutor’s Office or Judicial or Administrative Authorities Administrative irregularities, propose disciplinary proceedings  Reasoned report to Pertinent body Non-punishable behaviour  Recommendations to Pertinent body Absence of supporting evidence  Case dropped

  13. The Anti-Fraud Office| Result of proceedings

  14. The Anti-Fraud Office| Result of proceedings

  15. Reasoned Recommendations Law 14/2008, November 5th, Art. 21. Result of the proceedings, paragraph 3 Chapter V. Authority to issue guidelines. Article 31 «The Anti-Fraud Office can send reasoned recommendations to the government of the Generalitat suggesting the alteration, cancellation or incorporation of criteria for the purpose of avoiding dysfunctions or administrative practices that could be improved upon, within the cases and areas of risk of detected irregular conduct.» «The Anti-Fraud Office, by means of recommendations, makes suggestions to government departments, and to the natural persons and entities and private companies included within its sphere of action, for modification, cancellation or incorporation of criteria that can prevent dysfunctions or improve certain practices, within the hypotheses and areas of risk of irregular conduct noted as a result of the action taken by the Office.»

  16. Specific reasoned recommendations (I) Addressed to: Presidency Department of the Generalitat. Area: Public Grants. Date: October 2012. • It is recommended the amendment of art. 2 of the Decree 52/2005 that creates and regulates the registry of collaboration and cooperation agreementsto include the registration and control of agreements signed by public entities with private entities (only the registration between public entities is foreseen). • This recommendation’s aim is: • To minimize the possibility of duplicity in the object of the agreement. • To facilitate the control of grants and subsidies. • To increase transparency. Addressed to: Department of Culture of the Generalitat. Area: Public Grants. Date: September 2013. • The application of the legally foreseen possibility to attribute directly a grant or subsidy to a beneficiary, which implies avoidance of prior publication in official journals and competition must be duly justified in detail in the file. • The attribution of a grant or subsidy directly to a beneficiary does not exclude the obligation to publish ex-postin official journals the notice of its attribution. • If a grant or subsidy if attributed to a beneficiary by means of a public/private agreement, the file of its approval process must include a report justifying its background, objectives, as well as legal and economic reports on the means of control, the reciprocal duties assumed and, in its case, the costs assumed by the administration.

  17. Specific reasoned recommendations (II) Addressed to: Department of Governance and Institutional Relations of the Generalitat. Area: Conflict of interests. Date: May 2012. • Ex-ante control: It is recommended to establish a control ex-ante of possible conflict of interests and incompatibilities of appointed high public officials, foreseeing their declaration at the Registry of Activities of those professional activities performed before the appointment (the law does not currently foreseen this aspect). • It is also recommended the definition of conflict of interests, defining in a more specific manner the incompatibilities regime and the abstention causes. • We consider necessary to define the “conflict of interest” concept including a comprehensive and more severe regulation of incompatibilities and causes and situations to abstain from. Addressed to: Department of Governance and Institutional Relations of the Generalitat. Area: Conflict of interests. Date: July 2012. • Ex-post control: The Anti-Fraud Office of Catalonia deems necessary: • To foresee exceptions to the maximum 2-year term after leaving the public post, to which private activities are forbidden within certain limits, in cases which the effects of its intervention or the public knowledge is posterior. That term may be insufficient. • A broader limitation of private activities is deemed necessary. • It’s also convenient to strengthen the independence of the administrative body competent in controlling incompatibilities.

  18. Specific reasoned recommendations (III) Addressed to: Department of Governance and Institutional Relations, and Department of the Interior of the Generalitat. Area: Public Service. Date: November 2011. • It is recommended to the Catalan Government and the Interior Department and Governance and Institutional Relations the adoption, according to art. 61.4 of the Law 7/2007 of the Basic Statute of the Public Employee of Catalonia to appoint the School of Public Administration of Catalonia as a central for the selection of public employees through the creation of permanent and specialized bodies for the organization of the selection procedures. • This recommendation’s aim is: • To minimize the avoidance of the principles of capacity and merit when selecting public employees. • To ensure the objectivity and independence of the selecting body. Addressed to: Department of Justice of the Generalitat. Area: Other. Date: May 2012. • It is recommended the regulatory development of the Law 7/2006 of the practice of liberal professions and professional associations and/or societies, in particular: • The law imposes the obligation to issue to the Catalan Government the annual report of management amongst other data.Means to fulfill this obligation must but hasn’t been developed by regulations. • In the investigated case, it was proven that the report was not available.

  19. Specific reasoned recommendations (IV) Addressed to: Department of Justice of the Interior of the Generalitat. Area: Public Procurement. Date: February 2014. • It is recommended to implement rotation of the public servants in charge of public procurement to avoid their exposure and contact to economic operators. • Objective parameters must be defined so it is possible to decide when an offer is abnormally low. • When a tender is identified as likely to be abnormally low, the economic operator must be allowed to explain the offer and its costs, avoiding the automatic labelling as abnormally low. • To enhance competition, the division of large contracts into lots is encouraged. Such division must be duly justified in a legal report. Addressed to: Department of Justice of the Generalitat. Area: Other. Date: May 2012. • It is recommended the regulatory development of the Law 7/2006 of the practice of liberal professions and professional associations and/or societies, in particular: • The law imposes the obligation to issue to the Catalan Government the annual report of management amongst other data.Means to fulfill this obligation must but hasn’t been developed by regulations. • In the investigated case, it was proven that the report was not available.

  20. The Anti-Fraud Office | Prevention Legal reports for legislative initiatives Training

  21. Thank you Merci beaucoup tfranch@antifrau.cat | www.antifrau.cat AnnualReport: http://antifrau.cat/images/stories/documentos/documents_pdf/memoria_2013/Memoria_2013_English.pdf

  22. Name of your presentation Numerus apertus checklist (I)

  23. Name of your presentation Numerus apertus checklist (II)

  24. Name of your presentation Sensitive areas: Careful scrutiny of the preparation of specifications phase: Domino effect. Defective preparation may be the 1st indicator of actual corruption. Otherwise facilitates it. Proper and extensive use of online information procedures. Best prevention mechanisms: Rotation. Interaction between internal auditors & external auditors and investigators: To raise awareness. To provide technical support. Sensitive Areas & Prevention Mechanisms

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