Discipline of civil servants, conflict of interest and ethics

1. Discipline of civil servants, conflict of interest and ethics Peter REINBERGAustria

2. Introduction • Transparency International (TI) – Global Corruption Barometer • Austria 15th • Austrian federation – examples of corruption: • Austrian consular officials – grants for issuing visa • former head of the Federal Criminal Office (our FBI) – accused cabinet members of partisan politics • political investigation comittee

3. Introduction • Upper Austria – examples for corruption: • head of district administration and his secretary • head of guest house and three of her staff • All convicted by criminal courts • contractual public employees – dismissal possible • civil servants – transferred to other posts • disciplinary proceedings – independent disciplinary board

4. Statutory rules in Austria • Penal Code • Abuse of power • up to 5 years imprisonment • Acceptance of gifts • in breach of duty – up to 3 years imprisonment • in accordance with duty – up to 1 year imprisonment • acceptance of gifts – without connexion to concrete official transaction (so-called feeding)

5. Statutory rules in Austria • Civil Servants Act 1979 • Acceptance of gifts • excepted are only small gifts of little value • Secondary occupation • forbidden when • prevents from duties • suspicion of bias • (Im)partiality • To abstain from matters in which relatives are involved

6. Statutory rules in Austria • Offical secret • Civil servant and instructions: • may (=has to) refuse to observe an instruction • from a position not competent or • if observance would violate criminal law • regards the instruction as unlawful obliged to tell his objections to his superior • HR authority decides whether the instruction is to observe or not

7. Code of Conduct • UN Convention against Corruption • GRECO convention • Federal Government of Austria – government program 2007-2010 • Code of Conduct – working group • USA-Standards of Ethical Conduct for the Employees of the Executive branch • Canada – Values and Ethics – Code for the Public Service • European Parliament – Guidelines for the duties of the civil servants and employees • Germany – Guidelines for the prevention of corruption in the federal administration • City of Vienna – A question of ethics – handbook for the prevention of corruption

8. Code of Conduct • code is neither law nor decree or regulation • guideline, standard of good practice, "soft law" • Values underlying the conduct of civil servants: • democracy • transparency • participation • quality • respect • diversity and non-discrimination • impartiality and integrity • accountability

9. Code of Conduct • Critical points for conflicts of interest • Small gifts maintain a friendship • Recommendations • make clear to your client • inform your superior • be careful against invitations

10. Code of Conduct • Sponsoring in Public Administration • no sponsoring for core tasks • sponsoring must remain the exception • sponsoring must be transparent • clear contracts, receipts • Public Procurement • detailed national laws and rules • competitors have sufficient legal ways

11. Code of Conduct • Secondary occupation • CS – neglects official duties • occupation – creates danger of bias • CS has to inform superiors and the HR department • Upper Austria: approval by HR in advance • Official secret vs. Transparency • conflicting interests • protection of personal data • contacts to the media • media secret privilege

12. Implementation • Responsibility of leaders • creating codes of conduct • training and supervising their collaborators • being role models themselves: verba movent, exepmla trahunt • giving clear competence by delegation • putting the right person in the right place • rotating officials in sensible positions

13. Implementation • Violations of the Code of Conduct – measures • talk and admonition in lesser cases • interdiction of a secondary occupation • transfer to another post • disciplinary measures by the HR authority • disciplinary measures by the independent disciplinary board: • appeal is possible to the independent superior disciplinary board • termination to the next possible term or immediate dismissal of a contractual • appeal is possible to the labour and social courts • report to the Public Prosecutor • disciplinary proceedings are interrupted • CS can be suspended or transferred

14. Implementation • Internal and external control • Internal review • central unity • review plans • Courts of Auditors • Federal Court of Auditors • 9 Regional Courts of Auditors

15. Implementation • Internal/external publication of the code • directed primarily to the civil servants • reflects to the general public • folder • General code/adaptations or appendices • 3-level-code • Level 1 – concise preamble - folder • Level 2 – guidelines for the different chapters • Level 3 – voluminous annex • style – shortlist similar to the 10 biblical orders

16. Conclusion; Acknowledgements • Discipline and ethics – a permanent concern in public administrations • culture of honesty and transparency, of justice and integrity • superiors – good example • Working group • TI • Francisco Cardona