TRUST -- PUBLIC SECTOR INTEGRITY AND LOBBYING

Transcription

1 TRUST -- PUBLIC SECTOR INTEGRITY AND LOBBYING Ministry of Finance Helsinki, 16 May 2018 Janos Bertok Head of Public Sector Integrity Division OECD

2 Overview of presentation 1. Integrity & public trust what we know 2. New vision: 2017 OECD Recommendation on Public Integrity 3. Systemic approach & behavioural insights 4. Regulation of lobbying: lessons from trends & country experiences

3 DEU ISL ISR AUT SVK JPN CHE GBR CZE GRC IRL KOR NZL HUN POL OECD EST DNK TUR CHL FRA ITA USA AUS SWE NLD NOR CAN LUX BEL MEX FIN ESP PRT SVN IDN LTU ARG PER CRI LVA ZAF IND BRA COL Facing global challenges: Trust in government is either low, declining or both Confidence in national government in 2015 and its change since 2007 (% of respondents who expressed confidence in their national government ) Percentage points % in 2015 (right axis) Percentage points change since 2007 (left axis) 100 % Source: World Gallup Poll (2015) 3

4 Key drivers for building trust: OECD findings 1. Competence 2. Values

5 Values 3 key drivers 1. Citizens expect high standards of integrity E.g. Leadership by example 2. Government are expected to be more open E.g. Making budgets more transparent, understandable & accessible 3. Citizens expects fair outcomes E.g. Assessing the distributional impacts of structural policies

6 Change in survey trust associated with 1 standard deviation change in What are the key determinants of trust in Government? 0,45 0,4 Drivers of trust in Government Average of 8 countries in Trustlab 0,35 0,3 0,25 0,2 0,15 0,1 0,05 0 Source: OECD Trustlab

7 OECD Recommendation on Public Integrity 2017

8 A coherent and comprehensive integrity system across the whole of government (1) Mechanisms for co-ordination between central and subnational integrity bodies No coordination 3 Legal agreements /memorandums of understanding between levels of government 4 Inter-institutional design of integrity policies 7 OECD Total Guidance by a central government body (or unit) Regular meetings in specific integrity committee or commission 9 11 Finland Source: OECD (2017), Government at a Glance 2017, OECD Publishing, Paris,

9 A coherent and comprehensive integrity system across the whole of government (2) Mechanisms to mainstream integrity policies across line ministries Head of central government body participates in meetings of the council of ministers 7 Line ministries have dedicated integrity officials or units 17 Guidance by a central government body (or unit) 22 Finland OECD Total Normative requirements (i.e. policies and guidance) Source: OECD (2017), Government at a Glance 2017, OECD Publishing, Paris,

10 A risk-based approach to public integrity (1) Laws require line managers in the executive branch to implement and monitor internal control and risk management policies Yes, specifically for integrity/ corruption risk management 16 Yes, for risk management policies 22 Finland Yes, for internal control policies Source: OECD (2017), Government at a Glance 2017, OECD Publishing, Paris,

11 A risk-based approach to public integrity (2) Central internal audit function auditing more than one government ministry Central internal audit function including dedicated integrity objectives France Greece Yes 67% Italy Japan Yes 48% No 33% No 52% Source: OECD (2017), Government at a Glance 2017, OECD Publishing, Paris,

12 BEHAVIOURAL ASPECTS

13 A human-centred perspective on integrity Integrity is more than compliance with rules it is a personal choice to act morally and in the public interest. The majority of people are committed to integrity, but not always aware of their personal responsibility.

14 Adverse effects of control and enforcement - individual perception Human (mis-)perceptions of control and enforcement Distrust Extortion Carte blanche Rationalisation Risk Signals that corruption is anticipated, which can become a self-fulfilling prophecy. Sanctions can be used as a threat to silence confidants in corrupt networks. Compliance with the external norm can be an excuse for avoiding personal moral reflection. Focusing on how to pass the control, matters of moral responsibility can be shoved to the side.

15 Behavioural risks of a control-based approach Policy approach Risk Deterrence A focus on passing the control instead of personal moral choice A culture of fear limiting whistleblowing and enabling extortion Formal requirements A check-the-box approach to integrity in lieu of personal moral responsibility Formally proven integrity as an excuse for unethical behaviour in other realms Transparency Disclosure of information as carte blanche to not take responsibility for its content Overwhelming, confusing or inconvenient disclosure prevent civil society follow-up

16 Adverse effects of control and enforcement - social interaction Control mechanism (Mis-)Perception Limits freedom of actions Involves more people (e.g. 4-eyesprinciple) Certifies integrity externally Individual actions matter less lower personal moral responsibility

17 LOBBYING

18 Key factors for balancing the cost and benefits of disclosure on lobbying Addressing concerns forward-looking versus ad hoc approach Maturity of open government system informing actors and stakeholders Sharing the cost easy registration and reporting by ICTs resources available for managing the register

19 Transparency of government policymaking, 1-7 (best), WEF Is transparency in policymaking a lever for trust in government? Link between public trust in politicians and transparency in government policymaking (2013) CZK GRC HUN ITA SVN SVK MEX ESP POL KOR PRT JAP AUT CHL EST ISL IRL OECD TUR USA AUS ISR FRA BEL GBR CAN DEU DNK FIN CHE NZL LUX SWE NLD NOR R² = Public trust in politicians, 1-7 (best), WEF Source: World Economic Forum Global Competitiveness Report ( )

20 Transparency drives lobby reforms 100% 90% 80% 70% Does transparency in lobbying increase citizens trust in the public decision-making process? 60% 50% 40% 42% 38% Does transparency in lobbying increase citizens trust in the public decision-making process? 36% Legislators Lobbyists 30% 26% 26% 20% 10% 0% 16% Strongly agree Agree Neutral Disagree Strongly disagree 5% 8% 0% 2% Source: Lobbyists, Governments and Public Trust, Volume 3. Implementing the OECD Principles for Transparency and Integrity in Lobbying, OECD 2014

21 What information should be public?

22 What incentives? Easy registration Source: Lobbyists, Governments and Public Trust, Volume 3. Implementing the OECD Principles for Transparency and Integrity in Lobbying, OECD 2014

23 Regulation of lobbying is accelerating 16 OECD countries have regulations on lobbying 8 in this decade, including Ireland in 2015

24 Actors & types of communication that stakeholders believe should be covered by lobbying rules

25 Implementation: How to make it effective? Raising awareness with tailored measures Most effective ways to learn about lobbying rules/guidelines according to legislators; and integrity standards and transparency tools according to lobbyists Briefing 50% 55% Lecture 17% 22% Workshop 33% 67% Online training 24% 67% Conference or learning event Direct communication 33% 37% 35% 67% Legislators Lobbyists Scenario-based training 33% 36% Provision of training material Information on the website of the office responsible for lobbying 17% 33% 26% 36% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Source: Lobbyists, Governments and Public Trust, Volume 3. Implementing the OECD Principles for Transparency and Integrity in Lobbying, OECD 2014

26 Areas of Concern 1: Revolving doors Are there restrictions on public officials engaging in lobbying activities after they leave the government? Source: Lobbyists, Governments and Public Trust, Volume 3. Implementing the OECD Principles for Transparency and Integrity in Lobbying, OECD 2014

27 Pre-public employment: OECD countries restrictions on lobbyists to fill regulatory or advisory posts in government No 29% Yes 71% Source: Lobbyists, Governments and Public Trust, Volume 3. Implementing the OECD Principles for Transparency and Integrity in Lobbying, OECD 2014

28 Areas of Concern 2: Advisory-expert groups A balanced composition of interests? Source: Lobbyists, Governments and Public Trust, Volume 3. Implementing the OECD Principles for Transparency and Integrity in Lobbying, OECD 2014

29 Some lessons? Compliance by incentives and enforcement remains a challenge Focusing on addressing lobbying concerns and risks in order to foster confidence in policy making Limited measurement of costs and benefits Identifying relevant data, benchmarks, and indicators in relation to transparency in lobbying Linking to the broader Open Overnment and Integrity System remains vital Integrating lobby register in a whole-of-government 21stcentury Integrity System

30 Lobbying: trends in Europe Call for stricter lobbying regulations across Europe & at EU 8 European countries with mandatory registers 4 European countries have voluntary registers Diversified approaches to the regulation of lobbying

31 The UK experience In the UK, a statutory lobbying register stands alone a self-regulatory regime for ethical conduct Statutory register: fosters transparency on who is attempting to influence ministers and permanent secretaries Self-regulatory regime: promotes ethical standards among lobbyists Narrow definition of lobbyist excludes many organisations influencing policy

32 The Irish experience Focus on rules-based approach Statutory register virtually applies to anyone seeking to influence policy Covers representations made to Ministers and Ministers of State MPs, MEPs, Senators and Members of local authorities Special advisors Senior officials in public service at national and municipal levels Information that is published: Who is lobbying and is being lobbied, and on whose behalf Issues involved Intended result of lobbying

33 The Canadian experience Relies on both values and rules to promote integrity in lobbying Together the Lobbying Act and Lobbyists' Code of Conduct promote transparent and ethical lobbying and foster integrity in government decision-making: Act: imposes transparency obligations and post-employment bans on lobbying Code: encourages ethical behaviour among lobbyists

34 Further info oecd.org/governance/ethics/

35 THANK YOU FOR YOUR ATTENTION! ANY QUESTION?