Promoting Integrity
Evaluating and Improving Public Institutions
A J Brown
Professor of Public Law
Centre for Governance & Public Policy
Griffith University, Australia.
Board member, Transparency International Australia.
NZ State Services Commission, Wellington
6 November 2012
Better Public Services
• government agencies working more closely together and
organising themselves around results that make a difference
to New Zealand
• sharing functions and services, purchasing goods and
services, and developing systems together
• greater use of technology and a shift to digital channels, so
New Zealanders can more easily access government
services
• agencies improving how they measure and report on
performance
• greater responsiveness within the public sector to the
needs and expectations of New Zealanders, and a
commitment to continuous improvement.
Media, unions, political parties 'corrupt'
Sydney Morning Herald, November 6, 2012
AUSTRALIANS view the media, unions and
political parties as the most corrupt
institutions in society, according to a poll by
the Australian National University.
…
Despite the belief that corruption occurs,
fewer than 1 per cent of respondents said
they or a family member had personally
experienced corruption in the past five
years.
The poll found 43 per cent of people
surveyed believed corruption in Australia
had increased while 41 per cent believed it
had remained the same. Only 7 per cent
believed corruption had declined.
Chaos or Coherence?
Strengths, Challenges & Opportunities for
Australia’s National Integrity Systems
National Integrity System Assessment
Australian Research Council Linkage Project
Report (2005)
Australian Research Council
Linkage Project
TRANSPARENCY
INTERNATIONAL
AUSTRALIA
Transparency International’s National Integrity System
Jeremy Pope (ed), TI Sourcebook 2000, p.35
Sectors, ‘Core’ & ‘Distributed’ Institutions
Public Sector
Private Sector
Police
Core Integrity Institutions
(Regulators / Societal
Integrity Systems)
Anti-Corruption
Commissions
Industry
Ombudsmen
Austn Stock
Exchange Ltd
ASIC
ACCC
APRA
Ombudsmen
Public Service
Commissions
Compn
Tribunals
Auditors-Genl
Auditors
Public
Large
Companies
Private Companies
Distributed Institutions
(The Regulated /
Organisational
Integrity Systems)
Small & Medium
Private Companies
Govt Owned
Corporations
Govt
Departments
Statutory Bodies
Local Govts
Private/Public Companies
Public Sector Agencies
Relationships between NSW Public Sector Agencies and Integrity Agencies
and Organisations (Smith 2005)
++
+
++
++
+
++
+
++
+
++
++
+
++
++
+
+
++
+
++
+
+
++
+
++
+
++
++
++
++
+
+
++
++
+
+
++
+
+
+
+
++
+
+
+
+
l
ta
To
3
er
th
O 2
er
th
O 1
er
th
O G
++
++
++
+
++
+
++
+
++
++
+
+
++
+
C
O
+
++
++
++
++
+
++
++
++
+
+
IC
+
++
++
++
++
++
++
+
++
+
P
+
+
++
++
++
+
++
++
+
+
++
++
++
++
++
+
++
++
+
++
+
+
C
C
++
++
++
+
++
++
++
++
++
++
++
+
+
++
++
++
+
++
+
++
++
++
++
++
++
++
+
C
H
+
++
++
T
3
18
7
9
13
4
8
16
17
20
19
10
11
5
6
12
14
1
2
15
D
A
e
ic
ol
P
l
ar
P
s
rt
ou
C
m
re
P
en
-G
ud
A mb
O
C
A
IC
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
Agency
++
+
++
10
10
9
9
9
8
8
8
8
8
7
6
6
5
5
5
5
4
4
0
Notes:
++ indicates ‘very important’ to the agency.
+ indicates ‘fairly important’ to the agency.
‘Other’ columns refers to ‘very’ or ‘fairly’ important integrity agencies and organisations not
listed in the interview schedule/questionnaire but raised by the respondent.
MONEY, POLITICS, POWER:
CORRUPTION RISKS IN EUROPE
A COMPREHENSIVE ASSESSMENT OF HOW 25 EUROPEAN STATES
ARE FARING IN THE FIGHT AGAINST CORRUPTION
TRANSPARENCY
INTERNATIONAL
June 2012 -- http://www.transparency.org/research/nis/
A Ten-Point Integrity Plan for the Australian
Government –
Submission by Transparency International Australia
on the Proposed National Anti-Corruption Plan
May 2012
http://www.transparency.org.au
Health of the integrity system?
1) Parliamentary, electoral and ‘political’ integrity
2) Australian engagement and complicity
in foreign corrupt practices
•
•
•
•
Foreign bribery by Australian companies
Foreign bribery by Australian GOCs
Foreign bribery facilitated by Australian trade agencies?
Australian real estate and banking system as a haven for
proceeds of foreign corruption… NZ?
3) A lawyer’s issue! Defining ‘official corruption’
Traditional corruption offences
‘Corruption in public administration’ (SA)
‘Corrupt conduct’ (ICAC NSW)
‘Official misconduct’ (CMC Queensland)
‘Corrupt conduct’
(Law Enforcement Integrity Commissioner Act 2006 (Cth)
‘Improper conduct’ (WA, Vic)
Misconduct and disciplinary regimes generally.
Review of Victoria’s Integrity and Anti-Corruption System (May 2010), Figure 10
Figure 1: Types of misconduct in finalised Australian Public Service
Code of Conduct investigations, 2009–10 and 2010–11
Source: Australian Public Service Commission (2011)
Type of misconduct
Employees investigated for
this type of misconduct (no.)
%
2009–10 2010–11
change
Cases where a breach
was found (%)
%
2009–10 2010–11
change
Conflict of interest
59
72
+22%
61
86
+41%
Fraud other than theft
(e.g. identity fraud)
54
64
+19%
61
83
+36%
Theft
17
11
-45%
47
64
+36%
Improper use of position
status (e.g. abuse of power,
exceeding delegations)
69
58
-16%
30
50
+67%
Unauthorised disclosure of
information (e.g. leaks)
19
24
+26%
42
71
+69%
Health of the integrity system?
4) Issues for public administration –
the anti-corruption / misconduct ‘infrastructure’
Some Core Public Integrity
Institutions in Australia, 2004
AuditorGeneral
Ombuds-man
Police
Complaint
Authority
2
Police
Integrity
Comn
3
AntiCorruption
Comn
Crime
Comn
NSW
1
4 (ICAC)
QLD
1
2
3
(Crime & Misconduct Commission)
West
Aust
1
2
3
(Corruption & Crime Commission)
Sth
Aust
1
2
Cth
1
2
Vic
1
2
Tas
1
2
5
3
NB These tables do not include Public Service Commissions or equivalents, or Health Care Complaints Commissions and a
range of other specialist independent integrity bodies, other than those dedicated to police.
3
Some Core Public Integrity
Institutions in Australia, 2012
AuditorGeneral
Police
Complaint
Authority
Ombudsman
Police
Integrity Comn
Anti-Corruption
Comn
Crime Comn
4 (ICAC)
5
NSW
1
2
3
Cth
1
2
3
(ACLEI)
Sth Aust
1
2
3
(Police Omb)
4
4
(ICAC + Office of Public Integrity)
QLD
1
2
3
(Crime & Misconduct Commission)
West Aust
1
2
3
(Corruption & Crime Commission)
Tas
1
2
3
(Integrity Commission)
Vic
1
2
3
(IBAC inc Office of Police Integrity)
Australia’s newest
Independent Commissioner Against Corruption Bill 2012
• Historic integrated approach?
− Corruption (criminal offences)
− Misconduct in public administration (breach of codes)
− Maladministration (plus role of Ombudsman)
• But query?
1) Implies but does not require ‘mandatory’ reporting of misconduct
2) Implies Commissioner does not investigate misconduct
3) Commissioner directs Ombudsman on maladministration?
4) Public ‘statements’, but not hearings / inquiries
5) No general public reporting power (‘dissatisfaction’ only).
Not including Crime Commissions, Public Service Commissions, Health Care Complaint Commissions, etc
2011-2012
(projected)
2010-2011
2009-2010
2008-2009
Tas
2007-2008
2006-2007
SA
2005-2006
2004-2005
WA
2003-2004
2002-2003
NSW
2001-2002
2000-2001
1999-2000
Vic
1998-1999
1997-1998
Qld
1996-1997
1995-1996
1994-1995
1993-1994
1992-1993
1991-1992
1990-1991
Core Integrity Agencies - Ratio of Combined Expenditure
as a % of All Public Sector Expenditure 1990-2012
Cth
0.2500%
0.2000%
0.1500%
0.1000%
0.0500%
0.0000%
Health of the integrity system?
5) Issues of oversight and accountability –
-- Inspectors
-- Special investigations monitors
-- Parliamentary committees
Commonwealth Ombudsman
6) A ‘bottom up’ view: issues for the average public servant
-- The state of whistleblower protection
% of respondents who observed very/extremely serious
wrongdoing
How many don’t report? Select case study agency
reporting and inaction rates
100
95
7.4
8.3
16.1
90
20.0
20.8
26.7
85
16.7
80
75
18.8
29.3
11.2
43.8
12.5
37.0
70
8.3
20.0
65
18.3
60
Mean
28.6%
nationally
17.4
55
50
14.1
45
40
75.0
35
30
72.7
60.0
51.9
25
66.7
68.8
55.0
52.2
Did not report, no action, no-one else reported
Did not report but dealt with by self / others reported
Report
Missing
20
15
10
42.2
5
0
B
H
F
C
G
D
Case study agencies
A
E
I
Fig 2.4
p.49
‘Propensity’ – Newspoll (2012) v public sector (2008)
A
B
C
Australian employees
If I observed
& org members
wrongdoing, I would
(n=820) (Newspoll)
feel personally obliged All public servants
(n=7530)
to report it to someone
Cth public servants
[in my organisation]
(n=2285)
If I reported wrongdoing Australian employees
& org members
to someone in my
(n=820) (Newspoll)
organisation, I am
All public servants
confident something
(n=7459)
appropriate would be Cth public servants
done about it
(n=2262)
Australian employees
Management in my
& org members
organisation is serious
(n=820) (Newspoll)
All public servants
about protecting
(n=7453)
people who report
Cth public servants
wrongdoing
(n=2260)
Disagree
Neither /
can’t say
Agree
6.1
13.8
80.1
100%
3.3
17.7
79.0
100%
2.9
14.9
82.1
100%
18.4
26.9
54.5
100%
18.4
32.9
48.7
100%
17.9
33.1
49.0
100%
13.8
37.4
48.8
100%
16.3
50.6
33.2
100%
15.8
52.6
31.6
100%
State of reform - Australian whistleblowing legislation
Juris
Reform
Original
1. Effective system
& oversight
2. Public
disclosure
3. Effective
remedies
ACT
2012
1994
1
1
NKTW
NSW
2010-11
1994
1
3
NKTW
QLD*
2010
1994
2?
2
NKTW
WA
2012?
2003
2?
2?
NKTW
VIC
??
2001
2?
Missing
NKTW
TAS
2009
2002
2?
Missing
NKTW
NT
--
2008
?
Missing
NKTW
CTH
Waiting…
1999?
Proposed?
Proposed?
???
SA*
2012?
1993
Missing
NKTW
NKTW
Stalled?
2004
Missing
Missing
NKTW
Corps Act*
* Some private sector coverage
NKTW: Not known to work
Better Public Services
• government agencies working more closely together and
organising themselves around results that make a difference
to New Zealand
• sharing functions and services, purchasing goods and
services, and developing systems together
• greater use of technology and a shift to digital channels, so
New Zealanders can more easily access government
services
• agencies improving how they measure and report on
performance
• greater responsiveness within the public sector to the
needs and expectations of New Zealanders, and a
commitment to continuous improvement.