10th ASOSAI Research
Project
Australian National Audit Office (ANAO)
28-30 August 2013
Dr Thomas Clarke
Executive Director
Performance Audit Services Group
Australian National Audit Office
1
Assessment of anti-corruption
Part 1: National anti-corruption strategy and action plans
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Q1.
Does your country have an anti-corruption strategy?
(
)
Stand-alone anti-corruption programme or anti-corruption strategy
(
)
Umbrella document with separate programmes for sectors or ministries
(
)
Section in another policy document, e.g. national development or
investment programme
(
)
Does not exist at all
(
)
Other (Please specify)..............................................................................
Q2.
Which of the following chapters or content is covered in the anti-corruption document in your
country? (Please check the relevant one[s])
(
)
Background chapters on levels and trends of corruption and
assessment of previous anti-corruption efforts
(
)
Level of implementation of previous strategy
(
)
Objectives and priority areas
(
)
Chapters on prevention and criminalisation/law-enforcement measures,
(
)
Public participation/education
(
)
Monitoring and assessment mechanism and criteria
(
)
Other chapters (Please specify)............................................
2
Assessment of anti-corruption
Part 1: National anti-corruption strategy and action plans
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Q3.
Does the anti-corruption strategy have an action plan?
(
)
Yes
(
)
No
(
)
Other (Please specify). Action Plan is ready for launch.
Q4.
Which of the following elements are contained in the Anti-corruption action plan? (Please
check the relevant one[s])
(
)
Specific measures for each objective
(
)
Specific institutions responsible for the implementation of each
measure
(
)
Time-frame for implementation
(
)
Criteria for assessing implementation
(
)
Budget specially allocated for the implementation of the action plan
(
)
Institution responsible for co-ordination, implementation and reporting
on the action plan
(
)
Other chapters (Please specify). Action Plan is ready for launch.
3
Assessment of anti-corruption
Part 1: National anti-corruption strategy and action plans
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Q5.
Are the anti-corruption document(s) and action plan(s) publicized?
(
)
Yes
(
)
No
(
)
Other (Please specify).............................................................................
Q6. Which the following measures that your country has employed in fighting corruption?
(
)
Open and transparency in the operation of agencies
(
)
Development and implementation of entitlements, norms and standards
(
)
Administrative reform
(
)
Development and enforcement of the code of conduct and
the code of professional ethics
(
)
Penalty forms to heads of the agencies in case of occurrence of
corruption
(
)
Salary payment via bank account
(
)
Declaration of assets and income
(
)
Regulation of returning gift by the public officials
(
)
Other (Please specify)............................................................................
4
Assessment of anti-corruption
Part 2: Anti-corruption agency
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Q7.
Does your country have an anti-corruption agency (ACA) or a specialist authority for anticorruption?
(
)
Yes
(
)
No
(
)
Other (Please specify). Anti-corruption activity is shared between
several agencies in Australia including: Australian Commission for Law Enforcement Integrity;
Australian Transaction Reports and Analysis Centre; Australian Crime Commission;
Commonwealth Fraud and Anti-Corruption Centre in the Australian Federal Police; InspectorGeneral of Intelligence and Security; Australian Public Service Commission; Commonwealth
Ombudsman and Commonwealth Anti Corruption Unit in the Attorney-General’s Department.
5
Assessment of anti-corruption
Part 2: Anti-corruption agency
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Q8.
What are the main responsibilities/functions of the ACA in your country? (Please check the
relevant one[s])
(
)
Monitor and evaluate the implementation of the anti-corruption strategy
(
)
Collect, centralize and exploit the denunciations
(
)
Conduct investigations
(
)
Disseminate knowledge on anti-corruption activities
(
)
Raise public awareness about the fight against corruption
(
)
Identify the causes of corruption and to propose to the competent
authorities of measures to help eliminate it
(
)
Draw a risk map of corruption in the country
(
)
Anti-corruption screening of legal acts
(
)
Research and analysis on corruption
(
)
Keep a database on the statistics regarding cases of corruption year by
years
(
)
Research and analysis on conflict of interest in the public management
(
)
Other (Please specify).............................................................................
6
Assessment of anti-corruption
Part 2: Anti-corruption agency
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Q9.
Does your agency re-evaluate bodies/ areas/ activities having high risk of corruption in order to
employ appropriate measures to mitigate corruption?
(
)
Regularly, periodically
(
)
Sometimes
(
)
Rarely
(
)
Never
Q10. Has your agency established a hotline (a specific telephone number) or a website in order to
facilitate citizens to complain of corruption actions?
(
)
Yes, we have
(
)
No, we have not established it yet
(
)
We are in the process of establishing
(
)
No information to confirm
7
Assessment of anti-corruption
Part 3: Legal Background
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Q11.
How does your country criminalize different types of corrupted activities?
(
)
By a Special law on Anti-corruption
(
)
By the Criminal Law
(
)
By various laws with certain provisions concerning corruption
(
)
Other (Please specify).........................................................................
Q12. In which of the following types of corruption does your country need to enact new legislation to
better prevent and detect the relevant cases of corruption? (Please check the relevant one[s])
(
)
Abuse of position/power
(
)
Fraud
(
)
Bribery
(
)
Criminal breach of trust
(
)
Extortion
(
)
Embezzlement
(
)
Forgery
(
)
Influence peddling
(
)
Kickback
(
)
Nepotism
(
)
Other (Please specify)..........................................................
8
Assessment of anti-corruption
Part 3: Legal Background
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Q13. Please rank from 1 to 3 (most to least) the following types of measures against corruption
based upon your experience in your country?
(1
) Preventive policies and measures (improving transparency and accountability
etc.)
(2
) Detective actions (prosecutions, investigations, audits etc.)
(3
) Punitive measure (Implementing criminal and disciplinary sanctions etc.)
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Q14.
Does your country have laws and regulations governing the financing of political parties?
(
)
Yes
(
)
No
(
)
Other (Please specify).............................................................................
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Q15.
Does your country have laws and regulations governing code of ethics of public officials?
(
)
Yes
(
)
No
(
)
Other (Please specify)..............................................................................
9
Assessment of anti-corruption
Part 3: Legal Background
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Q16. Does your country have laws and regulations governing declaration of assets by public
officials?
(
)
Yes
(
)
No
(
)
Other (Please specify)..............................................................................
Q17.
private sectors?
(
(
(
Does your country have “accounting and auditing standards” for both public and
)
)
)
Yes
No
Other (Please specify)..............................................................................
Q18.
In your country do public officials have legal obligation for public officials to report
corruption-related offence?
(
)
Yes
(
)
No
(
)
Other (Please specify)..............................................................................
10
Assessment of anti-corruption
Part 3: Legal Background
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Q19. How would you rate the implementation of the rules/regulation in combating corruptions?
(
) Very poor
(
) Poor
(
) Fair
(  ) Good
(
) Very good
11
Assessment of anti-corruption
Part 4: International Cooperation
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Q20.
Has your country have ratified United Nations Convention against Corruption (UNCAC)
(
)
Yes
(
)
No
(
)
Other (Please specify)......................................................................
Q21.
If already ratified UNCAC, has your country begun the UNCAC peer review process?
(
)
Yes
(
)
There is a scheduled peer-review process
(
)
No plans yet
Q22. Is your country a member of any anti-corruption conventions, initiatives or international project
(OECD Convention on Combating Bribery of Foreign Public Officials in International Business
Transactions; GRECO etc.)?
(  ) Yes (please specify). OECD Convention on Combating Bribery of Foreign Public
Officials in International Business Transactions and OECD Working Group on Bribery in
International Business Transactions; G20 Anti-Corruption Action Plan and G20 Anti
Corruption Working Group (chair); 2005 Paris Declaration on Aid Effectiveness and the
2008 Accra Agenda for Action; Open Government Partnership; Asia Pacific Economic
Cooperation (APEC) Anti Corruption Working Group; Pacific Islands Law Officers
Network; FATF and Egmont.
(
) No.
12
Assessment of anti-corruption
Part 4: International Cooperation
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Q.23 In your anti-corruption experience, how do you think about the success level of international
cooperation?
International Cooperation
Low
Moderate
21.1 Extradition

21.2 Mutual legal assistance

21.3 Asset recovery
High

21.4 Cooperation with law enforcement authorities and
between national and international authorities

21.5 Cooperation between national authorities and the
private sector and international cooperation

13
Assessment of anti-corruption
Part 5: Promoting Awareness
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Q24.
How do you assess the effect of media in fighting corruption?
(
)
Media have had good effect of helping public to recognise the real
situation of corruption and the need to promote anti-corruption
(
)
To some extent, media have helped public to recognise the real
situation of corruption
(
)
To some extent, media have helped public to recognise the real
situation of corruption, however, the provided information sometimes
inaccurate and un-objective.
(
)
Media exaggerate the corruption situation
(
)
Other (Please specify)................................................
Q25: How does society (including socio-political organisations, socio-professional organisations,
citizens…) participate in tackling corruption?
(
)
Actively and effectively
(
)
Actively but not effectively
(
)
Rather actively
(
)
Not participate
14
Assessment of anti-corruption
Part 5: Promoting Awareness
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Q26. How would you compare the level of anti-corruption efforts in your country now with those in
past years? Is the current level of anti-corruption efforts...........?
(
(
(
(
(
(
)
)
)
)
)
)
Much higher than past years
Slightly higher than past years
About the same as past years
Slightly lower than past years
Much lower than past years
Other (Please specify)...................................................................
Q27. Does your country provide anti-corruption educational/training programs for the followings?
(Please check the relevant one[s])
(
)
Public officials
(
)
At schools
(
)
General public
(
)
NGOs
(
)
Business associations and private companies
(
)
Media
(
)
Other (Please specify).....................................................................
15
Assessment of anti-corruption
Part 5: Promoting Awareness
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Q28.
In your opinion, which of the following factors inhibit the result of the fight against corruption?
(
)
Corrupt people are not severely punished
(
)
The collusion between law enforcers and corrupt people
(
)
Authorized officials lack commitment
(
)
Some superiors cover up for their subordinates
(
)
Afraid of retaliation and victimization
(
)
Have not mobilized well people’s and media’s participation
(
)
Lack of competent and experienced staff to handle corruption cases
(
)
Lack of capacity and financial resources of anti-corruption agencies
(
)
Other (Please specify). All of these factors could inhibit the fight
against corruption. The most important ones in the Australian
context are: creating a culture that is actively intolerant of
corruption; and adequately resourcing anti corruption agencies.
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Q29.
How do you comment on the result of the current fight against corruption?
(
)
Have had positive impact, contributed to prevent corruption
(
)
Have not had evident impact nowadays but will have in the future
(
)
Not effective
16
Assessment of anti-corruption
Part 5: Promoting Awareness
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Q.30 In your country, do you give the role of citizen participation in fighting corruption as following
this table? (If your country gives the role, please checks have)
The role of citizen participation in fighting
corruption
30.1 Promoting public sector transparency and
accountability and citizen participation.
30.2 Engaging civil society in corruption
prevention efforts, for example, to invite the civil
society organizations (CSOs) in formulation of
anti-corruption policy , research funding about
anti-corruption, dissemination of knowledge,
etc.
30.3 Complaint system/ Whistle Blower, and
Denunciation:
Receiving
reports
and
complaints on corruption from citizen.
Have
None



17
Assessment of anti-money laundering
Part 1: Legal Framework
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Q1.
Is money laundering a criminal offence in your country?
(
)
Yes
(
)
No
(
)
Other (Please specify)............................................................................
Q2.
Are there specific laws and/or regulations in place covering anti-money laundering in your
country? (If “yes”, please provide the official names of the regulations)
(
)
Yes (Please specify).Anti Money Laundering Counter and Terrorism
Financing Act 2006 and Commonwealth Criminal Code Act 1995
(Division 400)
(
)
No
Q3.
Do you think that the law could cover all money laundering aspects to deal with this
phenomenon?
(  ) yes
(
) no
(
) other
18
Assessment of anti-money laundering
Part 1: Legal Framework
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Q4.
How would you rate the implementation of anti-money laundering law?
(
) Very poor
(
) Poor
(
) Fair
(  ) Good
(
) Very Good
Q5.
Is there a national Financial Intelligent Unit (FIU) functioning as national center for the
collection, analysis, and dissemination of information regarding potential money laundering offences?
(  ) Yes
(
) No
19
Assessment of anti-money laundering
Part 2: AML Board/Authority
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Q6.
Is there an official authority/board in your jurisdiction that takes in hand on anti-money
laundering in your country? (If “yes”, please mention the name of the institution)
(
)
Yes (Please specify) Australian Transaction Reports and Analysis
Centre
(
)
No
(
)
Other (Please specify).............................................................................
Q7:
Which of the following measures of anti-money laundering does your agency apply effectively?
(
)
Identify customer and update customer information (identification of
customer; classification of customer based on risk level…)
(
)
Report, provide and save information (report on great value transaction;
report on suspicious transaction)
(
)
Gather, treat and transform information about anti-money laundering
(gathering, handling information…)
(
)
Apply temporary measures to adjudge violations (Block of accounts,
sealing or custody of assets ....)
(
)
Other (Please specify)
20
Assessment of anti-money laundering
Part 1: Legal Framework
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Q1.
Is money laundering a criminal offence in your country?
(
)
Yes
(
)
No
(
)
Other (Please specify)............................................................................
Q2.
Are there specific laws and/or regulations in place covering anti-money laundering in your
country? (If “yes”, please provide the official names of the regulations)
(
)
Yes (Please specify).Anti Money Laundering Counter and Terrorism
Financing Act 2006 and Commonwealth Criminal Code Act 1995
(Division 400)
(
)
No
Q3.
Do you think that the law could cover all money laundering aspects to deal with this
phenomenon?
(  ) yes
(
) no
(
) other
21
Assessment of anti-money laundering
Part 2: AML Board/Authority
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Q6.
Is there an official authority/board in your jurisdiction that takes in hand on anti-money
laundering in your country? (If “yes”, please mention the name of the institution)
(
)
Yes (Please specify) Australian Transaction Reports and Analysis
Centre
(
)
No
(
)
Other (Please specify).............................................................................
Q7:
Which of the following measures of anti-money laundering does your agency apply effectively?
(
)
Identify customer and update customer information (identification of
customer; classification of customer based on risk level…)
(
)
Report, provide and save information (report on great value transaction;
report on suspicious transaction)
(
)
Gather, treat and transform information about anti-money laundering
(gathering, handling information…)
(
)
Apply temporary measures to adjudge violations (Block of accounts,
sealing or custody of assets ....)
(
)
Other (Please specify)
22
Assessment of anti-money laundering
Part 2: AML Board/Authority
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Q8.
Does your anti-money laundering board/authority enjoy independence in following aspects in
your country? (Please check the relevant one[s])
(
)
Legal
(
)
Functional
(
)
Financial
(
)
Recruitment of employees
(
)
Other (Please specify).............................................................................
Q9. Does your anti-money laundering board/authority perform following functions? (Please check
the relevant one[s])
(  ) Developing policies and improving legislation
(  ) Data collecting, analyzing, evaluation
(  ) Supervision
(
) Coordination
(
) Investigations of the cases
(
) Raising awareness in the public
(  ) Carry out researches, conducting sector-based studies etc.
(  ) Carrying out examinations on the cases
(  )Requesting any kind of information and documents from public institutions and organizations,
natural and legal persons, and unincorporated organizations.
(  ) Exchange information and documents with counterparts in foreign countries
(
)
Other (Please specify).......................................................................................... 23
Assessment of anti-money laundering
Part 2: AML Board/Authority
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Q10. In your opinion, please rank the effectiveness of the following types of measures concerning
anti-money laundering based upon your experience in your country from 1 to 3 (most to least)?
(1
)
Preventive policies and measures (regulations, internal control systems,
international cooperation for deterrence, raising awareness )
(2
)
Detective actions (prosecutions, investigations, audits etc.)
(3
) Punitive measure (Implementing criminal and disciplinary sanctions etc.)
Q11. Is it possible for citizens to inform (denounce) the country’s AML Board about a suspected
case of money laundering via website of the AML Board or via letter? (Please do not take into account
suspicious transaction reports)
(
)
Yes
(
)
No
(
)
Other (Please specify).............................................................................
Q12. Are there any updated rules and information about the process of anti-money laundering?
(  ) yes
(
) no
(
) other
24
Assessment of anti-money laundering
Part 3: Financial Institutions
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Q13. Does your country’s AML board/authority require all financial institutions to have anti-money
laundering (AML) & Know Your Customer (KYC) procedures?
(
)
Yes
(
)
No
(
)
Other (Please specify)...................................................................
25
Assessment of anti-money laundering
Part 3: Financial Institutions
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Q14. Do financial institutions (banks etc.) have the following legal obligations to comply with
concerning anti-money laundering law in your country? (Please check the relevant one[s])
(  ) Internal controls and procedures to comply with regulatory framework concerning AML
(  ) Thorough client identification
(  ) Having an anti-money laundering officer
(  ) Client due diligence procedures
(  ) Risk focused assessment of customer base and their transactions
(  ) Creating and regularly updating a list of red flags concerning AML
(  ) Prohibition of anonymous accounts
(  ) Employee training programs regarding AML
(  ) Independent audit/compliance function
(  ) Identification and reporting of suspicious activities to the appropriate authorities
(  ) Monitoring program for suspicious or unusual activities
(  ) Policies covering relationships with politically exposed persons consistent with industry best
practices
(  ) Policy prohibiting accounts/relationships with shell banks
(  ) Policy of protecting employees who report any suspicious transactions
(
)
Other (Please specify)............................................................................
26
Assessment of anti-money laundering
Part 3: Financial Institutions
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Q15. Are financial institutions (banks etc.) obliged to comply with the following legal obligations or
administrative policies in terms of client due diligence procedures in your country? (Please check the
relevant one[s])
(
) Implementation systems for the identification of its customer, including customer information
in the case of recorded transaction, account opening, etc.
(
) Collecting information and assessing its customer’s AML policies and practices.
(
) Screening its customer’s information against sanction lists issued by the government or I
nternational bodies
(  )
Other (Please specify)
All three multiple choice options against this question have some relevance in the Australian
Anti Money Laundering/Counter Terrorism Financing (AML/CTF) framework. Some qualifying
information included below:
Financial institutions in Australia have client due diligence obligations including customer
identification and verification (‘know your customer’) and ongoing customer due diligence.
In certain circumstances (e.g. correspondent banking relationships) financial institutions may
collect information about a correspondent bank’s AML policies and practices and/or the
AML/CTF regulation applied in another country.
In certain circumstances financial institutions may screen customers against sanctions lists.
Under the AML/CTF Rules reporting entities need to take into account the ML/TF risk posed by
various things such as customers, including PEPs.
27
Assessment of anti-money laundering
Part 3: Financial Institutions
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Q16. What are the most common types of suspicious transaction reports (STR) from financial
institutions? (Please rank them from the most to the least)
( 8 ) Inconsistencies with the financial profile of the customer or account
( 1 ) Financial transactions involving the countries considered in the “high risk” category
( 7 ) Financial transactions involving the person(s) considered in the “high risk” category
( 3 ) Unusually large cash transactions
( 11 ) Suspicious behaviors
( 5 ) Unusual use/exchange of cash
( 6 ) Refusals to show identification
( 10 ) Avoiding reporting obligations
( 4 ) Unusual account activities
( 9 ) Cutting large amount of transaction into pieces
( 13 ) Clear evidence of illegal activities linked with a transfer
( 12 ) Inconsistency between the declaration of the customer and documents
( 2 ) Other (Please specify) Industry/occupation of interest.
28
Assessment of anti-money laundering
Part 3: Financial Institutions




Q17.
Are financial institutions obliged to comply with FATF recommendations in your country?
(
)
Yes
(
)
No
(
)
Other (Please specify).............................................................................
29
Assessment of anti-money laundering
Part 4: International Cooperation











Q18. How would you rate your organization ability to cooperate and exchange financial information
at international level?
(
) Very poor
(
) Poor
(
) Fair
(
) Good
(  ) Very Good
Q19. Is there any cooperation agreements or protocols among the local institutions to share financial
information and financial transfers and if it’s involved with money laundering?
(  ) yes
(
) no
(
) other
30
Assessment of anti-money laundering
Part 5: Education and Awareness

Q.20 In your country, do you give the role of citizen participation in fighting money laundering as
following this table? (If your country gives the role, please checks have)
The role of citizen participation in fighting
money laundering
20.1 Promoting public sector transparency and
accountability and citizen participation.
20.2 Engaging civil society in anti-money
laundering efforts, for example, to invite the civil
society organizations (CSOs) in formulation of
anti-money laundering policy , research funding
about anti-money laundering, dissemination of
knowledge, etc.
20.3 Complaint system/ Whistle Blower, and
Denunciation:
Receiving
reports
and
complaints on money laundering from citizen.
Have
None



31
Assessment of anti-money laundering
Part 5: Education and Awareness















Q21. How do you think about the punishment of money laundering incidents?
(
)
The penalties are too severe
( 
)
The penalties are appropriate
(
)
The penalties are too light
(
)
Other (Please specify)
Q22. In your opinion, which of the following factors inhibit the result of the fight against money
laundering?
(
)
Money laundering criminals are not severely punished
(
)
The collusion between enforcement officers and money
laundering criminal
(
)
Leader of anti-money laundering agencies do not determine
on doing his duty
(
)
Limitation of citizen’s knowledge about money laundering
criminal
(
)
Lack of competent and experienced staff to handle money laundering
cases
(
)
Lack of capacity and financial resources of anti money laundering
agencies
(
)
Other (Please specify)
Australia is not in a position to answer this question.
32
Assessment of anti-money laundering
Part 5: Education and Awareness














Q23. Does your country provide anti- money laundering educational/training programs for the
followings? (Please check the relevant one[s])
(
)
Public officials
(
)
At schools
(
)
General public
(
)
NGOs
(
)
Financial institutions (banks etc.)
(
)
Business associations and private companies
(
)
Media
(
)
Other (Please specify)......................................................................
Q24. Do you think that the controlling systems are the keystone and deterrent for fighting against
money laundering?
(  ) yes
(
) no
(
) other
33
Assessment of anti-money laundering
Part 5: Education and Awareness









Q25. Are there any high institutions providing training workshops for the employees of controlling
agencies about methods to detect money laundering?
(  ) yes
(
) no
(
) other
Q26.
How do you comment on the result of the current fight against-money laundering?
(
)
Have had positive impact, contributed to prevent money laundering
(
)
Have not had evident impact nowadays but will have in the future
(
)
Not effective
34
Further information
 Web: www.anao.gov.au
Address: GPO Box 707, Canberra ACT
2601 Australia
Email: tom.clarke@anao.gov.au
Tel: 61 (0)2 6203 7436
35