OPEN-ENDED INTERGOVERNMENTAL WORKING GROUP ON THEPREVENTION OF CORRUPTION

THEMATIC COMPILATION OF RELEVANT INFORMATION SUBMITTEDBY STATE PARTIES

ARTICLE 7, PARAGRAPH 4 UNCAC

CONFLICTS OF INTEREST

ARGENTINA (THIRD MEETING)

Conflictos de Intereses de Funcionarios PúblicosLa Oficina Anticorrupción es la autoridad de aplicación de la Ley Nº 25.188 de Ética enel Ejercicio de la Función Pública teniendo entre sus funciones la detección y el análisisde situaciones de conflictos de intereses en el ámbito de la Administración PúblicaNacional.

Las situaciones de conflictos de intereses pueden ser detectadas a partir de:

- la revisión de las declaraciones juradas patrimoniales integrales de losfuncionarios públicos de las que surja una situación de conflicto entre losintereses privados del funcionario y el interés público;

- la consulta de los propios funcionarios respecto de situaciones que les generandudas;

- denuncias presentadas por particulares ante la Oficina o noticias periodísticas delas que surjan indicios de la existencia de conflictos de esta naturaleza.

En estos casos, se procede a la formación de expedientes administrativos en los que seevalúa la información inicial, se recolecta documentación adicional, se analizajurídicamente la cuestión y se emite la pertinente resolución.

Otro aspecto en el que la Oficina Anticorrupción interviene es en la detección desituaciones de incompatibilidad por acumulación de cargos, o sea, funcionarios quepudieran tener más de un cargo en la Administración Pública Nacional, Provincial oMunicipal. Dichos casos son remitidos, previa actuación del Área de Conflictos deIntereses e Incompatibilidades de la DPPT, a la Oficina Nacional de Empleo Público,dependiente de la Subsecretaría de la Gestión y Empleo Público (Secretaría de la GestiónPública, Jefatura de Gabinete de Ministros).

En su carácter de autoridad de aplicación de la Ley 25.188 de Ética en el Ejercicio de laFunción Pública en el ámbito de la Administración Pública Nacional, a la OFICINAANTICORRUPCION le compete prevenir, analizar y/o detectar la configuración deconflictos de intereses en los que podrían incurrir los funcionarios públicos en el marco

de su gestión, siendo necesario, en consecuencia, delimitar las circunstancias fácticas queconforman tal situación. Al respecto, durante el año 2011 se han dictado 25 resolucionesen el marco de expedientes resueltos (1 abstracta, 10 desestimadas, 11 detectada y 3 conrecomendaciones preventivas).

Conflictos de intereses:

A modo de referencia sobre la temática a abordar, sugerimos consultar el libro“Conflictos de Intereses. Disyuntivas entre lo público y lo privado y la prevención de laCorrupción” Oficina Anticorrupción. Serie: Estrategias para la Transparencia, 2009. Elcual puede ser consultado en www.anticorrupcion.gov.ar ingresando en la opción“publicaciones”.

En el año 1999, la República Argentina aprueba el Código de Ética de la Función Pública(Decreto 41/99) y la Ley de Ética en el Ejercicio de la Función Pública (25.188).La sanción de la Ley Nro. 25.188 vino, por otro lado, a dar cumplimiento con lodispuesto en el último párrafo del artículo 36 de la Constitución Nacional, el queestablece: “El Congreso sancionará una ley sobre ética pública para el ejercicio de lafunción”.

Esta Ley establece un conjunto de deberes, prohibiciones e incompatibilidades para todoslos magistrados, funcionarios y empleados del Estado. Se recoge el concepto amplio deempleado público (toda persona que realiza o contribuye a que se realicen funcionesespeciales y específicas propias de la administración).

En su capítulo V, regula específicamente a los conflictos de intereses.

Por otro lado, es necesario aclarar que en el ámbito del Poder Ejecutivo Nacional, laOficina Anticorrupción (OA) es la Autoridad de Aplicación de la Ley de Ética en elEjercicio de la Función Pública (Decreto Nro. 164/99 y Resolución del Ministerio deJusticia y Derechos Humanos Nro. 17/00).Las situaciones de conflictos de intereses pueden ser detectadas a partir de:

- la revisión de las declaraciones juradas patrimoniales integrales de losfuncionarios públicos de las que surja una situación de conflicto entre losintereses privados del funcionario y el interés público;

- la consulta de los propios funcionarios respecto de situaciones que les generandudas;

- denuncias presentadas por particulares ante la Oficina, remisiones de otrosorganismos públicos o noticias periodísticas de las que surjan indicios de laexistencia de conflictos de esta naturaleza.

En estos casos, se procede a la formación de expedientes administrativos en los que seevalúa la información inicial, se recolecta documentación adicional, se analiza

jurídicamente la cuestión y se emite la pertinente resolución (procedimiento aprobado porla Resolución Ministerio de Justicia y Derechos Humanos Nro. 1316/08).

Otro aspecto en el que la Oficina Anticorrupción interviene es en la detección desituaciones de incompatibilidad por acumulación de cargos – o sea, funcionarios quepudieran tener más de un cargo en la Administración Pública Nacional, Provincial oMunicipal – o por superponer el ejercicio de un cargo con la percepción de un haberprevisional. Dichos casos son remitidos, previa actuación del Área de Conflictos deIntereses e Incompatibilidades de la Dirección de Planificación de Políticas deTransparencia –DPPT- y de la elaboración de un informe final, a la Oficina Nacional deEmpleo Público, dependiente de la Subsecretaría de la Gestión y Empleo Público(Secretaría de la Gestión Pública, Jefatura de Gabinete de Ministros).

La experiencia de la Oficina Anticorrupción denota un importante movimiento en materiade expediente en los que se analizan posibles situaciones de conflictos de intereses eincompatibilidades, muchos de los cuales derivan en recomendaciones preventivas a losfuncionarios públicos, como puede ser el abstenerse de intervenir en aquellos asuntosrespecto a los cuales se encuentren comprendidos en alguna de las causales de excusaciónprevistas en la normativa vigente o intervenir en asuntos en los cuales se hallecomprometido su interés personal.

La Ley 25.188, en su capítulo V establece:CAPITULO VIncompatibilidades y Conflicto de intereses

ARTICULO 13. — Es incompatible con el ejercicio de la función pública:

a) dirigir, administrar, representar, patrocinar, asesorar, o, de cualquier otra forma, prestarservicios a quien gestione o tenga una concesión o sea proveedor del Estado, o realiceactividades reguladas por éste, siempre que el cargo público desempeñado tengacompetencia funcional directa, respecto de la contratación, obtención, gestión o controlde tales concesiones, beneficios o actividades;

b) ser proveedor por sí o por terceros de todo organismo del Estado en donde desempeñesus funciones.

ARTICULO 14. — Aquellos funcionarios que hayan tenido intervención decisoria en laplanificación, desarrollo y concreción de privatizaciones o concesiones de empresas oservicios públicos, tendrán vedada su actuación en los entes o comisiones reguladoras deesas empresas o servicios, durante TRES (3) años inmediatamente posteriores a la últimaadjudicación en la que hayan participado.

(Artículo sustituido por art. 1° del Decreto N° 862/2001 B.O. 2/7/2001).ARTICULO 15. — En el caso de que al momento de su designación el funcionario seencuentre alcanzado por alguna de las incompatibilidades previstas en el Artículo 13,deberá:

a) Renunciar a tales actividades como condición previa para asumir el cargo.

b) Abstenerse de tomar intervención, durante su gestión, en cuestiones particularmenterelacionadas con las personas o asuntos a los cuales estuvo vinculado en los últimosTRES (3) años o tenga participación societaria.

(Artículo sustituido por art. 2° del Decreto N° 862/2001 B.O. 2/7/2001).ARTICULO 16. — Estas incompatibilidades se aplicarán sin perjuicio de las que esténdeterminadas en el régimen específico de cada función.

ARTICULO 17. — Cuando los actos emitidos por los sujetos del artículo 1º esténalcanzados por los supuestos de los artículos 13, 14 y 15, serán nulos de nulidad absoluta,sin perjuicio de los derechos de terceros de buena fe. Si se tratare del dictado de un actoadministrativo, éste se encontrará viciado de nulidad absoluta en los términos del artículo14 de la ley 19.549.

Las firmas contratantes o concesionarias serán solidariamente responsables por lareparación de los daños y perjuicios que por esos actos le ocasionen al Estado.

ARGENTINA (SECOND MEETING)

BELARUS (THIRD MEETING)

In order to prevent or settle conflicts of interest, the head of a state agency or otherorganization has the right to:

give a public official written recommendations on the adoption of measures forthe prevention or settlement of conflicts of interest;

suspend a public official from conducting state business that will cause or is likelyto cause conflicts of interest;

transfer the public official, according to the legislation of the Republic of Belarus,from the office, the execution of duties of which has caused or may cause aconflict of interest, to another equivalent position;

entrust the execution of the official’s former duties to a new workplace ortemporarily change the duties of the public official in the order established by thelegislation of the Republic of Belarus in order to prevent a conflict of interest orthe possibility of its occurrence;

take other measures envisaged by the legislation of the Republic of Belarus.

BOSNIA AND HERZEGOVINA (THIRD MEETING)

The Central Election Commission of Bosnia and Herzegovina is responsible forimplementing the Law on Conflict of Interest in Governmental Institutions of BiH (Bosniaand Herzegovina („Official Gazette of BiH", no. 16/02,14/03, 12/04 and 63/08), Law onConflict of Interest in the Governmental Authorities of the Federation of Bosnia andHerzegovina („Official Gazette of the Federation BiH”, no. 70/08), Law on Conflict ofInterest in Institutions of the Brcko District of BiH („Official Gazette of the Brcko Districtof BiH, no. 43/08) and the Election Law of Bosnia and Herzegovina ("Official Gazette ofBiH", no: 23/01, 07/02, 09/02, 20/02, 25/02, 04/04, 20/04.25/05, 52/05.65/05, 77/05,11/06, 24/06, 32/07, 33/08 and 37/08).

Article 12 of the Law on Conflict of Interest in Governmental Institutions of Bosnia andHerzegovina, regulates the obligation of elected officials, executive functionaries andadvisors to submit regular financial reports as required by law and rules and regulations ofthe Central Election Commission. The same obligation is prescribed by Article 13 of theLaw on Conflict of Interest in the Government of the Federation of Bosnia andHerzegovina and Article 13 of the of the Law on Conflict of Interest in Institutions of theBrcico District of Bill.

BULGARIA (THIRD MEETING)

Note from the Secretariat

Bulgaria provided a copy of the Conflict of Interest Prevention and Ascertainment Act(Title amended, SG No. 97/2010, effective 10.12.2010) which can be found in theindividual country file under this thematic area.

Please provide examples of the successful implementation of domestic measuresadopted to comply with the provision under review (e.g. legislative or othermeasures governing incompatibilities of public functions or of public-privatefunctions, etc.)

From the date of entering into force of LPACI (01.01.2009) to the date of establishingCPACI (01.04.2011), conflicts of interest cases were ascertained by different bodies,specifically entrusted with obligations under the LPACI. These were - special committees

to Municipal Councils, inspectorates to the various ministries, committee to the NationalAssembly or persons appointed by the employer.That legal mechanism was amended in 2011 by establishing an independent, permanentlystanding state body, which is the only competent not only for establishment of conflictsof interest, but also to conduct the state policy of prevention of conflict of interest. Bythat legal solution, the legislator united all competences into one body, and achieved ahigher level of expertise and competence.Since its constitution, for the period of about 8 months of working, the commission hastaken about 40 decisions.The chairman has issued 7 penal decrees for administrative violations of LPACI.Further to its competences in the field of prevention, the commission has issued about 30statements and answers of questions filed by the citizens.

Have you ever assessed the effectiveness of the measures adopted to promotetransparency and prevent conflicts of interest?(Y) Yes

Since its establishment as a state body, the Commission is a part of the EuropeanCommission Cooperation and Verification Mechanism for Bulgaria and Romania.Based on that, in December 2011, experts to the European Commission made a visit inconnection with the interim report in February 2012. The experts were acquainted withthe way the commission works, with its proceedings and some of its decisions and signalswere commented.The assessment of the work of CPACI in the interim report of the European Commissionto the European Parliament and the Council is as follows:“The Commission for the prevention and detection of conflict of interest set up in June2011 is now operational.It has received 146 signals and issued 25 decisions, with conflict of interest established in12 cases. Its ability to have a dissuasive impact will depend inter alia on the number ofcases concluded, its capacity to pursue conflict of interest in a pro-active manner and itsability to deliver sound and well motivated decisions in sensitive cases.Effective measures against conflict of interest also require unitary practice regarding thepublication of conflict of interest declarations by different administrative bodies, and astreamlined legal basis for the Conflict of InterestCommission regarding sanctions and statutes of limitation.”

CHILE (SECOND MEETING)

4. Cada Estado Parte, de conformidad con los principios fundamentales de su derechointerno, procurará adoptar sistemas destinados a promover la transparencia y a prevenirconflictos de intereses, o a mantener y fortalecer dichos sistemas.

COMENTARIO GENERAL:

El sistema institucional chileno tiene como uno de sus pilares la transparencia ypublicidad de los actos de la Administración, consagrado en el inciso segundo del artículo8° de la Constitución. Asimismo, la Ley N° 20.285 sobre Acceso a la InformaciónPública y que crea el Consejo para la Transparencia, el cual tiene por objeto promover latransparencia de la función pública, fiscalizar el cumplimiento de las normas sobretransparencia y publicidad de la información de los órganos de la Administración delEstado, y garantizar el derecho de acceso a la información.

En cuanto a la prevención de conflictos de intereses y la debida transparencia patrimonialde las autoridades públicas, la Ley N° 18.575 de Bases Generales de la Administracióndel Estado, en su Título III (incorporado por la Ley N° 19.653 publicada en el D.O. de17.11.2001) regula las cuestiones de probidad administrativa, estableciendo en el art. 57la obligación de un conjunto de altas autoridades de presentar una declaración deintereses en el plazo de 30 días contado desde la asunción del cargo, así como también laobligación estatuida en el artículo 60 A de la misma Ley de presentar una declaración depatrimonio, la que se extiende a los directores que representen al Estado en ciertasempresas donde éste tuviere participación accionaria (art. 37 Ley N° 18.046 sobreSociedades Anónimas.

Ambas declaraciones deben ser presentadas ante el Contralor General de la República oante el Contralor Regional respectivo, según su caso, quien las mantendrá para suconsulta (arts. 59 y 60 D Ley N°18.575).Respecto de esta materia, en lo concerniente a buenas prácticas, la Contraloría General dela República (CGR) informa lo siguiente:

En cuanto a la prevención de conflictos de intereses y la debida transparencia patrimonialde las autoridades públicas, la Ley N° 18.575 de Bases Generales de la Administracióndel Estado, en su Título III (incorporado por la Ley N° 19.653 publicada en el D.O. de17.11.2001) regula las cuestiones de probidad administrativa, estableciendo en el art. 57la obligación de un conjunto de altas autoridades de presentar una declaración deintereses en el plazo de 30 días contado desde la asunción del cargo, así como también laobligación estatuida en el artículo 60 A de la misma Ley de presentar una declaración depatrimonio, la que se extiende a los directores que representen al Estado en ciertasempresas donde éste tuviere participación accionaria (art. 37 Ley N° 18.046 sobreSociedades Anónimas.

A su vez, cabe agregar que consiste en una práctica sistemática de la Contraloría Generalde la República, la revisión de la presentación oportuna de las referidas declaraciones,como también la verificación de que las Unidades de Control Interno fiscalicen talmateria, lo cual se efectúa durante las auditorías constantes que desarrolla esta Entidad anivel nacional. Ambas declaraciones antes citadas deben mantenerse en la ContraloríaGeneral de la República o en 10 la Contraloría Regional respectiva, según su caso, parasu consulta (arts. 59 y 60 D Ley N°18.575).

Esta obligación también la fiscaliza el órgano contralor a través de la función deAuditorías.

Por otro lado, corresponde a la CGR pronunciarse acerca de la existencia de inhabilidadesde los funcionarios públicos, lo que hace a través del control de legalidad de losnombramientos de los empleados públicos y del análisis, entre otras, de denuncias. Asítambién con motivo del control de legalidad preventivo y también durante la realizaciónde las auditorías a planes, programas, proyectos, etc., se revisa la existencia de conflictosde interés que pudieren presentar tanto funcionarios como ex funcionarios. Así, a modoejemplar, se puede señalar que durante la realización de las auditorías en materia depersonal, se fiscaliza específicamente que los funcionarios públicos obligados a presentartales declaraciones, las hayan presentado de manera oportuna y, con ocasión de lasauditorías en que se detecta alguna situación patrimonial o de intereses conflictiva, severifica si dicha situación ha sido informada o no en la respectiva declaración.

El Ministerio Secretaría General de la Presidencia informa acerca de la siguienteiniciativa:

Proyecto de ley de Probidad en la Función Pública.

El 3 de mayo de 2011 ingresó al Congreso el Proyecto de ley de Probidad en la FunciónPública, N° de Boletín: 7616-06, el cual tiene por objeto regular el ejercicio de la funciónpública desde la perspectiva del cumplimiento del principio de probidad. El proyectoreconoce como mecanismo principal en la prevención de los conflictos de interés de losfuncionarios públicos, la estructuración de una declaración de intereses y patrimonio quede cuenta, pública, clara y transparentemente, de dónde están radicados los intereses delas autoridades y funcionarios obligados y a cuánto asciende el patrimonio de éstos.

Su intención es potenciar la regulación de las declaraciones ya existentes en la legislación.Adicionalmente, recoge en una sola ley la regulación vigente sobre declaración deintereses y patrimonio, la actualiza y establece nuevas obligaciones para las autoridades yfuncionarios a los que ésta se les aplica. También unifica la normativa actual relativa a lamateria, estableciendo en ella la regulación respecto de otras autoridades que no formanparte de la Administración del Estado, y que hoy en día se encuentra dispersa en diversostextos legales.

Hace extensiva la obligación de efectuar y actualizar esta declaración, a autoridades yfuncionarios que actualmente no se encuentran afectos, incluyendo a los miembros delConsejo para la Transparencia, a los Defensores Locales, a los Consejeros del Consejo deAlta Dirección Pública y los miembros del Tribunal para la Contratación Pública.

Finalmente, regula nuevos mecanismos de prevención de conflictos de interés en lafunción pública, estableciendo la obligación de ciertas autoridades de constituir unMandato de administración discrecional de valores, y, por último, la enajenación de losactivos que en aquellas situaciones excepcionales en las que el mandato no puedaresolver un determinado conflicto de interés.Este Proyecto establece sanciones para los casos de incumplimiento de estas obligaciones.

La Dirección Nacional del Servicio Civil, por su parte, señala lo siguiente:

1. Es también aplicable, respecto del artículo 7° de la Convención, lo señalado en losnúmeros 2, 3, 5 y 6 del comentario de esta Dirección a la norma del artículo 5° de lamisma.

2. Portal de Empleos Públicos. El portal www.empleospúblicos.cl es administrado por laDirección Nacional del Servicio Civil y contiene las convocatorias de servicios públicos alas que pueden postular funcionarios/as públicos/as y la ciudadanía, según corresponda.Cada institución que utiliza el portal es responsable de sus procesos y de las consultastécnicas que tengan los/las postulantes sobre cada convocatoria.El objetivo de este portal es facilitar y dar mayor transparencia a la difusión de la ofertade empleos que realizan los servicios públicos y optimizar el proceso de postulación.3. Premio Anual sobre Excelencia Institucional. El Premio Anual por ExcelenciaInstitucional fue creado en el año 2003, mediante la ley Nº 19.882, conocida como "Leyde Nuevo Trato Laboral".

Inicialmente, se otorgaba a un (1) servicio, sin embargo, a partir del año 2008, con elobjeto de incentivar el desempeño de funcionarios/as públicos, se amplía el otorgamientodel Premio a tres (3) instituciones que se destaquen por los resultados alcanzados enaspectos tales como gestión, eficiencia institucional, productividad y calidad de losservicios proporcionados a sus usuarios/as. Este reconocimiento se traduce en la entregade un incentivo económico del 5% mensual a los funcionarios/as de los servicios públicosganadores.

4. Diploma en Gestión de Personas para el sector Público: Experiencias y Aprendizajesdel Programa de Formación. Instancia de formación y aprendizaje que tiene por objetoimpactar positivamente en los resultados y en la gestión de los servicios públicos yconsiderar el desarrollo de competencias para mejorar el desempeño de las Unidades deRecursos Humanos tales como habilidades de comunicación, negociación y capacidadpara instalar y desarrollar una visión estratégica de la gestión de personas en sintonía conel giro principal de las instituciones. La importancia de este Diploma –inédito en laadministración pública – radica en que a través de él es posible visualizar, promover einstalar nuevas miradas de gestión de personas; difundir y promover un Modelo deGestión Estratégica de Recursos Humanos para el sector público chileno y generar unacomunidad de directivos/as y profesionales comprometidos con la profesionalización deestas áreas y con la gestión de personas en el sector público. El Diploma además, hapermitido crear redes de colaboración, compartir prácticas y experiencias y disponer deuna cartera de iniciativas y proyectos de fortalecimiento institucional en el ámbito de lagestión de personas.

5. Manual de Selección de Personas en Servicios Públicos. Uno de los aspectosrelevantes que incorporó la ley N° 19.882 en la gestión de personas en el Estado, serefiere a la implementación de un nuevo Sistema de Concursos, entre cuyos objetivosdestaca la valoración del mérito e idoneidad como principales factores de desarrollo de lacarrera, constituyendo una herramienta técnica y homogénea para evaluar el ingreso, la

promoción y el acceso a los cargos de tercer nivel directivo. Los concursos, de este modo,deben garantizar la igualdad de oportunidades, la no discriminación y la transparencia.Para apoyar a los servicios en la instauración y consolidación del Sistema deConcursabilidad, la Dirección Nacional del Servicio Civil ha diseñado un Manual paraSelección de Personas en servicios públicos, regidos por el Estatuto Administrativo,que busca hacer un aporte que propicie una transparente y eficiente gestión de losconcursos, donde el mérito y la idoneidad sean los elementos centrales en los procesos deselección del personal de la Administración Civil del Estado.

Respecto a la prevención de conflictos de intereses, el CAIGG informa:

El Consejo de Auditoría Interna General de Gobierno elaboró, en cumplimiento de laPolítica de Auditoría Interna General de Gobierno, el Documento Técnico N° 29,“Programa Marco de Auditoría sobre Probidad Administrativa”, actualizado el año 2010,el cual tiene por finalidad armonizar el enfoque de auditoría utilizado en la revisión ycontrol del cumplimiento de la probidad administrativa en los distintos Servicios de laAdministración del Estado. Específicamente se puede señalar que este DocumentoTécnico entrega a los Auditores Internos de los servicios públicos un Programa Marco deAuditoría que permitirá auditar procesos dirigidos a prevenir conflictos de intereses, asípor ejemplo en este Documento Técnico se establece un esquema de análisis sugeridopara determinar objetivos específicos de auditoría y procedimientos generales deauditoría, sobre la base de riesgos que afecten los objetivos de cumplimiento, que en elcaso en cuestión, corresponde al proceso de Recursos Humanos, subproceso ingreso depersonal, etapa genérica declaración de intereses y patrimonio, cuyo objetivo principal esque los funcionarios públicos que toman decisiones demuestren su objetividad ytransparencia en la toma de decisiones, y que se ejecute la función pública con apego alas normas de probidad y transparencia.

Comentario de la SVS acerca de lo señalado en el Nº 4 del artículo 7:

La SVS hace públicas todas las resoluciones y sanciones que se emitan, además depublicar toda la información relativa a actos y resoluciones, dotación de personal,estructura orgánica, compras y adquisiciones e información presupuestaria entre otra.Asimismo, en virtud de la Ley N° 18.575 Orgánica constitucional de bases generales dela administración del estado, la Superintendencia dictó los reglamentos atingentes aDeclaración de Intereses y Declaración de Patrimonio, en los cuales se especifican losdeberes de los funcionarios respecto de esta materia.

Como buena práctica la Superintendencia de Valores y Seguros, mediante la Resolución50, establece un Reglamento sobre el deber de reserva, manejo de informaciónprivilegiada y operaciones sobre valores de oferta pública por parte de los funcionarios dela Superintendencia de Valores y Seguros, que reglamenta las operaciones efectuadas coninformación obtenida por un funcionario en razón de su cargo con el fin de evitarconflictos de interés.

COSTA RICA (THIRD MEETING)

Actualmente el mecanismo existente para prevenir el conflicto de intereses se encuentraregulado en el Capítulo II de la Ley contra la Corrupción y el Enriquecimiento Ilícito enla Función Pública N° 8422, conteniendo un régimen preventivo de incompatibilidades yprohibiciones. Además se encuentran las disposiciones legales y reglamentarias queregulan lo relativo al régimen de abstenciones para los funcionarios públicos, el cualpretende evitar conflictos de intereses al momento en que los funcionarios públicostoman decisiones. El régimen de conflicto de intereses y el de abstenciones tiene previstauna causal de responsabilidad administrativa en el artículo 38 de la Ley Contra laCorrupción y el Enriquecimiento Ilícito en la Función Pública. Además, el violentar elrégimen de abstenciones constituye el delito de incumplimiento de deberes deconformidad con el Código Penal, artículo 332 que dispone:

“Será reprimido con pena de inhabilitación de uno a cuatro años, el funcionario publicoque ilegalmente omita, rehúse hacer o retarde algún acto propio de su función. Igual penase impondrá al funcionario publico que ilícitamente no se abstenga, se inhiba o se excusede realizar un tramite, asunto o procedimiento, cuanto esta obligado a hacerlo.”

El artículo 53 de la Ley contra la Corrupción y el Enriquecimiento Ilícito en la FunciónPública, establece una sanción de 100 a 150 días multa al funcionario público que, dentrodel año siguiente a la celebración de un contrato administrativo mayor o igual que ellímite establecido para la licitación pública en al entidad donde prestó servicios, acepteempleo remunerado o participación en el capital social con la persona física o jurídicafavorecida, si tuvo participación en alguna de las fases del proceso de diseño yelaboración de las especificaciones técnicas, o de los planos constructivos, en el procesode selección y adjudicación, en el estudio yo resolución de los procesos administrativoscontra la adjudicación, o bien, en el proceso de inspección o fiscalización de la etapaconstructiva, o la recepción del bien o servicio de que se trate.

Por su parte la Contraloría General de la República, generó además “Directricesgenerales sobre principios y enunciados éticos a observar por parte de los jerarcas,titulares subordinados, funcionarios de la Contraloría General de la República, auditoríasinternas y servidores públicos en general, N° D- 2- 2004 CO que señala, entre otros, losiguiente:

“1.4 Conflicto de intereses”.

3. Los jerarcas, titulares subordinados y demás funcionarios públicos no deberán utilizarsu cargo oficial con propósitos privados y deberán evitar relaciones y actos queimpliquen un riesgo de corrupción o que puedan suscitar dudas razonables acerca de suobjetividad e independencia.

5. Los jerarcas, titulares subordinados y demás funcionarios públicos deben demostrar ypracticar una conducta moral y ética intachable.

7. Los jerarcas, titulares subordinados y demás funcionarios públicos no deberánllevar a cabo trabajos o actividades, remuneradas o no, que estén en conflicto con susdeberes y responsabilidades en la función pública, o cuyo ejercicio pueda dar motivo deduda razonable sobre la imparcialidad en la toma de decisiones que competen a lapersona o a la institución que representa.

17. Los jerarcas, titulares subordinados y demás funcionarios públicos deberán excusarsede participar en actos que ocasionen conflicto de intereses. El funcionario público debeabstenerse razonablemente de participar en cualquier actividad pública, familiar o privadaen general, donde pueda existir un conflicto de intereses con respecto a su investidura deservidor público, sea porque puede comprometer su criterio, ocasionar dudas sobre suimparcialidad a una persona razonablemente objetiva, entre otros.” (Énfasis agregado)”.En consecuencia, desde el punto de vista ético, cualesquiera que sean las labores onegociaciones privadas que asuma el funcionario fuera de su jornada ordinaria, no debenllevar aparejado ningún conflicto de intereses respecto de los asuntos que se atienden enla institución para la que presta sus servicios, ni responder a un aprovechamientoindebido de la posición que le otorga el cargo para obtener un beneficio económico decualquier naturaleza, situaciones en las que se genera un grave daño para la institución ypara el ejercicio transparente de la función pública.

Asimismo, la Ley de Administración Financiera y Presupuestos Públicos, Nº 8131 de 18de setiembre de 2001, contiene en el artículo 110 expresa determinación de que generaráresponsabilidad administrativa, con independencia de las consecuencias civiles y penalesque podrían concurrir, el “... concurso con particulares o funcionarios interesados paraproducir un resultado lesivo para los intereses de la Administración Pública o el uso demaniobras o artificios conducentes a tal fin, al intervenir, por razón de su cargo, en laadopción de un acto administrativo, la selección de un contratista o la ejecución de uncontrato administrativo”. Dentro de este mismo cuerpo normativo (artículos 122 y 123)se establecen incompatibilidades que se manifiestan al momento de establecer lascondiciones de los jerarcas de los subsistemas de la Administración Financiera.

Por otra parte, la Ley de Contratación Administrativa, Nº 7494 de 24 de abril de 1995,prohíbe la participación de quienes ocupan los cargos especificados en el artículo 22 bisde dicho cuerpo normativo, tales como Presidente y Vicepresidente de la República, losMinistros y Viceministros, los Diputados de la Asamblea Legislativa, entre otros, en losprocedimientos de contratación administrativa que promuevan las instituciones sometidasa la Ley de Contratación Administrativa, y también se les impide su intervención a favorde terceros. Esta prohibición se encuentra desarrollada en el Reglamento a la Ley deContratación, Decreto Nº 33411 de 27 de setiembre de 2006, artículo 20.

El artículo 20 del Reglamento a la Ley de Contratación Administrativa funciona comocomplemento, cuando obliga a la Proveeduría Nacional a solicitar a los oferentes lapresentación de declaración jurada donde se indique que no se encuentran cubiertos porel régimen de prohibiciones.

Por su parte la Dirección General de Servicio Civil confecciona un Registro deInelegibles por diferentes causas como el despido, o mediante un Estudio de Vida yCostumbres, por la participación en algún concurso o nombramiento interino, por que sedetermina en un asunto judicial o por sentencia de un tribunal que indique que la personaqueda inhabilitada para ejercer en la administración pública por un plazo determinado. Ala fecha dicho registro está integrado por 2.765 personas, es confidencial y únicamente 3personas pueden hacer modificaciones en el mismo. Es custodiado por el Área deReclutamiento y Selección de Personal. Este Registro se envía a los Jefes de RecursosHumanos de los Ministerios para su uso confidencial. Art. 20 Estatuto de Servicio Civil yArt. 9 de su Reglamento.

En cuanto al Régimen Municipal no pueden ser empleados municipales quienes seancónyuges o parientes, en línea directa o colateral hasta el tercer grado inclusive, dealguno de los concejales, el Alcalde, el Auditor, los Directores o Jefes de Personal de lasunidades de reclutamiento y selección de personal ni, en general, de los encargados deescoger candidatos para los puestos municipales. (Art.27)

A nivel del sistema judicial, se creó la Jurisdicción Penal de Hacienda y la FunciónPública, mediante Ley No. 8275 publicada en el Diario Oficial La Gaceta No. 94 del 17de mayo de 2002, especializando con ello el conocimiento de esta materia. El ámbito deaplicación de la ley consiste en establecer una jurisdicción especializada para conocer yresolver, definitivamente, sobre los delitos contra los deberes de la función pública y losdelitos tributarios, así como los contenidos en la Ley General de Aduanas, Nº 7557, de 20de octubre de 1995, y sus reformas; la Ley Orgánica del Banco Central de Costa Rica, Nº7558, de 3 de noviembre de 1995, y sus reformas, y la Ley sobre el enriquecimientoilícito de los servidores públicos, Nº 6872, de 16 de junio de 1983 (ya modificada por laLey contra la Corrupción y el Enriquecimiento Ilícito en la función pública).

ECUADOR (THIRD MEETING)

El sistema jurídico ecuatoriano contiene normas constitucionales y con rango de leyorgánica destinadas a prevenir conflictos de intereses. Se cita las principales:

1.1. CONSTITUCIÓN DE LA REPUBLICA DEL ECUADOR,publicada en el Registro Oficial No. 449 de 20 de agosto de 2008(ANEXO 1)

Art. 232.- No podrán ser funcionarias ni funcionarios ni miembros de organismosdirectivos de entidades que ejerzan la potestad estatal de control y regulación, quienestengan intereses en las áreas que vayan a ser controladas o reguladas o representen aterceros que los tengan.

Las servidoras y servidores públicos se abstendrán de actuar en los casos en que susintereses entren en conflicto con los del organismo o entidad en los que presten susservicios.

Art. 230.- En el ejercicio del servicio publico se prohíbe, además de lo que determine laley:

1. Desempeñar más de un cargo público simultáneamente a excepción de la docenciauniversitaria siempre que su horario lo permita.2.El nepotismo.3.Las acciones de discriminación de cualquier tipo.

1.2. LEY ORGANICA DE SERVICIO PUBLICO, Ley sin publicadaen el Segundo Suplemento del Registro Oficial 294 de 6 de octubre de2010 (ANEXO 2)

Art. 6.- Del Nepotismo.- Se prohíbe a toda autoridad nominadora, designar, nombrar,posesionar y/o contratar en la misma entidad, institución, organismo o persona jurídica,de las señaladas en el articulo 3 de esta Ley, a sus parientes comprendidos hasta el cuartograde de consanguinidad y segundo de afinidad, a su cónyuge o con quien mantengaunión de hecho, miembros de cuerpos colegiados o directorios de la respectiva institución.También se extiende a los parientes de las autoridades de las superintendencias respectode las instituciones públicas que son reguladas por ellos.

Si al momento de la posesión de la autoridad nominadora, su cónyuge, conviviente enunión de hecho, parientes comprendidos hasta el cuarto grado de consanguinidad ysegundo de afinidad, estuvieren laborando bajo la modalidad de contratos de serviciosocasionales a contratos civiles de servicios profesionales sujetos a esta ley, en la mismainstitución a en una institución que esta bajo el control de esta autoridad, o pare el caso delas superintendencias, de las instituciones del Estado que estén vigiladas, auditadas ocontroladas por estas, los contratos seguirán vigentes hasta la culminación de su plaza yla autoridad nominadora estará impedida de renovarlos.

Los cargos de libre nombramiento y remoción se darán par concluidos al momento de laposesión de cualquiera de las autoridades nominadoras. Tampoco se podrá contratar onombrar personas que se encuentren dentro de los grados de consanguinidad establecidosen este articulo mientras la autoridad a la que hace referencia este inciso, se encuentre enfunciones. En el caso de delegación de funciones, la delegada o delegado no podránombrar en un puesto público, ni celebrar contratos laborales, contratos de serviciosocasionales o contratos civiles de servicios profesionales, con quienes mantengan losvínculos señalados en el presente artículo, con la autoridad nominadora titular, con laautoridad delegada, con miembros de cuerpos colegiados o delegados de donde emana elacto o contrato.

Se exceptúa a las servidoras y servidores de carrera que mantengan una relación deparentesco con las autoridades, siempre y cuando estas hayan sido nombradas conanterioridad a la elección y posesión de la autoridad nominadora.

En caso de que exista conflicto de intereses, entre servidores públicos de una mismainstitución, que tengan entre si algún grado de parentesco de los establecidos en esta Leyy deban tomar decisiones en relación al citado conflicto de interés, informaran a suinmediato superior sabre el caso y se excusaran inmediatamente de seguir conociendo elprocedimiento controvertido, mientras sus superiores resuelven lo pertinente.

En ningún caso se podrá contratar asesoras a asesores que tengan parentesco, dentro decuarto grado de consanguinidad o segundo de afinidad, con la servidora o el servidorpublico al cual deban prestar sus servicios de asesoría.

No podrán ser nombrados jefes de misiones diplomáticas ni consulares, el cónyuge oparientes hasta el cuarto grado de consanguinidad y segundo de afinidad del Presidentede la Republica Vicepresidente de la República, salvo que se trate de diplomáticos decarrera que hayan sido nombrados con anterioridad a la posesión de las mencionadasautoridades con quien tenga relación de parentesco.

En caso de incumplimiento de lo señalado en el presente artículo, se notificará sobre elparticular a la Contraloría General del Estado, para que proceda a ejercer las acciones quecorrespondan para recuperar lo indebidamente pagado, así como para el establecimientode las presuntas responsabilidades administrativas, civiles y/o penales correspondientes.

No se admitirá a ningún título o calidad, la herencia de cargos o puestos de trabajo.

1.3. LEY ORGANICA DEL SISTEMA NACIONAL DE CONTRATACIONPUBLICA, publicada en el Registro Oficial Suplemento 395 de 4 de Agosto de 2008(ANEXO 3)

Art. 62.- Inhabilidades Generales.- No podrán celebrar contratos previstosen esta Ley con las Entidades Contratantes:

1. Quienes se hallaren incursos en as incapacidades establecidas par el Código Civil, o enlas inhabilidades generales establecidas en la Ley

2. El Presidente, el Vicepresidente de la República, los ministros y secretarios de Estado,el Director Ejecutivo y demás funcionarios del Instituto Nacional de Contratación Pública,los legisladores, los presidentes o representantes legales de las Entidades Contratantesprevistas en esta Ley, los prefectos y alcaldes; así como los cónyuges o parientes dentrodel cuarto grado de consanguinidad y segundo de afinidad, de los dignatarios,funcionarios y servidores indicados en este numeral;

3. Los servidores públicos, esto es, funcionarios y empleados, que hubieren tenido directao indirectamente vinculación en cualquier etapa del procedimiento de contratación otengan un grado de responsabilidad en el procedimiento o que por sus actividades ofunciones, se podría presumir que cuentan con información privilegiada;

4. Quienes consten suspendidos en el RUP;

5. Los que, no habiendo estado inhabilitados en el procedimiento precontractual, atmomento de celebrar el contrato, lo estuvieren; y,

6. Los deudores morosos del Estado o sus instituciones.

ISRAEL (SECOND MEETING)

Conflicts of interest, gifts and assets - The Civil Service Regulations (the "Takshir", asnoted previously) includes, inter alia, prohibitions on gaining personal benefit frompublic positions and operating in conflicts of interest. The "Takshir" is published on theCivil Service Commission's website. Additionally, Circular notes addressed togovernmental units are published online and distributed regularly via group emails togovernment officials.

Additional relevant legislation includes the Encouragement of Public Morality inPublic Service Law, 1992, the provisions of which are aimed at encouraging thereporting of acts of corruption within the public administration, and the Public ServiceLaw (Gifts), 1979, which prohibits certain public officials from accepting gifts presentedto them in their capacity as public servants. The law and regulations mandate thereporting of such gifts, and set the standards for the lawful acceptance of proposed giftsby public servants.

Conflicts of Interest – Government Members

As mentioned above, regarding Ministers and Deputy Ministers, the Israeli governmentpromulgated Rules for the Prevention of Conflicts of Interests by Ministers andDeputy Ministers, 2003. The application of these rules is reviewed by the StateComptroller, who is authorized to look into the declarations by Ministers and DeputyMinisters, and to notify the Knesset if the rules have been breached.

Conflicts of Interest – Directors Appointed by the StateRegarding directors of government-owned companies, the criteria for their appointmentare set forth in the of Government Companies Law, 1975 . Included in these criteria areprovisions designed to prevent conflicts of interest.

Conflicts of Interest – Municipal GovernmentConflict of interests in municipal government are regulated mainly via three instruments:the Municipalities Ordinance (New Version) 1968, the Local Councils Order, 1951and the Regional Council Order, 1958. All three instruments prohibit employees andelected officials from operating in conflicts of interest. A breach of these prohibitionsconstitutes a penal offence.These legal instruments also include another important penal offense, applicable only toelected officials: it is generally prohibited for a council member to engage in businessdealings with the municipal authority to which he or she was elected.

Another important example (applicable only to municipalities that are cities) is theprohibition to recruit employees who are relatives of the mayor and his or her deputies,except when the recruitment of a specific employee was approved by a special committeeconvened by the Ministry of Interior, the members of which are independent of themunicipality.

ISRAEL (THIRD MEETING)

As stated above, the "Takshir" includes, inter alia, prohibitions on gaining personalbenefit from public positions and operating in conflicts of interest. The "Takshir" ispublished on the Civil Service Commission's website. The Civil Service Law(Discipline), 1963 provides the Civil Service Commissioner with jurisdiction to penalizepublic officials for any violation of the "Takshir". The Encouragement of PublicMorality in Public Service Law, 1992, provides the framework for encouraging publicofficials to report acts of corruption in public administration. All such legislation ispublicly available.

Attorney General Directive no. 1.1555 (2006) includes guidelines for the prevention ofconflicts of interest when recruiting employees to the civil service. This Directivestipulates detailed disclosure requirements as well as legal guidelines for draftingspecifically tailored ad-hoc requirements for the appointment of civil servants that mayface various situations of conflicts of interest. Such particular requirements could be, forinstance, a requirement for the civil servant to divest himself/herself from his/herholdings in a particular corporation (such as by way of transferring the shares to blindtrusts), or a reassignment of certain fields of responsibility from one civil servant'sposition to another.

Additionally, Attorney General Directive no. 3.1005 (2005) stipulates which of the ad-hoc particularized requirements must be made known to the public. All of the AttorneyGeneral Directives are available to the public online.

Conflicts of Interest – Government Members and Elected Public Officials RegardingMinisters and Deputy Ministers, the Israeli government promulgated Rules for thePrevention of Conflicts of Interest by Ministers and Deputy Ministers, 2003. Theapplication of these rules is reviewed by the State Comptroller, who is authorized to lookinto the declarations made by Ministers and Deputy Ministers under the rules, and tonotify the Knesset (a relevant committee) if the rules have been breached. This in turnleads to awareness amongst such officials to the rulesobligating their conduct in this regard.

Proper Management of Public Affairs: As part of the effort against exploitation ofpolitical power to advance personal or business interests through conflicts of interest,extraneous considerations, bias or discrimination, the Attorney General publishedDirective 1.1708, entitled “Restrictions on Handling Requests of Members of an

Electing Body by Elected Public Officials" (2004). This directive, as well as all otherAttorney General Directives, is available online.

Conflicts of Interest – Municipal Government. The Director General of the Ministry ofInterior issues several circulars a year. These circulars regulate many areas of conductrelevant to the provisions of the Convention. They are mandatory for the localmunicipalities, and are issued by the Director General by virtue of the powers delegatedto him or her by the Minister of Interior. An example of a relevant circular is the circularof May 2011, which establishes disclosure duties for officers (employees) of localauthorities, along the lines of directive no. 1.1555 of the Attorney General. Anotherexample is the circular of January 2009 imposing personal liability on employees andelected officials of local municipalities whose actions have resulted in an illegalexpenditure for the municipality.

The Planning and Building Law, 1965, prohibits employees and members of planningcommittees (elected municipal officials or municipal employees), of all levels, fromparticipating in deliberations and voting in case of a personal interest. They also have aduty to disclose to the chairperson of the committee any personal interest they may havein relation to the matter at hand.All circulars are regularly published and available through official publications andonline.

Conflicts of interest, gifts and assets - The Civil Service Regulations (the "Takshir", asnoted previously) includes, inter alia, prohibitions on gaining personal benefit frompublic positions and operating in conflicts of interest. The "Takshir" is published on theCivil Service Commission's website. Additionally, Circular notes addressed togovernmental units are published online and distributed regularly via group emails togovernment officials.

Additional relevant legislation includes the Encouragement of Public Morality inPublic Service Law, 1992, the provisions of which are aimed at encouraging thereporting of acts of corruption within the public administration, and the Public ServiceLaw (Gifts), 1979, which prohibits certain public officials from accepting gifts presentedto them in their capacity as public servants. The law and regulations mandate thereporting of such gifts, and set the standards for the lawful acceptance of proposed giftsby public servants.

Conflicts of Interest – Government Members As mentioned above, regardingMinisters and Deputy Ministers, the Israeli government promulgated Rules for thePrevention of Conflicts of Interests by Ministers and Deputy Ministers, 2003. Theapplication of these rules is reviewed by the State Comptroller, who is authorized to lookinto the declarations by Ministers and Deputy Ministers, and to notify the Knesset if therules have been breached.

Conflicts of Interest – Directors Appointed by the State

Regarding directors of government-owned companies, the criteria for their appointmentare set forth in the of Government Companies Law, 1975. Included in these criteria areprovisions designed to prevent conflicts of interest. Conflicts of Interest – MunicipalGovernment Conflict of interests in municipal government are regulated mainly viathree instruments: the Municipalities Ordinance (New Version) 1968, the LocalCouncils Order, 1951 and the Regional Council Order, 1958. All three instrumentsprohibit employees and elected officials from operating in conflicts of interest. A breachof these prohibitions constitutes a penal offence. These legal instruments also includeanother important penal offense, applicable only to elected officials: it is generallyprohibited for a council member to engage in business dealings with the municipalauthority to which he or she was elected. Another important example (applicable only tomunicipalities that are cities) is the prohibition to recruit employees who are relatives ofthe mayor and his or her deputies, except when the recruitment of a specific employeewas approved by a special committee convened by the Ministry of Interior, the membersof which are independent of the municipality.

JAPAN (SECOND MEETING)

【Related legislation】-Provisional translation of the articles: Attached

National Public Service Act, Article 103, (Exclusion from Private Enterprise） National Public Service Act, Article 104 (Restriction on Participation in Other

Undertaking or Business）

【Related measures】

The National Personnel Authority (NPA) makes pamphlets (105,000 copies intotal from 2010 to 2012) to ensure that discipline is thoroughly maintained, anddistributes these pamphlets to each Ministry.

In 2000, the NPA issued a guideline that was prepared to help the Cabinet Officeand each Ministry determine the quantitative severity of punishments, and ensurethat disciplinary actions are taken appropriately

KAZAKHSTAN (SECOND MEETING)

MALAYSIA (THIRD MEETING)

States parties are encouraged to focus in particular on their implementation of policiesand measures relating to conflicts of interest, the reporting of acts of corruption and theuse of asset declarations.

Malaysia has policies/measures in the form of Laws, regulations, Public Servicecircularscited and summarized in paragraph 2.1 below.

2.1 Regulation 4 (2) of the Public Officers (Conduct and Discipline) Regulation 1993

An officer shall not:-

a. Subordinate his public duty to his private interest;

b. Conduct himself in such manner as is likely to bring his private interest into conflictwith his public duty;

c. Conduct himself in any manner likely to cause reasonable suspicion that-

I. He has allowed his private interest to come into conflict with his public duty soas to impair his usefulness as a public officer; or

II. He has used his public position for his personal advantage;

d. Conduct himself in a such a manner as to bring the public service into disrepute orbring discredit to the public service;

e. Bring or attempt to bring any form of outside influence or pressure to support oradvance any claim relating to or against the public service, whether the claim is his ownor that of any other officer.

ii. Sec 23 of the Malaysian Anti-Corruption Commission Act 2009 (Act 694)-Offence ofusing office or position for gratification:-

23. (1) Any officer of a public body who uses his office or position for any gratificationwhether for himself, his relative or associate, commits an offence.

(2) For the purposes of subsection (1), an officer of a public body shall be presumed, untilthe contrary is proved, to use his office or position for any gratification, whether forhimself, his relative or associate, when he makes any decision, or takes any action, inrelation to any matter in which such officer, or any relative or associate of his, has aninterest, whether directly or indirectly.

(3) For the avoidance of doubt, it is declared that, for the purposes of subsection (1), anymember of the administration of a State shall be deemed to use his office or position forgratification when he acts contrary to subsection 2(8) of the Eighth Schedule to theFederal Constitution or the equivalent provision in the Constitution or Laws of theConstitution of that State.

(4) This section shall not apply to an officer who holds office in a public body as arepresentative of another public body which has the control or partial control over thefirst-mentioned public body in respect of any matter or thing done in his capacity as suchrepresentative for the interest or advantage of that other public body.

iii. Treasury Instruction No 197 (3)

Any officer who has vested interest in the Quotation / Tender exercise is required todeclare his/her interest and to dismiss him or herself in writing.

iv. Prime Minister’s Guide 8 March 2010: Action Guide Lines with regards to Lobbyingby Government Leaders, Influential or Other persons on Official Matters.

A guide to define parameters of support letters and/ or other medium of communication,to deter undue influence by individuals on decision making process of public officials inprocurement, human resources management, application of license/permits, loan,scholarship, citizenship etc.

v. Treasury Circular letter No 11 of 1995: Guidelines On Overseas Trips Due ToGovernment Procurement

A circular setting out conditions and procedures to be complied with in regards tooverseas trips (for training/ plant inspection/ tender assessment) sponsored by suppliersor firms in connection with contracts awarded.

vi. Letter of Undertaking by Public Officials –Regulation 19 of the Public OfficersRegulations (Appointment, Promotion, and Termination) 2005.

A mandatory requirement for all public officials appointed by the Government to abidethe provisions of the Public Officers (Conduct and Discipline) Regulation 1993, GeneralOrders, Service Circulars, Circular Letters, Regulation and others rules issued by HisMajesty The King form time to time.

Conflicts of interest are deterred by enforcing the following measures:

i. Enforcement of Regulation 4 (2) of the Public Officers (Conduct and Discipline)Regulation 1993;

ii. Enforcement of Sec 23 of the Malaysian Anti-Corruption Commission Act 2009 (Act694)- Offence of using office or position for gratification;

iii. Treasury Instruction No 197 (3);

iv. Compliance with the Prime Minister’s Guide on defining parameters of support lettersto deter undue influence by individuals on decision making process of public officials inprocurement;

v. Compliance with Treasury Circular letter No 11 of 1995: Guidelines On OverseasTrips Due To Government Procurement;

vi. The execution of Letter of Undertaking by Public Officials to abide the PublicOfficers.

(Conduct and Discipline) Regulation 1993, General Orders, Service Circulars, CircularLetters, Regulation and others rules issued by His Majesty The King form time to time

NIGERIA (THIRD MEETING)

Article 7(4) and Article 8- Conflict of Interest, Code of Conduct for PublicOfficers

The Code of Conduct for Public Officers enshrined in the Constitution and administeredby a dedicated agency- The Code of Conduct Bureau has specific provisions relating toConflict of Interest. Section 5 of the Code of Conduct and Tribunal Act provides asfollows: ‘A Public Officer shall not put himself in a position where his personal interestconflicts with his duties and responsibilities’. The Code also addresses other issues suchas prohibition of gifts from private entities who have dealings with the government;maintaining foreign accounts; receiving benefits for acts done or omitted to be done;membership of secret societies; restriction on loans; abuse of powers; and running ofprivate businesses, profession or trade while holding public office.

Conflict of Interest

The Code of Conduct Bureau investigates and prosecutes cases of Conflict of Interestamong Public Officers. A short list of the cases being prosecuted by The Bureau in 2012is attached as Annexture 2.

The challenge of implementation of this article lies mainly in the capacity to verify thedeclarations of assets given the number of Public Servants at the federal, states and localgovernment levels who are mandated to declare their assets under the law. The Code ofConduct Bureau has however prioritized the verification of assets of Politically ExposedPersons (PEPS) and high ranking Public Servants.

POLAND (THIRD MEETING)

The Ministry of Interior compiled the draft "Government Anti-Corruption Programme for20122016". The document contains numerous tasks and activities aimed at preventingand combating corruption pertaining to the issues of public-private partnerships, publicsector, conflicts of interest and asset declarations as well.

In the context of preventing conflicts of interest and submitting asset declarations, thepreparation of the draft government bill on the preventing anti-corruption and conflicts ofinterest was thefundamental issue in the a/c document. That deed will stipulate the following issues:

- to submit and analyze asset declarations of public officials — provisions in the area

of the preventive measures,

- to take the additional classes during and after the civil service — provisions steered

on disclosing conflicts of interest.

One of the important acts of law referring to the prevention of potential conflicts ofinterests is the Act of law of 21 August 1997 on the limitation of doing business bypersons holding public office — so called the Anti-Corruption Act (Journal of Laws 2006No. 216, item. 1584 with later abandonments).

In order to identify potential conflicts of interest in consideration of their prevention, theAnti-Corruption Act includes in the article 4 some interdicts for persons elected to publicoffice. They concern:

1. persons holding the highest public leadership positions, e.g. President, Marshal of

the Sejm, Marshal of the Senat, Prime Minister, President of National Bank of

Poland, provincial governor;

2. persons holding other leadership positions, e.g. directors of government as well

as local public offices, members of self-government of communes, counties and

voivodeships.

Detailed list of persons within the scope of this Act of law can be found in the following

articles: 1, 2 and 8.

REPUBLIC OF KOREA (THIRD MEETING)

Policies and measures to prevent conflicts of interest

- Enacting and implementing Public Service Ethics Act- Enacting and implementing Code of Conduct for Public Officials- Planning to enact Act on Prevention of Illegal Solicitation and Conflict of Interest- Conducting Corruption Impact Assessment

Policies or measures that identify and address potential conflicts between theprofessional duties and personal interests of civil servants or elected public officials

A. Enacting and implementing Public Service Ethics Act1

Republic of Korea enacted Public Service Ethics Act to guide public officials to meettheir obligations by preventing corruption and securing fairness of the public sector.Article 2-2 of the Act prescribes that conflicts of interest should be preventedpreliminarily and public officials should not pursue their private interest abusing theirauthority. Articles following the Article 2-2 provide concrete initiatives such as Property

Registration, Blind Trust of Stocks, Gift Declaration and Employment Restrictions ofRetired Public Officials.

(Property Registration for Public Officials prescribed in Articles 3 through 14-3 will bedescribed later.)

The initiative of Blind Trust of Stocks prescribed in Article 14-4 through 14-10 has beenintroduced to eliminate the connection between public officials‟duties and stocks theyhold. Under this initiative, elected and politically appointed officials, officials above„A(Ga)‟-rank of SES and chairs of public service related organizations are supposed todispose or entrust their stocks valuing over 30 million KRW.

Gift Declaration initiative prescribed in Article 15 and 16 requires public officials todeclare any gifts they receive from foreign governments, other organizations, orindividuals. However, gifts under 100 thousand KRW and personal gifts from foreignindividual do not have to be declared.

Articles 17 through 19 prevent inappropriate connection between public officials andprivate companies by restricting retired officials to be employed to certain companies.For 2 years, public officials above rank-4 and officials above rank-7 working in lawenforcement, auditing, and issuing license are limited to get a job of private companieswhich are related to their former duties of last 5 years. This initiative was introduced toprevent retired public officials from exercising inappropriate influence on their formergovernment agencies in favor of their new companies.

B. Enacting and implementing Code of Conduct for Public Officials2

The ACRC(Anti-corruption and Civil Rights Commission) of Korea enacted and hasimplemented the Code of Conduct for Public Officials, in order to set appropriate valueand behavioral standards to help public officials not to be corrupted in conflict situations,including conflicts of interest, while carrying out their duties.

The Code of Conduct was created for public officials for the first time in 2003 in thename of “Code of Conduct for the Maintenance, etc. of Public Official‟s Clean-Handiness,” based on the “Anti- Corruption Act” which was enacted on July 24, 2001.The application of the Code of Conduct has been extended to the executives andemployees of public service related organizations since 2006.

Moreover, the Code of Conduct for Local Councilmen was separately enacted andpromulgated as a presidential decree on November 2 in 2010, and has been implementedsince February 3, 2011, particularly for local councilmen among local public officials,reflecting distinct characteristics of their status.

In order to prevent public officials from facing conflicts of interest while carrying outtheir duties, the Code of Conduct for Public Officials set 16 behavioral standards such as“Recusation for Conflicts of Interest (Article 5),” and “Prohibition of the Improper Use of

Public Position (Article 10-2).” It also defines disciplinary measures for the violators.Details of the Code of Conduct for Public Officials regarding conflicts of interest are asfollows:

Table 1. Behavioral Standards (Code of Conduct for Public Officials)

Fair Performance of Duties(6 Articles)

Prohibition of Giving andReceiving Unfair Profits(7 Articles)

Creation of Healthy Climateof Civil Service(3 Articles)

▶Handling of Instructions thatHinder Fair Performance of Duties(§4)▶Recusation for Conflicts ofInterest (§5)▶Exclusion of PreferentialTreatment (§6)▶Prohibition of Use of Budget forUnspecified Purposes (§7)▶Handling of Unjust Request fromPoliticians (§8)▶Prohibition of Illegal Solicitationfor Personnel Affairs (§9)

▶Prohibition of Influence Peddling(§10)▶Prohibition of the Improper Useof Public Position (§10-2)▶Prohibition of Illegal Solicitation(§11)▶Restriction of Use of Duty-related Information for FinancialTransactions (§12)▶Prohibition of Personal Use ofPublic Property (§13)▶Restriction of Receiving Moneyor Other Valuables (§14)▶Prohibition of Giving Money orOther Valuables (§14-2)

▶Report on Outside Lecture orConference (§15)▶Prohibition of BorrowingMoney (§16)▶Restriction on Notification ofFestivities and Funerals and onReceipt of Money Thereof (§17)

C. Planning to enact Act on Prevention of Illegal Solicitation and Conflict of Interest

The ACRC is planning to enact a new law, so-called “Act on Prevention of IllegalSolicitation and Conflict of Interest” which deals with “conflict of interest,” currentlystipulated in the Code of Conduct for Public Officials (Presidential Decree), and penaltiesfor the violation, in order to more effectively prevent and manage conflict of interestsituations facing public officials.

To this end, the Commission has prepared to draw up this new law, by studying foreignlegislation cases such as the U.S. or Canada, collecting opinions of experts, and holdingopen discussions since last year. Furthermore, it has made and distributed “Guidelines forConflict of Interest” as a practical guide for public officials to fairly carry out their dutiesand to effectively respond to conflict of interest situations.

The “Guidelines for Conflict of Interest” suggests 4-step measures (self-diagnosis checklist – counseling about conflict of interest situations – managing conflict of interest –monitoring conflict of interest & taking disciplinary measures against violation) so thatpublic officials themselves can assess corruption possibilities and resolve conflict ofinterest through the ethical counseling system.

D. Conducting Corruption Impact Assessment3

The Corruption Impact Assessment was designed as a preventive measure to review andremove corruption-causing factors out of laws and regulations when the bills are drafted.This assessment has been carried out since April 2006. When public organizations enactor amend laws and regulations, they are required to prepare a draft and relevant materialsand to request the ACRC to conduct the Corruption Impact Assessment on the draft, rightafter they start consultations with concerned agencies. The ACRC reviews and assessescorruption-causing factors of the draft and recommends improvement measures anddetailed examples of enactment so that they can reflect the recommendations into theirdraft before legislative examination.

The Commission has prepared its specific criteria for items to be reviewed and assessedwhen detecting corruption-causing factors out of laws and regulations. Currently,however, as some corruption cases related to conflict between private and public interestshave been revealed, the ACRC revised its “Guideline for Corruption Impact Assessment”(Sep. 28, 2011), adding “possibility of a conflict of interest” into the specific criteria, andthe revised criteria has been applied since January 1, 2012.

1 Refer to attachment #1,22 Refer to attachment #3,43 Refer to attachment #5,6

Cases of the successful identification of conflicts of interest between the professionalduties and personal interests of public officials and the process used to resolve suchconflicts.

Case 1: The ACRC, through 2011 inspection for Code of Conduct, found out that 14local state-owned companies abused their authority to hire employees for personalinterest. It was found out that they abused their authorities over personnel affairs anddistorted employment process, influenced by external pressure and solicitations: forexample, hiring a specific person only with interview and resume after leaving outwritten tests, setting a very short period for a job opening to give only specific personsinterview opportunities, or hiring an unqualified person for the job requirements. TheACRC confirmed the facts and requested the concerned public companies to come upwith countermeasures to prevent recurrence of such violation, and informed the Ministryof Public Administration and Security of its opinions about institutional improvementconcerned.

Case 2: It has been found that regarding subcontracts in construction area, public officialsfrequently selected unqualified or unlicensed subcontractors or connived in making low-price contracts violating appropriateness of subcontracts in return for bribery, etc.Accordingly, the ACRC conducted its Corruption Impact Assessment on EnforcementDecree of the Framework Act on the Construction Industry and made a recommendationto the Ministry of Land, Transport and Maritime Affairs to create measures to preventconflict of interest, such as excluding private examiners out of its subcontract reviewingcommittee as they might directly and indirectly influence results of committee‟s reviews(on subcontractor‟s construction capability or appropriateness).

Case 3: Even though corporate credit cards of public organizations are supposed to beused for public purposes, they have often been used for personal interests includingentertainment or luxury goods. For example, it was detected that senior officer A of apublic organization charged golf goods worth 1500USD on his corporate card at adepartment store, while senior officer B charged a beef gift set and expensive liquors onhis corporate card at an airport duty free shop on his business trip for his personalpurpose. Accordingly, to prevent personal use of public funds, the ACRC introduced“Clean Card System” to establish a regularly monitoring system, designate morecategories of business and goods a corporate card cannot be used to pay for, and open thebreakdowns of corporate credit cards.

ROMANIA (SECOND MEETING)

In what may concern the aspect of preventing conflicts of interest in the public sector, thesystem of declaring and monitoring assets and conflicts of interests for dignitaries andcivil servants (already in place since 1996, but not open to the public until 2003) wasimproved through several legal acts. The Law on the local public administration from2001 provided for a set of rules regarding conflicts of interests involving mayors, deputymayors and local councilors. Later on, new incompatibilities applicable to all elected

public officials and to civil servants were introduced (2003). Situations ofincompatibilities involving members of Parliament were also defined. Furthermore, anautonomous administrative authority responsible for verifying assets, incompatibilitiesand conflicts of interest was created in 2007 (National Integrity Agency).

RUSSIAN FEDERATION (THIRD MEETING)

Order No. 344 of the Office of the Prosecutor-General of the Russian Federation, of 10September 2010, on commissions attached to bodies and institutions of the Office of theProsecutor-General of the Russian Federation for the maintenance by federal publicofficials and the regulation of conflicts of interest set up assessment boards on thefulfillment by staff of the prosecution service of requirements regarding official conductand the regulation of conflicts of interest. The assessment board’s main task is to helpensure that federal public officials observe the restrictions and prohibitions, therequirements on preventing or regulating conflicts of interest, to ensure that theobligations established by the Federal Anti-corruption Act and other federal laws areobserved and to take measures to prevent corruption in the public prosecution service.

SLOVENIA (THIRD MEETING)

Because of the fact that provisions on conflict of interests, reporting acts of corruption,assets declarations and public-private partnership are in Slovenian legal system since2010 in majority updated, changed and modernised, we would like to emphasis those inmore wider content. Provisions of new Integrity and Prevention of Corruption Act andCommission for the Prevention of Corruption, which is responsible to implement andsupervise it, are covering also define articles (7—9 and 12) of UNCAC as follows:

SLOVENIAN LEGISLATION ON CONFLICT OF INTEREST, GOODPRACTICES AND PRACTICAL EXAMPLES CONFLICT OF INTEREST

(Incompatibility of office, Restrictions on business activities due to conflict of interestand Conflict of interest)

Good practices reported by Slovenia:

new provisions of Integrity and Prevention of Corruption Act (hereinafter: IPCA)in this matter;

wide range of persons who are subjects of these new provisions; penalties for violations; control and supervision of such provisions; etc. establishments and maintenances of records of public officials and cases where

Commission found the existence of conflicts interests; violations on businessactivities and Incompatibility of offices;

preparation of legal opinions, explanations and interpretation of the statutoryprovisions and other materials relating to incompatibilities and conflicts ofinterest with an emphasis on responding to the questions by public and formalinstitutions;

organisations of seminars regards Conflict of Interests; online submission of report about violation of the Integrity and Prevention of

Corruption Act (reports about acts of corruption, unethical or other unlawfulbehaviour, incompatibility of office, conflict of interest etc.).

Slovenian legal system (IPCA) defines obligation to avoid Conflict of Interests inpromoting and strengthening transparency and “fair play” within the processes andprocedures of exercising public authority, public functions and public affairs. IPCA1institutes aimed at absolute prohibition (prevention) of certain conflict of interests:

incompatibility of office and prohibition of activities for officials, restriction of business between public sector institutions and enterprises

connected to officials or their family members.

Conflict of interest means circumstances in which the private interest of an officialperson influences or appears to influence the impartial and objective performance ofhis/her public duties.Private interest of an official person means a pecuniary or non-pecuniary benefit whichis either to his/her advantage or to the advantage of his/her family members or othernatural or legal persons with whom s/he maintains or has maintained personal, businessor political relations.

According to IPCA every official person2 must pay attention to any actual or possibleconflict of interest and shall make every effort to avoid it.IPCA further on defines that official person who, upon taking up a post or office orduring the performance of his/her official duties finds out that a conflict of interest hasarisen or might arise must:

1) immediately inform his/her superior in writing, and if s/he has no superior, theCommission for the Prevention of Corruption (if not, official person can be punishedwith a fine of not less than 400 and not more than 1200 euro) , and

2) immediately cease to perform any work with regard to the matter in which theconflict of interest has arisen, unless the delay would pose a risk.

The superior or the Commission must decide on the conflict of interest within 15 daysand immediately communicate the decision to the official person.

The second (or first) possibility: self-exclusion of official person from thematter in which the conflict of interest has arisen

The purpose and the goal: an official person may not use his/her office orposition to advance his/her personal interests or the personal interests ofanother person.

It should also be stressed that Commission for the Prevention of Corruption of theRepublic of Slovenia is (since June 2010) responsible body to take all necessaryprocedures for investigating the possible conflicts of interests as follows:

- if there is a possibility that a conflict of interest has arisen in the official conduct(act) of official person, the Commission initiates a procedure for establishing theactual existence of the conflict of interest and its consequences (it can be donewithin two years of the performance of the official acts).

- in case of establishing conflict of interests, the Commission has the followingcompetences/duties:

- to inform the competent authority or the employer of the official person and setthe time limit by which the competent authority or the employer is obliged toinform the Commission of measures taken in this respect, and

- in case of intentional breaking of obligation to avoid conflict of interests, theCommission informs also all other competent authorities.

In previous year 2011 Commission for the Prevention of Corruption dealt with a total of30 cases were violations of the provisions of avoiding conflicts of interest were in place(conflict of interests was identified in four cases; three cases were sent to other competentauthorities; in remaining cases conflict of interests were not confirmed.

Furthermore, at the request and questions of various authorities and public, Commissionfor the Prevention of Corruption issued:

- 27 opinions, guidelines or recommendations in relation with the notion of conflictof interest,

- approximately 170 opinions and answers.

Example of identified conflict of interest in public sector:

Commission for the Prevention of Corruption received question (allegation) aboutpossible conflict of interest of three municipal councillors and members of the LocalCommission for mandates, elections and appointments (hereinafter Local Commission)in one of the local municipalities in Slovenia. Anonymous writer explained that membersof Local Commission are at the same time municipal councillors.When allegation came it was time to nominate, select and appoint new supervisorydirectors of one company. Three municipal councillors which were at the same time alsomembers of local Commission nominated themselves for candidates; voted in LocalCommission for themselves as the most suitable candidates and also confirmedthemselves on the Municipality Council plenary.

Conclusions:

• all three were in conflict of interest when they were voting for the most suitablecandidate at Local Commission plenary (they did not exclude themselves from thevoting);• one was in conflict of interest as a member of Municipality Council because he voted ina process where he was a candidate for supervisory director;• We also started misdemeanour procedure (fine 400 – 1200 EUR).

Restrictions on business activities due to conflict of interest

Good practice reported by Slovenia:

new provisions of Integrity and Prevention of Corruption Act (hereinafter: IPCA)in this matter;

automatisation of detection of violations through Supervizor; establishments and maintenances of records of public officials and cases where

Commission found the existence of violations of these provisions; preparation of legal opinions, explanations and interpretation of the statutory

provisions; organisations of seminars; IPCA defines number of restrictions on business

activities amongst public and private bodies as follows:

A public sector body or organisation which is committed to conducting a publicprocurement procedure in accordance with the regulations on public procurement orwhich carries out the procedure for granting concessions or other forms of public-privatepartnership, may not order goods, services or construction works, enter into public-private partnerships or grant special and exclusive rights3 to entities in which theofficial who holds office in the body or organization concerned or in cases where theofficial's family member has the following role:

- participating as a manager, management member or legal representative; or- has more than a 5% level of participation in the founders' rights, management or

capital, either by direct participation or through the participation of other legalpersons.

The mentioned prohibition also applies to the public sector body or organisation'sbusiness dealings with the official or the official's family member as a natural person.

A contract or other forms of obtaining funds that are in conflict with the above mentionedprohibitions shall be null and void.

Regards the prevention of such violations Commission for the Prevention ofCorruption:

- prepared online electronic form for reporting entities which are subject to therestrictions of business activities (it also allows a direct and automated publishingall entities on the Commission’s web site - https://www.kpk-rs.si/en);

- in 2011 prepared and published several legal opinions and answeredapproximately 160

- questions related to restrictions of business activities;- launched in 2011 a project to establish a system for the automatic identification of

transactions (violation of provisions on restriction of business activities) throughthe online application Supervizor. The system confirmed 61 violations so far.

SWITZERLAND (SECOND MEETING)

Conflits d’intérêts

Conformément aux articles 7 à 9 de la Convention des Nations Unies contre la corruption,la Suisse prend de nombreuses mesures dans le but d’assurer la transparence et l’intégritédans le secteur public, notamment en ce qui concerne la prévention de conflits d’intérêts.A titre d’exemple, la Loi fédérale sur le personnel de la Confédération (LPers) oblige lesemployés de la Confédération d’annoncer à leur supérieur toutes les charges publiques etles activités rétribuées qu’ils exercent en dehors de leurs rapports de travail. Parmi cescharges et activités, certaines peuvent requérir une autorisation ; en cas de conflitd’intérêt, l’autorisation est refusée1. La loi fédérale sur la procédure administrative exigeégalement de tout fonctionnaire fédéral appelé à rendre ou à préparer une décision qu’ilse récuse lorsqu’il a un intérêt personnel dans l’affaire en cause2.

1 Art. 23 LPers ; art. 91 de l’Ordonnance sur le personnel de la Confédération OPers(voir annexe).2 Art. 10 al. 1 lit. a PA ; cf. aussi les autres motifs de récusation aux lit. b-d du mêmearticle (voir annexe).

TUNISIA (THIRD MEETING)

In application of the provisions of article 7 of the Convention concerning conflicts ofinterest, the Tunisian legislator has established a general principle in the Statute of seniorpublic servants prohibiting conflicts of interest. The provisions of Section 5 of Law No.112 of the year 1983, dated 12 December 1983, concerning regulation of the generalstatute of servants of the State, local public corporations and institutions of anadministrative nature is the model of the prohibition of conflicts of interest reiterated inall statutes, such as the statute of the judiciary, the military statute and the statute ofsecurity personnel.

Section 5 provides as follows: “No public servant may exercise a private paid activity ofany kind regulated by conditions that may infringe this prohibition. No public servantwhatever his position shall directly or through an intermediary under any designationwhatsoever have an interest in an institution subject to the control of the department inwhich he works if that interest compromises his independence.

Where relatives of public servants exercise paid private professional activities, astatement of these shall be submitted to the department in which the public servant works.When necessary, the oversight authorities shall take the necessary measures to protect theinterests of the department”.

Identification of conflicts of interest between the professional duties and personalinterests of public officials and the process used to resolve such conflicts.

The national approach imposes a duty to avoid conflicts of interest upon all civil servantsand considers it a general duty that results in the requirement to refrain from any situationinvolving conflict of interest.

Breach of this duty results in severe sanctions that may be disciplinary or criminal, aswell as the possibility of the civil servant being required to remedy the harm done to thedepartment or a third party in the event that this duty has been breached. The control andinspection system ensures respect of this duty by granting wide-ranging powers toprohibit and uncover conflicts of interest.UNITED STATES (THIRD MEETING)

1. Has your country adopted and implemented articles 7 – 9 of the UN Conventionagainst Corruption?

Yes

2. Please cite, summarize and, if possible, provide copies of the applicable policy(ies)or measure(s):

In particular, the Secretariat would be grateful for information regardingpolicies or measures that:

o identify and address potential conflicts between the professionalduties and personal interests of civil servants or elected publicofficials.

o require asset declarations from civil servants or those elected topublic office (States parties are encouraged to provide examples ofasset declaration forms where used).

The program designed to prevent, detect, and if necessary, address conflicts of interest onthe part of individual public officials generally has four parts: enforceable writtenstandards; personal financial disclosures; training, education and counseling; andenforcement. Of course, this program complements enforceable, transparent, publicadministration systems particularly in the areas of procurement, internal finacial controls,budget, and human resources.

Enforceable, written standards. At the federal level, the United States reliesupon a series of criminal conflict of interest statutes, civil ethics statutes andadministrative standards or codes of conduct to establish for public officials (and often

for those in the private sector in their dealings with public officials) written, enforceablestandards with regard to conflicts of interest.

In general, there are criminal statutes in chapter 11 of title 18 of the U.S. Code thatspecifically describe situations where an official may not engage in a particular conductbecause it creates a conflict with his or her official duties or loyalty to the Government.The most generally applicable restrictions are found in sections 201-209(http://www.oge.gov/About/International-Activities/Docs/statutes_ogecomp/). Thesesections of title 18 of the U.S. Code are in the process of being translated into all six UNlanguages. By August 2012 they will be available athttp://www.oge.gov/About/International-Activities/Translated-Documents/. None of thegenerally applicable criminal statutes prohibit the holding of a particular financial asset or aposition outside the Government, but some do prohibit the receipt of compensation oranything of value for certain activities (from anyone other than the Government). The civilstatutes (5 U.S.C. app. section 501 et. seq., available athttp://www.gpo.gov/fdsys/pkg/USCODE-2010-title5/html/USCODE-2010-title5-app-ethicsing-titleV.htm) do, however, prohibit the most senior political officials, all electedofficials and all federal judges from engaging in certain types of activities or holdingcertain positions in their private capacities and from receiving more than a specifiedamount of outside earned income, regardless of the activity performed for the income.These restrictions are similar in nature to the incompatibilities regimes found in othercountries.

In the executive branch, the administrative Standards of Conduct (5 C.F.R. Part 2635,available at http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=eaab3e76921028ab2de631c3f4b0f8a0&rgn=div5&view=text&node=5:3.0.10.10.9&idno=5) complement these restrictions with general branch-wide restrictions aswell as by allowing agencies (with approval from the U.S. Office of Government Ethics) torestrict further the outside activities and financial interests of their employees, when thoserestrictions are appropriately related to the functions of the agencies. The Standards ofConduct are in the process of being translated into all six UN languages. By August 2012they will be available at http://www.oge.gov/About/International-Activities/Translated-Documents/. Agency supplemental regulations are found at 5 C.F.R. Parts 3101-8701. Inaddition, on January 21, 2009, President Obama signed an Executive Order, "EthicsCommitments by Executive Branch Personnel," that requires certain political appointees tosign an Ethics Pledge (available at http://www.oge.gov/OGE-Advisories/Legal-Advisories/DO-09-003a--Attachment-to-DO-09-003,-Ethics-Pledge/).

Each house of the legislative branch also has conduct standards. The Senate Code ofOfficial Conduct is a part of the Standing Rules of the Senate. The Senate publishes aSenate Ethics Manual containing these provisions as well as guidance on theirinterpretation (see http://ethics.senate.gov/public/index.cfm/ethicsrules).

The United States House of Representatives (House) adopts a code of conduct as a part ofits rules at the beginning of each Congress. The House also publishes a House EthicsManual containing these provisions as well as guidance on their interpretation (available at

http://ethics.house.gov/). In 1958, the House and the United States Senate (Senate) passeda concurrent resolution containing a Code of Ethics for Government Service. The Housecontinues to expect its Members and employees to adhere to this Code.

In the judicial branch there are two primary codes of conduct: the Code of Conduct forUnited States Judges and the Code of Conduct for Judicial Employees (available athttp://www.uscourts.gov/RulesAndPolicies/CodesOfConduct.aspx).

In addition to written, enforceable standards there are three other aspects of a conflict ofinterest prevention program. They are public and confidential financial disclosure;education, training and counseling; and enforcement as a deterrent.