Integrity Indicators 2009

8/8/2019 Integrity Indicators 2009

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Global Integrity: 2009 Integrity Indicators# Indicator Coding YES

I

I-1 Civil Society Organizations1

1a

1b

1c

2

2a

2b

Civil Society, Public Informationand Media

Are anti-corruption/good governance CSOslegally protected?

In law, citizens have a right to form civilsociety organizations (CSOs) focused onanti-corruption or good governance.

A YES score is earned when freedom toassemble into groups promoting goodgovernance or anti-corruption is protected bylaw, regardless of political ideology, religion orobjectives. Groups with a history of violence orterrorism (within last ten years) may be banned.Groups sympathetic to or related to bannedgroups must be allowed if they have no history ofviolence.

In law, anti-corruption/good governanceCSOs are free to accept funding from anyforeign or domestic sources.

A YES score is earned if anti-corruption/goodgovernance CSOs face no legal or regulatoryrestrictions to raise or accept funds from anyforeign or domestic sources. A YES score maystill be earned if funds from groups with a historyof violence or terrorism (within last ten years) arebanned.

In law, anti-corruption/good governanceCSOs are required to disclose their sourcesof funding.

A YES score is earned if anti-corruption/goodgovernance CSOs are required to publiclydisclose their sources of funding.

Are good governance/anti-corruption CSOsable to operate freely?

In practice, the government does not createbarriers to the organization of new anti-corruption/good governance CSOs.

In practice, anti-corruption/good governanceCSOs actively engage in the political andpolicymaking process.


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2c

3

3a

3b

3c

4 Can citizens organize into trade unions?

In practice, no anti-corruption/goodgovernance CSOs have been shut down bythe government for their work on corruption-related issues during the study period.

A YES score is earned if there were no CSOsshut down by the government or forced to ceaseoperations because of their work on corruption-related issues during the study period. YES is apositive score.

Are civil society activists safe when workingon corruption issues?

In practice, in the past year, no civil societyactivists working on corruption issues havebeen imprisoned.

A YES score is earned if there were no CSOactivists imprisoned because of their workcovering corruption. YES is a positive score.

In practice, in the past year, no civil societyactivists working on corruption issues havebeen physically harmed.

A YES score is earned if there were nodocumented cases of CSO activists coveringcorruption being assaulted in the specific studyperiod. A YES score can be earned if there wasan attack but it was clearly unrelated to theactivist's work. YES is a positive score.

In practice, in the past year, no civil societyactivists working on corruption issues havebeen killed.

A YES score is earned if there were nodocumented cases of CSO activists being killedbecause of their work covering corruption in thespecific study period. YES is a positive score.


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4a

4b

I-2 Media

5 Are media and free speech protected?5a In law, freedom of the media is guaranteed.

5b In law, freedom of speech is guaranteed.

6

6a

6b

6c

In law, citizens have a right to organize intotrade unions.

A YES score is earned when trade unions areallowed by law, regardless of political ideology,religion or objectives. Groups with a history ofviolence or terrorism (within last ten years) maybe banned. Groups sympathetic to or related tobanned groups must be allowed if they have no

history of violence.

In practice, citizens are able to organize intotrade unions.

A YES score is earned if freedom of the press isguaranteed in law, including to all politicalparties, religions, and ideologies.

A YES score is earned if freedom of individual

speech is guaranteed in law, including to allpolitical parties, religions, and ideologies.

Are citizens able to form print mediaentities?

In practice, the government does not createbarriers to form a print media entity.

In law, where a print media license isnecessary, there is an appeals mechanismif a license is denied or revoked.

A YES score is earned if there is, in law or inaccompanying regulations, a formal process toappeal a denied print media license, includingthrough the courts. A YES score is also earned ifno print license is necessary.

In practice, where necessary, citizens canobtain a print media license within areasonable time period.


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6d

7

7a

7b

7c

7d

8 Can citizens freely use the Internet?

8a

8b

9 Are the media able to report on corruption?

In practice, where necessary, citizens canobtain a print media license at a reasonablecost.

Are citizens able to form broadcast (radioand TV) media entities?

In practice, the government does not createbarriers to form a broadcast (radio and TV)media entity.

In law, where a broadcast (radio and TV)media license is necessary, there is anappeals mechanism if a license is denied or

revoked.

A YES score is earned if there is, in law or inaccompanying regulations, a formal process toappeal a denied broadcast media license,

including through the courts. A YES score is alsoearned if no broadcast license is necessary.

In practice, where necessary, citizens canobtain a broadcast (radio and TV) medialicense within a reasonable time period.

In practice, where necessary, citizens canobtain a broadcast (radio and TV) medialicense at a reasonable cost.

In practice, the government does notprevent citizens from accessing contentpublished on-line.

In practice, the government does not censorcitizens creating content on-line.


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9a

9b

9c

10

10a

10b

10c

In law, it is legal to report accurate newseven if it damages the reputation of a publicfigure.

A YES score is earned if it is legal to reportaccurate information on public figures regardlessof damage to their reputations. Public figures aredefined broadly, including anyone in a position ofresponsibility in the government or civil service;any political leader; leaders of civil society

groups including religious groups, trade unions,or NGOs; leaders or officers of large businesses.A YES score can still be earned if a recklessdisregard for the truth (i.e. slander) is prohibited.

In practice, the government or mediaowners/distribution groups do notencourage self-censorship of corruption-related stories.

In practice, there is no prior governmentrestraint (pre-publication censoring) onpublishing corruption-related stories.

Are the media credible sources ofinformation?

In law, print media companies are requiredto publicly disclose their ownership.

A YES score is earned if print media companiesare required by law to publicly disclose allowners of the company.

In law, broadcast (radio and TV) mediacompanies are required to publicly disclosetheir ownership.

A YES score is earned if broadcast mediacompanies are required by law to publiclydisclose all owners of the company.

In practice, journalists and editors adhere tostrict, professional practices in theirreporting.


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10d

10e

11

11a

11b

In practice, during the most recent election,political parties or independent candidatesreceived fair media coverage.

In practice, political parties and candidateshave equitable access to state-ownedmedia outlets.

Are journalists safe when investigatingcorruption?

In practice, in the past year, no journalistsinvestigating corruption have beenimprisoned.

A YES score is earned if there were nojournalists imprisoned related to work coveringcorruption during the study period. A YES scoreis positive.

In practice, in the past year, no journalistsinvestigating corruption have beenphysically harmed.

A YES score is earned if there were nodocumented cases of journalists being assaultedduring the specific study period for their workcovering corruption issues. A YES score is

positive.


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11c

I-3 Public Access to Information

12

12a

12b

12c

13

13a

13b

In practice, in the past year, no journalistsinvestigating corruption have been killed.

A YES score is earned if there were nodocumented cases of journalists being killedbecause of their work covering corruption-relatedissues during the study period. A YES score ispositive.

Do citizens have a legal right of access toinformation?

In law, citizens have a right of access togovernment information and basicgovernment records.

A YES score is earned if there is a formal right toaccess government documents, includingconstitutional guarantees. Exceptions can bemade for national security reasons or individualprivacy, but they should be limited in scope. Allother government documents should beavailable upon a public request.

In law, citizens have a right of appeal ifaccess to a basic government record isdenied.

A YES score is earned if there is a formalprocess of appeal for rejected informationrequests. A YES score can still be earned if theappeals process involves redress through thecourts rather than administrative appeal.

In law, there is an established institutionalmechanism through which citizens canrequest government records.

A YES score is earned if there is a formalgovernment mechanism/institution through whichcitizens can access government recordsavailable under freedom of information laws.This mechanism could be a government office(or offices within agencies or ministries) or anelectronic request system.

Is the right of access to information

effective?In practice, citizens receive responses toaccess to information requests within areasonable time period.

In practice, citizens can use the access toinformation mechanism at a reasonablecost.


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13c

13d

13e

13f

II ElectionsII-1 Voting & Citizen Participation

14

14a

14b

15 Can all citizens exercise their right to vote?

15a In practice, all adult citizens can vote.

15b

15c

16

In practice, responses to informationrequests are of high quality.

In practice, citizens can resolve appeals toaccess to information requests within areasonable time period.

In practice, citizens can resolve appeals toinformation requests at a reasonable cost.

In practice, the government gives reasonsfor denying an information request.

Is there a legal framework guaranteeing theright to vote?

In law, universal and equal adult suffrage isguaranteed to all citizens.

A YES score is earned if the right to vote isguaranteed to all citizens of the country (basicage limitations are allowed). A YES score canstill be earned if voting procedures are, inpractice, inconvenient or unfair.

In law, there is a legal framework requiringthat elections be held at regular intervals.

A YES score is earned if there is a statutory orother framework enshrined in law that mandateselections at reasonable intervals.

In practice, ballots are secret or equivalently

protected.

In practice, elections are held according to aregular schedule.

Are citizens able to participate equally in thepolitical process?


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16a

16b

16c

16d

16e

II-2 Election Integrity

17

In law, all citizens have a right to formpolitical parties.

A YES score is earned if citizens have the rightto form political parties without interference fromgovernment. A YES score may still be earned ifgroups or individuals with a history of violence orterrorism (within last ten years) are banned fromforming political parties. Non-discriminatory

minimal criteria (e.g. minimum age) are alsoallowed.

In law, all citizens have a right to run forpolitical office.

A YES score is earned if all citizens (citizen isdefined broadly, to include all ethnicities, oranyone born in the country) have the right underlaw to run for political office. A YES score maystill be earned if individuals with a history ofviolence, terrorism, or criminality are bannedfrom running for office.

In practice, all citizens are able to formpolitical parties.

In practice, all citizens can run for politicaloffice.

In practice, an opposition party isrepresented in the legislature.

In law, is there an election monitoringagency or set of election monitoringagencies/entities?

A YES score is earned if there is a domesticagency or set of domestic agencies/entitiesformally assigned to ensure the integrity of theelection process.


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18 Is the election monitoring agency effective?

18a

18b

18c

18d

18e

19

19a

19b

In law, the agency or set ofagencies/entities is protected from politicalinterference.

A YES score is earned only if the agency or setof agencies/entities has some formalorganizational independence from the bodiescontesting in the election. A YES score is still

earned even if the entity is legally separate but inpractice staffed by partisans.

In practice, agency (or set ofagencies/entities) appointments are madethat support the independence of theagency.

In practice, the agency or set ofagencies/entities has a professional, full-time staff.

In practice, the agency or set ofagencies/entities makes timely, publiclyavailable reports following an election cycle.

In practice, when necessary, the agency orset of agencies/entities imposes penaltieson offenders.

Are elections systems transparent andeffective?

In practice, there is a clear and transparentsystem of voter registration.

In law, election results can be contestedthrough the judicial system.

A YES score is earned if citizens or politicalparties can challenge allegedly fraudulentelection results through the courts or otherjudicial mechanisms.


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19c

19d

19e

19f

II-3 Political Financing

20

20a

20b

20c

20d

In practice, election results can beeffectively appealed through the judicialsystem.

In practice, the military and security forcesremain neutral during elections.

In law, domestic and international electionobservers are allowed to monitor elections.

A YES score is earned if domestic andinternational election observers are allowed tomonitor the electoral process.

In practice, election observers are able toeffectively monitor elections.

Are there regulations governing the

financing of political parties?In law, there are limits on individualdonations to political parties.

A YES score is earned if there are any limits insize on individual contributions to politicalparties. A YES score is also earned if individualcontributions are prohibited.

In law, there are limits on corporatedonations to political parties.

A YES score is earned if there are any limits insize on corporate contributions to politicalparties. A YES score is earned if corporatecontributions are prohibited.

In law, there are limits on total political partyexpenditures.

A YES score is earned if there are any limits insize on political party expenditures during thecourse of an election.

In law, there are requirements for thedisclosure of donations to political parties.

A YES score is earned if there are anyrequirements mandating the disclosure offinancial contributions to political parties.


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20e

20f

21

21a

21b

21c

21d

21e

22

In law, there are requirements for theindependent auditing of the finances andexpenditures of political parties whenfinancial irregularities are uncovered.

A YES score is earned if there is a legal orregulatory requirement for the independentauditing of party finances and expenditures whenirregularities are uncovered. The auditing isperformed by an impartial third-party.

In law, there is an agency or entity thatmonitors the financing of political parties.

A YES score is earned if there is a domesticagency or set of domestic agencies/entitiesformally assigned to monitor and enforce lawsand regulations around the financing of politicalparties. A YES score is earned even if theagency/entity is ineffective in practice.

Are there regulations governing thefinancing of individual political candidates?

In law, there are limits on individualdonations to political candidates.

A YES score is earned if there are any limits insize on individual contributions to politicalcandidates. A YES score is also earned ifindividual contributions are prohibited.

In law, there are limits on corporatedonations to individual political candidates.

A YES score is earned if there are any limits insize on corporate contributions to individualpolitical candidates. A YES score is earned ifcorporate contributions are prohibited.

In law, there are requirements for thedisclosure of donations to individual politicalcandidates.

A YES score is earned if there are anyrequirements mandating the disclosure offinancial contributions to individual politicalcandidates.

In law, there are requirements for theindependent auditing of the campaignfinances of individual political candidateswhen irregularities are uncovered.

A YES score is earned if there is a legal orregulatory requirement for the independentauditing of an individual candidate's campaignfinances and expenditures when financialirregularities are uncovered. The auditing isperformed by an impartial third-party.

In law, there is an agency or entity thatmonitors the financing of individual politicalcandidates' campaigns.

A YES score is earned if there is a domesticagency or set of domestic agencies/entitiesformally assigned to monitor and enforce lawsand regulations around the financing of individualpolitical candidates' campaigns. A YES score isearned even if the agency/entity is ineffective inpractice.

Are the regulations governing the politicalfinancing of parties effective?


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22a

22b

22c

22d

In practice, the limits on individual donationsto political parties are effective in regulatingan individual's ability to financially support apolitical party.

In practice, the limits on corporate donationsto political parties are effective in regulatinga company's ability to financially support apolitical party.

In practice, the limits on total partyexpenditures are effective in regulating apolitical party's ability to fund campaigns orpolitically-related activities.

In practice, when necessary, an agency orentity monitoring the financing of politicalparties independently initiatesinvestigations.


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22e

22f

23

23a

23b

In practice, when necessary, an agency orentity monitoring the financing of politicalparties imposes penalties on offenders.

In practice, contributions to political partiesare audited.

Are the regulations governing the politicalfinancing of individual candidates effective?

In practice, the limits on individual donationsto political candidates are effective inregulating an individual's ability to financiallysupport a particular candidate.

In practice, the limits on corporate donationsto individual candidates are effective inregulating a company's ability to financiallysupport a candidate.


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23c

23d

23e

24

24a

24b

24c

24d

25

25a

25b

In practice, when necessary, an agency orentity monitoring the financing of individualcandidates' campaigns independentlyinitiates investigations.

In practice, when necessary, an agency orentity monitoring the financing of individualcandidates' campaigns imposes penaltieson offenders.

In practice, the finances of individualcandidates' campaigns are audited.

Can citizens access records related to thefinancing of political parties?

In practice, political parties disclose datarelating to financial support andexpenditures within a reasonable timeperiod.

In practice, citizens can access the financialrecords of political parties within areasonable time period.

In practice, citizens can access the financialrecords of political parties at a reasonablecost.

In practice, the publicly available records ofpolitical parties' finances are of high quality.

Can citizens access records related to thefinancing of individual candidates'campaigns?

In practice, individual political candidatesdisclose data relating to financial supportand expenditures within a reasonable timeperiod.

In practice, citizens can access the financialrecords of individual candidates (theircampaign revenues and expenditures)within a reasonable time period.


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25c

25d

III Government AccountabilityIII-1 Executive Accountability

26

27

27a

27b

27c

27d

In practice, citizens can access the financialrecords of individual candidates (theircampaign revenues and expenditures) at areasonable cost.

In practice, the publicly available records ofpolitical candidates' campaign finances are

of high quality.

In law, can citizens sue the government forinfringement of their civil rights?

A YES score is earned if all citizens (citizen isdefined broadly, to include all ethnicities, oranyone born in the country) can receivecompensation or redress through the courts forcivil rights violations committed by thegovernment, such as failure to follow due

process of law when detaining suspectedcriminals.

Can the chief executive be heldaccountable for his/her actions?

In practice, the chief executive givesreasons for his/her policy decisions.

In law, the judiciary can review the actionsof the executive.

A YES score is earned if there is a formalprocess by which the judiciary can passjudgments on the legality or constitutionality ofactions taken by the executive.

In practice, when necessary, the judiciaryreviews the actions of the executive.

In practice, the chief executive limits the useof executive orders for establishing newregulations, policies, or governmentpractices.


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28

28a

28b

29

29a

29b

29c

29d

Is the executive leadership subject tocriminal proceedings?

In law, the heads of state and governmentcan be prosecuted for crimes they commit.

A YES score is earned if the heads of state andgovernment can be investigated, charged orprosecuted for criminal allegations. Figureheadofficials (symbolic figures without day-to-day

authority) may be exempt.

In law, ministerial-level officials can beprosecuted for crimes they commit.

A YES score is earned if ministerial-levelofficials, or their equivalents, can all beinvestigated, charged or prosecuted for criminalallegations.

Are there regulations governing conflicts ofinterest by the executive branch?

In law, the heads of state and governmentare required to file a regular assetdisclosure form.

A YES score is earned if the heads of state andgovernment are required by law to file an assetdisclosure form while in office, illustratingsources of income, stock holdings, and otherassets. This form need not be publicly availableto score a YES. Figurehead officials (symbolicfigures without day-to-day authority) may beexempt.

In law, ministerial-level officials are requiredto file a regular asset disclosure form.

A YES score is earned if ministerial-levelofficials, or their equivalents, are all required bylaw to file an asset disclosure form while in office,illustrating sources of income, stock holdings,and other assets.

In law, there are regulations governing giftsand hospitality offered to members of theexecutive branch.

A YES score is earned if there are formalguidelines regulating gifts and hospitality offeredto members of the executive branch ofgovernment.

In law, there are requirements for the

independent auditing of the executivebranch asset disclosure forms (defined hereas ministers and heads of state andgovernment).

A YES score is earned if there is a legal or

regulatory requirement for independent auditingof executive branch asset disclosures. Theauditing is performed by an impartial third-party.Figurehead officials (symbolic figures withoutday-to-day authority) may be exempt.


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29e

29f

29g

29h

30

30a

30b

30c

In law, there are restrictions on heads ofstate and government and ministersentering the private sector after leaving thegovernment.

A YES score is earned if there are regulationsrestricting the ability of heads ofstate/government and ministers to take positionsin the private sector after leaving governmentthat would present a conflict of interest, includingpositions that directly seek to influence their

former government colleagues. Figureheadofficials (symbolic figures without day-to-dayauthority) may be exempt.

In practice, the regulations restricting post-government private sector employment forheads of state and government andministers are effective.

In practice, the regulations governing giftsand hospitality offered to members of theexecutive branch are effective.

In practice, executive branch assetdisclosures (defined here as ministers andabove) are audited.

Can citizens access the asset disclosurerecords of the heads of state andgovernment?

In law, citizens can access the assetdisclosure records of the heads of state andgovernment.

A YES score is earned if the heads of state andgovernment file an asset disclosure form that is,in law, accessible to the public (individuals, civilsociety groups or journalists).

In practice, citizens can access the assetdisclosure records of the heads of state andgovernment within a reasonable timeperiod.

In practice, citizens can access the assetdisclosure records of the heads of state andgovernment at a reasonable cost.


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30d

31

III-2 Legislative Accountability

32

32a

32b

32c

33

33a

In practice, the asset disclosure records ofthe heads of state and government are ofhigh quality.

In practice, official government functions arekept separate and distinct from thefunctions of the ruling political party.

Can members of the legislature be heldaccountable for their actions?

In law, the judiciary can review laws passedby the legislature.

A YES score is earned if there is a formalprocess by which the judiciary or constitutionalcourts can pass judgments on the legality orconstitutionality of laws passed by thelegislature.

In practice, when necessary, the judiciaryreviews laws passed by the legislature.

In law, are members of the nationallegislature subject to criminal proceedings?

A YES score is earned if all members of thelegislature can, in law, be investigated andprosecuted for criminal allegations.

Are there regulations governing conflicts ofinterest by members of the nationallegislature?

In law, members of the national legislatureare required to file an asset disclosure form.

A YES score is earned if all members of thelegislature are required by law to file an assetdisclosure form while in office, illustratingsources of income, stock holdings, and otherassets. This form does not need to be publiclyavailable to score a YES.


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33b

33c

33d

33e

33f

33g

34

34a

34b

In law, there are restrictions for nationallegislators entering the private sector afterleaving the government.

A YES score is earned if there are regulationsrestricting national legislators' ability to takepositions in the private sector after leavinggovernment that would present a conflict ofinterest, including positions that directly seek toinfluence their former government colleagues.

In law, there are regulations governing giftsand hospitality offered to members of thenational legislature.

A YES score is earned if there are formalguidelines regulating gifts and hospitality formembers of the legislature.

In law, there are requirements for theindependent auditing of the asset disclosureforms of members of the nationallegislature.

A YES score is earned if there is a legal orregulatory requirement for independent auditingof legislative branch asset disclosures. Theauditing is performed by an impartial third-party.

In practice, the regulations restricting post-government private sector employment fornational legislators are effective.

In practice, the regulations governing gifts

and hospitality offered to national legislatorsare effective.

In practice, national legislative branch assetdisclosures are audited.

Can citizens access the asset disclosurerecords of members of the nationallegislature?

In law, citizens can access the assetdisclosure records of members of thenational legislature.

A YES score is earned if members of thenational legislature file an asset disclosure formthat is, in law, accessible to the public(individuals, civil society groups or journalists).

In practice, citizens can access legislativeasset disclosure records within areasonable time period.


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34c

34d

35

35a

35b

35c

III-3 Judicial Accountability

36 Are judges appointed fairly?

36a

36b

36c

37

In practice, citizens can access legislativeasset disclosure records at a reasonablecost.

In practice, the asset disclosure records ofmembers of the national legislature are of

high quality.

Can citizens access legislative processesand documents?

In law, citizens can access records oflegislative processes and documents.

A YES score is earned if there is a general legalright to access records of legislative proceedingsincluding voting records. A YES score can still begiven if there are formal rules for specificexemptions to the right to disclosure (specialsecret sessions related to national security).

In practice, citizens can access records oflegislative processes and documents withina reasonable time period.

In practice, citizens can access records oflegislative processes and documents at areasonable cost.

In law, there is a transparent procedure forselecting national-level judges.

A YES score is earned if there is a formalprocess for selecting national level justices. Thisprocess should be public in the debating andconfirmation stages. National-level judges aredefined as judges who have powers that derivefrom a national law or constitution; arenominated/appointed by a national governmentalbody (head of state/government or nationallegislature); and/or are elected nationally.

In practice, professional criteria are followed

in selecting national-level judges.

In law, there is a confirmation process fornational-level judges (i.e. conducted by thelegislature or an independent body).

A YES score is earned if there is a formalprocess establishing a review of national-leveljudicial nominees by an agency or entityindependent from the body appointing thejudges.

Can members of the judiciary be heldaccountable for their actions?


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37a

37b

37c

37d

37e

37f

38

In law, members of the national-leveljudiciary are obliged to give reasons for theirdecisions.

A YES score is earned if there is a formal andmandatory process for judges to explain theirdecisions.

In practice, members of the national-level

judiciary give reasons for their decisions.

In law, there is a disciplinary agency (orequivalent mechanism) for the national-leveljudicial system.

A YES score is earned if there is a disciplinaryagency (or equivalent mechanism) for the judicialsystem. A disciplinary agency is defined here asan agency or mechanism specifically mandatedto investigate breaches of procedure, abuses ofpower or other failures of the judiciary. A YESscore can still be earned if the judicial disciplinaryagency (or mechanism) is internal to the

judiciary.

In law, the judicial disciplinary agency (orequivalent mechanism) is protected frompolitical interference.

A YES score is earned if there are formal rulesestablishing that the judicial disciplinary agency(or equivalent mechanism) is protected frompolitical interference by the executive andlegislative branches.

In practice, when necessary, the judicialdisciplinary agency (or equivalentmechanism) initiates investigations.

In practice, when necessary, the judicialdisciplinary agency (or equivalentmechanism) imposes penalties onoffenders.

Are there regulations governing conflicts of

interest for the national-level judiciary?


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38a

38b

38c

38d

38e

38f

38g

39

In law, members of the national-leveljudiciary are required to file an assetdisclosure form.

A YES score is earned if all members of thenational-level judiciary are required by law to filean asset disclosure form while in office,illustrating sources of income, stock holdings,and other assets. This form does not need to bepublicly available to score a YES.

In law, there are regulations governing giftsand hospitality offered to members of thenational-level judiciary.

A YES score is earned if there are formalguidelines regulating gifts and hospitality formembers of the national-level judiciary.

In law, there are requirements for theindependent auditing of the asset disclosureforms of members of the national-leveljudiciary.

A YES score is earned if there is a legal orregulatory requirement for independent auditingof national-level judiciary asset disclosures. Theauditing is performed by an impartial third-party.

In law, there are restrictions for national-level judges entering the private sector afterleaving the government.

A YES score is earned if there are regulationsrestricting national-level judges' ability to takepositions in the private sector after leavinggovernment that would present a conflict ofinterest, including positions that directly seek toinfluence their former government colleagues.

In practice, the regulations restricting post-

government private sector employment fornational-level judges are effective.

In practice, the regulations governing giftsand hospitality offered to members of thenational-level judiciary are effective.

In practice, national-level judiciary assetdisclosures are audited.

Can citizens access the asset disclosurerecords of members of the national-leveljudiciary?


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39a

39b

39c

39d

III-4 Budget Processes

40

40a

40b

40c

41

41a

41b

In law, citizens can access the assetdisclosure records of members of thenational-level judiciary.

A YES score is earned if members of thenational-level judiciary file an asset disclosureform that is, in law, accessible to the public(individuals, civil society groups or journalists).

In practice, citizens can access judicial

asset disclosure records within areasonable time period.

In practice, citizens can access judicialasset disclosure records at a reasonablecost.

In practice, the asset disclosure records ofthe national-level judiciary are of highquality.

Can the legislature provide input to thenational budget?

In law, the legislature can amend thebudget.

A YES score is earned if the legislature has thepower to add or remove items to the nationalgovernment budget.

In practice, significant public expenditures

require legislative approval.

In practice, the legislature has sufficientcapacity to monitor the budget process andprovide input or changes.

Can citizens access the national budgetary

process?In practice, the national budgetary processis conducted in a transparent manner in thedebating stage (i.e. before final approval).

In practice, citizens provide input at budgethearings.


25/132

41c

42

43

43a

43b

43c

IV Administration and Civil ServiceIV-1 Civil Service Regulations

44

44a

44b

In practice, citizens can access itemizedbudget allocations.

In law, is there a separate legislativecommittee which provides oversight of

public funds?

A YES score is earned if there is a dedicatedlegislative committee (or equivalent group

located in the legislature) that oversees theexpenditure of public funds.

Is the legislative committee overseeing theexpenditure of public funds effective?

In practice, department heads regularlysubmit reports to this committee.

In practice, the committee acts in a non-partisan manner with members ofopposition parties serving on the committeein an equitable fashion.

In practice, when necessary, this committeeinitiates independent investigations intofinancial irregularities.

Are there national regulations for the civilservice encompassing, at least, themanagerial and professional staff?

In law, there are regulations requiring animpartial, independent and fairly managedcivil service.

A YES score is earned if there are specific formalrules establishing that the civil service carry outits duties independent of political interference.

In law, there are regulations to preventnepotism, cronyism, and patronage withinthe civil service.

A YES score is earned if there are specific formalrules prohibiting nepotism, cronyism, andpatronage in the civil service. These shouldinclude competitive recruitment and promotionprocedures as well as safeguards againstarbitrary disciplinary actions and dismissal.


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44c

44d

45

45a

45b

45c

45d

In law, there is an independent redressmechanism for the civil service.

A YES score is earned if there is a mechanism towhich civil servants and applicants for the civilservice can take grievances regarding civilservice management actions. The mechanismshould be independent of their supervisors butcan still be located within the government agency

or entity (such as a special commission orboard). Civil servants are able to appeal themechanism's decisions to the judiciary.

In law, civil servants convicted of corruptionare prohibited from future governmentemployment.

A YES score is earned if there are specific rulesprohibiting continued government employmentfollowing a corruption conviction.

Is the law governing the administration andcivil service effective?

In practice, civil servants are protected frompolitical interference.

In practice, civil servants are appointed andevaluated according to professional criteria.

In practice, civil service managementactions (e.g. hiring, firing, promotions) arenot based on nepotism, cronyism, orpatronage.

In practice, civil servants have clear jobdescriptions.


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45e

45f

45g

45h

45i

46

46a

46b

46c

46d

46e

In practice, civil servant bonuses constituteonly a small fraction of total pay.

In practice, the government publishes the

number of authorized civil service positionsalong with the number of positions actuallyfilled.

In practice, the independent redressmechanism for the civil service is effective.

In practice, in the past year, the governmenthas paid civil servants on time.

In practice, civil servants convicted ofcorruption are prohibited from futuregovernment employment.

Are there regulations addressing conflicts ofinterest for civil servants?

In law, senior members of the civil serviceare required to file an asset disclosure form.

A YES score is earned if senior members of thecivil service are required by law to file an assetdisclosure form while in office, illustratingsources of income, stock holdings, and otherassets. This form does not need to be publiclyavailable to score a YES.

In law, there are requirements for civilservants to recuse themselves from policydecisions where their personal interestsmay be affected.

A YES score is earned if there are requirementsfor civil servants to recuse themselves frompolicy decisions where their personal interests,including personal financial interests as well asthose of their family and friends, are affected.

In law, there are restrictions for civil

servants entering the private sector afterleaving the government.

A YES score is earned if there are regulations

restricting civil servants' ability to take positionsin the private sector after leaving governmentthat would present a conflict of interest, includingpositions that directly seek to influence theirformer government colleagues.

In law, there are regulations governing giftsand hospitality offered to civil servants.

A YES score is earned if there are formalguidelines regarding gifts and hospitality given tocivil servants.

In law, there are requirements for theindependent auditing of the asset disclosureforms of senior members of the civil service.

A YES score is earned if there is a legal orregulatory requirement for independent auditingof civil service asset disclosures. The auditing is

performed by an impartial third-party.


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46f

46g

46h

46i

47

47a

47b

47c

47d

IV-2 Whistle-blowing Measures

48

In practice, the regulations restricting post-government private sector employment forcivil servants are effective.

In practice, the regulations governing giftsand hospitality offered to civil servants areeffective.

In practice, the requirements for civil servicerecusal from policy decisions affectingpersonal interests are effective.

In practice, civil service asset disclosuresare audited.

Can citizens access the asset disclosurerecords of senior civil servants?

In law, citizens can access the assetdisclosure records of senior civil servants.

A YES score is earned if laws or regulationsguarantee that citizens can access the assetrecords of senior civil servants.

In practice, citizens can access the assetdisclosure records of senior civil servantswithin a reasonable time period.

In practice, citizens can access the assetdisclosure records of senior civil servants ata reasonable cost.

In practice, the asset disclosure records ofsenior civil servants are of high quality.

Are employees protected from recriminationor other negative consequences whenreporting corruption (i.e. whistle-blowing)?


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48a

48b

48c

48d

49

50

50a

50b

50c

In law, civil servants who report cases ofcorruption, graft, abuse of power, or abuseof resources are protected fromrecrimination or other negativeconsequences.

A YES score is earned if there are specific lawsagainst recrimination against public sectorwhistleblowers. This may include prohibitions ontermination, transfer, harassment or otherconsequences.

In practice, civil servants who report casesof corruption, graft, abuse of power, orabuse of resources are protected fromrecrimination or other negativeconsequences.

In law, private sector employees who reportcases of corruption, graft, abuse of power,or abuse of resources are protected fromrecrimination or other negativeconsequences.

A YES score is earned if there are specific lawsagainst recrimination against private sectorwhistleblowers. This may include prohibitions ontermination, transfer, harassment or otherconsequences.

In practice, private sector employees whoreport cases of corruption, graft, abuse ofpower, or abuse of resources are protectedfrom recrimination or other negativeconsequences.

In law, is there an internal mechanism (i.e.phone hotline, e-mail address, local office)through which civil servants can reportcorruption?

A YES score is earned if there is a mechanism,or multiple mechanisms for multiple nationalgovernment agencies, through which civilservants can report cases of graft, misuse ofpublic funds, or corruption.

In practice, is the internal mechanism (i.e.phone hotline, e-mail address, local office)through which civil servants can reportcorruption effective?

In practice, the internal reportingmechanism for public sector corruption hasa professional, full-time staff.

In practice, the internal reportingmechanism for public sector corruptionreceives regular funding.

In practice, the internal reportingmechanism for public sector corruption actson complaints within a reasonable timeperiod.


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50d

IV-3 Procurement

51 Is the public procurement process effective?

51a

51b

51c

51d

51e

51f

51g

51h

51i

In practice, when necessary, the internalreporting mechanism for public sectorcorruption initiates investigations.

In law, there are regulations addressingconflicts of interest for public procurementofficials.

A YES score is earned if there are specific formalregulations defining and regulating conflicts ofinterest between official public duty and privateinterests for public procurement officials. A YESscore is earned if such regulations cover all civilservants, including procurement officials.

In law, there is mandatory professionaltraining for public procurement officials.

A YES score is earned if public procurementofficials receive regular mandatory training toensure professional standards in supervising thetendering process. A YES score is earned ifsuch training is mandated for portions of thebroader civil service, to include procurementofficials.

In practice, the conflicts of interestregulations for public procurement officialsare enforced.

In law, there is a mechanism that monitorsthe assets, incomes and spending habits ofpublic procurement officials.

A YES score is earned if there is a formalmandate to some agency to monitor the assets,incomes and spending habits of publicprocurement officials, such as an inspectorgeneral, or ombudsman.

In law, major procurements requirecompetitive bidding.

A YES score is earned if all major procurements(defined as those greater than 0.5% of GDP)require competitive bidding.

In law, strict formal requirements limit theextent of sole sourcing.

A YES score is earned if sole sourcing is limitedto specific, tightly defined conditions, such aswhen a supplier is the only source of a skill or

technology.In law, unsuccessful bidders can instigatean official review of procurement decisions.

A YES score is earned if there is a formal appealprocess for unsuccessful bidders.

In law, unsuccessful bidders can challengeprocurement decisions in a court of law.

A YES score is earned if unsuccessful bidderscan use the courts to appeal a procurementdecision.

In law, companies guilty of major violationsof procurement regulations (i.e. bribery) areprohibited from participating in futureprocurement bids.

A YES score is earned if there are formalprocurement blacklists, designed to preventconvicted companies from doing business withthe government.


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51j

52

52a

52b

52c

52d

52e

52f

IV-4 Privatization

53 Is the privatization process effective?

53a

In practice, companies guilty of majorviolations of procurement regulations (i.e.bribery) are prohibited from participating infuture procurement bids.

Can citizens access the public procurement

process?

In law, citizens can access publicprocurement regulations.

A YES score is earned if procurement rules are,by law, open to the public. These regulations aredefined here as the rules governing thecompetitive procurement process.

In law, the government is required topublicly announce the results ofprocurement decisions.

A YES score is earned if the government isrequired to publicly post or announce the resultsof the public procurement process. This can bedone through major media outlets or on apublicly-accessible government register or log.

In practice, citizens can access publicprocurement regulations within areasonable time period.

In practice, citizens can access publicprocurement regulations at a reasonablecost.

In practice, major public procurements areeffectively advertised.

In practice, citizens can access the resultsof major public procurement bids.

In law, all businesses are eligible tocompete for privatized state assets.

A YES score is earned if all businesses areequally eligible to compete for privatized assets.A YES score is still earned if the government didnot privatize any state-owned assets during thestudy period.


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53b

53c

54

54a

54b

54c

54d

54e

V Oversight and RegulationV-1 National Ombudsman

In law, there are regulations addressingconflicts of interest for government officialsinvolved in privatization.

A YES score is earned if there are specific formalregulations defining and regulating conflicts ofinterest between official public duty and privateinterests for privatization officials. A YES scoreis earned if such regulations cover all civilservants, including privatization officials.

In practice, conflicts of interest regulationsfor government officials involved inprivatization are enforced.

Can citizens access the terms andconditions of privatization bids?

In law, citizens can access privatizationregulations.

A YES score is earned if privatization rules(defined here as the rules governing thecompetitive privatization process) are, by law,open to the public. Even if privatization isinfrequent or rare, the most recent privatization

should be used as the basis for scoring thisindicator.

In practice, privatizations are effectivelyadvertised.

In law, the government is required to

publicly announce the results of privatizationdecisions.

A YES score is earned if the government is

required to publicly post or announce the resultsof the privatization process. This can be donethrough major media outlets or on a publicly-accessible government register or log.

In practice, citizens can access privatizationregulations within a reasonable time period.

In practice, citizens can access privatization

regulations at a reasonable cost.


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55

56 Is the national ombudsman effective?

56a

56b

56c

56d

56e

56f

56g

56h

In law, is there a national ombudsman,public protector or equivalent agency (orcollection of agencies) covering the entirepublic sector?

A YES score is earned if there is a specificagency or set of agencies whose primarymandate is to investigate the actions ofgovernment on the behalf of common citizens.This agency or set of agencies should bespecifically charged with seeking out and

documenting abuses of power.

In law, the ombudsman is protected frompolitical interference.

A YES score is earned only if the agency (or setof agencies) has some formal organizationalindependence from the government. A YESscore is earned even if the entity is legallyseparate but in practice staffed by partisans.

In practice, the ombudsman is protectedfrom political interference.

In practice, the head of the ombudsmanagency/entity is protected from removalwithout relevant justification.

In practice, the ombudsman agency (oragencies) has a professional, full-time staff.

In practice, agency appointments supportthe independence of the ombudsmanagency (or agencies).

In practice, the ombudsman agency (or

agencies) receives regular funding.

In practice, the ombudsman agency (oragencies) makes publicly available reports.

In practice, when necessary, the nationalombudsman (or equivalent agency oragencies) initiates investigations.


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56i

56j

56k

57

57a

57b

57c

V-2 Supreme Audit Institution

58

59 Is the supreme audit institution effective?

59a

In practice, when necessary, the nationalombudsman (or equivalent agency oragencies) imposes penalties on offenders.

In practice, the government acts on thefindings of the ombudsman agency (oragencies).

In practice, the ombudsman agency (oragencies) acts on citizen complaints withina reasonable time period.

Can citizens access the reports of theombudsman?

In law, citizens can access reports of theombudsman(s).

A YES score is earned if all ombudsman reportsare publicly available.

In practice, citizens can access the reportsof the ombudsman(s) within a reasonabletime period.

In practice, citizens can access the reportsof the ombudsman(s) at a reasonable cost.

In law, is there a national supreme auditinstitution, auditor general or equivalentagency covering the entire public sector?

A YES score is earned if there is a specificagency whose primary mandate is to audit andtrack the movement of money through thegovernment. This agency should be specificallycharged to investigate and document the misuseof funds. A system of agencies located in eachdepartment is equivalent.

In law, the supreme audit institution isprotected from political interference.

A YES score is earned only if the agency hassome formal organizational independence fromthe government. A YES score is earned even ifthe entity is legally separate but in practicestaffed by partisans.


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59b

59c

59d

59e

59f

59g

59h

60

60a

60b

60c

V-3 Taxes and Customs

61

In practice, the head of the audit agency isprotected from removal without relevantjustification.

In practice, the audit agency has a

professional, full-time staff.

In practice, audit agency appointmentssupport the independence of the agency.

In practice, the audit agency receivesregular funding.

In practice, the audit agency makes regularpublic reports.

In practice, the government acts on thefindings of the audit agency.

In practice, the audit agency is able toinitiate its own investigations.

Can citizens access reports of the supremeaudit institution?

In law, citizens can access reports of theaudit agency.

A YES score is earned if all supreme auditorreports are available to the general public.

In practice, citizens can access audit reports

within a reasonable time period.

In practice, citizens can access the auditreports at a reasonable cost.

In law, is there a national tax collectionagency?

A YES score is earned if there is a nationalagency formally mandated to collect taxes.


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62 Is the tax collection agency effective?

62a

62b

63

64

65 Is the customs and excise agency effective?

65a

65b

66

V-4 State-Owned Enterprises

67

68

68a

68b

In practice, the tax collection agency has aprofessional, full-time staff.

In practice, the tax agency receives regularfunding.

In practice, are tax laws enforced uniformlyand without discrimination?

In law, is there a national customs andexcise agency?

A YES score is earned if there is an agencyformally mandated to collect excises and inspectcustoms.

In practice, the customs and excise agencyhas a professional, full-time staff.

In practice, the customs and excise agencyreceives regular funding.

In practice, are customs and excise lawsenforced uniformly and withoutdiscrimination?

In law, is there an agency, series ofagencies, or equivalent mechanismoverseeing state-owned companies?

A YES score is earned if there is an agency,series of agencies, or equivalent mechanismtasked with overseeing the conduct andperformance of state-owned companies onbehalf of the public. A YES score can be earnedif several government agencies or ministriesoversee different state-owned enterprises.State-owned companies are defined ascompanies owned in whole or in part by thegovernment.

Is the agency, series of agencies, orequivalent mechanism overseeing state-owned companies effective?

In law, the agency, series of agencies, orequivalent mechanism overseeing state-owned companies is protected from politicalinterference.

A YES score is earned only if the agency, seriesof agencies, or equivalent mechanism has someformal operational independence from thegovernment. A YES score is earned even if theentity is legally separate but in practice staffed bypartisans.

In practice, the agency, series of agencies,or equivalent mechanism overseeing state-owned companies has a professional, full-

time staff.


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68c

68d

68e

69

69a

69b

69c

69d

69e

V-5 Business Licensing and Regulation

70

In practice, the agency, series of agencies,or equivalent mechanism overseeing state-owned companies receives regular funding.

In practice, when necessary, the agency,series of agencies, or equivalentmechanism overseeing state-ownedcompanies independently initiatesinvestigations.

In practice, when necessary, the agency,series of agencies, or equivalentmechanism overseeing state-ownedcompanies imposes penalties on offenders.

Can citizens access the financial records ofstate-owned companies?

In law, citizens can access the financialrecords of state-owned companies.

A YES score is earned if the financial informationof all state-owned companies is required by lawto be public. State-owned companies are defined

as companies owned in whole or in part by thegovernment.

In practice, the financial records of state-owned companies are regularly updated.

In practice, the financial records of state-owned companies are audited according tointernational accounting standards.

In practice, citizens can access the financialrecords of state-owned companies within areasonable time period.

In practice, citizens can access the financialrecords of state-owned companies at areasonable cost.

Are business licenses available to allcitizens?


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70a

70b

70c

70d

71

71a

71b

71c

72

72a

72b

72c

In law, anyone may apply for a businesslicense.

A YES score is earned if no particular group orcategory of citizens is excluded from applying fora business license, when required. A YES scoreis also earned if basic business licenses are notrequired.

In law, a complaint mechanism exists if abusiness license request is denied.

A YES score is earned if there is a formalprocess for appealing a rejected license.

In practice, citizens can obtain anynecessary business license (i.e. for a smallimport business) within a reasonable timeperiod.

In practice, citizens can obtain anynecessary business license (i.e. for a smallimport business) at a reasonable cost.

Are there transparent business regulatoryrequirements for basic health,environmental, and safety standards?

In law, basic business regulatoryrequirements for meeting public healthstandards are transparent and publiclyavailable.

A YES score is earned if basic regulatoryrequirements for meeting public health standardsare publicly accessible and transparent.

In law, basic business regulatoryrequirements for meeting publicenvironmental standards are transparentand publicly available.

A YES score is earned if basic regulatoryrequirements for meeting public environmentalstandards are publicly accessible andtransparent.

In law, basic business regulatory

requirements for meeting public safetystandards are transparent and publiclyavailable.

A YES score is earned if basic regulatory

requirements for meeting public safety standardsare publicly accessible and transparent.

Does government effectively enforce basichealth, environmental, and safety standardson businesses?

In practice, business inspections bygovernment officials to ensure public healthstandards are being met are carried out in auniform and even-handed manner.

In practice, business inspections bygovernment officials to ensure publicenvironmental standards are being met arecarried out in a uniform and even-handedmanner.

In practice, business inspections bygovernment officials to ensure public safetystandards are being met are carried out in auniform and even-handed manner.


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VI Anti-Corruption and Rule of Law

VI-1 Anti-Corruption Law

73 Is there legislation criminalizing corruption?

73a In law, attempted corruption is illegal.

73b In law, extortion is illegal.

73c

73d

73e In law, bribing a foreign official is illegal.

73f

73g

73h In law, money laundering is illegal.

73i

VI-2 Anti-Corruption Agency

74

75 Is the anti-corruption agency effective?

75a

75b

A YES score is earned if corruption laws includeattempted acts.

A YES score is earned if corruption laws includeextortion. Extortion is defined as demandingfavorable treatment (such as a bribe) to withholda punishment.

In law, offering a bribe (i.e. activecorruption) is illegal.

A YES score is earned if offering a bribe isillegal.

In law, receiving a bribe (i.e. passivecorruption) is illegal.

A YES score is earned if receiving a bribe isillegal.

A YES score is earned if bribing a foreign officialis illegal.

In law, using public resources for privategain is illegal.

A YES score is earned if using public resourcesfor private gain is illegal.

In law, using confidential state informationfor private gain is illegal.

A YES score is earned if using confidential stateinformation for private gain is illegal.

A YES score is earned if money laundering isillegal. Money laundering is defined asconcealing the origin of funds to hide wrongdoingor avoid confiscation.

In law, conspiracy to commit a crime (i.e.organized crime) is illegal.

A YES score is earned if organized crime isillegal.

In law, is there an agency (or group ofagencies) with a legal mandate to addresscorruption?

A YES score is earned if an agency isspecifically mandated to address corruption. AYES score is earned if there are severalagencies or entities with specific roles in fightingcorruption, including special prosecutorialentities.

In law, the anti-corruption agency (oragencies) is protected from politicalinterference.

A YES score is earned only if the agency (oragencies) has some formal organizational oroperational independence from the government.A YES score is earned even if theagency/agencies is legally separate but inpractice staffed by partisans.

In practice, the anti-corruption agency (oragencies) is protected from politicalinterference.


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75c

75d

75e

75f

75g

75h

75i

76

76a

76b

VI-3 Rule of Law

In practice, the head of the anti-corruptionagency (or agencies) is protected fromremoval without relevant justification.

In practice, appointments to the anti-corruption agency (or agencies) are based

on professional criteria.

In practice, the anti-corruption agency (oragencies) has a professional, full-time staff.

In practice, the anti-corruption agency (oragencies) receives regular funding.

In practice, the anti-corruption agency (oragencies) makes regular public reports.

In practice, the anti-corruption agency (oragencies) has sufficient powers to carry outits mandate.

In practice, when necessary, the anti-corruption agency (or agencies)independently initiates investigations.

Can citizens access the anti-corruptionagency?

In practice, the anti-corruption agency (or

agencies) acts on complaints within areasonable time period.

In practice, citizens can complain to theanti-corruption agency (or agencies) withoutfear of recrimination.


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77

77a In law, there is a general right of appeal.

77b

77c

78

79

80 Is the judiciary able to act independently?

80a

80b

80c

80d

Is there an appeals mechanism forchallenging criminal judgments?

A YES score is earned if there is a formalprocess of appeal for challenging criminaljudgments.

In practice, appeals are resolved within a

reasonable time period.

In practice, citizens can use the appealsmechanism at a reasonable cost.

In practice, do judgments in the criminalsystem follow written law?

In practice, are judicial decisions enforcedby the state?

In law, the independence of the judiciary isguaranteed.

A YES score is earned if there are formal rulesestablishing that the judiciary is independentfrom political interference by the executive andlegislative branches. Independence includesfinancial issues (drafting, allocation, andmanaging the budget of the courts ).

In practice, national-level judges areprotected from political interference.

In law, there is a transparent and objectivesystem for distributing cases to national-level judges.

A YES score is earned if there is an objectivesystem that is transparent to the public thatequitably or randomly assigns cases to individualjudges. The executive branch does not controlthis process.

In law, national-level judges are protectedfrom removal without relevant justification.

A YES score is earned if there are specific,formal rules for removal of a justice. Removalmust be related to abuse of power or other

offenses related to job performance.


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81

81a

81b

82

82a

82b

82c

82d

Are judges safe when adjudicatingcorruption cases?

In practice, in the last year, no judges havebeen physically harmed because ofadjudicating corruption cases.

A YES score is earned if there were nodocumented cases of judges being assaultedbecause of their involvement in a corruption caseduring the specific study period. YES is a

positive score.

In practice, in the last year, no judges havebeen killed because of adjudicatingcorruption cases.

A YES score is earned if there were nodocumented cases of judges being killed relatedto their involvement in a corruption case duringthe study period. YES is a positive score.

Do citizens have equal access to the justicesystem?

In practice, judicial decisions are notaffected by racial or ethnic bias.

In practice, women have full access to thejudicial system.

In law, the state provides legal counsel fordefendants in criminal cases who cannotafford it.

A YES score is earned if the government isrequired by law to provide impoverisheddefendants with legal counsel to defendthemselves against criminal charges.

In practice, the state provides adequatelegal counsel for defendants in criminalcases who cannot afford it.


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82e

82f

82g

VI-4 Law Enforcement

83

83a

83b

83c

84

84a

84b

In practice, citizens earning the medianyearly income can afford to bring a legalsuit.

In practice, a typical small retail businesscan afford to bring a legal suit.

In practice, all citizens have access to acourt of law, regardless of geographiclocation.

Is the law enforcement agency (i.e. thepolice) effective?

In practice, appointments to the lawenforcement agency (or agencies) aremade according to professional criteria.

In practice, the law enforcement agency (oragencies) has a budget sufficient to carryout its mandate.

In practice, the law enforcement agency isprotected from political interference.

Can law enforcement officials be heldaccountable for their actions?

In law, there is an independent mechanism

for citizens to complain about police action.

A YES score is earned if there is a formal

process or mechanism by which citizens cancomplain about police actions. A YES score isearned if a broader mechanism such as thenational ombudsman, human rights commission,or anti-corruption agency has jurisdiction overthe police.

In practice, the independent lawenforcement complaint reportingmechanism responds to citizen's complaintswithin a reasonable time period.


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84c

84d

84e

84f

In law, there is an agency/entity toinvestigate and prosecute corruptioncommitted by law enforcement officials.

A YES score is earned if there is anagency/entity specifically mandated toinvestigate corruption-related activity within lawenforcement. This agency/entity may be internalto the police department (provided it has adegree of independence, such as an internal

affairs unit) or part of a broader nationalmechanism such as the national ombudsman,human rights commission, or anti-corruptionagency.

In practice, when necessary, theagency/entity independently initiatesinvestigations into allegations of corruptionby law enforcement officials.

In law, law enforcement officials are notimmune from criminal proceedings.

A YES score is earned if law enforcementofficers are fully accountable for their actionsunder the law and can be investigated andprosecuted for their actions.

In practice, law enforcement officials are notimmune from criminal proceedings.


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(version 2010 1 001 WEB)

Coding NO Coding 100

A NO score is earned when any single non-violent group is legally prohibited from organizingto promote good governance or anti-corruption.These groups may include non-violent separatistgroups, political parties or religious groups.

A NO score is earned if there any formal legal orregulatory bans on foreign or domestic fundingsources for CSOs focused on anti-corruption orgood governance.

A NO score is earned if no such public disclosurerequirement exists.

CSOs focused on promoting good governance oranti-corruption can freely organize with little to nointeraction with the government, other thanvoluntary registration.

Civil society organizations focused on anti-corruption or good governance are an essentialcomponent of the political process. CSOsprovide widely valued insights and have politicalpower. Those CSOs play a leading role inshaping public opinion on political matters.


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A NO score is earned if any CSO has beeneffectively shut down by the government orforced to cease operations because of its workon corruption-related issues during the studyperiod. The causal relationship between thecessation of operations and the CSO's work may

not be explicit, however the burden of proof hereis low. If it seems likely that the CSO was forcedto cease operations due to its work, then theindicator is scored as a NO. Corruption is definedbroadly to include any abuses of power, not justthe passing of bribes.

A NO score is earned if any activist was jailed inrelation to work covering corruption. The causalrelationship between the official charges and theperson's work may not be explicit, however theburden of proof here is low. If it seems likely thatthe person was imprisoned due to his or herwork, then the indicator is scored as a NO.Corruption is defined broadly to include anyabuses of power, not just the passing of bribes."Imprisoned" is defined here as detention by thegovernment lasting more than 24 hours.

A NO score is earned if there were anydocumented cases during the study period ofassault to an activist who covers corruption.Corruption is defined broadly to include anyabuses of power, not just the passing of bribes.

A NO score is earned if there were anydocumented cases during the study periodwhere a person was killed related to a corruptiontrial, scandal or investigation. The relationship

between a mysterious death and an individual'shistory may not be clear, however the burden ofproof here is low. If it is reasonable that a personwas killed in relation to his or her work oncorruption issues, then the indicator is scored asa NO. Corruption is defined broadly to includeany abuses of power, not just the passing ofbribes.


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A NO score is earned when any single non-violent trade union is legally prohibited by thegovernment from organizing.

Trade unions are common and are an importantpart of the political process and politicaldiscourse. Trade union organizers have widelyunderstood rights. Trade unions are free fromintimidation or violence.

A NO score is earned if any specific publicationrelating to government affairs is legally banned,or any general topic is prohibited frompublication. Specific restrictions on mediaregarding privacy or slander are allowed, but notif these amount to legal censorship of a generaltopic, such as corruption or defense. A NOscore is earned if non-government media isprohibited or restricted.

A NO score is earned if any individual speech is

legally prohibited, regardless of topic. Specificexceptions for speech linked with a criminal act,such as a prohibition on death threats, areallowed. However, any non-specific prohibitionearns a NO score.

Print media entities can freely organize with littleto no interaction with the government. This scoremay still be earned if groups or individuals with ahistory of political violence or terrorism (withinlast ten years) are banned from forming mediaentities.

A NO score is earned if there is no appealprocess for print media licenses.

Licenses are not required or licenses can beobtained within two months.


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Licenses are not required or can be obtained atminimal cost to the organization. Licenses canbe obtained on-line or through the mail.

Broadcast media entities can freely organize withlittle to no interaction with the government. Mediagroups have equal access to broadcastbandwidth through a reasonably fair distributionsystem. This score may still be earned if groupsor individuals with a history of political violence orterrorism (within last ten years) are banned fromforming media entities.

A NO score is earned if there is no appealprocess for broadcast media licenses.

Licenses are not required or licenses can beobtained within two months.

Licenses are not required or can be obtained atminimal cost to the organization. Licenses canbe obtained on-line or through the mail.

The government does not prevent Internet usersfrom accessing online content. While some formsof content may be illegal to download orown (such as child pornography), thegovernment does not manipulate networks toprevent access to this information. This indicatoraddresses direct government intervention in thetransfer of information, not indirect deterrentssuch as intimidation, surveillance or technicaldifficulties in countries with poor infrastructure.

The government never removes onlineinformation or disables servers due to theirpolitical content. All political speech is protectedwith limited exceptions, such as legitimateintellectual property restrictions; direct calls toviolence; or pornography.


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A NO score is earned if privacy laws protect anypublic figures (as defined in the YES coding)from accurate information.

The government, its proxies, or mediaownership/distribution groups make no attemptto restrict media coverage of corruption-relatedissues through unofficial means.

The government never prevents publication ofcontroversial corruption-related materials.

A NO score is earned if there is no suchrequirement or if the requirement is optional, onlypartially applicable, or exempts certain types ofentities or agents from being publicly disclosed.

A NO score is earned if there is no suchrequirement or if the requirement is optional, onlypartially applicable, or exempts certain types of

entities or agents from being publicly disclosed.

Editors and journalists at the major media outletsabide by a strict journalistic code of conduct andare unwilling to alter their coverage of aparticular issue, event or person in exchange formoney, gifts, or other favors or remuneration.


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All political parties and independent candidateshave some access to media outlets. Individualmedia outlets may have biases, but on balance,the national media coverage reflects the interestsof the electorate. Media groups generally act asdisinterested parties in an election. In places

where a government is popular with the public,opposition viewpoints can access the public viamedia outlets.

The government ensures that equal access andfair treatment of election contestants is providedby all state-owned media outlets, including allelectronic and print media. This obligationextends to news reports, editorial comment, andall other content. All parties and candidates areoffered consistent and equivalent rates forcampaign advertising on state-owned media

outlets.

A NO score is earned if any journalist was jailedbecause of his/her work covering corruptionduring the study period. The causal relationshipbetween the official charges and the journalist'swork may not be explicit, however the burden ofproof here is low. If it seems likely that thejournalist was imprisoned due to his or her work,then the indicator is scored as a NO. Corruption

is defined broadly to include any abuses ofpower, not just the passing of bribes."Imprisoned" is defined here as detention by thegovernment lasting more than 24 hours.

A NO score is earned if there were anydocumented cases of assault to a journalistcovering corruption during the study period.Corruption is defined broadly to include any

abuses of power, not just the passing of bribes.


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A NO score is earned if there is no such right.

A NO score is earned if there were anydocumented cases where a journalist was killedin relation to his or her work covering corruption-related issues in the study period. Therelationship between a mysterious death and anindividual's work may not be clear, however the

burden of proof here is low. If it is a reasonableguess that a person was killed in relation to hisor her work on corruption issues, then theindicator is scored as a NO. Corruption is definedbroadly to include any abuses of power, not justthe passing of bribes.

A NO score is earned if there is no such formalprocess.

A NO score is earned if there is no such formalmechanism or institution.

Records are available on-line, or records can beobtained within two weeks. Records areuniformly available; there are no delays forpolitically sensitive information. Legitimateexceptions are allowed for sensitive nationalsecurity-related information.

Records are free to all citizens, or available forthe cost of photocopying. Records can beobtained at little cost, such as by mail, or on-line.


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Responses to information requests typicallyaddress the requestor's questions in full and arenot redacted or edited to remove sensitiveinformation.

The agency/entity acts on appeals quickly. Whilesome backlog is expected and inevitable,appeals are acknowledged promptly and casesmove steadily towards resolution.

In most cases, the appeals mechanism is anaffordable option to middle class citizens seekingto challenge an access to informationdetermination.

The government always discloses to therequestor the specific, formal reasons fordenying information requests.

A NO score is earned if suffrage is denied by lawto any group of adult citizens for any reason.Citizen is defined broadly, to include allethnicities, or anyone born in the country. A NOscore is earned if homeless or impoverishedpeople are legally prohibited from voting.

A NO score is earned if no such frameworkexists.

Voting is open to all citizens regardless of race,gender, prior political affiliations, physicaldisability, or other traditional barriers.

Ballots are secret, or there is a functional

equivalent protection, in all cases.

Elections are always held according to a regularschedule, or there is a formal democratic processfor calling a new election, with deadlines formandatory elections.


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A NO score is earned if there are any legal orregulatory restrictions or prohibitions barring anytypes of political parties from being formed.

A NO score is earned if there are any legalrestrictions barring certain individuals or groupsfrom running for political office.

While there is no guarantee of electoral success,political parties can form freely withoutopposition.

While there is no guarantee of electoral success,anyone can run for office under transparent andequitable guidelines. There is a formal processfor access to the ballot which is fairly applied.The costs of running a campaign are reasonableand do not deter candidates from entering arace.

The opposition party always has some influenceon the proceedings of the legislature. Theopposition party can introduce legislation or bringpending matters to a vote without the consent ofthe ruling party.

A NO score is earned if no domestic agency orset of domestic agencies/entities exists thatmonitors elections. A NO score is earned ifelections are only monitored by an agencyinformally, such as poll booth monitoring by thepolice, only by international observers, or only byNGOs. A NO score is earned if the domesticelection agency or set of domestic agenciessimply facilitates the process of voting but is notempowered to report violations or abuses.


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A NO score is earned if the election monitoringagency or set of agencies/entities is legally tiedto bodies contesting the election (i.e. anexecutive branch agency such as the Interior

Ministry, or a committee of the legislature). A NOscore is automatically earned if there is nodomestic election monitoring agency.

Appointments to the agency or set ofagencies/entities are made based onprofessional qualifications. Individuals appointedare free of conflicts of interest due to personalloyalties, family connections or other biases.Individuals appointed usually do not have clearpolitical party affiliations.

The agency or set of agencies/entities has staffsufficient to fulfill its basic mandate.

Reports are released to the public on apredictable schedule, without exceptions.

When rules violations are discovered, the agencyor set of agencies/entities is aggressive inpenalizing offenders and/or in cooperating withother agencies in penalizing offenders.

There is a transparent system of voterregistration that provides voters with sufficienttime to understand their rights, check theaccuracy of their registration, and ensure thaterrors are corrected before they vote.

A NO score is earned if there is no legal right forcitizens or political parties to challenge allegedlyfraudulent election results in the courts or otherjudicial mechanisms.


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The electoral appeals mechanism takes casesfrom both candidates complaining of flaws in theelectoral process as well as citizens bringingcomplaints related to denial of suffrage orregistration errors. There is an expeditedprocess for resolving such complaints to avoid

delaying a timely announcement of electoralresults.

The military, military officers, and other securityforces refrain from overtly supporting or opposingpolitical candidates or commenting on elections.The military or security forces refrain fromphysically interfering with political campaigns,rallies, or voting.

A NO score is earned if there are any legal orregulatory prohibitions on the monitoring of theelectoral process by domestic or internationalelection observers.

Election observers have unfettered access topolling sites, counting stations, and votersthemselves. The government does not interferewith the observers' activities.

A NO score is earned if there are no limits oncontributions from individuals. A NO score isalso earned if limits are applied by thegovernment on opposition parties in adiscriminatory manner.

A NO score is earned if there are no limits oncorporate contributions to political parties. A NOscore is also earned if limits are applied by thegovernment on opposition parties in adiscriminatory manner.

A NO score is earned if there are no limits onpolitical party expenditures during an election. ANO score is also earned if limits are applied bythe government on opposition parties in adiscriminatory manner.

A NO score is earned if there are norequirements mandating the disclosure ofcontributions to political parties, existingregulations do not require a donor's name oramount given, or the regulations allow for

anonymous donations.


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A NO score is earned if there are no legal orregulatory requirements for the independentauditing of political parties' finances andexpenditures when financial irregularities areuncovered. A NO score is also earned if suchrequirements exist but allow for parties to self-

A NO score is earned if there is no such agencyor entity. A NO score is also earned if thismonitoring is solely carried out by the media andcivil society organizations.

A NO score is earned if there are no limits oncontributions from individuals. A NO score isalso earned if limits are applied by thegovernment on opposition

Integrity Indicators 2009

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Transcript of Integrity Indicators 2009