trust -- public sector integrity and lobbyingbertok... · identifying relevant data, benchmarks,...

TRUST -- PUBLIC SECTOR INTEGRITY AND LOBBYING

Ministry of Finance Helsinki, 16 May 2018

Janos BertokHead of Public Sector Integrity DivisionOECD

1. Integrity & public trust – what we know

2. New vision: 2017 OECD Recommendation on Public Integrity

3. Systemic approach & behavioural insights

4. Regulation of lobbying: lessons from trends & country experiences

Overview of presentation

Facing global challenges: Trust in government

is either low, declining or both

-40

-20

0

20

40

60

80

100

-40

-20

0

20

40

60

80

100

DE

UIS

LIS

RA

UT

SV

KJP

NC

HE

GB

RC

ZE

GR

CIR

LK

OR

NZ

LH

UN

PO

LO

EC

DE

ST

DN

KT

UR

CH

LF

RA

ITA

US

AA

US

SW

EN

LD

NO

RC

AN

LU

XB

EL

ME

XF

INE

SP

PR

TS

VN

IDN

LT

UA

RG

PE

RC

RI

LV

AZ

AF

IND

BR

AC

OL

%Percentage points % in 2015 (right axis) Percentage points change since 2007 (left axis)

Source: World Gallup Poll (2015) 3

Confidence in national government in 2015 and its change since 2007

(% of respondents who expressed “confidence in their national government”)

1. Competence

2. Values

Key drivers for building trust:OECD findings

1. Citizens expect high standards of integrity• E.g. Leadership by example

2. Government are expected to be more openE.g. Making budgets more transparent, understandable & accessible

•

3. Citizens expects fair outcomesE.g. Assessing the distributional impacts of structural policies

Values – 3 key drivers

What are the key determinants of trust in

Government?

0

0,05

0,1

0,15

0,2

0,25

0,3

0,35

0,4

0,45

Ch

an

ge

ins

ur

ve

ytr

us

ta

ss

oc

iate

dw

ith

1s

tan

da

rd

de

via

tio

nc

ha

ng

ein

… Drivers of trust in GovernmentAverage of 8 countries in Trustlab

Source: OECD Trustlab

OECD Recommendation on Public Integrity

2017

A coherent and comprehensive integrity

system across the whole of government (1)

11

9

7

4

3

0 2 4 6 8 10 12

Regular meetings in specificintegrity committee or commission

Guidance by a central governmentbody (or unit)

Inter-institutional design of integritypolicies

Legal agreements /memorandumsof understanding between levels of

government

No coordination

Mechanisms for co-ordination between central and sub-national integrity bodies

OECD Total

Finland

Source: OECD (2017), Government at a Glance 2017, OECD Publishing, Paris, http://dx.doi.org/10.1787/gov_glance-2017-en.

http://dx.doi.org/10.1787/gov_glance-2017-en

A coherent and comprehensive integrity

system across the whole of government (2)

29

22

17

7

0 5 10 15 20 25 30 35

Normative requirements (i.e. policiesand guidance)

Guidance by a central government body(or unit)

Line ministries have dedicated integrityofficials or units

Head of central government bodyparticipates in meetings of the council of

ministers

Mechanisms to mainstream integrity policies across line ministries

OECD Total

Finland



A risk-based approach to public integrity (1)

26

22

16

0 5 10 15 20 25 30

Yes, for internal control policies

Yes, for risk management policies

Yes, specifically for integrity/ corruptionrisk management

Laws require line managers in the executive branch to implement and monitor internal control and risk

management policies

Finland



Japan

Italy

France

Gre

ece

Central internal audit function auditing more than one government ministry

Central internal audit function including dedicated integrity

objectives

Yes 48%

No 52%

No 33%

Yes 67%

A risk-based approach to public integrity (2)



BEHAVIOURAL ASPECTS

A human-centred perspective on

integrity

Integrity is more than compliance

with rules – it is a personal choice

to act morally and in the public

interest.

The majority of people are

committed to integrity, but not

always aware of their personal

responsibility.

Adverse effects of control and

enforcement - individual perception

Human (mis-)perceptions of control and enforcement

Risk

Distrust Signals that corruption is anticipated, which can become a self-fulfilling prophecy.

Extortion Sanctions can be used as a threat to silence confidants in corrupt networks.

Carte blanche Compliance with the external norm can be an excuse for avoiding personal moral reflection.

Rationalisation Focusing on how to pass the control, matters of moral responsibility can be shoved to the side.

Behavioural risks of a control-based

approach

Policy approach Risk

Deterrence • A focus on “passing the control” instead of personal moral choice

• A culture of fear limiting whistleblowing and enabling extortion

Formal requirements • A check-the-box approach to integrity in lieu of personal moral responsibility

• Formally proven integrity as an excuse for unethical behaviour in other realms

Transparency • Disclosure of information as carte blanche to not take responsibility for its content

• Overwhelming, confusing or inconvenient disclosure prevent civil society follow-up

Adverse effects of control and

enforcement - social interaction

Control mechanism (Mis-)Perception

Limits freedom of actions

Individual actions matter less lower personal moral responsibility

Involves more people (e.g. 4-eyes-principle)

Certifies integrity externally

LOBBYING

Key factors for balancing the cost and

benefits of disclosure on lobbying

• Addressing concerns – forward-looking

versus “ad hoc” approach

• Maturity of open government system –

informing actors and stakeholders

• Sharing the cost –

– easy registration and reporting by ICTs

– resources available for managing the register

Is transparency in policymaking a lever for trust

in government?

Source: World Economic Forum – Global Competitiveness Report (2013-2014)

AUS

AUT

BEL

CANCHL

CZK

DNK

EST

FIN

FRA

DEU

GRCHUN

ISL IRL

ISR

ITA

JAP

KOR

LUX

MEX

NLD

NZL

NOR

POLPRT

SVK

SVN

ESP

SWE

CHE

TUR

GBR

USA

OECD

R² = 0.75

0

1

2

3

4

5

6

7

0 1 2 3 4 5 6 7

Tra

nsp

are

ncy

of

gove

rnm

en

t p

oli

cym

aki

ng,

1-7

(b

est

), W

EF

Public trust in politicians, 1-7 (best), WEF

Link between public trust in politicians and transparency in government policymaking (2013)

Transparency drives lobby reforms

Source: Lobbyists, Governments and Public Trust, Volume 3. Implementing the OECD Principles for Transparency and Integrity in Lobbying, OECD 2014

42%

26% 26%

5%0%

38%36%

16%

8%

2%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Strongly agree Agree Neutral Disagree Stronglydisagree

Legislators

Lobbyists

Does transparency in lobbying increase

citizens’ trust in the public decision-making

process?

Does transparency in lobbying increase citizens’

trust in the public decision-making process?

What information should be public?

What incentives?Easy registration

Source: Lobbyists, Governments and Public Trust,

Volume 3. Implementing the OECD Principles for

Transparency and Integrity in Lobbying, OECD 2014

Regulation of lobbying is accelerating 16 OECD countries have regulations on lobbying

8 in this decade, including Ireland in 2015

Actors & types of communication that stakeholders

believe should be covered by lobbying rules

Implementation: How to make it effective?Raising awareness with tailored measures

Most effective ways to learn about lobbying rules/guidelines according to legislators; and integrity standards and transparency tools according to lobbyists

50%

17%

33%

67%

33%

67%

33%

33%

17%

55%

22%

67%

24%

37%

35%

36%

26%

36%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Briefing

Lecture

Workshop

Online training

Conference or learning event

Direct communication

Scenario-based training

Provision of training material

Information on the website of the officeresponsible for lobbying

Legislators

Lobbyists

Source: Lobbyists, Governments and Public Trust, Volume 3. Implementing the OECD

Principles for Transparency and Integrity in Lobbying, OECD 2014

Areas of Concern 1: Revolving doorsAre there restrictions on public officials engaging in

lobbying activities after they leave the government?

Source: Lobbyists, Governments and Public Trust, Volume 3. Implementing the OECD Principles for


Pre-public employment: OECD countries’ restrictions

on lobbyists to fill regulatory or advisory posts in

government



No 29%

Yes 71%

Areas of Concern 2: Advisory-expert groups

A balanced composition of interests?



Some lessons?

• Compliance by incentives and enforcement remains a

challenge

Focusing on addressing lobbying concerns and risks in order to foster confidence in policy making

• Limited measurement of costs and benefits

Identifying relevant data, benchmarks, and indicators in relation to transparency in lobbying

• Linking to the broader Open Overnment and Integrity System remains vital

Integrating lobby register in a whole-of-government 21st-century Integrity System

• Call for stricter lobbying regulations across Europe & at EU

• 8 European countries with mandatory registers

• 4 European countries have voluntary registers

• Diversified approaches to the regulation of lobbying

Lobbying: trends in Europe

• In the UK, a statutory lobbying register stands alone a self-regulatory regime for ethical conduct

– Statutory register: fosters transparency on who is attempting to influence ministers and permanent secretaries

– Self-regulatory regime: promotes ethical standards among lobbyists

• Narrow definition of lobbyist excludes many

organisations influencing policy

The UK experience

• Focus on rules-based approach

• Statutory register virtually applies to anyone seeking to influence policy

• Covers representations made to

– Ministers and Ministers of State

– MPs, MEPs, Senators and Members of local authorities

– Special advisors

– Senior officials in public service at national and municipal levels

• Information that is published:

– Who is lobbying and is being lobbied, and on whose behalf

– Issues involved

– Intended result of lobbying

The Irish experience

• Relies on both values and rules to promote integrity in lobbying

• Together the Lobbying Act and Lobbyists' Code of Conduct promote transparent and ethical lobbying and foster integrity in government decision-making:

– Act: imposes transparency obligations and post-employment bans on lobbying

– Code: encourages ethical behaviour among lobbyists

The Canadian experience

Further info oecd.org/governance/ethics/

THANK YOU FOR YOUR ATTENTION!

ANY QUESTION?

[email protected]

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