2|P a g e

APECProject:SCE/IA/2016

Producedby

MsNicolaThatcherandMrAndrewRowe

SustineoGroupPtyLtd

27TorrensStBraddonACT2601,Australia

Tel:(61)251005905

www.sustineo.com.au

For

Asia-PacificEconomicCooperationSecretariat

35HengMuiKengTerrace

Singapore119616

Tel:(65)68919600

Fax:(65)68919690

Email:info@apec.org

Website:www.apec.org

©2016APECSecretariat

APEC#216-ES-01.2

3|P a g e

CONTENTS

EXECUTIVESUMMARY..............................................................................................................5

Overallconclusions...............................................................................................................5

Recommendations................................................................................................................7

INTRODUCTION.........................................................................................................................9

StructureofthisAssessment.................................................................................................9

BACKGROUND.........................................................................................................................10

Method...............................................................................................................................10

HistoryofACTWG...............................................................................................................10

StructureofACTWG............................................................................................................11

TermsofReferenceofACTWG...........................................................................................12

OutputsofACTWG..............................................................................................................13

ALIGNMENTOFACTWGWITHAPECPRIORITIES....................................................................14

BogorGoals(1994)..............................................................................................................14

SantiagoCommitmenttoFightCorruptionandEnsureTransparencyandtheAPECCourse

ofActiononFightingCorruptionandEnsuringTransparency(2004).................................14

AnnualLeaderDeclarations................................................................................................14

Currentperformance..........................................................................................................15

AlignmentofACTWGOutputswithECOTECHPriorities.....................................................16

ACTMulti-YearStrategicPlanning2013–2017..................................................................17

APECTaskingStatementsfor2015and2016.....................................................................17

APECGenderAgenda..........................................................................................................18

DiscussionandConclusions.................................................................................................18

FORUMOPERATIONS..............................................................................................................20

StructureandOperationsofACTWG..................................................................................20

ChairandViceChairarrangements.................................................................................20

ProgramDirector.............................................................................................................21

Meetingfrequency..........................................................................................................21

Meetingmanagementanddocumentation....................................................................22

Projectinitiation,fundingandmanagement..................................................................23

FormationandmanagementoftheACT-NET.................................................................24

Communication...............................................................................................................25

RelevanceoftheTermsofReference.................................................................................25

DiscussionandConclusions.................................................................................................25

CO-OPERATION.......................................................................................................................27

4|P a g e

Co-operationwithotherAPECFora....................................................................................27

CooperationwithotherStakeholders.................................................................................28

ABAC................................................................................................................................28

Co-operationwithOtherInternationalOrganizations....................................................28

DiscussionsandConclusions...............................................................................................29

AppendixA–APECWorkingGroups.......................................................................................30

AppendixB–Method.............................................................................................................32

AppendixC–ResultsofWrittenSurvey..................................................................................33

AppendixD–Face-to-FaceSurvey..........................................................................................48

AppendixE–SourceDocuments............................................................................................49

AppendixF–ACTWGPublications..........................................................................................51

AppendixG–DetailedlistofACTWG’sProjectsinAPECProjectDatabase............................52

5|P a g e

EXECUTIVESUMMARYThisisareportoftheindependentassessmentoftheefficiencyandeffectivenessofAPEC’s

Anti-CorruptionandTransparencyExpertsWorkingGroup(ACTWG).TheTermsofReference

fortheassessmentwereto:

• assesstheoutcomesandhowACTWGsupportsthemainobjectives/goalsofAPEC

andtheirimpactsinAPECmembereconomies

• evaluatewhetherACTWGisoperatingeffectivelyandefficiently

• evaluatewhetherthegroup’sTermsofReference,strategicplanoroperationscould

bemodifiedtobetterrespondtoAPECECOTECHprioritiesandcontributetothe

achievementofAPECgoals

• identifywaystostrengthenACTWG’sstrategicprioritiesanddirectionforfuture

work

• recommendhowACTWGcanbetterfocusandmoreefficientlyandeffectively

manageitstasksandassurethatitscapacitybuildingactivitiesareprovidingbenefits

accordingtoLeaders’andMinisters’priorities,and

• identifywaystodevelopsynergiesamongtheworkoftheforumandotherrelevant

APECgroups.

TheACTWGwasestablishedastheresultofAPEC’scommitmenttotransparencystandards

anda relatedacknowledgement that corruption threatenedgoodgovernance, unimpeded

flows of investment and shared prosperity in the APEC region. The work of the Group

supports the implementation of the 2004 Santiago Commitment to Fight Corruption andFightTransparency and theAPECCourseofActionandAPECTransparencyStandards. It isalsotocontributetotheAPECConductPrinciples forPublicOfficialsandtheAPECCodeofConductforBusiness,inthefightagainstbriberyandfacilitationpayments.

In launchingthe initiative inSantiago in2004,andreaffirmedateverySummitafterwards,

Leaders recognize that no economy is immune from corruption and that every economy

shouldtakeactiveleadershipincombatingcorruptionandstrengtheningcooperation.

TheACTWGwas initially established in 2005 as a Task Force. In 2011 a proposalwas put

forward to the Senior Officials Steering Committee on ECOTECH (SCE) seeking the

transformation into a Working Group with a five-year Terms of Reference. With the

transitiontoaWorkingGroupstatus,thegroupcontinuedtooperatebyelectronicmeans,

with face-to-facemeetings held at least annually andon an as neededbasis. TheACTWG

initial Terms of Reference expired in May 2015. In February 2016, an extension of the

ACTWG mandate for five years to 2020 was proposed by the ACTWG, endorsed and

recommendedbytheSCE1andsubsequentlyapprovedbytheSOM.

Thisreviewisthethird inaseriesof independentassessments,withthefirstcompletedin

January2009,andthesecondbeingcompletedinAugust2012.

Overallconclusions

The fight against corruption and the need for transparency is an ongoing battle in the

achievement of economic cooperation and growth. As recognised through Leader

Declarations,member economies annually reaffirm the commitment to undertake actions

and initiatives toaddresscorruption in theachievementof the long-termgoalof freeand

opentradeandinvestmentintheAsia-Pacific.

In this context, the ACTWG has been an effective forum to nurture and sustain good

governance,economicdevelopmentandprosperity,andfacilitateworkingtogethertofight

6|P a g e

corruptionandensuretransparency.TheACTWGisanactiveworkinggroupthatmeetsbi-

annually, usuallyon themarginsof the SOM1andSOM3meetings.Aswell as the regular

meeting,detailedtechnicalcapacitydevelopmentworkshopsareoftenheld.Topicsforthe

detailedworkshoparenormallybasedonthehosteconomy’santi-corruptionprioritiesand

are outlined in the annual work plan. The ongoing support of the ACTWGmandate was

reaffirmed by member economies in February 2016 with the extension of the Terms of

Referenceto2020.

Since2013,13workshopsandmeetingshavebeenheldinadditiontothebi-annualACTWG

meetings.However,overthesameperiodnonewACTWGprojectshavebeenapprovedand

included in theAPECProjectDatabase.While there are different requirements associated

withAPECfundedversusself-fundedprojects,projectsthatareself-fundedarestillrequired

tobeincludedintheAPECProjectDatabasebeforecommencement,andprojectcompletion

reportsarestronglyencouragedtobesubmitted.AsaresulttheAPECProjectDatabasedoes

not reflect the full extent of the ACTWGwork, and the impact of this work is not being

captured.

ApprovalhasbeenprovidedbytheSCEfortheChairoftheACTWGtorotateannuallyand

become the responsibility of the host economy. Notwithstanding the administrative

challengesthisannualrotationpresents,itsupportsandprovidesthemechanismforevery

APEC host economy to have the opportunity to take active leadership in making anti-

corruptionanimportantpolicydeliverable.Italsoallowsforfreshperspectivesanddifferent

experiencestobeintroducedtotheACTWGonaregularbasis.

However,thisannualrotationalsopresentsarisktotheefficiencyandeffectivenessofthe

Chair,particularlyinthefirstmeetingoftheyearwhenthehosteconomymaynothavehad

sufficienttimetoobtainfeedbackandbuy-inonthemeetingagendaandannualworkplan.

To optimise the value with the annual rotation, strong knowledge management and

governancestructuresneedtobe inplaceandeffectivelyutilised. Inaddition, in incoming

Chairsneedtoreachouttomembersasearlyaspossibleintheirhostyear.

ACTWGinitiativesandactivitiescanbeclassifiedagainsteachofthe listedpurposes inthe

ACTWGTermsofReference.Inparticular,theactiveparticipationofmembereconomiesin

relationtoongoingtechnicalcapacitybuildingworkshopscombinedwiththedevelopment

and circulation of codes of conduct, corporate compliance programs and guidelines

underpin the achievements against the Terms of Reference. Amongst other things, the

regular ACTWG meetings also encourage the cooperation and exchange of information

between anti-corruption experts and helps facilitate individual and joint actions to fight

corruptionandensuretransparency.

TheMulti-Year Strategic Plan 2013-2017provides key performance indicators and specific

actions toenabledeliveragainst theTermsofReference.ThePlan is regularlyupdated to

ensurethattheworkoftheACTWGcontinuestoberesponsiveandrelevanttothebroader

APECgoalsaswellasthedeclaredprioritiesofAPECLeaders.AllocationofnominatedLeads

and achievement of activities/ actions against agreed deadlines are, however, areas for

improvement.WiththerecentextensionoftheACTWGmandateto2020,andthecurrent

Planonlyendorsedforupto2017,therewouldbevalueintheACTWGcommencinglonger

termstrategicplanningtoreflectthisnewtimeperiod.

The operation of the Secretariat appears to be efficient and is supported by survey

respondents. Communication around meetings is good, however the meeting summaries

and other outcome documents should be made available more quickly. Public

communicationcouldalsobeimprovedbykeepingtheACTWGwebpageuptodate.

Thereisnosingle,comprehensibleandaccessiblestoreofcoregovernancedocumentation

associatedwiththeACTWG.WhilethedocumentationisoftenincludedintheAPECMeeting

7|P a g e

Database (MDDB), knowing where to find it, especially across APEC fora andmeetings is

difficult, particularly if you are not sure what you seeking. Improving knowledge

management by compiling a consolidated list of core material and making this readily

accessible to members would allow all delegates to become more familiar with key

governancedocuments.

Member economies considered that the establishment of the APEC Network of Anti-

CorruptionandLawEnforcementAgencies (ACT-NET)asamajor initiative in implementing

theAPECCourseofActiononFightingCorruptionandEnsuringTransparencyandachievingtheACTWG’spurposeofpromotingcooperation.Itshouldhoweverberecognisedthatthis

conceptisstillinitsinfancyand,asaresult,itistooearlytoassesstherelativeimpactofthe

initiative.TheACTWGcanensure theongoingefficiencyandultimateeffectivenessof this

initiativebyclarifyingtheadministrativearrangementssurroundingtheACT-NETinitiative.

ACTWG has effective engagement with some other APEC fora, in particular the joint

meetingsandworkshopsthathavebeenheldwiththeExpertsGrouponIllegalLoggingand

AssociatedTrade(EGILAT).Giventheintendedpurposeofpromotingandincreasingprivate

sectorparticipationinthedevelopmentofanti-corruptionmeasures,therewouldbebenefit

inexploringfurtheropportunitiesforcollaborationwithothersubfora,andinparticularwith

theSmallandMediumEnterprisesWorkingGroup(SMEWG).Respondentsrankedthe lack

ofengagement initiatedbyACTWGwithotherAPECforaandviceversaasthesecondand

third highest barriers to meeting APEC’s ECOTECH objectives. Consequently, a focussed

effortwillberequiredtoimprovethislevelofengagement.

WhilenotconsideredabarriertoachievingAPEC’sECOTECHobjectives,thereisopportunity

for theACTWG toassesshow theproactive implementationof theAPEC’s gender agenda

couldimproveitsdeliveryagainsttheTermsofReference.

The work of the ACTWG is seen as complementary to the work of other anti-corruption

entitiesratherthanduplicatingotherstakeholdersandorganisations.Itwasalsorecognised

thatmembereconomiesdifferbetweenthevariousbodiesandthereisconsiderablevalue

insharinginitiativesandlessonslearned.Thefightagainstcorruptionisseenasanongoing

battleandthemoreparticipantstherearewhoarefocusedonimplementinganti-corruption

initiativesandincreasingtransparency,thebetter.

Recommendations

Recommendation1

Document and communicate the operations and recommended timelines for action

associatedwiththegovernancestructureoutlinedintheACTWG’sTermsofReference.This

willoptimisethevalueoftherotatingannualChair.

Recommendation2

All ACTWG projects be included in the APEC Project Database and project completion

reportsundertaken.ThiswillcapturethefullextentoftheACTWGoutputanditsimpact.

Recommendation3

TheMulti-YearStrategicPlan2013-2017shouldbeupdatedtoreflecttheextendedmandate

oftheACTWGto2020.Activity/actionLeadsshouldalsobe identifiedtoencourageother

membereconomiestomeettheagreedtimingforthedeliveryofoutputasspecifiedinthe

Plan.

8|P a g e

Recommendation4

TheAPECSecretariatcompileaconsolidatedlistofcoreACTWGmaterialandmakeitreadily

accessible to members. This will improve delegates’ familiarity with key governance

documents.

Recommendation5

TheACTWGclarifytheadministrativearrangementsoftheAPECNetworkofAnti-Corruption

Authorities and Law Enforcement Agencies (ACT-NET) initiative. This will improve the

ongoingefficiencyandultimateeffectivenessofthisinitiative.

Recommendation6

Giventheaimofpromotingandincreasingprivatesectorparticipationinthedevelopment

ofanti-corruptionmeasures,theACTWGshouldfurtherexplorecollaborationopportunities

with other relevant subfora, and in particular with the Small and Medium Enterprises

WorkingGroup.

9|P a g e

INTRODUCTIONThis report presents the results of an independent assessment of the operations and

structure of the Anti-Corruption and Transparency Experts’ Working Group (ACTWG) in

order to ensure that theWorking Group’s activities are targeted, effective, efficient, and

make the best use of scarce resources. This independent assessment also recommends

actions to ensure that the Working Group is responsive to APEC’s current priorities and

contributestotheachievementofAPEC’soverallvisionandobjectives.

TheTermsofReferencefortheassessmentinclude:

• toassesstheoutcomesandhowACTWGsupportsthemainobjectives/goalsofAPEC

andtheirimpactsinAPECmembereconomies

• toevaluatewhetherACTWGisoperatingeffectivelyandefficiently

• toevaluatewhethertheGroup’sTermsofReference,strategicplanoroperations

couldbemodifiedtobetterrespondtoAPECECOTECHprioritiesandcontributeto

theachievementofAPECgoals

• toidentifywaystostrengthenACTWG’sstrategicprioritiesanddirectionforfuture

work

• torecommendhowACTWGcanbetterfocusandmoreefficientlyandeffectively

manageitstasksandassurethatitscapacitybuildingactivitiesareprovidingbenefits

accordingtoLeaders’andMinisters’priorities,and

• toidentifywaystodevelopsynergiesamongtheworkoftheforumandother

relevantAPECgroups.

StructureofthisAssessment

Thisassessmentisdividedinto5sectionswhichfollowtheformatprescribedbyAPEC:

• Introduction,includingpurposeoftheindependentassessment,methods,anda

shortoverviewofACTWGanditshistory

• Background,includingashortoverviewofthehistoryofACTWG,itsstructureand

thereview’sTermsofReference

• AssessmentoftheACTWG’salignmentwithAPECpriorities

• AssessmentofACTWG’soperations,and

• Assessmentofco-operationwithotherAPECForaandotherstakeholdersincluding

industry,academiaandothermultilateralorganisations.

10|P a g e

BACKGROUNDTheAPECAnti-CorruptionandTransparencyExperts’WorkingGroup(ACTWG) isoneof15

APECWorkingGroupsandpartnerships(AppendixA–APECWorkingGroups).TheACTWG

wasestablishedastheresultofAPEC’scommitmenttotransparencystandardsandarelated

acknowledgement that corruption threatened good governance, unimpeded flows of

investmentandsharedprosperity intheAPECregion.TheworkoftheGroupsupportsthe

implementation of the 2004 Santiago Commitment to Fight Corruption and FightTransparencyandtheAPECCourseofActionandAPECTransparencyStandards.ItisalsotocontributetotheAPECConductPrinciplesforPublicOfficialsandtheAPECCodeofConductforBusiness,inthefightagainstbriberyandfacilitationpayments.

AccordingtotheTermsofReferenceforACTWGreaffirmedin2011,“Giventhecrosscutting

nature of activities related to combating corruption and ensuring transparency there is a

need for a procedural structure to promote and coordinate these activities within APEC.

Furthermore, the global natureof corruption and the implementationof thepunitive and

preventive anticorruption policies and practices consistent with the United Nations

ConventionagainstCorruptionrequirethatAPECcoordinatecloselywithotherinternational

activities where appropriate, for which the Task Force would provide the single point of

contacttopromoteandfacilitatesuchinteraction.”

1

Thisindependentassessmentfocussedonthe7meetingsheldsincethepresentationofthe

previous independent assessment to the SOM Steering Committee on Economic and

Technical Cooperation (the SCE) in August 2012. The Working Group’s response to the

previousassessment’sfindingsandrecommendationswerealsotakenintoconsiderationin

thecompletionofthisreport.

Method

TheMethodisdetailedatAppendixB–Method.Itincludedasurveyofmembereconomies’

ACTWG representatives (Appendix C – Results of Written Survey); face-to-face or phone

interviews with a number of representatives of ACTWG member economies and invited

guests(AppendixD–Face-to-FaceSurvey);andattendancebytheleadassessortothe22

nd

APEC ACTWG meeting held in Lima, Peru, in February 2016. The online survey was

developed inconsultationwiththeProgramDirector forACTWGandwasendorsedbythe

Chair. Summary responses to each question in the written survey are provided in the

appendices.

AppendixE–SourceDocumentsincludesalistofwrittensourcesthatprovidedbackground

to the purpose and activities of ACTWG and the SCE. Documents presented to 22

nd

APEC

ACTWGwerealsoreviewed.

Thedraft assessmentwas submitted to theAPECACTWGSecretariat andBoard for initial

comments on factual matters and then was circulated to representatives of member

economies. On finalisation and adoption by APEC it will be transmitted to ACTWG for

implementation.

HistoryofACTWG

APEC’sgoalsfocusonachievementoffreetradeandopeninvestmentbyreducingbarriers

totradeandpromotingfreeflowofgoods,servicesandcapital(BogorGoals,1994).These

goalswerelatermovedtoanactionfootingwithagreementontheOsakaActionAgendain

1995.ActionsbyAPECforawereidentifiedasanintegralcomponentofthisactionagenda.

1

APEC2011/SOM1/SCE/004,Annex3ACTWGTermsofReference,Section1–Introduction.

11|P a g e

In 1996, APEC’s Economic Framework for Strengthening Economic Cooperation and

Development(ECOTECH)wereagreedandincludedtheintentiontocooperateineconomic

and technical areas at a regional level, through constructive and genuine partnership. In

2010 officials agreed on medium term priorities, highlighting the importance of regional

economic integration, inclusive growth, quality of life and sustainability, structural reform

andhumansecurity.

In Los Cabos in 2002 and Bangkok in 2003, APEC Leaders committed to implementing

general and area-specific APEC Transparency Standards. InNovember 2004,APEC Leaders

metinSantiago,Chile,andfurtheracknowledgedthatcorruptionwasaseriousthreattothe

APEC agenda and priorities to sustainable economic growth, good governance, market

integrity and enhanced trade and investment. They also agreed that APEC can make a

differencebyworkingtogethertofightcorruptionandensuretransparency,cuttingthecost

of corruption to their economies and create a culture of integrity and shared prosperity.

Accordingly, Leaders endorsed the Santiago Commitment to Fight Corruption and EnsureTransparency and the APEC Course of Action on Fighting Corruption and EnsuringTransparency,includingtheAPECanti-corruptioninitiativeFromSantiagotoSeoul.

Alsoin2004,SeniorOfficialsapprovedarecommendationbyAPECAnti-CorruptionExperts

and agreed to establish an Anti-Corruption Experts’ Task Force to implement the APECCourseofActiononFightingCorruptionandEnsuringTransparency. In September2010 in

Sendai, Japan, member economies arrived at a consensus decision to formally submit a

proposaltotheSCEtoupgradethetaskforcetoworkinggroupstatus.

In2011thethenChairpresentedaproposaltotheSCEfortheupgradeofstatus.Thestated

benefitofthischangefortheoperationsofthegroupwouldbetoeliminatetheshort-term

planninghorizon inherent in the two-year renewalsofa task forceandallowtheentity to

better meet its goals by adopting a long term agenda and strategy. The proposal was

adoptedwithoutamendment.

2

The 2014 theBeijing Declaration on Fighting Corruption was developed and endorsed byLeaders. TheAPECPrincipleson thePreventionofBriberyandEnforcementofAnti-BriberyLaws, and APECGeneral Elements of Effective Voluntary Corporate Compliance Programswerealsointroduced.

StructureofACTWG

ACTWGreportstotheStandingCommitteeonECOTECH(SCE).All21membereconomiesof

APEC can provide delegates (officials, industry and academic representatives) to ACTWG

meetingsandcannominateotherstoparticipateinACTWGactivities.

There is provision for specific organisations to be accepted as delegates, guests and non-

memberparticipants.Forexample,amongstothernon-APECstakeholderstheAmericanBar

Association,theWorldBank,TransparencyInternational(TI),theOrganisationforEconomic

Co-operation and Development (OECD), the United National Office on Drugs and Crime

(UNODC) and the Inter-American Development Bank have provided representatives on a

regularbasisasnon-memberparticipants.Thismeansthatineachopportunitythattheyare

invitedorwanttoattendameeting,theyrequirearequestandapprovalfromtheACTWG.

Thereisprovisionforspecificindividualstoalsobeacceptedasdelegates.Forexample,the

international expert on other international instruments on anticorruption, Mr Guillermo

Jorge, had guest status at the 22

nd

ACTWGmeeting in 2016. It is the responsibility of the

2

Summary Report – SOM Steering Committee on ECOTECH, 9March 2011, Agenda Item 5.2 and

paperAPEC2011/SOM1/SCE/004.

12|P a g e

Program Director to ensure that guests are invited in accordance with the UpdatedGuidelinesonManagingCooperationwithNon-Members.3

TermsofReferenceofACTWG

TheTermsofReferenceforACTWGwerereaffirmedin2011whentheAnti-Corruptionand

TransparencyTaskForcesoughtendorsementbytheSCEtobecomeaworkinggroup.

4The

purposeoftheACTWGisto:

• Coordinate the implementation of theSantiago Commitment to Fight Corruption andEnsure Transparency, the APEC Course of Action on Fighting Corruption and EnsuringTransparencyand theAPECTransparencyStandards; includingpromotingcooperation

inareas suchasextraditions, legalassistanceand judicial and lawenforcement,asset

forfeitureandrecovery.

• Elaborate more specifically on actions outlined in the APEC Course of Action, andsubsequentactionsinsucceedingyearscalledbySeniorOfficials,Ministers,andLeaders

including,forexample,combatingcorruptionandillicittrade.

• PromotetheimplementationofACTinitiativessuchastheAPECConductPrinciplesforPublicOfficialsandtheAPECCodeofConductforBusiness.

• Facilitate the implementation of the United Nations Convention against Corruption

(UNCAC)bymembereconomieswhereappropriate.

• Promoteprogramsand initiativesto increasetheparticipationoftheprivatesector in

thedevelopmentofanti-corruptionpoliciesand/ormeasureswithintheeconomies,as

well as toenhance the supportbygovernmentsofefforts for greater integritywithin

theprivatesector.

• Develop innovative training, targeted capacity building and results oriented technical

assistance to fight corruption and ensure transparency, in conjunctionwith theAPEC

Anti-CorruptionandTransparency(ACT)capacity-buildingprogram.

• Intensify individual and joint actions to fight corruption and ensure transparency,

including cooperation with other multilateral and regional intergovernmental

institutionswhereappropriate.

• Exchange information between anti-corruption experts on the implementation of

domesticanti-corruptioncommitmentsandsuccessfulpracticestofightcorruptionand

enhancethetransparencyofpublicandprivatesectors.

• Cooperatewiththeinternationalorganizations,asappropriate,toimplementtheAPECCourseofActiononFightingCorruptionandEnsuringTransparency.

• FacilitatecooperationbetweenAPECfora,includingtheFinanceMinister’sProcessand

CommitteeonTradeandInvestmentanditsrelevantsub-foraoncorruptionissuesand

assistinmakingrecommendationsonproposals/projectstoSeniorOfficials.

Duringthe22

nd

ACTWGmeetingmembereconomiesdiscussedtheTermsofReferenceand

whether economies thought any amendment was needed. The only suggested change

relatedtoupdatingthedateofrenewal.Accordingly,membereconomiesagreedtopropose

to the SCE an extension of the mandate for five years to 2020. The revised Terms of

Referencewasendorsedandrecommendedbythe2016SCE1andtheSOMapprovedthem.

3

Themost recentversionof theGuidelineswerediscussedandpresented inSeptember2015.See

APEC2015/SOM3/005,AgendaItem12.4,GuidelinesonManagingCooperationwithNon-Members.

4

APEC Upgrading the Ant-Corruption and Transparency Task Force (ACT), 2011/SOM1/SCE/004,

AgendaItem:5.2,Annex3.

13|P a g e

OutputsofACTWG

ACTWGhas,onaverage,twomeetingsperyear.TheSummaryofeachmeetingandagreed

meetingdocumentsareuploadedontotheAPECMeetingDatabase(MDDB)sitesoonafter

themeeting.SpecificACTWGpublicationsareavailablethroughtheAPECwebsite.

14|P a g e

ALIGNMENTOFACTWGWITHAPECPRIORITIESA particular focus of the reviewwas the assessment of how the ACTWG supports APEC’s

main objectives/ goals and their impact in APEC member economies; and whether the

ACTWGTermsofReferencecouldbemodifiedtobettersupporttheEconomicandTechnical

(ECOTECH)prioritiesandachievementofAPECgoals.

Inthisrespectitisimportanttoacknowledgetheharmcausedbycorruptioninachievingthe

APECgoals.Corruptioncanbe far-reachinganddeeplydamaging. It isamajorobstacle to

social and economic development. Corruption increases the cost of doing business and

inhibits legitimate trade, investment, andenterprise. Corruption andbribery facilitate and

provideanenablingenvironmentformovingandexchangingdrugs,arms,people,andstolen

or pirated goods, as well as for funding criminal and extremist activities. Corruption also

diverts precious resources away from the fight against hunger, disease and poverty;

contributestoenvironmentaldestruction;andunderminespublictrustingovernment.

BogorGoals(1994)

APEC’s1994BogorGoalsaimtoachieveeconomiccooperationandgrowthwithinAPECby

adopting “the long termgoal of free andopen trade and investment in theAsia-Pacific.”

5

TheBogorGoalsarebeingpursuedthroughreducingbarrierstotradeandinvestmentand

bypromotingthefreeflowofgoods,servicesandcapitalamongAPECeconomies.

TheACTWG’sTermsofReferencearespecificallyfocusedonaddressingtheseriousthreatof

corruption to the achievementofAPECagendaandpriorities to sustainable growth, good

governance,marketintegrity,andenhancedtradeandinvestment.

SantiagoCommitmenttoFightCorruptionandEnsureTransparencyandtheAPECCourseofActiononFightingCorruptionandEnsuringTransparency(2004)

InSantiago,Chile in2004,APECLeadersacknowledgedthethreatthatcorruptionposesto

good governance and economic growth in the Asia-Pacific. Leaders agreed that APEC

economies should nurture and sustain good governance, economic development and

prosperitybyworkingtogethertofightcorruptionandensuretransparency.

In 2005, the Anti-Corruption and Transparency Experts’ Task Force was established. The

purpose of the taskforce was to coordinate the implementation of the Santiago

Commitment, the APEC Course of Action and the APEC Transparency Standards. It also

promoted cooperation in areas such as extradition, legal assistance and judicial/law

enforcement(especiallyassetforfeitureandrecovery).

In 2010, the re-affirmation by APEC member economies that a consistent and tireless

approach to strengthening anti-corruption activities was necessary to combat corruption

resulted in the institutionalisation of the taskforce into aworking group. Accordingly, the

2011 ACTWG Terms of Reference continued to focus on the coordination of efforts to

implementtheSantiagoCommitmentandAPECCourseofAction.

AnnualLeaderDeclarations

Each year, APEC Leader Declarations recognise that corruption impedes economic

sustainability and development. The declarations acknowledge the strong resolve, or

reaffirmthecommitmentamongstmembereconomiestoundertakeactionsandinitiatives

to address corruption. Specific initiatives that have recently been undertaken are also

announced.

5

http://www.apec.org/About-Us/About-APEC/Fact-Sheets/Bogor%20Goals.aspx

15|P a g e

For example, in 2014 the APEC Leaders’ Declaration supported the BeijingDeclaration on

Fighting Corruption and welcomed the APEC Principles on the Prevention of Bribery and

Enforcement of Anti-Bribery Laws, and APEC General Elements of Effective Voluntary

Corporate Compliance Programs. It also introduced the new anti-corruption mechanism/

platform known as the APEC Network of Anti-Corruption and Law Enforcement Agencies

(ACT-NET).

6

Similarly,in2015,theLeadersDeclarationsupportedtheworkoftheACT-NETinadvancing

pragmaticanti-corruptioncooperationandwelcomedtheCebuManifestofortheProtection

ofAnti-CorruptionOfficials.

7

Currentperformance

ThesurveysoughtfeedbackonsignificantexistingorfutureinitiativesthattheACTWGcould

implement in addressing its Terms of Reference (Questions 1 to 4). The fields were

specificallyfreetexttogainanappreciationofhowwellunderstoodtheworkoftheACTWG

isamongstmembereconomies.Themostsignificantinitiativesarediscussedbelow.Details

ofallresponsesareincludedinAppendixC–ResultsofWrittenSurvey.

Thesurvey foundthatthat thethreemost importantACTWGinitiativesassistingtheAPECCourseofActiononFightingCorruptionandEnsuringTransparencywere:

1. Developmentoftrainingandcapacitybuildingefforts includingthespecificworkshops

on Combating Business Bribery, and Prosecuting Corruption and Money Laundering

Cases

2. ACT-NETco-ordinationwithotheranti-corruptioninitiatives,and

3. UNCACratificationandimplementationbyalleconomies.

Respondents considered the following three initiativesweremost important in promoting

cooperationinareassuchasextradition,legalassistanceandjudicial/lawenforcement,asset

forfeitureandrecovery:

1. ThedevelopmentandpublicationoftheAPECGuideonMutualLegalAssistance(MLA)

2. EstablishmentofACT-NETandresultingenhancedcooperation,and

3. The Capacity-Building Workshops and Guidelines on Designing Best Models on

Prosecuting Corruption and Money Laundering Cases using financial flow tracking

techniquesandinvestigative intelligenceforeffectiveconvictionandassetrecoveryto

promoteregionaleconomicintegration.

Respondents predominantly considered that the development and circulation of codes of

conduct,

8

corporate compliance programs

9

and guidelines

10

increased the participation of

theprivatesectorinthedevelopmentofanti-corruptionpoliciesand/ormeasureswithinthe

economies, and enhanced the support by governments for greater integrity within the

privatesector.

Additional important initiatives mentioned by respondents included the recent Beijing

DeclarationonFightingCorruption,andthePathfinderDialogues.

6

APEC(2014):Leaders’Declaration,paragraph48.

7

APEC(2015):Leaders’Declaration,paragraphh.

8

SuchastheAPECAnti-CorruptionCodeofConductforBusiness.

9

SuchastheAPECGeneralElementsofEffectiveVoluntaryCorporateCompliancePrograms.

10

SuchastheAPECGuidelinesonEnhancingGovernanceandAnti-Corruption.

16|P a g e

AlignmentofACTWGOutputswithECOTECHPriorities

In 2010 APEC Senior Officials endorsed a new Framework to Guide ECOTECH ActivitiesincludingAPEC-fundedcapacitybuildingandthoseoftheworkinggroups.

11

Theframework

adoptedaholisticapproachbyrevisingAPECECOTECHprioritiesandintroducingauniform

setofcriteriaforallprojectfunding,wherefundingisbasedonthelinkbetweenproposals

andAPEC’scoreobjectives.

Thenewframeworkmadeadistinctionbetweenpriority ‘workstreams’and ‘cross-cutting

methodologies’ that shouldbeconsidered inall ECOTECHcooperationworkandactivities.

Thefollowingfiveareaswereidentifiedasthemedium-termECOTECHpriorities:

1. Regional Economic Integration, ensuring that goods, services and peoplemove easily

acrossborderswiththefocusbeingoncustoms,thebusinessenvironmentandaligning

regulationsandstandards;

12

2. Addressing The Social Dimensions Of Globalisation (inclusive growth), which includes

the impact of globalisation on the life and work of people, families and societies

through employment, working conditions, income social protection; security, culture

andidentity,inclusionorexclusionandfamily/communitycohesiveness

13

;

3. Safeguarding The Quality Of Life Through Sustainable Growth, which includes

sustainable development of the marine environment, clean technology and clean

production,andsustainablecities

14

;

4. Structural Reform, relating to domestic policies and institutions that affect the

operation of markets and the capacity of international businesses to access those

marketsandoperateefficiently includingcompetitionpolicy,regulatoryreform,public

sectorgovernance,corporategovernanceandeconomicandlegalinfrastructure;

15

and

5. Human Security, relating to counter-terrorism, health security, emergency

preparednessandenergysecurity.

16

Key ACTWG initiatives and activities tend to cut across the ECOTECH priorities, although

mostactivitiesincludeelementsaddressingregionaleconomicintegration.Forexample,the

ACTPathfinderDialoguesaddressissuesofregionaleconomicintegration,safeguardingthe

qualityoflifethroughsustainablegrowth,andhumansecurity.Similarly,annualworkshops

onanti-briberyandanti-corruptionacrossAPECeconomiesregularlycovermattersrelated

toregionaleconomicintegrationandaddressingsocialdimensionsofglobalisation.Activities

oftheACT-NETareconsideredtocoverregionaleconomic integrationandhumansecurity

subject matters. Notwithstanding the high number of examples addressing regional

economicintegration,oneoffourrespondentsconsideredthatACTWGhadfailedtosupport

thispriority.Respondents’examplesofalignmentandgapsareexpanded inAppendixC–

ResultsofWrittenSurvey,Question17andQuestion18.

11

http://www.apec.org/Groups/SOM-Steering-Committee-on-Economic-and-Technical-

Cooperation.aspx

12

http://www.apec.org/About-Us/About-APEC/Fact-Sheets/Regional-Economic-Integration-

Agenda.aspx

13

FromWorldCommissionontheSocialDimensionofGlobalization(http://ilo.org).Inclusivegrowth

refers to participation of all members and communities in the region through initiatives which

enhance human capital development see http://www.apec.org/About-Us/About-APEC/Fact-

Sheets/Inclusive-Growth.aspx

14

http://www.apec.org/Groups/Other-Groups/Sustainable-Development.aspx

15

http://www.apec.org/About-Us/About-APEC/Fact-Sheets/Structural-Reform.aspx

16

APEC(2007):PreliminaryConferenceforAPEC2007-‘ReshapingAPECfortheAsianPacificCentury

–PrioritiesandStrategies’,11and12December2006,Melbourne,page5

17|P a g e

RespondentsreportedthatthebiggestbarrierspreventingACTWGfrommeetingECOTECH

prioritieswerelackofcentralAPECfundingforACTWGprojects,andthelackofengagement

betweenACTWGandotherAPECfora,eitherinitiatedbytheACTWGortheotherAPECfora

withACTWG.Onerespondentcommentedthat itcanbedifficult tocomplywiththestrict

guidelinesforseekingfundingfromAPEC.AnothernotedthattheACTWGplacedtoomuch

focus on remedial action rather than preventative action, and this presented a barrier to

meetingtheAPEC’sECOTECHobjectives.

ACTMulti-YearStrategicPlanning2013–2017

TheACTWGhasamulti-yearstrategicplanthatisupdatedtoincludetheenhancedstrategic

directives and priorities relating to anti-corruption and transparency reflected in the

Leader’sDeclarations.Forexample, the2015versionof thedocument reflected theseven

key themes from the 2012 Vladivostok Declaration. During the 22

nd

ACTWG meeting in

February 2016, proposed updates were discussed to incorporate the additional priorities

fromBeijingin2014andManillain2015andrevisedtimeframesforcompletionofactivities

andactions.

17

The2015versionoftheMulti-YearStrategicPlanisacomprehensivedocument.Itincludes

importantelementssuchasvisionandmissionstatements. Italsoidentifiescriticalsuccess

factors forthestrategy,andclearobjectivesandKeyPerformance Indicators (KPIs) forthe

nominalperiodof2013-2017.Also,particularKPIshavespecificactivities/actionslistedwith

acorrespondingtimeframe.Thereisalsoacolumntonominatetheactivity‘Leads’however

thesewere all blank. Itwas notedduring thediscussionon the strategic plan (mentioned

above)thatsometimeframesneededextending.Inclusionofaleadeconomywouldenable

targetedencouragementtootherssothattimeframescanbemet.

With the recent extension of the ACTWG mandate to 2020, and the current Plan only

endorsed for up to 2017, there would be value in the ACTWG commencing longer term

strategicplanningtoreflectthisnewtimeperiod.

APECTaskingStatementsfor2015and2016

APEC’sTaskingStatementsfor2015and2016proposedthreespecificrequirementsforthe

ACTWGnamely:

• ImplementtheBeijingDeclarationonFightingCorruption

• Strengthenpragmaticanti-corruptioncooperation

• Take forwardworkunder theAPECNetworkofAnti-CorruptionandLawEnforcement

Agencies

Overall respondents considered that the ACTWG was addressing these requirements

between “neither poorly nor well” and “well”. Suggestions for improvement included

establishing bi-lateral anti-corruption law enforcementmechanisms to improve the direct

contact between anti-corruption and law enforcement agencies. As international

cooperation in corruption case work is guided by treaty and domestic law (including, in

commonlawjurisdictions,case law),concernwasraisedthatwhilebuildingunderstanding

astohowrespectivesystemsworkisdesirable,sharingpolicies,lawsandpracticesmaybe

thelimitofthediscussion.

17

See 2016/SOM1/ACT/005 (formerly 2015SOM3/ACT/013) and 2016/SOM1/ACT/006 at Agenda

Item6.3.

18|P a g e

APECGenderAgenda

Aspecific focusof the review’s termsof referencewas to identifyhowACTWGcanbetter

takeintoaccounttheAPECcommitmenttogivegendergreaterconsideration,inaccordance

withdirectionsoutlinedby thePolicyPartnershiponWomenandtheEconomy.APECalso

announced in September 2015 a new initiative to advance women’s representation in

leadership within their economies over the next five years.

18

Under the scheme APEC

membereconomiesaredevelopingtheirownsetofmeasurableandaspirationalvoluntary

goals towards enhancing the role of women in leadership, decision-making and

managementacrossthepublicandprivatesectors,whiletakingintoaccounttheindividual

economicandsocialcircumstancesofeacheconomy.

Active engagement on the APEC gender agenda was not visible through the work of the

ACTWG.GenderissuesarealsonotaseparatepartoftheWorkingGroupdiscussionand,in

general, have not been highlighted in specific ACTWG activities or initiatives. However,

duringthe22

nd

ACTWGmeeting,barrierstoactivecontributionwerenotevidentforeither

maleorfemaledelegates.ExaminationofthecirculatedMemberProfilesfortheACT-NET

19

highlightedthatmanyeconomieshadatleastonecontactofficerbeingfemale,andinsome

membereconomies,boththefocalpointandalternatecontactpersonlistedwasfemale.

In examining survey responses on gender issuesmore closely,more than half the survey

respondents were female (eight of the 14 respondents). Overall respondents considered

that specific engagement with women in business/ industry organisations, women’s

chambersofcommerceand industrywouldhaveaminimal impactonACTWGengaging in

greatercollaborationwithnon-APECparties.

WhilenotconsideredabarriertoachievingAPEC’sECOTECHobjectives,thereisopportunity

for theACTWG toassesshow theproactive implementationof theAPEC’s gender agenda

couldfurtherenhanceitsanti-corruptionactivities.

DiscussionandConclusions

TheACTWGhasbeenaneffectiveforumtonurtureandsustaingoodgovernance,economic

developmentandprosperity,andfacilitateworkingtogethertofightcorruptionandensure

transparency. Noting that ACTWG’s Terms of Reference are specifically focused on

addressing the serious threat of corruption to the achievement of the APEC agenda and

priorities,theactivitiesoftheworkinggroupinturnhelpsupportthegoalsofAPEC.

RecognisingtheperceivedvaluebymembereconomiestotheimportanceoftheACTWG’s

work(includingthroughannualrecognitioninLeaderDeclarations),nosuggestedchangesto

thedetailoftheTermsofReference,andthegeneralconsensusforcontinuingtheworkof

the ACTWG given the ever present and evolving nature of corruption, this independent

assessmentwould have recommended the extension of theACTWG’smandate had it not

recentlyoccurred.

The regularly updated Multi-Year Strategic Plan 2013-2017 ensures that the work of the

ACTWGcontinues tobe responsiveand relevant to thebroaderAPECgoalsaswell as the

declared priorities of APEC Leaders. It also provides the operational framework to help

deliveragainsttheTermsofReference.However,theallocationofnominatedLeadsandthe

better achievement of activities/ actions against agreed deadlines are areas for

18

http://www.apec.org/News/News-Releases/2015/0930_IAP.aspx

19

RepublicofthePhilippines,OfficeoftheOmbudsman,ACT-NET–APECNetworkofAnti-CorruptionAuthorities and Law Enforcement Agencies – Members’ Profile. Circulated at the 22nd ACTWG

meeting,February2016,Lima,Peru.

19|P a g e

improvement.RecognisingthatthemandatefortheACTWGwasalsorecentlyextendedto

2020,therewouldbevalueinreflectingthisinfutureversionsoftheplan.

ACTWG initiatives and activities tend to cut across the ECOTECH priorities. While most

activitiesincludeelementsaddressingregionaleconomicintegration,effortisalsomadeon

safeguarding the quality of life through sustainable growth, human securitymatters, and

addressingthesocialdimensionsofglobalisation.

The active participation of member economies in relation to ongoing technical capacity

buildingworkshops combinedwith the development and circulation of codes of conduct,

corporate compliance programs and guidelines underpin the achievements against the

ACTWGTermsofReference.

20|P a g e

FORUMOPERATIONSThissectioncoversoperationalissuesthatsupporttheACTWGtomeetitsobjectives.

StructureandOperationsofACTWG

ChairandViceChairarrangementsIn2008(andwhilestillataskforce),permissionwassoughtfromtheSCEforexemptionto

the then Consolidated Guidelines for the Rotation System for Lead Shepherds and Chairs,which stated that a Chair’s term should be a minimum of two years, with a possible

extensionfortwoyears.

20

Asoutlined in that submission, theunderlying thrust for the consensus viewon this issue

wastoadvancethecontinuedleadershipofAPECLeaderstothisimportantissueandtheir

efforts to createa cultureof integrity throughout theAsiaPacific region. In launching the

initiative in Santiago in 2004, and reaffirmed at every Summit afterwards, Leaders

recognizedthatnooneeconomyisimmunefromcorruptionandthateveryeconomyshould

take active leadership in combating corruption and strengthening cooperation. Consistent

withthatmandate,anticorruptionhasbeenanimportantpolicydeliverableforeveryAPEC

host economy and the Chair should therefore rotate regularly to inject fresh perspective,

uniqueexperience,andprovidedynamic leadershipthatcanonlystrengthenthecollective

APEC effort to combat corruption. There was also a strong belief among members that

maintaininganannualChairrotationfromthehosteconomywoulddeliverstrong,practical

anti-corruptionoutcomesforAPECandthehosteconomy.

Theproposal to SCEwas considered inMay2008.

21

TheChairnoted that the requestwas

wellsupportedandthemeasuresoutlinedintheproposalwouldhelptoensurecontinuityin

theworkplan.Accordingly,theSCEapprovedtherequestandtheTermsofReferencewere

adjustedtoreflectthechangeinthetermofthechairmanship.

In 2010 and again in 2012, revised guidelines for Lead Shepherd/Chair and Deputy Lead

Shepherd/Chair of APEC Working Groups and SOM Task Forces were circulated.

22

The

revisedguidelinescontinuedtooutlinethateachChairwillhaveaminimumtwoyearterm.

ExemptionswereavailableforthisrulewhereapprovalbythegroupconcernedandtheSCE

hadbeenobtained.Asnotedabove,approvalhadbeensoughtandprovidedin2008.

In2011whenapplicationwasmadetoSCEforthetaskforcetoformallybecomeaworking

group, the proposed Terms of Reference attached to the SCE submission included the

continuation of the existing structure, that is, amongst other things that the host APEC

economyeachyearwouldbecometheChairoftheWorkingGroup.

23

TheSCEendorsedthis

proposalwithoutamendment.

In 2013 the ACTWGprovided to SCE their response to the 2012 independent assessment

recommendations.

24

TheSCEChairnotedthattheACTWGhadindicatedthattheyaccepted

recommendations 2 to 20 but did not support recommendation 1. The summary record

notesthattheACTWGbelievedthecurrentarrangementinvolvingannualrotation,withthe

20

See2008/SOM2/SCE/005,AgendaItem3.

21

SeeAPEC2008/SOM2/010

22

2010APECSOMReportonEconomicandTechnicalCooperation–Annex4,RevisedGuidelinesforLeadShepherd/ChairandDeputyLeadShepherd/ChairofAPECWorkingGroupsandSOMTaskForcesand2012/SOM1/SCE-COW/004AgendaItem:6.1(a),RevisedGuidelinesforLeadShepherd/ChairandDeputyLeadShepherd/ChairofAPECWorkingGroupsandSOMTaskForces.23

APEC2011/SOM1/SCE/004,Annex3ACTWGTermsofReference

24

APEC2013/SOM2/SCE/014

21|P a g e

hosteconomychairingeachyear,togetherwiththepreviousandsubsequenthostsserving

as vice-chairswas an effective arrangement. SCE agreed that theACTWGdidnot need to

implementrecommendation1fromtheirindependentassessmentandcouldcontinuewith

theirexistingchairingarrangement.

25

The current approved structure is that the ACTWG Chair is appointed annually from the

upcoming host economy. This announcement takes place before the end of the calendar

yeartoensuretheappropriatehandoveroftherelevantinformationaswellasajointwork

planproposalforthecomingchairmanship.

In addition to the chair, there are two vice chairs. As noted above, the previous and

subsequent hosts serve as vice-chairs. The nomination of the vice chairs relies on the

economy and this titlewon’t necessary be attached to the person that the economywill

nominateor itnominatedasACTWGChair ineachhostyear. It isunderstood thatasvice

chair the member economy can learn the process for hosting the upcoming ACTWG

meetingsthefollowingyear,andthencansharetheirexperienceandpotentiallyguidethe

processtheyearafterhosting.

TheACTWGalsousesaFriendsof theChair (FOTC) forumcomposedby theoutgoingand

incomingchairs.TheotherFOTCare tobe invitedby theChair.Theaimof theFOTC is to

support the work of the Chair and give frank advice on the discussion of issues, in

coordination and cooperation with members of the whole group. Few details of the

operationofthisforumwereavailable.

While the governance structure is in place for effective knowledge transfer between

upcomingandpastchairs,thelevelofutilisationwasnotvisible.Forexample,otherthana

reportfromtheoutgoingChairinthefirstmeetingoftheyear,itisnotclearwhatongoing

involvement, in practice, occurs. Similar, the level of involvement by the vice chair in the

yearpriortohostingisnotformalised.

ProgramDirectorThe level of assistance that the Chair can expect from the APEC Secretariat’s Program

DirectorarealsooutlinedintherevisedguidelinesforLeadShepherd/ChairandDeputyLead

Shepherd/ChairofAPECWorkingGroupsandSOMTaskForce.

Specifically,ProgramDirectorsareofficiallysecondedbymembereconomiestoworkforthe

secretariat for a period of normally three years. As their responsibilitiesmay covermore

thanone forum,ProgramDirectorsareunable tobea full-timeassistant to theChair.The

GuidelinesrecommendthattheChairutilisetheProgramDirectorinawaythatbestservices

thegroup.

InrelationtotheACTWG,theSecretariat’scurrentProgramDirectorhasbeeninplacesince

late2015.

MeetingfrequencyAgaininlinewithAPECpractice,thehosteconomyrotatesannually,beingPeruin2016,Viet

Namin2017andsoon,withtheforwardplanbeingmappedoutto2023.Hosteconomies

determinethetimingandlocationofACTWGmeetings,thoughtheyareusuallyheldonthe

marginsoftheSOM1andSOM3meetings.Aswellastheregularmeeting,eitherbeforeor

afterwards, a detailed technical capacity development workshop is also held. Topics for

detailedworkshoparenormallybasedonthehosteconomy’santi-corruptionprioritiesand

25

Summary Report – SOM Steering Committee on ECOTECH, 17 April 2013, Surabaya, Indonesia,

AgendaItem6.1.(APEC2013/SCE2/Summary)

22|P a g e

areoutlinedintheannualworkplan.In2014and2015,anannualmeetingoftheACT-NET

hasalsobeenheldbacktobacktothesecondACTWGmeeting.

Economiescanbringdelegationsofanysize.Thesecanrange fromoneperson toover20

people. There is roomat themain table foronly2-3peoplepereconomy. Generally the

host economy takes theopportunity tobring additional delegates from local industry and

institutionsifitisrelevanttothediscussions.

Themeetingvenuesetupcanalsoimpactontheeffectivenessofdiscussions.Forexample,

the main table is effective when delegates have specific economy update statements to

share with member economies, however, such a layout does not encourage group

discussionsonexamplesandpracticesthatmaybesoughtfromdelegatesduringapractical

workshop.Havingalternatevenueswithdifferentsetuparrangementsavailableforbreak-

outactivitiesenhancestheoutcomesthatcanbeachieved.Thiswasparticularlyevidentin

theincreaseddiscussionsthataroseoncedelegatesmovedtoabreak-outroomduringthe

FacingForeignBriberyworkshopon22February2016.

MeetingmanagementanddocumentationTheAPECMeetingDocumentDatabase (MDDB)hostsdocuments foreachmeeting.While

theProjectDirectorasksforpapers10workingdaysaheadofthemeeting,documentsoften

arrive late. Documents may also be tabled at the meeting. At the conclusion of each

meeting,theSecretariatconductsaclassificationofmeetingdocumentsandundertakesto

have all meeting documents submitted by members prior to and during the meeting

availableontheMDDBwithinaweekaftertheevent.

Eachyearit istheresponsibilityoftheincomingChairtocoordinatetheoverallthemeand

focusofthecoming12months.Thesethemesareoftendrivenbythekeyprioritiesthatthe

hosteconomywouldliketoshowcaseordesirethecollectivegrouptofocusupon.However

itisimportantthatthereisengagementwithmembereconomiesandthenewChairpriorto

thefirstmeetingoftheyear.Forexample,onerespondentconsideredthatincomingChairs

needtoreachouttomembersearlierintheirAPEChostyeartoallowgreaterinputintoACT

agendas and annual work plans. Such early engagement would also increase the

effectivenessofmemberparticipationduringthemeeting,particularlywheretheattending

delegateundertakesmoreofacoordinationroleandmustengagewithotherareaspriorto

themeeting.

Theagendaiscirculated indraftsomeweeksbeforethemeeting,andinfinalformshortly

beforethemeeting.Respondentsconsideredthatagendadocumentsweremadeavailable

within a short time of receipt from the secretariat. In respect to the ACTWG, there are

usually 20-30 documents circulated permeeting. Survey respondents considered that the

numberofdocumentsprovidedforeachmeetingwasmanageable.

Respondents to the survey noted no concerns evident around meeting planning and

associateddocumentation.

One issue that was highlighted during face-to-face discussions was the ability for a new

delegate to become familiar with the core documentation associated with the ACTWG.

WhilethedocumentationisoftenincludedintheMDDB,knowingwheretofindit,especially

acrossAPECforaandmeetingsisdifficult.Forexample,draftworkplansareincludedinthe

meeting folder where it is discussed, but to find the agreed work plan is more difficult.

Similarly,where do you start looking for the latest Terms of Reference and the approved

strategic plan? Or how do you know who you should ask to be sent the information by

email?Improvingknowledgemanagementbycompilingaconsolidatedlistofcorematerial

andmakingthisreadilyaccessibletomemberswouldallowalldelegatestobecomefamiliar

withkeygovernancedocuments.

23|P a g e

Projectinitiation,fundingandmanagementA large proportion of the ACTWG’s annual work plan is implemented through detailed

workshopsundertakenback to backwith bi-annualACTWGmeetings. In addition, specific

projectshavebeenundertakenmembereconomiesresultinginguidelinesorbetterpractice

publicationsbeingpublished.

Manyofthesignificantactivitiesthathaveresultedinapublishedreport,guidelineorcode

of conduct are included in the project listing for the ACTWG located in the APEC Project

Database.

26

However,assessmentofthisdatabasehashighlightedthatnonewprojectshave

beenapprovedsince2013.ThefulllistingofprojectsisfoundatAppendixG–Detailedlistof

ACTWG’s Projects in APEC Project Database. APEC projects often include seminars,

publicationsandresearch.

It is apparent fromexaminationof theAPECProjectDatabase thatmanyof the initiatives

identifiedthroughthesurveyasbeingkeyinassistingtheACTWGdeliveragainst itsTerms

ofReferencearenottreatedas‘projects’assuch.Forexample,inadditiontothebi-annual

ACTWGmeeting, Table 1 lists the 13 additional ACTWG-relatedmeetings and workshops

thatwereheldbetween2013and2016.

Table1:ACTWG-relatedmeetingandworkshopsbetween2013and2016

Date Meeting

2016/02/22 WorkshoponFacingForeignBribery2016

2015/08/27 RoundtableonCorruptionRelatedtoTraffickinginPersons2015

2015/08/26 APECPathfinderDialogueIIonStrengtheningtheFightAgainstCorruptionandIllicit

Trade2015

2015/08/25 JointExpertsGrouponIllegalLoggingandAssociatedTradeandAnti-Corruptionand

TransparencyExpertsWorkingGroupand2015

2015/08/24 Capacity-Building Workshop on Designing Best Models on Prosecuting Corruption

and Money Laundering Cases Using Financial Flow Tracking Techniques and

Investigative Intelligence for Effective Conviction and Asset Recovery to Promote

RegionalEconomicIntegration2015

2015/08/23 APEC Network of Anti-Corruption Authorities and Law Enforcement Agencies

Meeting2015

2014/08/15 1st APEC Network of Anti-Corruption Authorities and Law Enforcement Agencies

Meeting2014

2014/08/14 High-LevelAnti-CorruptionWorkshoponCombatingBusinessBribery2014

2014/02/21 WorkshoponInternationalRecoveryoftheProceedsofCorruption2014

2013/09/18 Anti-CorruptionandTransparencyNetworkPreparatoryMeeting2013

2013/06/26 Joint Meeting of Anti-Corruption and Transparency Experts Working Group and

ExpertsGrouponIllegalLoggingandAssociatedTrade2013

2013/06/24 WorkshoponStrengtheningIntegrityThroughPublic-PrivatePartnership:Preventing

FacilitationPaymentandManagingGiftRules2013

2013/01/28 WorkshoponChallengeandStrategyofStrengtheningAnti-CorruptionAuthoritiesto

CombatCorruptioninaModernWorld2013

Source:ExtractedfromtheAPECMeetingDatabase

Theseworkshopshaveoftenbeenself-fundedbythehosteconomyandhavethereforenot

been developed, approved and undertaken in accordance with the APEC Projects

26

https://aimp2.apec.org/sites/PDB/default.aspx

24|P a g e

framework.

27

Amongstotherthings,theframeworkrequiresthatprojectsshouldmaximise

the cross-cuttingmethodologies included in the Framework to Guide ECOTECH Activities.

Specific consideration is to be given to the incorporation of gender perspectives. Project

managementreportingsuchasmonitoringandprojectcompletionreportsarealsorequired

to be completed. Self-funded projects are required to be included in the APEC project

databasebeforecommencement,andprojectoverseersarestronglyencouragedtosubmit

associatedprojectcompletionreports.

28

Twosurveyrespondentsdisagreedorstronglydisagreedwiththecommentthattherewas

sufficient fundingavailable for theACTWG’sprojects. Itwasalsosuggestedthatyoucould

improvetheoverallprojectfundingprocesstoincreasethechancesofACTrelatedprojects

gettingfunded.

FormationandmanagementoftheACT-NETInordertoenhancetheenforcementofmembers’lawsaddressingcorruptionandbriberyin

compliance with their respective international commitments and in accordance with the

APEC Course of Action on Fighting Corruption and Ensuring Transparency, in June 2013Indonesia invited APEC economies to establish a network of Anti-Corruption and Law

EnforcementAuthorities (ACT-NET)undertheauspicesof theACT, tomeetonceayear to

discuss anti-corruption and anti-bribery efforts.

29

This initiativewas endorsed bymember

economiesduringthe17

th

ACTWGmeeting.

AninitialpreparatorymeetingfortheACT-NETwasheld inSeptember2013inBali.During

thismeeting proposals and suggestionsweremade by delegates on the objectives of the

ACT-NET and other practical aspects thatwould contribute to the building process of the

network. Draft administrative arrangements were discussed with the anticipation of

adoptingthefinaldraftduringthefollowingACTWGMeetingtobeheldinSOM1inChina.It

was agreed that as the 2014ACTWGChair, Chinawould be chairing and hosting the first

ACT-NET.

30

Through the APEC Ministerial Joint Statement and the Leaders Declaration

known as the Bali Declaration – Resilient Asia-Pacific, Engine of Global Growth LeadersendorsedtheestablishmentoftheACT-NETon8October2013.

While the terms of reference, administrative arrangement and structure for the ACT-NET

were still the subjectofdiscussion,during the19

th

ACTWGmeetingmembersagreed that

theACT-NETChairshallbeassumedonarotationbasisbythehosteconomyeachyear. It

wasalsoagreed that anACT-NETOfficebeestablishedat theworking level tohandle the

network’sdailyadministrativetasks,includingmaintainingalistoffocalpointsandproviding

assistanceinconductingandcoordinatingcapacitybuildingprogrammes.Itwasagreedthat

China would serve as the initial host of the Office in 2014-15 and that members would

reviewthefuturehostingoftheOfficeatthenextACT-NETmeetingin2015.

31

Theadministrativearrangementsassociatedwith theday todaymanagementof theACT-

NETOfficewasdiscussedduringthe2015ACT-NETmeetingbutanagreementontheway

forward was not reached. During discussions on the ACTWG’s Strategic Plan at the 22

nd

ACTWGmeeting,itwasalsoevidentthatthereisuncertaintyonwhethertheACTWGhasa

role in directing the ACT-NET’s activities or whether the ACT-NET is able to set its own

27

APECSecretariat,GuidebookonAPECProjects,Edition11,UpdatedFebruary2016.28

APEC Secretariat,GuidebookonAPECProjects, Edition11,Updated February 2016, Section: Self-Funding,paragraphs3.20to3.23.

29

2013/ACT/NET/003,ProposedInitiative:APECAnti-CorruptionandTransparencyNetworkMeeting.30

2013/ACT/NET/010,Session5,FinalRemarksandMeetingSummary.31

2014/ACT/ACT2/Summary.

25|P a g e

agenda and activities particularly as the delegates involved with the ACT-NET are often,

thoughnotalways,differenttothedelegateswhoattendtheACTWGmeetings.

Given thedevelopingnatureof theACT-NETand theongoingdiscussions surrounding the

structureandadministrativearrangements,forthepurposesofthisassessmenttheACT-NET

hasbeen treatedasanongoing initiativeof theACTWG.Also, as this concept is still in its

infancy, it is too early to assess its relative impact. However, the ACTWG can ensure the

ongoingefficiencyandultimateeffectivenessofthisinitiativebyclarifyingtheadministrative

arrangementssurroundingtheACT-NET.

CommunicationTheProgramDirectorintheSecretariatisthecentralpointthroughwhichinformationflows

(mainlybyemail)inbetweenmeetings.TheSecretariatalsoprovidessupportandadviceto

theChair,althoughtheChairmayalsohavehis/herownsmallsecretariattoprovidegreater

capacity.TheProgramDirectorwillalsoattempttokeepdelegates/economiesuptodateon

otherissuesrelatedtoACTWGactivities.

Practices for the circulation of documents prior to eachmeeting is unclear. For example,

certain papers were circulated tomember economies via email prior to the 22

nd

ACTWG

meetingbutnopaperswereavailableontheAPECMeetingDocumentDatabase.

The APEC website (www.apec.org) has a dedicated ACTWG page. However, some of the

materialonthispageisoutofdate.Atthetimeofdraftingthisindependentassessment(in

March 2016) the current activities listed on the website related to meeting outcomes

achievedin2015.Theupcomingworkshopandeventsdidnotcontaindatesanddetailsfor

theFebruary2016meetinginLima,ortheForeignBriberyWorkshopthatwasheldatthat

time. Other details had been updated to reflect the new Chair and the current Program

Director.

The hardcopy circulation during the 22

nd

ACTWGMeeting of themember profiles for the

ACT-NETprovidesavaluableongoingtoolfordelegates.Itisnotclearifthisinformationisor

willbecirculatedmorebroadlytoeconomieswhowereunabletoattendthemeeting.

RelevanceoftheTermsofReference

The review undertook an assessment of the ACTWG Terms of Reference against the

important initiatives communicated by respondents in the survey, and the meeting

summariesforthelastsevenACTWGmeetings.

TheTermsofReferencenotethattheworkinggroupwillhaveatermoffiveyearsandthat,

after that term (thatexpired inMay2015), theSOMshall review theworkof theACTWG

anddecidewhethertoextenditsmandate.

ACTWGinitiativesandactivitiescanbeclassifiedagainsteachofthepurposesofthegroup.

Amongstotherthings,regularACTWGmeetingsencouragethecooperationandexchangeof

informationbetweenanti-corruptionexpertsandhelpfacilitateindividualandjointactions

tofightcorruptionandensuretransparency.NotwithstandingtheACTWGachievementsand

outputs todate, the fight against corruption and theneed for transparency is anongoing

battleintheachievementofeconomiccooperationandgrowth.

DiscussionandConclusions

Given the cross cutting nature of activities related to combating corruption and ensuring

transparency, the ACTWG provides the procedural structurewithin APEC to promote and

coordinatetheseactivities.

TheACTWGisanactiveworkinggroupthatmeetsbi-annually,usuallyonthemarginsofthe

SOM1 and SOM3meetings. As well as the regular meeting, a detailed technical capacity

26|P a g e

developmentworkshopisalsooftenheld.Topicsfordetailedworkshoparenormallybased

onthehosteconomy’santi-corruptionprioritiesandareoutlinedintheannualworkplan.

Notwithstanding13workshopshavingbeenheldinadditiontothebi-annualmeetingssince

2013,nonewACTWGprojectshavebeenapprovedsince2013.Evenwhenprojectsareself-

fundtheyarerequiredtobeincludedintheAPECprojectdatabasebeforecommencement,

and project completion reports are strongly encouraged to be submitted. The different

requirements associated with APEC funded versus self-funded projects may explain why

manyrecentACTWGinitiativesarenotincludedintheAPECProjectdatabase.

ApprovalhasbeenprovidedbytheSCEfortheChairoftheACTWGtorotateannuallyand

become the responsibility of the host economy. Notwithstanding the administrative

challengesthisannualrotationpresents,itsupportsandprovidesthemechanismforevery

APEC host economy to have the opportunity to take active leadership in making anti-

corruptionanimportantpolicydeliverable.Italsoallowsforfreshperspectivesanddifferent

experiencestobeintroducedtotheACTWGonaregularbasis.

However,thisannualrotationalsopresentsarisktotheefficiencyandeffectivenessofthe

Chair,particularlyinthefirstmeetingoftheyearwhenthehosteconomymaynothavehad

sufficienttimetoobtainfeedbackandbuy-inonthemeetingagendaandannualworkplan.

To optimise the value with the annual rotation, strong knowledge management and

governancestructuresneedtobe inplaceandeffectivelyutilised. Inaddition, in incoming

Chairsneedtoreachouttomembersasearlyaspossibleintheirhostyear.

The operation of the Secretariat appears to be efficient and is supported by survey

respondents. Communication around meetings is good, however the meeting summaries

and other outcome documents should be made available more quickly. Public

communicationcouldalsobeimprovedbykeepingtheACTWGwebpageuptodate.

Thereisnosingle,comprehensibleandaccessiblestoreofcoregovernancedocumentation

associatedwiththeACTWG.WhilethedocumentationisoftenincludedintheAPECMDDB,

knowingwheretofindit,especiallyacrossAPECforaandmeetingsisdifficult,particularlyif

you are not sure what you seeking. Improving knowledge management by compiling a

consolidated list of corematerial andmaking this accessible tomembers would allow all

delegatestobecomefamiliarwithkeygovernancedocuments.

Respondents considered that the establishment of the ACT-NET is a major initiative in

implementingtheAPECCourseofActiononFightingCorruptionandEnsuringTransparencyandachievingtheACTWG’spurposeofpromotingcooperation.However,astheconceptis

still inits infancy, itwasconsideredtooearlytoassesstherelativeimpactoftheinitiative.

TheACTWGcanensuretheongoingefficiencyandultimateeffectivenessofthisinitiativeby

clarifyingtheadministrativearrangementssurroundingtheACT-NETinitiative.

27|P a g e

CO-OPERATIONThis section explores co-operation by ACTWGwith other APEC fora. The assessment was

also required to identify opportunities for greater collaboration with non-APEC parties,

includingtheprivatesector,civilsocietyandotherinternationalorganizations;andwaysfor

ACTWGtotapresourcesforitsprograms.

Co-operationwithotherAPECFora

In July 2014, the 2014 SCE Chair wrote to all SCE members in relation to Cross Fora

Collaboration.

32

Inthisletter,theSCEChairhadreviewedSCEsub-foracurrentannualwork

plansandmadesomesuggestionstoenhancecrossforacollaborationamongstsubgroups.

ForACTWG, SCEnoted that theACTWGworkplandidnot identify any collaborationwith

otherfora.SCEsuggestedthatthegroupconsidercollaboratingwiththeExpertsGroupon

Illegal Logging and Associated Trade (EGILAT) and the Small and Medium Enterprises

Working Group (SMEWG) as both of these groups’ work plans included an intention to

collaboratewithACTWG.

Inassessingprogressoncrossforacollaboration,thesurveyaskedmemberstorankinorder

all relevant APEC working groups for which the work of ACTWG has potential relevance,

withoutduplicatingtheirwork.Whilecorruptionisacross-cuttingissue,manyrespondents

onlyrankedthemostrelevantAPECworkinggroupstotheACTWG’swork,withmanyfora

considered ‘not applicable’. Respondents ranked the relative importance to the existing

workoftheACTWGwiththeEGILATmosthighly.Reasonsincludethatthereisanongoing

multiyear project with this group, and that crimes of corruption and illegal logging have

linkages between both crimes and that they are often transnational in nature. The next

highest ranked in importance to existing work was the SMEWG. Respondents considered

that this area is vulnerable to corruption and that business ethics and specific codes of

conductareimportanttofightingcorruption.Ascorruptionisoneofthemajorwaystofund

terrorism, two respondents also considered the Counter-TerrorismWorkingGroupwas of

highest relevance to theACTWG’sexistingwork.TheSMEWGwasalso thehighest ranked

forpotentialfuturerelationships.

The ACTWG’s contact with other fora is often initiated through specific activities. For

example,the2012projectproposalfortheCapacityBuildingWorkshopsonDesigningBestModels on Prosecuting Corruption and Money Laundering Cases Using Financial FlowTracking Techniques and Investigative Intelligence for Effective Conviction and AssetRecovery,indicatedthattheAPECHumanResourceDevelopmentWorkingGroup(HRDWG)

andtheIntellectualPropertyRightsExpertsGroup(IPEG)wouldbeinvolvedintheproject.

The project proposal also listed the involvement of the APEC Business Advisor Council

(ABAC),UnitedNationalOfficeonDrugsandCrime(UNODC)andtheWorldBank.

33

Anotherexample includes thePathfinder2015:Strengthening theFightagainstCorruptionand IllicitTradeheldduringAPECSOM3 in2015andco-hostedby thePhilippinesand the

UnitedStatesGovernment.TheChair’sSummaryReportcirculatedduringthe22

nd

ACTWG

meeting

34

explainedthatthedialogueinvolvedsome120delegatesfromAPEC,ASEANand

the Pacific Islands Forum.Delegates includedmembers from theACTWG, the EGILAT, the

OceansandFisheriesWorkingGroup (OFWG), theAPECBusinessAdvisoryCouncil (ABAC),

thePolicyPartnershiponWomenandtheEconomy(PPWE)andarangeofinternationaland

32

See2014/SOM3/ACT007,and

33

https://aimp2.apec.org/sites/PDB/Lists/Proposals/DispForm.aspx?ID=1316

34

APECSOM12016,PATHFINDER2015:StrengtheningtheFightagainstCorruptionandIllicitTrade,Chair’sSummaryReport,LimaPeru.

28|P a g e

non-governmentalorganisations.TheAmericanBarAssociation’sRuleofLawInitiative(ABA

ROLI)andUNODCalsosupportedthePathfinderDialogue.

Whiletherearedifficultiesinarrangingjointmeetingsofworkinggroups,firstinJune2013

and again in August 2015 a joint expert’s groupmeeting was held between ACTWG and

EGILAT.

35

Amongstotherthings,duringthemeetingsmemberswereencouragedtodiscuss

law enforcement issues that were of common interest to both groups and to discuss

suggestions to strengthen the cooperation and information sharing related to combating

illegalloggingandassociatedtrade.

CooperationwithotherStakeholders

A regular feature of ACTWGmeetings are reports frommembers regarding ongoing and

proposed projects and ACT initiatives and related synergies with other relevant fora.

Member economies are also provided with the opportunity to report on anti-corruption

progressanddevelopmentinimplementingtheUNConventionAgainstCorruption(UNCAC)

andotherinitiativesrelatedtoAnti-Corruptionandtransparency.

Forexample,during the21

st

ACTWGmeetinganupdateon theactivitiesof theG20Anti-

CorruptionWorkingGroupwasprovided. Informationwasalsoprovidedon theupcoming

PathfinderDialogue 2 (mentioned above) andmemberswere invited to participate in the

upcomingactivities.

The aim is to make the work of the ACTWG complementary to the work of other anti-

corruptionbodiesratherthanhavetheACTWGduplicatetheworkundertakenelsewhere.It

wasalsorecognisedthatmembereconomiesdifferbetweenthevariousbodiesandthereis

considerablevalueinsharinginitiativesandlessonslearned.

ABACThesurveyofmembereconomiessoughttocapturethe levelofACTWGinvolvementwith

ABAC. Respondents listed a broad list of specific ACTWG activities that involve the ABAC.

Aspects of the engagement with ABAC that respondents considered were working well

included the regular reporting at ACTWG meetings and the close coordination and

cooperation,especiallyonant-briberyandillicittrade.Forexample,duringthe21

st

ACTWG

Meeting,ABACprovidedareportonitsgoodgovernanceandanti-corruptionactivities.

36

RespondentsconsideredthatengagementwithABACcouldbe improvedbyenhancingthe

visibilityofthelinksandworkbetweenACTWGandABAC.Respondentsalsoconsideredthat

greater participation of ABAC inACTWGand vice versa could bemade in progressing the

ruleoflawintrade,investmentandbusiness.

Co-operationwithOtherInternationalOrganizationsDuringeachmeetingotherinternationalorganisationsareprovidedwiththeopportunityto

reportontheiranticorruptionactivitiesandthesynchronizingofthisworkwiththeactivities

oftheACTWG.Duringthe22

nd

ACTWGmeeting,reportswereprovidedby:

• AmericanBarAssociation(ABA)

• TheWorldBank

• TransparencyInternational(TI)

• OrganisationforEconomicCooperationandDevelopment(OECD)

• UnitedNationsOfficeonDrugsandCrime(UNODC)

35

See2013/SOM3/ACT-EGILAT/001and2015/SOM3/EGILAT-ACT001.

36

See2015/SOM3/ACT/014,AgendaItem9.

29|P a g e

Inadditiontopresentingduringthebi-annualACTWGmeeting,theseguestsmaybeinvited

topresenttothegroupmorebroadlyduringadjoiningworkshops.Forexample,duringthe

Facing Foreign Bribery workshop held in February 2016, a representative from the

Organisation for Economic Cooperation andDevelopment (OECD) presented on theOECD

Anti-Bribery Convention and how this related to standards and practice on corporate

liability.

37

In previous meetings, other participates have included the Inter-American Development

Bank, the United Nations Development Programme (UNDP), the International Anti-

Corruption Academy, INTERPOL, and the Asian Development Bank/OECD Anti-Corruption

InitiativeforAsiaandthePacific.

DiscussionsandConclusions

ACTWGhaseffectiveengagementwithotherAPECfora,inparticularthejointmeetingsand

workshopsthathavebeenheldwithEGILAT.Giventheintendedpurposeofpromotingand

increasing private sector participation in the development of anti-corruption measures,

combinedwiththesupportwithintheACTWG,therewouldbebenefit is furtherexploring

collaborationopportunitieswithotherworkinggroupsandinparticularwiththeSMEWG.

ACTWG has effective engagement with some other APEC fora, in particular the joint

meetingsandworkshops thathavebeenheldwithEGILAT.Giventhe intendedpurposeof

promotingandincreasingprivatesectorparticipationinthedevelopmentofanti-corruption

measures, therewouldbebenefit inexploring furtheropportunities forcollaborationwith

SMEWG.RespondentsrankedthelackofengagementinitiatedbyACTWGwithotherAPEC

fora and vice versa as the second and third highest barriers tomeeting APEC’s ECOTECH

objectives. Consequently, a focussed effort will be required to improve this level of

engagement.

The work of the ACTWG is seen as complementary to the work of other anti-corruption

entitiesratherthanduplicatingotherstakeholdersandorganisations.Itwasalsorecognised

thatmembereconomiesdifferbetweenthevariousbodiesandthereisconsiderablevalue

insharinginitiativesandlessonslearned.Thefightagainstcorruptionisseenasanongoing

battleandthemoreparticipantstherearewhoarefocusedonimplementinganti-corruption

initiativesandincreasingtransparency,thebetter.

37

2016/SOM1/ACT/WKSP/003

30|P a g e

APPENDIXA–APECWORKINGGROUPSWorkingGroup

Relevance to APECobjectives

WorkingGroupObjectives CurrentPriorities

Agricultural

Technology

Cooperation

Contribution of

agriculture to APEC

economies

Toenhanceagriculture's

contributiontotheregion's

economicgrowthandsocial

well-being

To improvecapacityofagriculture

andrelatedindustriesandtoshare

information in agriculture,

biotechnology, and animal and

biogeneticresourcemanagement.

Anti-Corruption

and

Transparency

Reduce the threat to

good governance and

economicgrowthinthe

Asia-Pacific

Tocoordinatethe

implementationofSantiago

Commitment,APECCourseof

ActionandAPECTransparency

Standards

To implement theUN Convention

AgainstCorruption

Counter

Terrorism

secure the region's

people and its

economic, trade,

investment and

financial systems from

terrorist attack or

abuse and trade-based

moneylaundering

Tocoordinatecommitmentson

fightingterrorismand

enhancinghumansecurity;

assistmemberstoidentifyand

assesscounter-terrorismneeds;

coordinatecapacitybuildingand

technicalassistanceprograms

Emergency

Preparedness

enhancing human

security and reducing

the threat of

disruptions to business

andtrade

Toenabletheregiontobetter

prepareforandrespondto

emergenciesanddisasters

To build capacity in relation to

emergencies and disasters, and

collaboration on emergency

preparednessissues

Energy FurtherAPECgoalsto

facilitate energy-

related-trade and

investment

Tomaximizeenergysector's

contributiontoAPEC’seconomic

andsocialwell-being,while

mitigatingenvironmentaleffects

ofenergysupplyanduse

To ensure energy security,

removingbarriers toenergy trade

and investment, facilitating LNG

trade, promoting new and

renewable energy, energy

efficiency, and smart

communities, keeping up safe

nuclear power development, and

cooperatingoncleanfossilfuel.

Health Address multi-sectoral

impacts of health

threats

Toaddresshealth-related

threatstoeconomies'tradeand

security,focusingmainlyon

emerginginfectiousdiseases

To provide policy guidance, align

activitieswith ECOTECH priorities,

address life sciences and

innovation

Human

Resource

Development

promote well-being of

all people and achieve

sustainable and

inclusive economic

growth

Tobuildtheregion’shuman

capacityandachievingthisgoal.

To develop initiatives on

education, labour and capacity

building to develop human

resources

IllegalLogging

andAssociated

Trade(Experts

Group)

Enhance cooperation

to address concerns

with illegal logging and

associatedtrade

To enable member economies

tostrengthenpolicydialogueon

combating illegal logging and

associated trade andpromoting

trade in legallyharvested forest

products

To exchange information on

policies, regulations, governance

and law enforcement relating to

combating illegal logging and

promoting trade in legal forest

products

31|P a g e

Oceanand

Fisheries

Facilitate trade and

investment

opportunities that

promote the

sustainable use of

fisheries, aquaculture,

and marine ecosystem

resources.

To exchange information and

helpfosterinstitutionalcapacity

building; advance discussions

and the development of

solutions for common resource

management problems and

sharebestpractices

Measures to establish a more

integrated and sustainable ocean

partnershipintheregion.

Science

Technologyand

Innovation*

APEC’s primary forum

toengage government,

private sector and

academia in joint

scientificresearch.

Toenhanceeconomicgrowth,

tradeandinvestment

opportunities,aswellassocial

progress,inharmonywith

sustainability

Strengthencollaborationand

enhanceinnovativecapacity;

developscience,researchand

technologycooperation;build

humancapacity;support

infrastructurefor

commercializationofideas;

developinnovationpolicy

frameworksandfosteranenabling

environmentforinnovation.

Smalland

Medium

Enterprises

ContributionofSMEs

toAPECeconomies

Toencouragethedevelopment

ofSMEsandtobuildtheir

capacitytoengagein

internationaltrade

To build management capability,

financing and business

environment

Telecommunica

-tionsand

Information

Buildingconfidence

andsecurityinthe

useofICTto

promoteeconomic

growthand

prosperity

Toimprovetelecommunications

andinformationinfrastructure

intheAsia-Pacifictobecomean

informationsociety

Telecommunications regulations

liberalisation, development and

implementation of advanced

information and communications

technologies, promoting security

inthesetechnologies

Tourism Sustainable tourism as

aneconomicdriver

Toshareinformationand

exchangeofviewsand

developmentofcooperation

Removal of impediments to

tourism, increasing mobility,

sustainable management of

tourism, enhance understanding

oftourismasameansofeconomic

development

Transportation Liberalisation of

Transport Services;

enhanced safety of

transportsystems

Efficientandsafetransportation

ofGoodsandPeople

Harmonisation of security

measures, capacity building in

security and safety compliance,

liberalisationofairservices

Womenandthe

Economy*

Promote greater

inclusion of women in

theregionaleconomy

Toadvancetheeconomic

integrationofwomeninthe

APECregion

Focus on women’s access to

capital, access to markets, skills

and capacity building, leadership

and agency, innovation and

technology

*PolicyPartnerships

32|P a g e

APPENDIXB–METHODThis is the second of four independent assessments that Sustineo has been engaged to

undertake on behalf of the APEC Secretariat. In order to develop a comparable body of

work, this review builds on the approach and presentation of the 2015 Independent

AssessmentofthePolicyPartnershiponScience,TechnologyandInnovation.

ThedetailedstepsoftheMethodareasfollows:

1.UnderstandingofAPEC’sgoals

Review of APEC key documents, APEC goals/objectives and procedures, other official and

non-officialassessmentsofAPECworkincludingECOTECHgoals.

2.ReviewandresearchACTWG’sobjectivesandactivities

ReviewofACTWGkeydocuments,primarilytheagendapapersforthe20

th

and21

st

ACTWG

meetingsheldin2015andthe22

nd

ACTWGmeetingheldinFebruary2016;andstatements

byAPECassociatedwiththetransitionfrombeingataskforcetobecomingaworkinggroup

in2011.

Review of Leaders’ and Ministers statements, ACTWG records of meetings, key project

documentationandworkshopactivities toassess theoutcomesandhowACTWGsupports

themainobjectives/goalsofAPEC.

3.Survey

A short online survey of ACTWG economy representatives was developed in consultation

with the ACTWG Program Director. The questions were cleared with the Chair prior to

disseminationinmid-February2016.Respondentswereaskedtocompletethesurveyonline

by28

th

Februarybutduetolowresponseratestheclosingdatewasfurtherextended.The

final survey responsewasacceptedon23

rd

March.Summaryanswers fromthesurveyare

containedinAppendixC–ResultsofWrittenSurvey.

Face-to-face discussions were undertaken with member economies during the ACTWG

meetingsheld inLima,Peruover21to23February2016.Follow-updiscussionswereheld

withmembereconomiesunabletoattendtheWorkingGroupmeetingeither inpersonor

via telephone. Notes were taken during each interview and have been referred to in

compilingtheassessment.Summaryanswersfromtheface-to-faceinterviewsarecontained

inAppendixD–Face-to-FaceSurvey.

4.DraftAssessment

A draft assessment was submitted at the end of March 2016 to the ACTWG Program

DirectorandAPECSecretariat for commenton factualmatters. TheProgramDirectoralso

circulatedthedraftassessmenttomembereconomiesforcommentby15April2016.These

comments were incorporated into the final assessment and significant comments were

analysed.The finaldraft reportwas finalisedbyendApril2016.Thedraft final reportwas

deliveredtoSCEinxxxxx2016]

33|P a g e

APPENDIXC–RESULTSOFWRITTENSURVEYA written survey was developed and, following input from both the Secretariat and the

Chair’sOffice,wasadministeredusingSurveyMonkey.comduringFebruaryandMarch2016.

PriortothemeetinginLima,Peruthreeofthe21delegationshadprovidedaresponse.The

survey and intended resultswere highlighted to allmember economies during the SOM1

meeting. However, by the end of the initial period, only one more response had been

received.Anextensionwasarrangedand reminderswerecirculatedafter themeeting.By

23

rd

March2016,14ofthe21membereconomieshadrespondedtothesurvey.

The following pages summarise the responses to each question in the survey. Note that

some respondents did not answer all questions and hence the total respondents in each

questionmaybelessthan14.

ACTWG’sCurrentPerformance

Question1–Asoutlined in theACTWGTermsofReference, itwasestablished in2011 to

implement theAPEC Course of Action on Fighting Corruption and Ensuring Transparency.Whatdoyouthinkarethethreemainexistinginitiativesthatcouldimplementthisgoal?

Mostimportantinitiative 2ndmostimportantinitiative 3rdmostimportantinitiative

BeijingDeclarationonFighting

Corruption

APECGuideonMutualLegal

Assistance(MLA)

APECNetworkofAnti-

CorruptionAuthoritiesandLaw

EnforcementAgencies(ACT-

NET)

APECNetworkofAnti-

CorruptionAuthoritiesandLaw

EnforcementAgencieswhichis

intendedtodevelopinformal

cross-bordercooperation

betweenagenciesinAPEC

economies.

DevelopmentoftheCodeof

ConductforBusiness,Conduct

PrinciplesforPublicOfficials

andComplementaryAnti-

CorruptionPrinciplesforthe

PublicandPrivateSectorin

2007.

Capacity-BuildingWorkshops

andGuidelinesonDesigning

BestModelsonProsecuting

CorruptionandMoney

LaunderingCasesusingfinancial

flowtrackingtechniquesand

investigativeintelligencefor

effectiveconvictionandasset

recoverytopromoteregional

economicintegration(The

PhilippinesandChile)

APECGuidetoMutualLegal

Assistance(Australia)

WorkshopsonCombating

BusinessBribery(China2014

andPeru2016)

Developtrainingandcapacity

buildingefforts

Establishobjectiveand

transparentcriteria

Public-PrivatePartnerships

Facilitatetheimplementationof

UNCACbymembereconomies

Developtraininginconjunction

withACTcapacity-building

program

Exchangeinformationbetween

anti-corruptionexperts

ACTAnti-BriberyInitiativewith

HostEconomyFocus

ACT-NET ACTPathfinderDialogues

ImplementationofUNCAC Implementationofthe2014

BeijingDeclaration

34|P a g e

ACT-NETco-ordinationwith

otheranti-corruptioninitiatives

UNCACratificationand

implementationbyall

economies

Strengtheningofinformalco-

operationchannels

Ongoingworkonmoney

launderingandassetrecovery

Pathfinderdialogueserieson

preventingandcombatting

corruptionandillicittrade

ACT-NET

APEC-NET EGILAT Multi-YearProject(Thailand-

Chile)

Theratificationof/accessionto

andimplementationofUNCAC

Denysafehaventoofficials/

individualsguiltyofpublic

corruption(informal

cooperation)

Preventingandcombating

privatesectorcorruption

MeetingsofACTWGitself

ACTNETinitiative Projectssupportedbythegroup

andworkshops

Reportontheprogressonthe

implementationofACT

commitments

Question2–ACTWG'spurpose(asstatedintheapprovedTermsofReference)includesthe

aimof“promotingcooperationinareassuchasextradition,legalassistanceandjudicial/law

enforcement, asset forfeiture and recovery". Name the top three initiatives which you

considertohavebeenimportantinmeetingthisobjective(respondentscouldsuggestupto

threeinitiatives)

Firstinitiative Secondinitiative Thirdinitiative

APECGuideonMutualLegal

Assistance(MLA)

BeijingDeclarationon

FightingCorruption

APECPrinciplesonthe

PreventionofBriberyand

EnforcementofAnti-Bribery

Laws

GuidanceMaterial,suchasthe

Australian-led‘GuideforSeeking

MutualLegalAssistancein

CorruptionCases’whichprovides

instructionsonhowtoinitiate

requestsformutuallegal

assistancefromAPECmember

economies.

Capacity-BuildingWorkshopsand

GuidelinesonDesigningBest

ModelsonProsecuting

CorruptionandMoney

LaunderingCasesusingfinancial

flowtrackingtechniquesand

investigativeintelligencefor

effectiveconvictionandasset

recoverytopromoteregional

economicintegration(The

PhilippinesandChile)

APECGuidetoMutualLegal

Assistance(Australia)

BeijingDeclarationonFighting

Corruption

ACT-NETMeetings APECworkshopondenialofsafe

haven(Shanghai2006)

35|P a g e

Firstinitiative Secondinitiative Thirdinitiative

Understandingthedifferenceof

eacheconomy'sregulations

Enhancecooperationamong

membersofACT-NET

Organizeworkshopsfor

membersofACT-NET

AssetRecoveryGuides BeijingDeclaration ACT-NET

EstablishmentofACT-NET Chile&Thailand'smultiyear

Project

EstablishmentofACT-NET Collaborationonguidance

forMLAproceduresand

information

Varioustrainingopportunities

promotedthroughtheACTWG

Ongoingworkonmoney

launderingandassetrecovery

MutualLegalAssistance

Guidebook

ACT-NET

APEC:GuidetoMLA APEC-NET InternationalRecovery,the

CorruptionProceeds(SOM1

Workshop)

Assetforfeitureandrecovery Legalassistance MLAfacilitation

APECGuidetoMutualLegal

Assistance

MLAGuidedevelopedby

Australia

HandbookonProsecuting

CorruptionandMoney

LaunderingCasesdeveloped

byChileandThailand

Question3–ACTWG'spurpose(asstatedintheapprovedTermsofReference)includesthe

aimto"promoteprogramsandinitiativestoincreasetheparticipationoftheprivatesector

in the development of anti-corruption policies and/ormeasureswithin the economies, as

well as to enhance the support by governments of efforts for greater integritywithin the

privatesector".Namethetopthreeinitiativeswhichyouconsidertohavebeenimportantin

meetingthisobjective.

Firstinitiative Secondinitiative Thirdinitiative

APECAnti-CorruptionCodeof

ConductforBusiness

APECGeneralElementsof

EffectiveandVoluntary

CorporateCompliance

Programmes

APECGuidelinesonEnhancing

GovernanceandAnti-

Corruption

Workshops engaging with, or

encouraging participation with

private sector such as the US-

led Pathfinder Dialogue series

that is largely driven by the

American Bar Association, and

the workshop led by the

Philippines on the ‘Rule of

Stakeholders in Fighting

Corruptions.’

36|P a g e

Firstinitiative Secondinitiative Thirdinitiative

APEC General Elements of

Effective Voluntary Corporate

CompliancePrograms(USA)

APEC Anti-corruption Code of

ConductforBusiness(Australia,

2007)

APEC high-level workshop on

fighting business bribery

(Beijing,2014)

APECACTWG2007deliverables

(Sydney,Australia) unknown

Inviting private sectors to

ACTWG

Collaborate with APEC SME

WorkingGrouponinvolvingthe

privatesectorinACTinitiatives

ACT-ABAC Partnerships and

Workshops ACTPathfinderII

Host Economy Inclusionof civil

societyinACTPrograms

Participation of ABAC to the

ACTasobserver

ParticipationofTItotheACTas

observer

Inclusion of private sector

contributions at fora meetings

andrelateddiscussions

Legislative change affecting

privatesectorthathasoccurred

in somemember economies in

ordertoratifyUNCAC

APEC Anti-Corruption Code of

ConductforBusiness CorporateComplianceProgram Businessethicsinitiatives

APEC Code of Conduct for

Business

Complementary Anti-

Corruption Principles for the

PublicandPrivateSectors

Sharing experience and

technical assistance in

preventing corruption in the

privatesector

APEC General Elements of

Effective Voluntary Corporate

CompliancePrograms

APEC Anti-corruption Code of

Conduct for Business, Business

Integrity and Transparency

Principles for the Private

Sector.

APEC General Elements of

Effective Voluntary Corporate

CompliancePrograms

37|P a g e

Question4–ACTWG'spurpose(asstatedintheapprovedTermsofReference)includesthe

aimto"developinnovativetraining,targetedcapacitybuildingandresultsorientedtechnical

assistance to fight corruption and ensure transparency". Name the top three initiatives

whichyouconsidertohavebeenimportantinmeetingthisobjective.

Firstinitiative Secondinitiative Thirdinitiative

ACT-NETmeetings APECWorkshopandHandbook

onDesigningBestModelson

ProsecutingCorruptionand

MoneyLaunderingCasesusing

FinancialFlowTracking

Techniques

OECD-APECACTworkshopon

CombatingBusinessBriberyfor

HealthyEconomicGrowth

WorkshopsandSeminars,such

asthe‘Transparencyof

ActivitiesofExecutiveBodies’

GuidanceMaterial–suchasthe

Chile/Thailandguideon

‘DesigningBestModelson

ProsecutingCorruptionand

MoneyLaunderingCasesusing

FinancialFlowTracking

TechniquesandInvestigative

IntelligenceforEffective

Conviction.

Capacity-BuildingWorkshops

onDesigningBestModelson

prosecutingCorruptionand

MoneyLaunderingCasesusing

financialflowtracking

techniquesandinvestigative

intelligenceforeffective

convictionandassetrecovery

topromoteregionaleconomic

integration(ThePhilippines

andChile)

APECGuidetoMutualLegal

Assistance(Australia)

ACT-NETworkshop(Beijing,

2014)

Exchangingknowledgesofeach

economy'slawsandpolicies

WorkshopsorganizedbyACT-

NET

PrinciplesofFinancial

Disclosures

Chile-ThailandProject

GuidebookonMLandAsset

Recovery

ACTPathfinderDialogues

CapacityBuildingWorkshop

(Aug.24,2015)onDesigning

BestModelsonProsecuting

Corruption&Money

LaunderingCases...

Collaborationonguidancefor

MLAproceduresand

information

38|P a g e

Firstinitiative Secondinitiative Thirdinitiative

Multi-yearprojecton

Investigatingmoneylaundering

casesandassetrecovery

pathfinderdialogueseries Workshopofforeignbribery

Multi-YearProject(Thailand-

Chile)

APECPathfinderProject

TrainingonPreventing

corruptionintheprivatesector

Variousworkshops

PathfinderandOECD

Workshops

ThailandandChile'sWorkshops

Question 5 – The rows below list the factors which the ACTWG's 2013-2017 Multi-Year

StrategicPlandeemstobecriticalforsuccessofACTWG'smission.Pleaseindicatehowwell

youthinkthesefactorsarebeingaddressed.*

FACTOR Average

Score

APECmembersimplementLeaders'commitmentstofightcorruptionandpromote

transparency 4.00

APECmembers ratify and implement key international frameworks,particularly the

UnitedConventionagainstCorruption(UNCAC) 4.21

APECACTmemberstakeownershipandcooperatewellwithoneanother,aswellas

withotherAPECsub-fora 3.86

APECmembersandcivilsocietyorganizationspartnertogethereffectivelytoadvance

andimplementAPECcommitmentstocombatcorruptionandpromotetransparency 3.64

APEC members share an understanding of how corruption facilitates and enables

transnationalcrime,andcooperatetodetectanddisruptcriminalnetworks 4.50

APEC members cooperate to remove the profit from corruption and associated

transnationalcrime,denyingsafehaventocorruptofficialsandfreezing,seizing,and

recoveringtheproceedsofcorruption 3.93

*Note–thisandotherquestionsaskedforresponsesonaLikertscalefrom“StronglyDisagree”to“StronglyAgree”,withthemidpointneutral.Thesewereconvertedtoscoresofbetween1(stronglydisagree)to5(stronglyagree)andarepresentedasaveragesfortheseandsimilarquestions.3isneutral,higherisbetter

All14respondentsansweredthisquestion.Anaveragescoreof4equatestoan“agree”and

thatof3isneutral.

Question6–Pleasesuggestwaystoimproveactiononanyitemsabovewhichyouranked

“Disagree”or“StronglyDisagree”

Suggestions:

• Encourage more participation in workshops and initiatives from international

organizations that work closely in APEC economies with civil society. Such

organizationsastransparencyinternational.

• ThereisscopeforgreatercooperationbetweenAPECforaandcivilsocietyorganisationsto

maximisetheimpactoftheACTseminarsandworkshops.

39|P a g e

ACTWGandOtherAPECFora

Question7–ACTWGaims,amongotherthings,toworkcollaborativelywithotherAPECfora

to enhance its own activities and reduce duplication. ACTWG's Strategic Plan is already

relevant to several otherAPECworking groups,manyofwhich have been involved in the

ACTWGwork. Please rank the relative importanceof the followingAPEC fora toACTWG's

existingwork(1ishighest,14lowest,n/aifconsiderednotapplicable)

APECFORUM Ave.rank Reasonsfortopranking*

Agricultural

Technical

Cooperation

8.75

Counter-Terrorism 4.25 Corruption is one of the major ways to the flow of funds to

terrorists. Taking appropriate financial measures are essential to

preventterror-activities.

Because anti-corruption and counter-terrorism shares common

goalsofruleoflaw,goodgovernance,transparencyandsoon.

Emergency

Preparedness

6.80

Energy 6.88

Health 8.29

HumanResources

Development

5.83 Most of the work in ACTWG is based on remedial action taken

wherethereareexistingcasesofcorruptconduct.Littleattention

is given to preventative measures. Collaboration with HRDWG

would be a goodway to build in ethics in the public service and

privatesector.

IllegalLoggingand

AssociateTrade

2.62 Illegaltradeissomuchrelatedtotheanti-corruption

There are significant elements of corruption in the illegal logging

domain, for example, the complicity of officials throughout the

entire production chain including those involved in forestry

management, local government, transport authorities, police and

customs.

Because the ACTWG is working on a multiyear Project about

'Pathfinder Dialogue on Combatting corruption and Illicit Trade'

that considers illegal logging as a crime associated with corrupt

practicesthataffecttheenvironmentinwhichwelive.

There appears to be limited interaction with ACTWG and other

APECforacurrently.TheWGrankedabove isonethattheUShas

previously successfully worked with for the Pathfinder Dialogue

Workshopseriestocombattheillicittradeinwildlifetrafficking.

The crimes of corruption and illegal logging and associate trade

have linkage between both of crimes. Also, both crimes are

transnationalinnature.

EGILAT Is the only groupwithwhich ACTWG is currently related.

Bilateral dialogues and workshops have been shared with this

group.

OceanandFisheries 6.25

40|P a g e

APECFORUM Ave.rank Reasonsfortopranking*

PolicyPartnershipon

Science,Technology

andInnovation

8.60

PolicyPartnershipon

Womenandthe

Economy

8.00

SmallandMedium

Enterprises

3.30 Becauseitisvulnerabletocorruption

BusinessethicsinSmallandMediumEnterprises

ACT-SMEWG partnership on specific codes of conduct in fighting

corruption.

SMEs, especially small enterprises, often lack the capacity to

develop institutional anti-corruption programs.Work in this area

could help identify means to extend existing ACTWG and other

relevantoutputsintotheAPECSMEcommunity

Telecommunications

andInformation

6.57

Tourism 11.80

Transportation 7.50

Note–Only4respondentsrankedallworkinggroups*TakenfromanswerstoQuestion8.

Onerespondentrankedallforaasnotapplicable.Itwasconsideredthatallabove-mentioneditems

arenotsolikedrelevanttotheACTWG.OnlySMEhavesomerelevance.

Question 9 – Please rank the relative importance of the following APEC fora, withwhich

ACTWGcurrentlydoesnothaveanyworkingrelationship,tothefutureworkofACTWG(1is

highest,14lowest)

APECFORUM Ave.rank

Potentialinitiativessuggested

Agricultural

Technical

Cooperation

6.44

Counter-Terrorism 3.80 WorkingGroup,Networkofpractitionersinbothgroup.

Emergency

Preparedness

6.38

Energy 5.20

Health 6.30 Jointsession to identifycommon issues:The impactofcorruption

on Health Sector. This could be undertaken in conjunction with

SMEWorkingGroup

HumanResources

Development

7.13 Best practices and experience sharing in building public sector

ethics

IllegalLoggingand

AssociateTrade

7.50 Consider Guidance Material on verifying timber to identify the

locationofwood

Workshopandinformationsharing

OceanandFisheries 5.56

41|P a g e

APECFORUM Ave.rank

Potentialinitiativessuggested

PolicyPartnershipon

Science,Technology

andInnovation

9.88

PolicyPartnershipon

Womenandthe

Economy

9.71

SmallandMedium

Enterprises

3.00 Jointworkshoponbusinessethics

Jointmeeting

Bilateralmeetingorworkshop

Telecommunications

andInformation

7.60

Tourism 7.13

Transportation 6.50 JointWorkshop

Note–xxrespondentsrankedallworkinggroups*TakenfromanswerstoQuestion10**TakenfromanswerstoQuestion11

ACTWGandExternalOrganisations

Question12–APECisencouragedtoengageingreatercollaborationwithnon-APECpartiesincludingtheprivatesector,civilsocietyandotherinternationalorganizations.Inrelationto

theACTWG,pleaseindicatewhetheryouagreeordisagreewhetheranyofthefollowing

initiativeswillachievethis.

AnswerOptions AverageScore

Non-APECpartiesparticipationinACTWGworkshops 4.50

Non-APECpartiesleadingofACTWGworkshops

3.36

Roundtableeventsinvolvingnon-APECparties

4.21

Non-APECpartiesinvolvementindevelopmentoftheannualworkplan

2.93

Connectionswithnon-APECassociations

4.07

Non-APECpartiesparticipationineconomydelegations

3.21

Specificengagementwithwomeninbusiness/industryorganisations,women's

chambersofcommerceandindustryetc

3.86

*Likertscalequestion,3isneutral,higherisbetter

Fourteenrespondentsansweredthisquestion.Anaveragescoreof4equatestoan“agree”

and that of 3 is neutral. The comment was alsomade that host economiesmay wish to

consider whether neighbouring non-APEC economies might have relevant experience to

sharewith theACTWG. This is likelymore relevant in LatinAmericawheremost regional

economiesarenotAPECmembers.

42|P a g e

Question13-PleaseprovidedetailsofoneinitiativebyorganisationsotherthanACTWG

whichhasbeen,inyouropinion,successfulinstrengtheningtiesbetweenanAPECforum

andnon-APECparties.

InitiativessuggestedincludedtheAPECBusinessCard,workshopsoncombatingbusiness

briberyinChina2014andPeruin2016,theStARinitiative,theACTPathfinderdialogues,

roundtablediscussionswithOECDandtheG20Anti-CorruptionWorkingGroup.

ABACandECOTECHPriorities

Question14–TheACTWGStrategicPlanobjectivesincludecooperationandpartnering

activitieswithABAC.WhatspecificactivitiesoftheACTWGinvolvetheABAC?

Responses:

• Economyreportsaimtoencourageclear,publicisedandfairrulesforbusinesses,

consistentwiththeruleoflawfocusofABAC.

• The2016WorkPlanoftheACTWGconsidersaWorkshopon'EffectiveCorporate

CompliancePrograms'inpartnershipwiththeAPECBusinessAdvisoryCouncil

(ABAC).

• Inthefieldofdevelopinginnovativetrainingandcapacitybuilding.

• NumerousWorkshopsonactiveandpassivebribery;combatingillicittrade.

• PromotingtheGeneralElementsofEffectiveVoluntaryCorporateCompliance

Programs.

• Businessethicsinitiatives.

• CooperatinginpromotingtheGeneralElementsofeffectivevoluntarycorporate

compliance.

• ABACisinvitedtotheACTWGasanon-economyparticipant.

Question15–What,ifany,aspectsoftheACTWGengagementwithABACareworkingwell?

Responses:

• RegularreportingatACTWGmeetings.

• ABAC'sknowledgeregardingcorporategovernancewouldcontributetoACTWG

activities.

• CloseACT-ABACcoordinationandcooperationespeciallyonanti-briberyandillicit

trade.

• Publicawarenessonbusinesscomplianceprograms

• ReportingofworkinABACrelevanttoACTWGthrougheconomies.

Question16–What,ifany,aspectsoftheACTWGengagementwithABACcouldbe

improved?

Responses:

• EnhancedvisibilityofthelinksandworkbetweenABACandACTWG.

• MoreactiveparticipationbyprivatesectormembersinACT.

• MoreparticipationofABACtotheACTWGneeded.

• EncouragegreaterparticipationofABACinACTWGandviceversatodiscussissues

inrelationtoprogressingtheruleoflawintrade,investmentandbusiness.

43|P a g e

• ItwouldbeusefultohaveadialogwithknowledgeableABACrepresentatives.That

wouldbeadifferentdiscussionthanwewouldhavewithanindividualABAC

representativeatthedesignatedpointofthemeeting.

Question17-In2010APECSeniorOfficialsendorsedanewFrameworktoguideAPEC-

fundedcapacitybuildingandallECOTECHactivities.Pleaseidentifywhatrecentinitiativesof

ACTWGhavesupportedthefollowingmedium-termECOTECHpriorities.

Priority Initiative

RegionalEconomic

Integration

Capacity Building Workshop on designing best models on prosecuting

corruption and money Laundering Cases using financial flow tracking

techniques and investigative intelligence for effective conviction and asset

recovery to promote regional economic integration (The Philippines and

Chile)

ACTPathfinderDialogues

ACT-NET

Multi-YearProject

Addressingthesocial

dimensionsof

globalisation

Numerous ACTworkshops on anti-bribery and anti-corruption across APEC

economies

Safeguardingthe

qualityoflife

throughsustainable

growth

ACTPathfinderDialogues

Structuralreform CebuManifestofortheProtectionofAnti-CorruptionOfficials

Humansecurity ActivitiesofACT-NET

ACTPathfinderDialogues

round-tablewithOECDonhumantrafficking

Note–betweenfourandsevenrespondents

Question18-PleasecommentonanyareaswhereyoufeelthatACTWGhasfailedto

supportAPEC'sECOTECHprioritiesaslistedabove.

Responses:

• Regionaleconomicintegration

• Inclusivegrowthi.e.addressingtheimpactofcorruptiononservicedeliveryand

economicparticipationoflessprivilegedgroups.

• Corruptiontakesmanyformsandcannegativelyimpactacrossgovernmentsectors

andinitiatives.Eveninworkareaswherecorruptionisnotaseriousfactor,the

diversionofpublicresourcesintoprioritiesidentifiedthroughcorruptdecision

makingmaydivertresourcesfromactivitiesthatsupport,forexample,social

infrastructure.

44|P a g e

Question19–RankthefollowingbarrierstomeetingAPEC’sECOTECHobjectivessince

2013,fromACTWG’sperspective.

BARRIER Averagerankindescendingorderofimportance

LackofcentralfundsforACTWGprojects 1.89

LackofengagementinitiatedbyACTWGwithotherAPECfora 3.13

LackofengagementinitiatedbyotherAPECforawithACTWG 3.44

LackofindustryinvolvementwithACTWG'sworkplan 4.29

Lack of non-APEC party(e.g. private sector, civil society) involvement with

ACTWG'sworkplan

4.57

LackofsupportfromABAC 5.00

Lackofself-fundingofACTWGprojectsfromindividualeconomies 5.50

UnwillingnessofotherAPECforatoengagewithACTWG 6.60

Unequalengagementofwomenmembersofthecommunity 6.60

Note–threeofthe14respondentsconsideredthatalltheproposedbarrierswerenotapplicable.Manyrespondentsonlypartiallycompletedthequestion.

Question20-ArethereanyotherbarrierstoACTWG'sabilitytomeetAPEC'sECOTECH

objectives(apartfromthoselistedinQ19)?

Responses:

• ItisunderstoodthattheprocessforseekingfundingfromAPECisdifficult,with

strictguidelinesthatcanbedifficulttocomplywith.

• No.ACTadvancemanyofAPEC'sECOTECHobjectives.

• Toomuchfocusonremedialactionthanpreventativeaction

Question21–APEC'sTaskingStatementfor2015and2016setthefocilistedbelowfor

ACTWG.HowwelldoyouthinkthatACTWGisaddressingthese?

FOCUS Averagescore*

ImplementtheBeijingDeclarationonFightingCorruption

3.57

Strengthenpragmaticanti-corruptioncooperation 3.71

Take forward work under the APEC Network of Anti-Corruption and Law

EnforcementAgencies 3.79

*Likertscalequestion,3isneutral,higherisbetter

Allrespondentsansweredthisquestion.Ascoreof4isequivalentto“well”andascoreof3

isneutral.

Question22-Pleasesuggestonewaythatoneoftheareas(ifany)thatyouhaverankedpoorlyorextremelypoorlyinQuestion21(above)canbeimproved.

Responses:

• Establishbilateralanti-corruptionlawenforcementmechanismtoimprovethe

directcontactbetweenanti-corruptionandlawenforcementagencies.

45|P a g e

• Onthelattertwoitisnotclearthattheeventualmandates/opportunitieswillliveup

totheexpectationofthemembereconomiesthatinitiallyproposedtheinitiative.

Internationalcooperationincorruptioncaseworkisguidedbytreaty,domesticlaw

including,incommonlawjurisdictions,caselaw.Itisnotthatbuilding

understandingastohowourrespectivesystemsworkwithinAPECisundesirable,

butratherarecognitionthatsharingpolicies,lawsandpracticesislikelytobethe

limitofthediscussionratherthanthebeginning.Althoughcasecooperationis

theoreticallypossibleonthemarginsofamultilateralmeetinglikeAPECiftheright

officialsarepresent,itreallyisabilateralmatter.

Question23–TheAPECmedium-termprioritieslistedbelowhavebeenrecommendedfor

adoptionin2015-19.Pleaselistwaysthat,inyourview,ACTWGcouldsupportthese

priorities.

Priorities Suggestions

Developinghumancapital

throughcapacitybuilding

Promotestandardsofconduct

TrainingforlawenforcementofficialsthroughACT-NET

Developingworkshopsthroughprojectfunding

Developingand

strengtheningthe

dynamismofSmalland

MediumEnterprises

ToworkinpartnershipwiththeSmallandMediumEnterprises

WorkingGrouptopreventforeignbriberyonbusinesstransactions.

CodesofconductforSME's

ACTcouldplayaroleofgettingridofunethicalbehavioursofthe

industryintheregiontocreatelevelplayingfieldinentirebusiness

environment

Ethicsforsmallbusinesses

ThisprioritycouldbeadvancethroughworkwiththeSMEgroup.

Workingincorporatecomplianceprogrammesand/orprinciples

Harnessingtechnologies

forthefutureand

supportinginnovation

ACTcouldplayaroleofgettingridofunethicalbehavioursofthe

industryintheregiontocreatelevelplayingfieldinbusiness

environment,therebycompaniesputmoreeffortstoincrease

productivitydependingonnewtechnologyandinnovation

UseofICTforgreatercooperationbetweenfinancialinstitutionsto

exchangeinformationoncorruptioncases

ThereareanumberofAPECandothereconomiesandcivilsociety

organizationsthathavedevelopedinnovativeandinterestingusesof

technologytomakeinformationavailabletoandtocollectinformation

fromthepublicinthecorruptionspace.Somearepurelygovernment

(e.g.,automatingproceduresthatdonotrequirehumaninteraction)

whileothersmaybeapartnershipwithCSOsorCSOonlyinitiatives

(e.g.,bribereportingwebsites,apps,etc)

Introducinghi-techinvestigationtechniquesforcorruptioncases.

Regionaleconomics

integration

Repositoryofinformationonnationalrequirementsforinvestigating

andprosecutingcorruptioncases

WorkingtogetherbetweenAsiaPacificandAmerica.

Structuralreform

ACTcouldplayaroleofsettingcommonstandardsofbusinesscodeof

conduct

Effortstobettercoordinatetheworkofanti-corruptionagencies

Safeguardingthequality

oflifethroughsustainable

growth

ACTPathfinderDialogues

ACTcouldplayaroleofgettingridofunethicalbehavioursofthe

industryintheregiontocreatelevelplayingfieldinbusiness

environment

Anti-corruptioninitiativesforbettermanagementofnaturalresources

Combatingillicittrade

46|P a g e

ACTWG’sEfficiency

Question24–ACTWGisservedbyaSecretariatbasedinSingapore.Foreachstatement

pleasedindicateyourlevelofagreementtothefollowingquestionswhichrelatetothe

efficiencyoftheSecretariat

EfficiencyMeasure Averagescore*

Meetingagendadocumentsaremadeavailablewithinashorttimeoftheirreceiptby

thesecretariat

4.14

After each meeting, summaries and other meeting outcome documents are made

availablepromptlyontheAPECmeetingdocumentsite

3.64

Meetingsaremanagedsmoothly 4.14

Meetingsruntotime 4.21

Thenumberofdocumentsprovidedforeachmeetingismanageable 4.00

Thestructureofthemeetingagendaiswellmatchedtotheaimsandobjectivesofthe

ACTWG

4.00

ThereissufficientfundingavailablefortheACTWG'sprojects 3.14

Meetingsarestructuredinawaythataccommodatesparticipationbywomen(suchas

adequatetoiletbreaks,andarrangedduringperiodswherechildcareisavailable)

3.86

Meetings are scheduled to allow direct liaison between APEC fora where there is a

commonlinkage

3.36

WiththeintroductionoftheAPECNetworkoftheAnti-CorruptionAuthoritiesandLaw

EnforcementAgencies(ACT-NET),theACTWGisabletofocusonitsmainobjectives

3.86

ThecurrentadministrativearrangementsfortheACT-NETmeetyoureconomy'sneeds 3.43

*Likertscalequestion,3isneutral,higherisbetter

Allrespondentsansweredthisquestion.Ascoreof4is“agree”andascoreof3isneutral.

Question25–PleasesuggestwaystoimproveactiononanyitemsfromQ24abovewhich

youranked"Disagree"or"Stronglydisagree".

Responses:

• ACTNETMeetingscouldfocusmoreuponopendiscussionandsharingof

information,suchasthroughsharing'lessonslearnt'fromfinalisedcases.

• WhilenotaSecretariatissues,incomingChairsneedtoreachouttomembersearlier

intheirAPEChostyeartoallowgreaterinputintoACTagendasandworkplans.

• ImprovetheoverallprojectfundingprocesstoincreasethechancesofACTrelated

projectsgettingfunded.

• It'snotclearthatmeetingsarescheduledinamannerthatwouldhelplinkgroups.

Thesilosarestrong.Withoutstrongandsharedleadershipofjointeffortswithinall

partnergroups,littlewillbeachieved.

47|P a g e

Question26–Whatdoyousuggest,ifanything,thatwouldmaketheACTWGSecretariat

moreefficientthanitistoday?

Responses:

• Theefficiencyisoknow

• Presentsecretariat,PDismanagingverywell

• BettercoordinationbetweenACTChair’sOfficeandSecretariat

• Facilitatemorediscussionswithrelevantinternationalorganizations.

• Distributingsufficientmeetingdocumentforindividualparticipantandhandingout

meetingpresentationaswell.

• Secretariatworksfineasitis

Question27–Whatwouldimprovetheprocessofdevelopingtheannualworkplanforthe

ACTWG?

Responses:

• Encouragemoreregularemailcorrespondencetofinalisedocuments.

• PromotegreatercoordinationamongeconomiestoimplementtheWorkPlan.

• Improvethepre-meetingnegotiation.

• EarlyplanningbyincomingChairandstrongerChair-leddiscussionsatSOM1

meetings.

• Annualsurveyforidentifyingcapacitybuildingneeds.

• Morecoordinationofthehosteconomy.

Question28–IsthereanACTWG-specificprocesstoenablequantitativeand/orqualitative

measurementofapprovedprojects/programmes?

Threeeconomiesrespondedyes,tworespondednoandninerespondeddon’tknow.

Question29–IfyouansweredyestoQ28,aretheresultsofthisresearchusedtomodify

projects/programmestoachievemaximumresults?

Responses:

• Itisunderstoodthatinformalfeedbackreceivedfollowingworkshopsorseminars

areincorporatedforplanningofthenextworkshops.

• Don'tknowinspecificcasesbutitshouldbe.

Question30–Characteristicsofrespondents

Respondents ranged from Legal Officer to Head of International Cooperation Division.

Experiencerangedfromattendingnomeetingstoattendingallmeetingssince2004.

48|P a g e

APPENDIXD–FACE-TO-FACESURVEYACTWGIndependentreview–guideforface-to-faceinterview

AllmembereconomiesattendingthemeetinginLima,PeruinFebruary2016weremetandencouragedtocompletetheonlinesurvey.Inaddition,specificdiscussionswereundertakenwithanumberofmembereconomiesduringtheworkshoporintheweeksfollowing.Wherethedelegationalsoansweredthewrittensurvey,contactmayhavebeenmadetoclarifyorexpandonsomeoftheissuesraised.

1. Introductiontothediscussion–howlongrespondentshavebeenonACTWG,

generalbackground,describepurposeoftheface-to-faceassupplementarytothe

survey.

2. The2012independentassessmentrecommendedthattheChairshouldrotateevery

twoyearsinaccordancewiththeAPECConsolidatedGuidelines.This

recommendationwasrejectedbytheACTWG.Whatwasthereasoningbehindthis

disagreement.

3. WiththeannualrotationofChair,canyoupleasecommentonthecontinuityand

supportprovidedtoincomingChairs,particularlyiftheyhavenotpreviouslybeen

involvedintheWorkingGroup.

4. Whatoverlaps(ifany)doyouseebetweenACTWGandotherAPECworkinggroups?

5. WiththerecentestablishmentoftheACT-NET,wheredoesitfitinrelationtothe

ACTWGumbrella?Forexample,isitasub-group?Howshoulditbeadministered,

andbywhom?

Inadditiontothecompletedonlinesurvey,discussionswereundertakenwiththefollowing

peopleforthestudy:

• GuestsMrPeterRichie(AmericanBarAssociation),MsLizOwen(OECD),

• MembersofthedelegationsofAustralia,Canada,Chile,Indonesia,PapuaNewGuinea,

Peru,thePhilippines,People’sRepublicofChina,Singapore,USA

• ProjectDirectorforACTWG.

49|P a g e

APPENDIXE–SOURCEDOCUMENTSThe following documents were reviewed and specifically mentioned as part of this

independentassessment:

• APEC2007:PreliminaryConferenceforAPEC2007-ReshapingAPECfortheAsianPacificCentury–PrioritiesandStrategies,11and12December2006,Melbourne

• APEC2008/SOM2/010

• APEC2008/SOM2/SCE/005

• APEC2010SOMReportonEconomicandTechnicalCooperation–Annex4,RevisedGuidelinesforLeadShepherd/ChairandDeputyLeadShepherd/ChairofAPECWorkingGroupsandSOMTaskForces

• APEC2011/SOM1/SCE/004

• APEC2011/SOM1/SCE/004,APECUpgradingtheAnt-CorruptionandTransparencyTaskForce

• APEC2012/SOM1/SCE-COW/004AgendaItem:6.1(a),RevisedGuidelinesforLeadShepherd/ChairandDeputyLeadShepherd/ChairofAPECWorkingGroupsandSOMTaskForces

• APEC2013/ACT/NET/003,ProposedInitiative:APECAnti-CorruptionandTransparencyNetworkMeeting

• APEC2013/ACT/NET/010,Session5,FinalRemarksandMeetingSummary

• APEC2013/SCE2/Summary,SummaryReport–SOMSteeringCommitteeonECOTECH,17April2013,Surabaya,Indonesia

• APEC2013/SOM2/SCE/014

• APEC2013/SOM3/ACT-EGILAT/001

• APEC2014/ACT/ACT2/Summary

• APEC2014/SOM3/ACT007

• APEC2014:Leaders’Declaration

• APEC2015/SOM3/005,AgendaItem12.4,GuidelinesonManagingCooperationwithNon-Members

• APEC2015/SOM3/ACT/014

• APEC2015/SOM3/EGILAT-ACT001

• APEC2015:Leaders’Declaration

• APEC2016/SOM1/ACT/005(formerly2015SOM3/ACT/013)

• APEC2016/SOM1/ACT/006atAgendaItem6.3

• APEC2016/SOM1/ACT/WKSP/003

• APECAnti-CorruptionCodeofConductforBusiness

• APECGeneralElementsofEffectiveVoluntaryCorporateCompliancePrograms

• APECGuidelinesonEnhancingGovernanceandAnti-Corruption

• APECSecretariat,GuidebookonAPECProjects,Edition11,UpdatedFebruary2016.

• APECSOM12016,PATHFINDER2015:StrengtheningtheFightagainstCorruptionandIllicitTrade,Chair’sSummaryReport,LimaPeru

• http://www.apec.org/About-Us/About-APEC/Fact-Sheets/Bogor%20Goals.aspx

• http://www.apec.org/About-Us/About-APEC/Fact-Sheets/Inclusive-Growth.aspx

• http://www.apec.org/About-Us/About-APEC/Fact-Sheets/Regional-Economic-Integration-

Agenda.aspx

• http://www.apec.org/About-Us/About-APEC/Fact-Sheets/Structural-Reform.aspx

• http://www.apec.org/Groups/Other-Groups/Sustainable-Development.aspx

• http://www.apec.org/Groups/SOM-Steering-Committee-on-Economic-and-Technical-

Cooperation.aspx

• http://www.apec.org/News/News-Releases/2015/0930_IAP.aspx

• https://aimp2.apec.org/sites/PDB/default.aspx

50|P a g e

• https://aimp2.apec.org/sites/PDB/Lists/Proposals/DispForm.aspx?ID=1316

• RepublicofthePhilippines,OfficeoftheOmbudsman,ACT-NET–APECNetworkofAnti-CorruptionAuthoritiesandLawEnforcementAgencies–Members’Profile.Circulatedatthe22ndACTWGmeeting,February2016,Lima,Peru

• SummaryReport–SOMSteeringCommitteeonECOTECH,9March2011

51|P a g e

APPENDIXF–ACTWGPUBLICATIONSIndateorder

BestPracticesinInvestigatingandProsecutingCorruption(2015),APEC#215-ES-01.9ThishandbookwaselaboratedunderthescopeofAPECprojectMSCE01/12A-1"Capacity

BuildingWorkshopsonDesigningBestModelsonProsecutingCorruptionandMoney

LaunderingCasesUsingFinancialFlowTrackingTechniquesandInvestigativeIntelligencefor

EffectiveConvictionandAssetRecoverytoPromoteRegionalEconomicIntegration."

RequestingMutualLegalAssistanceincriminalmattersfromAPECEconomies:AStep-by-StepGuide(2015),APEC#214-AC-01.1Thisguideprovidesconcise,step-by-stepinstructionsonhowtoinitiateandsuccessfully

conductrequestsformutuallegalassistancemadewithintheAPECregion.

ImplementingtheAPECAnti-CorruptionCodeofConductforBusiness(2013),APEC#213-AC-01.1Thisprojectreportdocumentstheprocesses,results,lessons,andrecommendationsthat

emergedfromtheACT022011Aproject’stwomaincomponents:theBaselineStudyand

theForumontheImplementationoftheAPECAnti-CorruptionCodeofConductfor

Business.

ImplementationoftheCodeofConductforBusinessinChile(2011),APEC#211-SO-01.2ThisreportpresentsthefindingsfromtheaboveworkshopheldinChileinJanuary2011.The

mainobjectiveoftheworkshopwastodisseminatethecontentandimplicationsofthe

APECCodeofConductforbusinessesintheAsia-Pacificregion.

Anti-CorruptionCooperation-StocktakingofBilateralandRegionalArrangementsonAnti-CorruptionMattersbetween/amongAPECMemberEconomies(2010),APEC#209-SO-01.9Thisreportisstructuredasfollows.InPart1,SectionsIandIIexaminethelegalbasisand

preconditionsforrenderingextraditionandMLA.SectionIIIconsiderssomeproceduresand

measuresthatfacilitateinternationalcooperation.SectionIVfocusesontheconfiscation

andrepatriationoftheproceedsofcorruption,asubjectwhichhasreceivedparticular

attentionrecentlyinAsia-Pacific.Part2includesdetailedinformationfortheadditional

APECeconomiestakenfromthematerialprovidedbyeacheconomyinitsresponsestothe

questionnaire.

InternationalSymposium"Anti-CorruptionAndAdministrativeReform",June2008,APEC#208-SO-04.4Thissymposiumtookplaceon25and26June2008inHaNoi,VietNam.Thisdocument

includesthepresentationmaterialsusedforthefivesessionsinthesymposium.

CapacityBuildingWorkshoponCombatingCorruptionRelatedtoMoney-Laundering(2007),APEC#207-SO-04.2TheworkshopwasheldinAugust2007inThailand.Thisdocumentcontainsthepresentation

materialsusedattheworkshopand11economyreports.

APECAnti-corruptionCodeofConductforBusiness,September2007,APEC#207-SO-05.1Thisdocumenthighlightsfourkeybusinessintegrityandtransparencyprinciplesforthe

privatesector.

52|P a g e

APPENDIXG–DETAILEDLISTOFACTWG’SPROJECTSINAPECPROJECTDATABASEProjecttitle Projectnumber Project

yearProposingeconomy

Co-sponsoringeconomies Otherforainvolved

Non-APECstakeholders

APECGuidetoMutualLegalAssistance ACT012013A 2013 Australia Canada,PapuaNewGuinea,Thailand,Chile

n/a n/a

CapacityBuildingWorkshopsonDesigningBestModelsonProsecutingCorruptionandMoneyLaunderingCasesUsingFinancialFlowTrackingTechniquesandInvestigativeIntelligenceforEffectiveConvictionandAssetRecovery

MSCE012012A 2012 Chile;Thailand

Australia,BruneiDarussalam,China,Indonesia,Korea,Malaysia,PapuaNewGuinea,Russia,Singapore,ChineseTaipei,UnitedStates,VietNam

HumanResourceDevelopmentWorkingGroup(HRDWG);IntellectualPropertyRightsExpertsGroup(IPEG)

ABAC,UNODC,WorldBank

CapacityBuildingWorkshoponEffectivelyCombatingCorruptionandIllicitTradethroughTrackingCross–BorderFinancialFlows,InternationalAssetRecoveryandAnti-MoneylaunderingEfforts;itsimpactonpovertyreductionandeconomicgrowth

ACT012011A 2011 Thailand Australia,HongKong,China,UnitedStates

n/a n/a

ImplementationoftheAPECCodeofConductforBusiness(IntegrityandTransparencyPrinciplesofthePrivateSector)

ACT022011A 2011 Philippines Australia,BruneiDarussalam,Chile,Thailand,VietNam

n/a n/a

Capacitybuildingworkshoponeffectivelyaddressingcorruptioninthedevelopingeconomies

ACT022009A 2009 Korea Indonesia,Peru,Thailand,UnitedStates

n/a n/a

ImplementationoftheAPECCodeofConductforBusiness-PathfinderProject

ACT012009 2009 Australia Chile,VietNam n/a n/a

CapacityBuildingWorkshoponFormulatingStrategiesforStrengtheningInter-AgencyMechanismsonCombatingCorruptionRelatedtoMoneyLaundering

ACT032009A 2009 Thailand Australia,UnitedStates n/a n/a

53|P a g e

Projecttitle Projectnumber Projectyear

Proposingeconomy

Co-sponsoringeconomies Otherforainvolved

Non-APECstakeholders

GovernanceinPublicandPrivateSector&ImpactonAnti-Corruption

ACT042009A 2009 Singapore BruneiDarussalam,Korea,HongKong,China,Peru,VietNam

n/a n/a

ComparativeStudyofAnti-CorruptionMeasuresandProceduresinAPEC

ACT012008 2008 Thailand Indonesia,Korea n/a n/a

WorkshoponSpecialInternationalCooperationtoFacilitateAssetRecoverywithintheScopeoftheFightagainstAnticorruption

ACT032008A 2008 Peru VietNam,Thailand n/a n/a

SymposiumonAnti-CorruptionandAdministrativeReform

ACT022008A 2008 VietNam China,Korea n/a n/a

Anti-CorruptionCooperationinAPEC:Stocktakingofbilateralandregionalarrangementsonanti-corruptionmattersbetween/amongAPECmembereconomies

ACT012007T 2007 Indonesia Chile,Korea n/a n/a

CapacityBuildingWorkshoponCombatingCorruptionRelatedtoMoneyLaundering

ACT012007A 2007 Thailand UnitedStates,Australia,China n/a n/a

TheFightagainstCorruptionisaCommonInternationalResponsibility:StrengtheningtheCooperationMechanismsintheAsiaPacificRegion

ACT022007A 2007 Peru Korea,PapuaNewGuinea,UnitedStates,VietNam

n/a n/a

CapacityBuildingforDevelopingEconomiesonCombatingCorporateCorruptionandPromotingGovernance

ACT012006 2006 HongKong,China

Korea,Philippines,UnitesStates,Singapore

n/a n/a

Public-PrivateDialogueonAnti-CorruptionandEnsuringTransparencyinBusinessTransactions

ACT012006T 2006 VietNam Australia,Korea,Singapore,UnitedStates

n/a n/a

Source:https://aimp2.apec.org/sites/PDB/default.aspx,accessed29March2016.