OECD > EXAMINATION PHASES
  • First Phase Examination
  • Second Phase Examination
  • Third Phase Examination
  • The Process Initiated In The Case When The Recommendations Are Not Followed During The Examination Phases

 1- THE FIRST PHASE EXAMINATION: COMPLIANCE OF THE CURRENT REGULATION WITH THE CONVENTION
In the first phase examination started in 1999, it is evaluated whether the examined legislation of the country complies with the Convention. The questionnaire consisting of detailed questions is sent to the examined country so as to define whether each article of the Convention is reflected in the national legislation of the country. After the examined country answers the questionnaire and sents it to the Secretariat of OECD and the examiner countries, Secretariat and the leader examiner countries prepare a draft report. In this draft report, it is explained in which level the legislation of the country concerning combating bribery complies with the Convention and, if any, which issues do not comply with the Convention.

The process carried out so as to understand the legislation of the country which is examined and to determine the possible deficiencies is concluded by the negotiation of the issue in the Working Group of OECD on Bribery.

2- THE SECOND PHASE EXAMINATION: SUPERVISION OF THE EFFICIENCY OF THE IMPLEMENTATION
It is evaluated whether the legislation of the examined country and also the OECD Anti – Bribery Convention are implemented in an efficient way. Differently from the first phase examination, during the second phase examination, the delegation consisting of leader examiners and OECD Secretariat pays a visit to the examined country. During the viewing visit, visits to the Ministry of Justice, the Ministry of Interior Affairs and the representatives of the other public institutions, private sector and non-governmental organizations are carried out with respect to the implementation of the legislation concerning the bribery of the foreign public official.

As a result of the examination, draft country report prepared by the Secretariat of OECD and the representatives of the leader examiner countries and it is accepted after the negotiations during the meeting of Working Group with the participation of the representative of the other State Parties. In this report, the compliance of the examined legislation with the Convention and the recommendations to ensure the efficiency in the implementation of this legislation is examined.

The recommendation accepted by the Working Group is an efficient mean to make amendments in the national legislations of the countries. For example; Turkey, Japan, Slovakia, Hungary, Sweden, Bulgaria and Switzerland has amended their legislation in line with the “recommendations of the Working Group.

3- THE THIRD PHASE EXAMINATION: MONITORING OF THE DEVELOPMENTS ACHIEVED WITH RESPECT TO LEGISLATION, IMPLEMENTATION AND LAW ENFORCEMENT UNITS
The Third Phase Examination is shorter than the Second Phase Examination and the subjects to be focused are defined, certain titles should be concentrated.
Within this framework, the subjects to be dealt in the Third Phase Examination may be collected under three main titles:

  • The developments concerning the deficiencies defined during the Second Phase Examination achieved until the Third Phase Examination
  • The developments carried out in the national legislation and the institutional structure  after the Second Phase Examination
  • The other key subjects concerning the investigation and prosecution conducted in the country

For the Leader Examination two countries are assigned. One expert in law and finance from each of these countries is defined as examiner. The Questionnaire to be evaluated is transmitted to the country. The Questionnaire is standard and quite comprehensive. It is really important to fill it in full. Because the Examiners and Secretariat of OECD examines the answers of the country in a detailed way and the Report on Third Phase is formed according to the answers given to the Questionnaire. 8 weeks are given to the country as a principle for answering the Questionnaire. In addition to the standard questionnaire, the Examiners and Secretariat may direct additional questions to the country. The Examiners and Secretariat of OECD carry out on-site visits to the country to be examined.
On-site visit consists of panels and each panel includes the titles as follows:

  • The issues included in the Third Phase Questionnaire;
  • The developments concerning the deficiencies defined during the Second Phase Examination achieved until the Third Phase Examination; The developments carried out in the national legislation and the institutional structure  after the Second Phase Examination; The other key subjects concerning the investigation and prosecution conducted in the country;
  • The opinions of the private sector and the civil society concerning awareness, implementation and law enforcement.

Examined country has to ensure the participation of the representatives of the government requested to be present during the meeting by the examination team. Moreover, the government is liable to try its best for the participation of the representatives of non-governmental and civil society organizations.

The related State may not intervene in the panels of the non-governmental participants. During the on-site examination, examination team meets the representatives from the Ministries especially from the Ministry of Justice and Ministry of Interior Affairs. The backbone of the examination is to meet the judges and prosecutors who deal with the cases of bribery. Moreover the examination team meets the authorities of national police responsible for the monitoring of offence of bribery and the authorities who are expert on corruption and the tax auditors.

During the examination, the judgments concerning giving bribe to the foreign public officials are examined. In the event that there is not any conviction for this offense, the reason of this is searched. It is thought that reason of not rendering any conviction may be because of not implementing the legislation concerning bribery of foreign public officials owing to various reasons.

The examination team, in addition to the related ministries, also meets export credit agencies, bar associations, labour and employer agencies and media.

The first draft of the report is prepared by the OECD Secretariat and the examiners according to the performance of the country. The report is read twice in the General Assembly of the Working Group on Bribery and then it is evaluated. According to the performance of the country, the report of the Working Group including the recommendations is accepted and on the web site of OECD, a press release is issued concerning the country.

As in the Second Phase, in the Third Phase, the follow-up reports are requested from the country so as to evaluate whether the recommendations of the Working Group are implemented. The follow-up reports should be in two forms: Oral and written reports.

Following Phase 3 Examination, it is requested that the country draft a Written Follow-up Report every 24 months to report the improvements concerning the issues recommended in Phase 3. However, oral follow-up reports cannot be requested automatically from the country. As the Working Group accepts the Phase 3 Examination Report, it may decide that the country submits an oral report concerning a specific recommendation or recommendations deemed necessary every 12 months.

In case of a critical outstanding element, the Working Group may request a Phase 3bis Report from the evaluated country. This request may be made following the Phase 3 Examination or following the submission of the written or oral report.

The drafting process of this report is the same as in the Phase 3 Examination Report. Within this framework, the Working Group may request a second on-site visit. However, this is considered to be an extraordinary request. New examiner countries may also be designated to replace the previous examiners.

4- THE PROCESS INITIATED IN THE CASE WHEN THE RECOMMENDATIONS ARE NOT FOLLOWED DURING THE EXAMINATION PHASES
If there are still inconsistencies with the recommendations during the Phase 3bis or the follow-up phase, the Working Group may decide to apply the following measures:

  • Requesting the country in question to submit a Report on the subject matter at every Working Group meeting;
  • Assigning a group of countries, to be designated by the Working Group, to evaluate, along with the Secretariat, the situation in the country that fails to implement the Convention as it should and to make recommendations concerning steps to be taken in the future;
  • Forwarding a letter on the subject matter, written by the Working Group President to the Minister or Ministers of the country in question;
  • Carrying out a visit by the Working Group President, Head of the OECD Anti-Corruption Division and high-level representatives such as heads of delegations of some member countries to the Working Group to hold meetings on the subject matter;
  • Issuing an official statement to indicate that the Convention is not sufficiently adhered to by the country in question and that it should be immediately implemented.
 
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