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Aim

  1. The aim of this document is to highlight the further progress made in the implementation of the Building Integrity (BI) work programme agreed by the North Atlantic Council (NAC) and noted by the Heads of State and Government at the Chicago Summit.

Background

  1. The BI Programme was launched in the EAPC in November 2007 to raise awareness and develop institutional capabilities in key areas elaborated in the Partnership Action Plan on Defence Institution Building (PAP-DIB), agreed at the Istanbul Summit. From the outset, the BI programme has focused on developing practical tools to help nations build integrity, transparency and accountability and reduce the risk of corruption in the defence and security sector. This ongoing programme promotes good practice and provides nations with systems and mechanisms to make defence and security institutions more effective and smarter.
  2. The BI programme includes a set of activities open to NATO, EAPC, MD, ICI and Global Partners. Participation is on a voluntary basis. While the overall approach presented to nations in March 2010 remains unchanged, a number of significant steps have been taken to embed BI into NATO systems and procedures and to make it more operational. This includes contributing to NATO civil-military efforts focused on corruption and its impact on operations.
  3. The BI calendar of activities and practical tools will continue to be updated and adjusted to meet the needs of nations. The NATO IS and the BI programme is supported by a network of institutions as well as subject matter experts (SME) drawn from other international organisations, national administrations as well as civil society.

Current Status

  1. Taking account of the BI Status Report noted at the Chicago Summit, the NATO IS has focused efforts on:
    • The development of a Tailored BI Programme for SEE prepared in close cooperation with Bulgaria as a lead nation within the South Eastern Defence Ministers (SEDM) Process and Norway. The Tailored BI programme will be formally launched at NATO HQ 13-14 December 2012 (see Annex 1).
    • The development of a Tailored BI Programme for the Afghan National Security Forces (ANSF) prepared in close cooperation with the United States and stakeholders in theatre; this BI contribution is developed in the framework of the NATO-Afghanistan Enduring Partnership and reflects commitments made by the GIRoA at the Tokyo Conference on 8 July 2012 (see Annex 2).
  2. The tailored programmes for SEE and GIRoA have been developed in close cooperation with nations and key stakeholders to meet the specific needs of the nations concerned. In preparing the tailored programmes, the NATO IS has drawn on the BI Self Assessment/Peer Review Process and other NATO reporting mechanisms as well as additional gap analyses undertaken with the support of nations. This ongoing analysis will be used to further tailor activities aimed at strengthening national and regional capacity and to identify benchmarks to help nations monitor change. The tailored programmes for SEE and GIRoA recognise that education and training are fundamental to making and sustaining change and developing capabilities.
  3. The impact of the tailored programmes depends on political leadership and sustained support of national authorities to implement change in their defence and security institutions. The impact expected will be specific to the situation of individual nations, it may include review and adjustment of legislation and procedures, professional development of staff to promote good practice and review of education and training including those focused on stabilisation and reconstruction efforts. Specific objectives for the ANSF have been reflected in the BI Tailored Programme. Benchmarks to assess change are being developed as part of the tailored programme for SEE.
  4. Education and training are key to building capacity and transforming institutions. As tasked by the NAC, work has focused on developing a structured and sustainable approach to education and training. The BI Education and Training Plan, developed in cooperation with NATO Military Authorities (NMAs) and agreed by the NAC, addresses NATO’s current and future operations and supports ongoing NATO civilian and military efforts to contribute to good governance in the defence and security sector. Further implementation of this plan is being taken forward by the NATO IS and NMAs in close collaboration with stakeholders including the Centre for Building Integrity in the Defence Sector, established on 1 September 2012 in Oslo, Norway.
  5. The implementation of the tailored programmes highlighted in this report are supported by a range of BI tools and activities. These include the BI Self-Assessment/Peer Review Process, the Pool of BI Subject Matter Experts (SME) and education and training activities. The NATO IS will continue to take account of UNSCR 1325 in the further development of BI tools and activities.
  6. The BI Self-Assessment/Peer Review Process is designed to help nations to map current practice and procedures, and assess the overall integrity of the defence and security sector. As of 1 December 2012, this process has been completed by 4 Allies and 4 Partners. The results of this process are used to identify good practice as well as areas for follow up.
  7. The BI Pool of Subject Matter Experts (SME) is used to support the BI Peer Review, implementation of tailored programmes as well as the development of education and training activities. At the request of nations, SME also provide assistance in the development and implementation of national tailored action plans to enhance institutional capacity and to promote good practice. Experts are drawn from national administrations, international organisations and civil society.
  8. To support Education and Training, the Compendium of Best Practices: Building Integrity and Reducing Corruption Defence was produced by the Geneva Centre for the Democratic Control of the Armed Forces in cooperation with NATO and other international experts. It provides a strategic approach to reducing corruption risks and focuses on concepts and tools which can ensure good practices in defence management. The text is available in English, Arabic, Russian, and Ukrainian 1. Additional resource material focused on reducing the risk of corruption in the Ukrainian defence establishment has been developed by the Ukrainian Centre for Army, Conversion and Disarmament Studies (CADS) 2.
  9. The NATO Defence Leadership in Building Integrity Course, conducted since 2008, is focused on promoting best practices, strengthening transparency and accountability in the defence and security sector. This year a total of 67 civil and military personnel have taken part in the BI course conducted at the PfP Training Center (Ankara, Turkey) and the NATO School (Oberammergau, Germany). This is in addition to a BI train the trainer workshop to be conducted in Ankara, Turkey 16-19 December 2012.
  10. By the end 2012, more than 600 civilian and military personnel will have taken part in education activities developed and implemented by the BI Programme. In addition to these activities, BI modules have been incorporated into existing national and NATO activities including pre-deployment education and training.
  11. The bi-annual Building Integrity Conference provides an opportunity for civilian and military authorities to raise and address further challenges to BI at a strategic level. Discussions at previous conferences provided the basis for further enhancement of the BI Programme. The upcoming BI Conference, to be conducted in Monterey (USA) 25-28 February 2013, is expected to further shape the BI tailored programmes for SEE and GIRoA, identify priority areas to strengthen civil-military cooperation, in particular with regards to NATO operations.

Support For BI

  1. The estimated total budget of €5,5 million will be used to support BI activities for NATO, EAPC, MD, ICI and Global Partners for 2012-2014.
  2. Nations have also made substantial in-kind contributions to support BI. In addition to hosting events and designating national institutions to support the design and implementation of the BI programme this includes:
    • Funding of the needs analysis for the Tailored Programme for SEE by Norway;
    • Establishing a Centre for Building Integrity in the Defence Sector, Oslo, Norway;
    • Providing project management within the SEDM Process and hosting of SEE experts’ meetings by Bulgaria;
    • Providing Voluntary National Contribution (VNC) to NATO HQ and the Office of the Senior Civilian Representative, Kabul, Afghanistan;
    • Nominating experts to the BI Pool of Subject Matter Experts; and
    • Providing expertise and financial contributions to support the development of tailored BI programmes.

Recommendation

  1. Nations are invited:
    • to note the progress made in the design and implementation of the BI programme including the development of tailored programmes for SEE and GIRoA;
    • to continue supporting civilian and military efforts to promote good governance in the defence and security sector, in particular, through the BI Education and Training Plan; and
    • to consider how to further support the BI programme through financial or in-kind contributions.

    BI Tailored Programme for South Eastern Europe (SEE)

    Aim

    1. The aim of the NATO BI Tailored Programme for SEE is to contribute towards reducing the risk of corruption in the defence and security sector of the participating nations by promoting good practices, strengthening transparency, accountability and integrity.
    2. This NATO led effort is complementary to the ongoing efforts carried out by nations and other international institutions such as UNODC. The tailored programme for SEE is being developed over a five-year period (2012-2016) and is focused on nations taking part in the South Eastern Europe Defence Ministerial (SEDM) Process. This text addresses the period 2012-2014.

    Background

    1. The BI programme was launched in the EAPC in November 2007. At the Lisbon Summit in 2010, nations agreed to develop a BI tailored programme to meet the needs of nations in South Eastern Europe. This includes embedding BI into existing NATO and national procedures and processes such as IPAP and developing a tailored approach to build capacity of nations. The BI report, noted by the Head of State and Government at the Chicago Summit in 2012, highlighted the importance of strengthening transparency, accountability and integrity in the defence and security sector; and emphasized that priority should be given to developing a tailored BI programme to support the nations in SEE.
    2. This Tailored BI Programme is being developed in close cooperation with Bulgaria, as a lead nation within the SEDM Process and Norway. It aims to make maximum use of existing BI resources avoiding duplication and competition for resources.
    3. This political initiative was endorsed by the SEDM Ministers of Defence at their meeting in Sarajevo on 3 October 2012. The SEDM Process has proven to be a successful model for mutual cooperation among states of the region. It provides a framework for a more structured and comprehensive approach to further developing effective regional cooperation between nations and with civil society as well as establishing links facilitating integration into Euro-Atlantic institutions in order to enhance stability and security in SEE.
    4. SEDM Participating States in this tailored programme are: Albania, Bosnia and Herzegovina, Bulgaria, Croatia, The Former Yugoslav Republic of Macedonia, Montenegro, Romania, Serbia and Slovenia. This Tailored Programme is open to other SEDM nations as well as observers.
    5. Supporting institutional change requires a sustained effort. For the period 2012-2014 the BI Tailored programme is focused on re-aligning three existing BI elements to better meet the needs of the nations in SEE. This includes:
      • Raising awareness to better understand the importance of developing defence and security institutions that are trusted and offer value for money;
      • Completing the BI Self-Assessment/Peer Review Process to have a snapshot of current practices and policies; and
      • Supporting the development and implementation of national BI Action Plans that promote good practice and strengthen transparency, accountability and integrity in the defence and security sector.

    Developing a tailored approach for SEE

    1. The aim of the tailored programme for SEE is to contribute towards reducing the risk of corruption in the defence and security sector of the participating nations by promoting good practices, strengthening transparency, accountability and integrity.
    2. Acknowledging the importance of having programmes developed on the best possible understanding of the problems and challenges, this tailored programme draws on existing NATO and partnership tools and mechanisms such as IPAP, ANP, PARP and the BI Self-Assessment/Peer Review Process.
    3. Work is ongoing to identify needs to ensure the tailored programme is focused and sequenced to meet the needs of the nations. The purpose of this need analysis led by Norway is to:
      • Identify factors that can build integrity and reduce the risks of corruption in the defence and security sector; and
      • Inform the design of future activities to better support nations.
    4. The analysis will identify:
      • Normative standards/guidelines/benchmarks regarding transparency and accountability in the defence sector - reflecting internationally recognized concepts and standards. These will serve as a benchmark for assessing the current situation;
      • The extent to which these standards etc. are institutionalized in the participating countries. This includes reviewing the extent that the standards are reflected in domestic legislation (legal framework), their influence on organisational arrangements and the perception within the defence sector; and
      • Gaps between the normative standards and their actual extent of institutionalisation and potential measures to address them.
    5. The BI Self Assessment/Peer Review Process represents an important starting point and nations are encouraged to make use of this tool. In addition to research and interviews with national authorities, the needs analysis also draws on existing NATO and partnership tools and mechanisms such as IPAP, ANP, and PARP as well as open source material.
    6. The research and analysis phase will be completed by 2013. The comprehensive picture of requirements resulting from this process will be used to inform the design and conduct of capacity building activities for SEE in 2014. Professional development activities will include workshops and courses to be conducted on a regular basis, primarily in SEE, and will be enhanced through ongoing contact with the national BI points of contact.
    7. The tailored programme for SEE will officially be launched at NATO HQ 13-14 December 2012 and bring together the BI points of contact from nations wishing to participate and to acquaint them with the overall outline and specific activities developed with the assistance of Bulgaria and Norway.
    8. Education and training are key to building capacity and transforming institutions. The tailored programme for SEE will build on the results of the assessment work and draw on the NATO BI Education and Training Plan, developed in cooperation with Allied Command Transformation (ACT). This includes making use of resources of BI Implementing Partners such as the Peace Support Operations Training Centre (Sarajevo) and the PfP Training Center (Ankara).
    9. Participation in the tailored programme for SEE is on a voluntary basis and is open to all members and observers of SEDM. Participating nations are invited to nominate a military and a civilian point of contact (at OF-5 or equivalent level). These POCs will serve as national focal point and facilitate exchanges with the NATO IS. To further deepen their knowledge, a series of activities will be developed to serve the dual purpose of sharing knowledge and developing a SEE network.
    10. The programme of BI activities for SEE is expected to focus on key areas to include:
      • Parliamentary oversight;
      • Anti-corruption and integrity policies;
      • Specialised Anti-Corruption bodies;
      • Conflict of interest;
      • Freedom of access to information;
      • Internal and external audits;
      • Ombudsman institutions;
      • Public procurement including acquisition and asset disposal; and
      • Human resources management.
    11. BI is an ongoing programme. The capacity building activities planned and 2013‑2014 will be kept under review and adjusted to take account of the results of this research and analysis and experiences on the ground. The benchmarks identified through this effort will be used in the further development of the BI Tool Kit.
    12. An initial set of tailored activities are being developed in cooperation with the Geneva Centre for Democratic Control of the Armed Forces. Information regarding these activities will be circulated through the EAPC. As part of an overall approach to promote good practice and sharing of knowledge participating nations are invited to consider offering to host one of the BI tailored activities planned for 2013-2014.
    13. An ad hoc team composed of Norway, Bulgaria and NATO IS will carry out the research and analysis. The ad hoc team will also make recommendations for further activities to be developed for 2015-2016. The Tailored BI Programme for SEE will be kept under ongoing review and adjusted to meet the changing circumstances and capabilities of the nations taking part. A formal review and stocktaking will be conducted on an annual basis with key stakeholders and presented to nations.

    Expected outcome

    1. The Tailored BI Programme for SEE is expected to:
      • Improve nations understanding of the risks of corruption in the defence and security sector;
      • Identify priorities and formulate a road ahead for common action;
      • Provide advice on the application of institutional practices and procedures aimed at strengthening transparency, accountability and integrity in the defence and security sector;
      • Develop benchmarks so that nations can monitor change;
      • Provide education and training to promote good practice and build capacity; and

    Promote wider use of existing BI NATO tools and mechanisms and how they can be used to strengthen transparency, accountability an integrity in the defence and security sector.

    Building Integrity (BI) tailored programme for Afghanistan

    Aim

    1.  The Tailored Programme to Build Integrity and Reduce the Risk of Corruption in the Afghan National Security Forces (ANSF) is focused on promoting good practices and developing capacity of the civilian and armed forces in Afghan Ministry of Defence (MOD) and Interior (MOI) to assist the Government of the Islamic Republic of Afghanistan (GIRoA) in its efforts to build integrity and reduce the risk of corruption. The Tailored Programme is to be implemented over 2011-2021 and this text addresses implementation during transition ending 2014.
    2. Supporting institutional change requires a sustained and aligned effort by the international community. This programme is part of the NATO Enduring Partnership with Afghanistan and is complementary to the ongoing efforts carried out by other international organisations.

    Background

    1. In October 2011, the Afghan MOD and MOI of the Government of the Islamic Republic of Afghanistan (GIRoA) agreed to the recommendations of the BI Self Assessment and Peer Review Process. These recommendations include the development and the implementation of an action plan to build integrity, increase transparency and improve accountability in the ANSF through the development of processes and procedures.
    2. Leadership and specialized areas of the management of financial resources (budgeting, procurement, contracting) and human resources (including recruitment and merit-based promotion) have been identified by the GIRoA, NATO and other stakeholders as priorities within the defence and security sector to reduce the risk of corruption and sustain the ANSF. Accordingly, this implementation plan has been designed to meeting gaps in these two key areas.
    3. Cognisant that education and training are key to building capacity and transforming institutions, the Tailored Programme is focused on strengthening ANSF capacity and includes:
      • Establishing and sustaining a Pilot BI Center in Kabul; and
      • Designing and delivering tailored BI education and training.

    The BI team assigned to the BI Centre will focus on the integrity, transparency and accountability of the MOD and MOI process to include planning, programming, formulation, adoption, execution and control of the financial (budget and procurement) and human resources.

    1. The focus on institutional and individual capabilities provides a framework for the longer term effort to develop systems and procedures to support the ANSF. The establishment of civilian led security ministries and institutions to direct, oversee, manage and resource the ANSF is part of successful transition. MOD and MOI need to have institutional capabilities (procedures and staff) to provide effective management and to support the development of forces that the Afghan people will respect and trust. These actions are streamlined to further ensure a national accountable leadership and an early involvement in the gradual management of financial and human resources scheduled for post-2014.
    2. In developing this plan, the NATO International Staff (IS) has taken into account the outcome of recent high level meetings in particular Bonn II and the Chicago Summit. This also includes the mutual accountability provisions agreed at the Tokyo Conference which have resulted in the Afghan Presidential Decree on Fighting Corruption.
    3. These efforts will complement and reinforce bi-lateral efforts such as those supported by the US. To the extent possible, activities will be conducted in Afghanistan. Implementation will be supported by dedicated BI staff based in Kabul and be supported by a network of BI Implementing Partners and a pool of subject matter experts drawn from government and civil society providing greater flexibility.
    4. The NATO IS will continue to be responsible for the design, implementation and monitoring of the tailored BI Programme for the ANSF. The NATO Support Agency (NSPA) will provide reinforced support in Afghanistan.
    5. NATO IS continues to work closely with key stakeholders engaged in developing ANSF institutional capabilities - in particular the US Office of Secretary of Defence programmes – Defence Institutional Reform Initiative and Ministry of Defence Advisors as well as NATO Training Mission -Afghanistan and the Anti-corruption Synchronization Working Group.
    6. The approach and planned activities include a mix of short and long term measures with an emphasis on the development and promotion of good practice and practical measures. The Tailored Programme will be adjusted as appropriate taking into account experiences gained and changing conditions. 

    Development of a tailored programme

    1. The BI contribution to NATO led efforts will focus on enhancing ANSF capabilities including transfer of knowledge, sharing good practice and development of skills aimed at :
      • Strengthening transparency and accountability to support the design of financial and human resources management systems; and
      • Enhancing education and training capabilities, laying the ground work for the development of a BI Centre in Kabul to become a centre of knowledge within the Afghan National Security University.
    2. The BI programme has been developed taking into account priorities identified for transition including gradual evolution towards on-budget support and will build capacity of MOI and MOD in programming, implementation and managing budgeting in accordance with laws established with the Ministry of Finances and other international stakeholders such as the World Bank and the UN.
    3. Enhancing education and training capacity is a key element in sustaining change in the ANSF. The implementation plan focuses on further enhancing ANSF knowledge of the impact of corruption in the defence and security sector, their operations and the consequences for the people of Afghanistan and will promote best practices.
    4. The 2012-2014 Tailored Programme also encourages the integration of gender issues in the curriculum and ensure women serving in the ANSF have access to BI courses and resources.

    Expected outcome

    1. The 2012-2014 Tailored Programme for Afghanistan is expected to:
      • Improve knowledge and understanding of the risk of corruption in the defence and security sector at all level and its impact on MOD and MOI;
      • Develop capabilities of a BI Afghan core team as a start-up team of the BI Center to be able, post-2014, to run the BI Center at the ANSU. This team should also be able to map current education and training activities as well as procedures in accordance with the key identified areas of potential niches of corruption – management of financial and human resources;
      • Provide specialized education and training, including train-the-trainer programmes to promote good practices, embed integrity, transparency and accountability in planning, budgeting, contracting and managing human resources in the defence and security sector; and
      • Continuing to embed and assess BI into ANSF curriculum.

    1. http://www.nato.int/cps/en/natolive/search.htm.

    2. Building Integrity in Defence Establishments: A Ukrainian Case Study ed. V. Badrak, Kyiv 2012. Available in English and Ukrainian.