Chapter 7. Plan of action for the implementation of the OECD recommendations

1. Set up mechanisms to allow continuous consultation and co-ordination between the CLACS and all relevant actors of Coahuila’s public sector not formally part of the Co-ordination Committee.

2. Establish specific cross-government/sectoral working groups for the design of the State Anti-corruption Action Plan as well as the implementation of corresponding initiatives.

3. Link the State Anti-corruption Action Plan with key state strategic documents (including Coahuila’s State Development Plan, Coahuila’s Programme for Administrative Modernisation, Audit and Accountability, Coahuila’s Special Programme for Transparency, and Coahuila’s Open Government Action Plan).

1. Establish rules and procedures on the responsibilities of CLACS constituent institutions, including on their participation in the system and the implementation of its decisions.

2. Request that each CLACS constituent institution nominate a person or unit responsible for co-ordinating work with the bodies of the system and for ensuring follow-up and implementation of activities and decisions.

1. Ensure active involvement and participation of municipalities when discussing relevant pending legislation to be reformed or adopted within the NACS reform process.

2. Establish a working group within the CLACS Executive Secretariat to design tools and instruments of co-operation between the state and municipalities, but also to encourage communication and information exchange among municipalities.

3. Carry out a preliminary assessment of existing anti-corruption policies and structures in municipalities in order to map gaps, duplication of rules, and overlapping and low-quality regulations.

4. Assess the status of existing integrity and anti-corruption-related co-ordination agreements with municipalities, and provide technical support to monitor their implementation and improve their effectiveness.

1. Carry out an assessment within CLACS constituent institutions and bodies to identify synergies and capacity needs in relation to new responsibilities, activities, and co-ordination mechanisms.

2. Identify specific expertise criteria needed to fulfil the technical positions of staff within the CLACS Executive Secretariat.

3. Discuss and plan the short- and long-term budget implications of the CLACS with all relevant institutions.

1. Elaborate a roadmap establishing clear objectives and responsibilities for the adoption of the pending CLACS-related legislation and regulations.

2. Adopt pending CLACS-related legislation and regulations through the full engagement and commitment of all relevant ministries, municipalities, and stakeholders.

3. Put into motion the creation of the CLACS and, in particular, launch the member selection process for the Citizen Participation Committee.

1. Carry out an awareness campaign among senior managers concerning the effects and changes needed to implement the CLACS-related reforms at the organisational level.

2. Define specific responsibilities in the implementation of the reform for each management level.

3. Set up tools to monitor and assess senior and middle managers’ responsibilities in implementing CLACS-related reforms.

1. The appointment procedure of the Citizen Committee should enable the participation of independent and reputable experts representing various components of civil society.

2. All steps of the appointment process should comply with highest standards of transparency and guarantee fairness and inclusiveness.

3. Make publicly available additional data on selected members of the Citizen Committee, including their relevant experience and knowledge as well as a signed declaration disclosing any conflict of interest.

1. Establish specific working group(s) within the CLACS bodies such as the Co-ordination Committee and the Citizen Participation Committee. This will ensure wide multi-stakeholder participation in the CLACS (private sector, trade unions and media).

2. Ensure continuous co-operation and commitment between the CLACS and external stakeholder organisations through agreements to be monitored by the Co-ordination Committee.

3. Involve and consult external stakeholders when discussing remaining legislation to be reformed or adopted in relation to the NACS reform process.

1. Create the Specialised Unit for Ethics and Prevention of Conflicts of Interest (UEECPI) within SEFIR with the role of counselling and guiding public officials, but not sanctioning.

1. Determine size and budget of Integrity Contact Points/Person in each ministry.

2. Create Integrity Contact Points and assign them a purely preventive role.

3. UEEPCI could establish a network among the Integrity Contact Points in each ministry

1. Leverage the co-ordination agreement on collaboration and transparency and the fight against corruption to support the implementation of the public ethics policies

1. Streamline the values included in the Code of Ethics and Conduct and ensure that links with sanctions are clear.

2. Adapt the Code of Ethics and Conduct to introduce a provision on the management of conflict-of-interest situations.

3. Develop guidance material that explains the Code’s values through practical examples.

4. Distribute guidance material throughout the entire administration, including municipalities, regulatory bodies, and state-owned enterprises.

1. Provide clear methodological guidance to assist the entities in developing their own specific Codes of Ethics and Conduct.

2. Develop specific Codes of Ethics and Conduct in line ministries and public sector organisations respecting entity-specific risk according to a consensus-based approach.

3. Develop relevant and concrete examples of values in the organisation’s day-to-day business to which employees can easily relate.

1. Develop a manual on conflict-of-interest situations specific to public procurement and explain how public officials can identify conflict-of-interest situations.

2. Establish specific conflict-of-interest policies and guidance for other remaining at-risk areas such as senior civil servants, auditors, tax officials, and political advisors.

1. Identify key messages, communication channels, and expected outputs.

2. Develop awareness-raising campaigns based on previous identification of messages, channels, and outputs.

3. Implement awareness-raising campaign in entities.

4. Periodically evaluate awareness-raising campaigns.

1. Identify key messages, training format, and expected outputs for induction training and specific trainings for at-risk positions.

2. Develop trainings based on previous identification of messages, channels, and outputs.

3. Implement training activities.

4. Periodically evaluate training efforts.

1. Identify training needs to determine necessary number of trainers.

2. Determine necessary skills and qualities for trainers.

3. Develop formal public integrity trainer certification courses.

4. Raise awareness with managers and public officials about opportunities to become a trainer.

1. Update guidelines for preventing and managing conflict of interest and distinguish conflict-of-interest policies from policies concerning submission of asset declarations.

2. Identify existing awareness campaigns (internal and external) in which to embed a campaign on the disclosure system.

1. Develop a clear and specific set of criteria to determine which public officials are required to submit an asset declaration.

2. Ensure that size of potential filers is aligned with the resources and capacity of the disclosure agency.

3. Mandate an entity to be responsible for interpretation of criteria.

4. Build a list of filers and make sure it is frequently updated.

1. Develop a clear and specific set of criteria to determine which declarations are verified.

2. Establish which methods are used in the verification process, and in which order.

3. Determine which actions are taken when irregularities are found during the verification process.

1. Map sources of information needed for effective verification.

2. Establish agreements with other agencies to cross-check databases through the National Permanent Commission of State-Federation Comptrollers (Comisión Permanente de Contralores Estado-Federación, CPCE-F) and the National Conference of Governors (Conferencia Nacional de Gobernadores, CONAGO).

1. Define objectives at the output level for public ethics-related integrity policies.

2. Consult entities and experts to identify relevant indicators for each objective.

3. Develop clear, measurable, and realistic indicators.

4. Examine existing databases for the applicability of these indicators and, if needed, create new methods to collect data.

5. Create a monitoring report according to a pre-determined timeframe.

6. Develop recommendations according to this monitoring report.

1. Conduct a survey among the declarants and Internal Control Units to ensure user-friendliness and relevance of the requested information.

2. Collect data on human and financial resources in relation to the asset declaration system’s effectiveness.

3. Collect data on sanctions related to the asset declaration system.

4. Centralise information and develop monitoring reports accordingly.

5. Develop recommendations according to monitoring reports.

1. Collect current legislative duplication and identify gaps in whistleblower protection.

2. Develop dedicated whistleblower protection law.

3. Meet with stakeholders to ensure comprehensiveness and clarity of law proposal.

1. Develop clear criteria for a protected disclosure.

2. Consult with stakeholders on comprehensiveness and clarity of criteria.

3. Communicate criteria internally and externally through different communication channels.

1. Include a provision in the law that makes anonymous disclosures possible.

2. Communicate the possibility of anonymous disclosure internally and externally through different communication channels.

1. Establish protection for those disclosing information pertaining to an act of corruption that might not be recognised as a crime, but could be subject to administrative investigations.

1. Design dedicated Whistleblower Protection Law to prohibit dismissal of whistleblowers without a cause and to prohibit any other kind of formal or informal work-related sanction that has been exercised in response to the disclosure.

2. Communicate the scope of protective measures internally and externally through different communication channels.

1. Establish in the Criminal Code the prohibition to exercise reprisals against whistleblowers in line with international standards.

2. Expand the criminal prohibition of reprisals so that it does not only apply to alleged criminal acts.

3. Establish in the Criminal Code the prohibition to disclose, or to threaten to disclose, the identity of a whistleblower.

1. Expand the scope of criminal prohibition to the threat to exercise reprisals against whistleblowers.

1. Reverse the burden of proof to the employer to provide evidence that a sanction is not related to a disclosure of misconduct.

2. Adapt the criteria the disclosure needs to meet in order to shift the burden of proof to the employer.

1. Include a comprehensive list of remedies in the Whistleblower Protection Law.

2. Allow whistleblowers to introduce their own recourse before courts.

1. Formalise a channel for disclosure of misconduct to senior public officials.

2. Ensure that a choice of disclosure channels (internal, external to designated body, external to media/public) is available.

3. Explain the steps to follow and the processes to abide by for each available channel.

4. Design and conduct information campaigns that make public officials and the public aware of the different disclosure channels, how anonymity or confidentiality is protected, and which remedies would be available in the case of reprisals.

1. Utilising the future electronic platform, define a follow-up mechanism through which whistleblowers are kept informed of the proceedings.

2. Regularly evaluate the procedural burden of the follow-up mechanism.

1. Review international good practices of independent whistleblower agencies.

2. Create an independent body with the capacity to receive, investigate, and provide remedies for complaints related to retaliation. Alternatively, if adequate financial resources cannot be guaranteed due to budget constraints, create the position of an anti-corruption commissioner or trust attorney.

3. Ensure that the agency is independent, that it has sufficient budgetary resources to enable it to operate effectively, and that it meets the objectives of the law.

4. Obligate the agency to report to congress annually.

5. Independently evaluate the agency on a regular basis.

1. Identify key messages, communication channels, and expected outputs.

2. Develop awareness-raising campaigns based on previous identification of messages, channels, and outputs.

3. Implement awareness-raising campaigns in entities and externally.

1. Define objectives at the output level for the goals of the whistleblower policies.

2. Consult entities and experts to identify relevant indicators for each objective.

3. Develop clear, measurable, and realistic indicators.

4. Examine existing databases for the applicability of these indicators and, if needed, create new methods to collect data.

5. Create a monitoring report according to a pre-determined timeframe.

6. Develop recommendations according to this monitoring report.

1. Integrate the existing internal control and risk management framework with additional guidance and information on how to deal with corruption risks.

2. Align Coahuila’s General Standard for Internal Control to the Standard Model of Internal Control adopted by the federal Ministry of Public Administration in 2016, introducing a principle dedicated to managing corruption risks as well as specific methodologies, risk factors, and mitigation strategies to address them.

3. Adopt a set of dedicated procedures, standards, and tools to effectively prevent, detect, and respond to risks of fraud and corruption.

1. Revise Coahuila’s General Standard for Internal Control in line with the federal Standard Model of Internal Control, which codifies the principle that “the organisation demonstrates a commitment to integrity and ethical values”.

2. Create a control environment non-conducive to corruption.

3. Emphasise the value of role models through initiatives such as ethical screening of managers, seminars and awareness campaigns, communicating concrete compliance actions, self-assessment tools, and 360° evaluations for managers.

1. Clarify the roles and responsibilities of managers in relation to internal control and risk management processes and activities through official channels or directives.

2. Take measures to integrate internal control processes into the four phases of the management cycle (planning, execution, analysis, reaction).

3. Complement the general guidelines provided through the Manual for General Application on Internal Control with ad-hoc guidance on risk-management arrangements, tools, and methodology.

1. Develop a concrete action plan to promote data quality and the use of data analytics tools for effective risk management.

2. Use the Local Digital Platform to be created within the CLACS as a tool to test data analytics tools and strategies to improve internal control and risk assessment.

3. Develop a strategy to move towards a more advanced use of data analytics for anti-corruption purposes such as to verify and validate transactions or to uncover potential and actual corruption.

1. Gradually appoint internal control units in all ministries after elaborating a priority list based on a corruption risk-assessment.

1. Improve SEFIR’s internal audit function with regards to fraud and corruption investigations by scaling up training and capacity building efforts, especially in relation to the increased competence to conducting administrative proceedings for non-serious offences.

2. Ensure, within SEFIR, adequate financial and human resources to improve effectiveness in its investigations and to be able to conduct administrative proceedings in relation to non-serious administrative offences.

1. Elaborate and make public data more intelligible by presenting them in a plain, aggregated, and simplified format, also by means of online visualisation tools.

2. Promote awareness-raising and capacity-building initiatives to narrow the digital divide and promote the use of public data among citizens.

1. Identify a single transparency portal providing comprehensive access to all the information and data provided by public institutions.

2. Ensure that this single transparency portal is user-friendly and possesses a high level of usability and reusability of data and information.

1. Improve the understanding of available stakeholder participation and oversight tools by devoting a specific section of its future single transparency portal to explaining, describing, and promoting them.

2. Use ICTs to further enable the engagement of society in public life, for instance through a multi-channel platform.

1. Organise periodic meetings among relevant institutions and social actors to identify additional typologies of information which could potentially enhance transparency and accountability of public institutions.

2. Create a simple and user-friendly platform for citizens to submit ideas on how to improve transparency.

3. Allow users to take full advantage of the existing open data platform by allowing them to enrich it with new datasets.

1. Create a transparency index measuring compliance of Coahuila’s public entities with transparency obligations, and make the corresponding results public and easily accessible.

2. Present the transparency index through visualisation tools and customisation options, and elaborate indicators not only related to compliance with the legal framework but also to the implementation and effectiveness of corresponding efforts.

1. Develop a plan to consult procurement officials and other stakeholders (internal and external) on what a Code of Conduct or Ethics for procurement officials should prescribe.

2. Consult with procurement officials and stakeholders.

3. Review the national (SFP) and international (OECD) experiences on integrity standards for procurement officials.

4. Draft the Code of Conduct or Ethics for procurement officials, focusing on the risks implied by this activity.

5. Draft guidance documents, tutorials, and training materials to illustrate how procurement officials should apply the values and principles included in the Code (comprising practical situations).

6. Set up a team to support other entities and municipalities in the development of their own codes and integrity rules for procurement officials.

1. Review the Code of Conduct for suppliers in an effort to balance values-based behaviours with the current rules-based approach.

2. Organise a consultation, awareness-raising, and communication plan for the new Code of Conduct for suppliers and the Conflict-of-Interest Manifest (websites, during the application for the supplier registry, etc.).

3. Organise a programme of integrity training for the supplier community, with possible leverage on business chambers to widen the outreach.

4. Design a system to scrutinise Conflict-of-Interest Manifests provided by suppliers and cross-check them against procurement officials’ declarations. Such scrutiny should be risk-based.

5. Publish guidance for suppliers defining potential, real, and apparent conflict of interest (may want to use SFP and OECD materials and publications) and explaining to different audiences how to use the Conflict-of-Interest Manifests.

6. Amend the conflict-of-interest declaration system to allow suppliers to update their manifests as required.

7. Appoint contact points in the tendering institutions to provide advice to suppliers on how to fill out the Conflict-of-Interest Manifests.

8. Evaluate periodically the effectiveness of the conflict-of-interest policy as applied to procurement operations.

1. Publicise and communicate more widely the manuals on internal control and risk management and raise awareness on the internal control strategy, including through training.

2. Develop a risk mapping and a red flag system for procurement activities, including corruption and fraud risks, and anticipating mitigation measures. Specific templates should be used.

3. Develop guidance and training on how to apply internal control in procurement activities.

4. Evaluate and periodically update risk mapping, reviewing the criticality of each risk and the effectiveness of the mitigation measures.

1. Review the regulatory framework governing integrity in public procurement to avoid dispersion and duplication.

2. Develop a comprehensive communications programme on the integrity strategy for procurement operations, emphasising recent tools developed by the state and the federal governments, and targeting different audiences.

1. Identify the universe of public officials with procurement-related tasks

2. Develop integrity training programmes for procurement officials to raise awareness about integrity risks and develop knowledge on ways to mitigate such risks. Trainings could take place as part of induction mechanisms and on an ongoing basis.

3. Establish e-learning courses on integrity in public procurement.

4. Design a certification/evaluation mechanism to assess the effectiveness of the training programmes and e-learning courses.

1. Promote and facilitate the development of integrity standards by supplier companies and/or the adoption of those standards upheld by the government of Coahuila.

2. Develop a Business Integrity Programme, including codes of conduct, internal controls, compliance measures and monitoring, mirroring the efforts undertaken by SFP at the federal level.

3. Include “no corruption” commitments in contracts to supply goods, services, or works to the state government.

4. Amend the LAACSEC and the LOPSEC to include the figure of “integrity pacts”.

5. Establish co-operation agreements and integrity pacts with business associations to carry out joint actions in favour of integrity in public procurement.

1. Accelerate the implementation of social witnesses, particularly in high risk tender procedures. This will require a process of selection and training of the individuals or organisations acting as social witnesses.

2. Systematise the implementation of social comptrollership programmes and widen their application.

3. Periodically evaluate the effectiveness of social witnesses and social comptrollership programmes and communicate the results widely.

1. Create a specific public procurement page on the Coahuila Transparente website to consolidate procurement-related information and avoid dispersion. This page could be called “Coahuila Compra” and could include information from the pre-tender, tendering, and post-tender stages.

2. Upgrade SITODEM to provide information about procurement operations, spending, and physical and budget exercise of public works.

3. Include complaints boxes in Coahuila Transparente and SITODEM to report corrupt behaviours in public procurement.

4. Run focus groups with different audiences (i.e., business chambers, civil society, academics, etc.) to identify useful procurement information that is not being published, and organise access to information websites in a more user-friendly manner.

1. Continuously monitor the choice for non-competitive procurement processes (i.e. direct awards) and restricted invitations to ensure proper justification is provided.

2. Ensure that all the documentation pertaining to direct awards, including market analyses and justifications, are published, unless an exception applies under the Transparency and Access to Information Law.

1. Finalise the implementation of the system for online supplier registration (REPROCO)

2. Develop an e-procurement solution for purchases financed with state funds. This solution should encompass the full public procurement cycle (i.e. from procurement planning to contract management and payment to suppliers) and should include a module for reverse auctions.