New subfamily of public integrity and anti-fraud measures. What items does it include?

Legal obligation
It does not expressly come from a mandate of Law 19/2014, of 29 December, on transparency, access to public information and good governance (LTAIBG). However, it is recommended to provide this information to inform citizens.

Information to be published and frequency of its update
Documentation, resources, websites and access to the institution's Integrity Plan, and to the documents that make up the institutional integrity system.

It is recommended to review and update the information annually, and each time there is a modification to the published information.

Explanation
The institutional integrity system of the local entity is configured as the set of mechanisms for preventing and detecting fraud and strengthening the democratic quality of the institution.

The implementation of an institutional integrity system must be preceded by a plan of the measures, instruments and actions that each administration plans to gradually implement, and the bodies that are planned to be created to guarantee the correct functioning of the mechanisms developed. This planning can be reflected in an Institutional Integrity Plan.

To facilitate knowledge of the integrity system by all public servants and citizens in general, it is advisable to publicize the Institutional Integrity Plan through the Transparency Portal of the local entity.

Publicity of the institutional integrity system can be carried out alternatively:

• Publishing the document that embodies the Integrity Plan.
• Publishing the reference to the Anti-Fraud Measures Plan (if they specifically have one), with a link to the specific item.
• Publishing the documents of all the instruments that make up the institutional integrity system. Including:
  o Declarations of Absence of Conflicts of Interest.
  o Risk map and risk assessment.
  or Red flags.
  or Preventive measures.
• Publishing links to the spaces of the web portal, and/or access information to the integrity instruments implemented by the institution.

Where is the information located?
In the Institutional Integrity Plan approved by the local body, or in the spaces where access to the various instruments of the integrity system is facilitated.

Item type
Descriptive manual.

Source
Own organism.

Specific data
Documentation of the Institutional Integrity Plan. Links to the web spaces where access to the integrity instruments of the local entity is facilitated.

Additional information
Anti-Fraud Office of Catalonia
Guide for the implementation of integrity plans in local administration

Related items

• Anti-Fraud Measures Plan.
• Institutional declaration.
• Code of ethics and/or conduct.
• Declarations of assets and activities.
• Gifts and presents policy.
• Agenda of senior officials.
• Register of Interest Groups.
• Anti-Fraud Commission.
• Internal alert system.

Last file review date
February 2025.

Legal obligation
Art 6 of Order HFP/1030/2021, of September 29, which configures the management system of the Recovery, Transformation and Resilience Plan. ( BOE ).

Information to be published and frequency of its update
Publish the Anti-Fraud Measures Plan approved by the highest governing body or authorities of the organization.

The frequency of updates will be based on the approved document and any modifications/new developments that may occur. Remember that the Anti-Fraud Measures Plan must be reviewed annually or biannually.

Explanation
The preparation of Anti-Fraud Measures Plans (AFP) is a requirement in the execution of the funds of the Recovery, Transformation and Resilience Plan, and is the document that must contemplate the measures aimed at preventing, detecting and correcting fraud, corruption and conflicts of interest, and avoiding double funding, complying with the requirements set out in article 22 of the MRR Regulation, in the Recovery Plan and in the Financing Agreement signed between the European Commission and Spain.

Anti-fraud measures plans are regulated in article 6 of the PRTR Management Order (Order 1030/2021, of September 29), indicating in its section 1 that “(…) any entity, decision-maker or executor, that participates in the execution of PRTR measures must have an Anti-fraud Measures Plan that allows it to guarantee and declare that, in its respective field of action, the corresponding funds have been used in accordance with the applicable rules, in particular with regard to the prevention, detection and correction of fraud, corruption and conflicts of interest”.

In accordance with article 6.5 of the PRTR Management Order, the approval of anti-fraud measures plans is the responsibility of the decision-making and executing entities defined in Annex I of the Order.

Regarding the approval indicated in the scope of the entities that make up the Local Administration, they will be the highest governing bodies or authorities in the respective Local Entity and, in the case of entities that make up the state, regional and local institutional public sector, they will be the presidents, directors or equivalent positions of these.

On the other hand, according to article 6 of Law 5/2002, of April 4, regulating the official gazettes of the provinces, "provincial councils are obliged to publish in the Official Gazette of the Province all the provisions, ordinances, resolutions, edicts, announcements, acts or agreements of the different public administrations and the Administration of Justice that must be inserted there by virtue of a legal or regulatory provision, as well as other acts or announcements that those authorities send them...,".

Likewise, the explanatory memorandum of the same law establishes the bulletin as the instrument for publicizing the provisions and actions of public administrations at the provincial level.

Under this regulation, and in order to give official status and dissemination to the "Anti-Fraud Measures Plans" regulated in Order HFP/1030/2021, of September 29, which configures the management system of the Recovery, Transformation and Resilience Plan (PRTR), its publication in the Official Gazette of the province is recommended. In this way, the obligation of active advertising set out in Law 19/2013, of December 9, on transparency, access to public information and good governance is fulfilled, while guaranteeing the authenticity and integrity of the announcement, evidence of the effective publication date of both the original text and possible subsequent modifications and corrections, as well as the durability of the text.

Remember that the Anti-Fraud Measures Plan must be reviewed annually or biannually.

If you consider it necessary to expand the information, you can add links to the following models approved by the entity, and linked to the PMA:
- Declaration of Absence of Conflicts of Interest (DACI) Model.
- Risk map and risk assessment model.
- Red flags foreseen by the entity.
- Preventive measures approved by the entity.

Where is the information located?
● In the organism itself.
● CIDO.

Item type
Automatic with open data (CIDO)
Descriptive manual

Source
● CIDO (automatic with open data – via AOC).
● Own organism.

Specific data
In the case of a descriptive manual item, publish:
● Title or brief description.
● Publication date.
● Documents.
● Links to the web spaces or other items where it is published (example "Institutional integrity plan").

Additional information
Anti-Fraud Measures Plan models and documents .

Related items
Institutional integrity system.

Last file review date : February 2025.

Legal obligation
It does not come from a specific legal obligation. Order HFP/1030/2021, of September 29, includes the need to approve at the highest institutional level the firm commitment against fraud and corruption within the framework of the management of Next Generation funds. It is also considered an essential element in the creation of an institutional integrity system.

Information to be published and frequency of its update
Publish the institutional declaration of commitment to promoting the policy of integrity and the fight against fraud.

It is recommended that it be updated when modifications occur in the published text, or the approval of a new declaration that replaces the previously published one.

Explanation
The creation of an institutional integrity system in a local entity must have a public and explicit commitment from the corporation's plenary session and/or the government team, which expresses the will to promote a policy of promoting integrity and public ethics, and regulatory compliance in the organization, and the commitment to fighting corruption and fraud.

This manifestation can be formally expressed in an institutional declaration where the will of the members of the corporation is publicly expressed to act with full respect for the ethical principles and the standards of conduct expected of elected officials, and to promote a strategy to promote public integrity and probity in the actions of the public servants of the local entity. The strategy will be reflected in the creation of an institutional integrity system, configured as the set of mechanisms for preventing and detecting fraud and strengthening the democratic quality of the institution.

It should also be taken into account that in accordance with Order HFP/1030/2021, of September 29, entities receiving funds from the PRTR are obliged to develop an Anti-Fraud Measures Plan (PMA) to incorporate measures to prevent, detect and correct fraud, corruption and conflicts of interest into the management of the funds.

The institutional declaration of commitment to promoting the integrity policy and the fight against fraud is one of the prevention measures planned, in accordance with Order HFP/1030/2021, in the preparation and application of the Anti-Fraud Measures Plan.

Where is the information located?
In the Integrity Plan and/or the Anti-Fraud Measures Plan approved by the entity.
In the Plenary agreement approved by the organization.

Item type
Descriptive manual.

Source
Own organism.

Specific data

• Date.
• Name of the document and/or text of the institutional declaration approved by the local entity.
• File.
• Links to the websites where it is published.

Additional information
Annex III.C of the Order develops a proposal for measures and instruments that can be incorporated into the Anti-Fraud Measures Plan. In the area of fraud prevention, the following is proposed:
C. Involvement of the organization's authorities, who must:
i. Demonstrate a firm commitment against fraud and communicate it clearly, which implies zero tolerance for fraud.

Likewise, in the management of Next Generation funds, each organization must carry out the self-assessment test in Annex II.B.5 of Order HFP/1030/2021, which incorporates as a question:
Is there a declaration, at the highest level, where you commit to fighting fraud?

In accordance with the above, therefore, it is recommended that the Plenary of the corporation approves an institutional declaration that expresses the institution's commitment to preventing fraud and conflicts of interest, and promoting public integrity.

Related items
Institutional integrity system.
Anti-Fraud Measures Plan.

Last file review date : February 2025

Legal obligation
Directive (EU) 2019/1937 of the European Parliament and of the Council of 23 October 2019 on the protection of persons reporting on breaches of Union law.

Law 2/2023, of February 20, regulating the protection of people who report regulatory violations and the fight against corruption.

Information to be published and frequency of its update
Access to the Internal Alert Channel, which must be on the home page of the entity's website in a separate section, and the operating instructions or regulations for the internal alert system approved by the local entity.

The information will be updated whenever there are changes.

Explanation
The transposition of the Whistleblower Directive (DIRECTIVA (EU) 2019/1937) has been carried out through Law 2/2023, of February 20, regulating the protection of people who report regulatory and anti-corruption violations.

This law has introduced several new features in terms of internal information channels that were not included in the Directive, among which the creation of the so-called Internal Alert System (SIA) and the obligation to implement it in all public administrations, as well as in participating companies with more than 50 workers, stands out.

The Internal Alert System is, as described in Chapter II of the law, the channel that allows the communication of irregular events that have occurred within the organization, activating a circuit in which the information is sent, received and treated confidentially, leading to the start of an internal investigation. Cases that may constitute a criminal offense will be referred to the Public Prosecutor's Office, the European Public Prosecutor's Office, the Anti-Fraud Office of Catalonia, or the authority that corresponds to the matter.

In accordance with article 2 of Law 2/2023, alerts sent through the SIA must refer to actions or omissions that constitute serious or very serious administrative offences or constitute a crime. These also include actions or omissions that may constitute infringements of European Union law.

Regarding the personal sphere, article 3 of Law 2/2023 determines that it will apply to people who communicate or publicly declare information about violations, when this has been obtained in a work or professional context. Only in these cases will they be entitled to receive the protection measures provided for in the law.

According to the model defined by the Open Government Network, the elements that make up the SIA are:

• The internal alert channel, which must guarantee confidentiality and allow anonymity.
• System policy and strategy.
• Alert management procedure.
• The protection mechanisms for whistleblowers.
• The system manager, responsible for receiving and managing alerts independently and autonomously. It can be a single-person or collegial body.

The implementation of the SIA requires, at a minimum, the following actions:
1. Communication of the launch of the System to the workers' representatives.
2. Approval of an internal standard determining the alert management procedure.
3. Have an internal alert channel , which allows for anonymous and secure alerting. The Open Government Network, through the AOC Consortium, makes the Alert Channel service available to local entities.
4. Designate a person or a collegiate body, within the organization, as Head of the Internal Alert System and communicate this designation to the Anti-Fraud Office of Catalonia .

Article 25 of Law 2/2023 regulates the obligations of active publicity of Internal Alert Systems. According to this article, adequate information must be provided in a clear and easily accessible manner on the use of the internal information channels that have been implemented, as well as on the essential principles of the management procedure.

The aforementioned information must appear on the home page of the entity's website, in a separate and easily identifiable section.

To comply with the obligations of Law 2/2023, it will be necessary to publish:
- Access to the internal alert channel
- The content of the instructions or operating regulations of the SIA approved by the entity.

In the case of information relating to the regulation of the SIA, the instruction or operating regulations of the SIA approved by the entity must be published manually.

On the other hand, although article 25 of Law 2/2023 does not establish a specific obligation to publicize the composition of the members of the body responsible for the SIA, its publication is recommended. Knowing the identity of the members of the body responsible for the SIA could make it easier for the whistleblower to identify possible conflicts of interest with respect to the information they wish to communicate, and decide whether sufficient guarantees are given for the processing of the alert in the organization, both for the objective investigation of the facts, and to avoid reprisals against them.

According to the Opinion of the APDCAT, the publication of the identifying data of the persons responsible for the internal information systems provided for in Law 2/2023, of February 20, regulating the protection of persons who report on regulatory infringements and the fight against corruption, may have as its legal basis article 9.1.b) of the LTAIBG in relation to article 6.1.c) of the RGPD, to the extent that its character as an administrative body is considered in the terms of the regulations on the legal regime of public administrations.

The APDCAT considers that there is a public interest that would justify the publication of this information, in accordance with article 8.1.m) of the LTAIBG, which in relation to article 6.1.e) of the RGPD, would constitute a valid legal basis for the processing of these personal data. In accordance with the principle of data minimization, the publication must be limited exclusively to the data strictly necessary, such as the name and surname, the position or position held, the body and the scale, the functions performed, as well as the professional contact details, the telephone number and the addresses, postal and electronic, of professional contact.

Where is the information located?
In the organism itself.

Item type
Automatic (with manual section: publication of the regulations, and the composition of the body responsible for the system if applicable)

Source
Own organism.

Specific data

• Link (URL) to access the internal alert channel.
• Instructions or regulations for the operation of the SIA.
• Composition of the body responsible for the SIA (if applicable).

Additional information
Open Government Network instruction model.
Request channel alerts from the AOC.
How should the Anti-Fraud Office be notified of the appointment and termination of the person(s) responsible for the Internal Information System? | Anti-Fraud Office of Catalonia

Related items
Institutional integrity system.
Anti-Fraud Measures Plan.

Last file review date : February 2025

Legal obligation
Articles: 5.4 and 46 of Law 19/2014, of December 29, on transparency, access to public information and good governance (LTAIPBG).

Information to be published and frequency of its update
The data of interest groups that act before administrations or public institutions, as well as the influence or intermediation activities that they carry out before them.

The updating of the information subject to active advertising must be permanent, with express indication of the date of the last update, as well as the expected date of the next update or the maximum update period.

In the event that the information is not updated in accordance with the required periodicity, this circumstance must be expressly stated, the reasons that prevent this and the estimated time for updating on the Transparency Portal of Catalonia.

Explanation
The Register of Interest Groups is regulated in Title IV (arts 46 to 53 LTAIPBG). By means of Decree Law 1/2017, of 14 February, which creates and regulates the Register of Interest Groups of Catalonia, article 45 of the LTAIPBG is repealed and it is established that the Register of Interest Groups of Catalonia acts as a register of interest groups of the Administration of the Generalitat, local entities and public bodies referred to in article 3.1.b) and c) of the LTAIPBG.

The Register must be organized in such a way that public knowledge of the interest groups that act before each of the administrations or institutions that make up it can be obtained, as well as the influence or intermediation activities that they carry out before them.

The Register is managed by the Administration of the Generalitat, which is responsible for registration acts and other legally provided actions, without prejudice to the powers of monitoring, auditing, control and sanction that may correspond to each of the administrations and institutions mentioned above.

The second additional provision of the Decree Law establishes that local entities may create their own registers of interest groups. However, access to the registers that local entities may create must be facilitated from the Register of Interest Groups of Catalonia, in an interconnected manner that facilitates integration and in accordance with the principle of reciprocal recognition of the respective registrations and actions, so that no more than one registration is required for each interest group.

The body responsible for the Registry of Interest Groups of Catalonia must adopt the necessary interoperability criteria to guarantee the transparency of the activity of interest groups, the principle of single registration and the interconnection and integration of registers.

Consequently, the regulation approved with the Decree Law does not prevent local entities from creating their own registers, but what was previously a legal obligation, the necessary creation of the register, is replaced by a simple legal authorization, so that all these entities and bodies can fulfill their legal obligations in this matter through the Register of Interest Groups of Catalonia or through their own register, always with the guarantee of reciprocal recognition of actions, the principle of single registration and the interconnection and interoperability of registers.

The purpose of the registry is to provide public knowledge of who carries out the influence or intermediation activity, towards whom it is exercised, with what means and results, and the code of ethics that binds the subjects to be able to carry out the activities in accordance with the Law. To act as an interest group, it is necessary to be registered.

The key to the proper interpretation of which individuals, entities, organizations, platforms, networks or other forms of collective activity should be registered in the Register of Interest Groups will be that their fundamental purpose is to influence the decision-making of the local entity. The most important thing is not the identity of the registrants, but the activities they carry out.

But not all natural or legal persons, entities, organizations, platforms, networks or other forms of collective activity, who address a local body do so with the purpose of influencing its decision-making. For example, some people address it: because they are interested in certain procedures, to present proposals for improvement, suggestions or complaints, to make inquiries regarding a certain action or public service, to exercise the right of access to certain public information, to intervene in citizen participation processes and/or to make requests included in the scope of the right of petition.

In these cases, they are addressed with an intention other than that of influencing the decision-making of the local entity. Therefore, the Register should not include these cases, but should include those people and entities and the activities they carry out that aim to influence, directly or indirectly, the decision-making process, regardless of the subject matter, the place in which they are carried out or the channel or medium used.

Direct influence is understood to be when there is some communication activity or direct contact between the interest group and a public servant. Conversely, influence is indirect when influence activities are carried out through channels such as the media, public opinion, conferences, social events, or capacity and knowledge building aimed at public servants or with their participation by express invitation.

Local entities that do not create their own interest register must activate a link with the Generalitat's Register of Interest Groups of Catalonia.

Where is the information located?
In the Register of Interest Groups of Catalonia and in the registers of each entity that may have been created.

Item type
Automatic with redirection (A*).

Additional information
The transparency portal provided by AOC includes another item associated with the "Register of interest groups", specifically the "Code of conduct for interest groups", where the rights and duties of the natural or legal persons who are part of the register can be defined. You can find more information in the following link.

Related items
6.1.8. Agenda and activities of the associations

Date of last review of the file
February 2025.

Legal obligation
It does not come from a specific legal obligation. If the local entity manages Next Generation funds, its creation is recommended for the development and implementation of the Anti-Fraud Measures Plan. It is also considered an essential element in the creation of an institutional integrity system.

Information to be published and frequency of its update
Publish the composition and functions of the Anti-Fraud Commission.

It is recommended to update it when there are changes in its composition and functions.

Explanation
Local entities that manage Next Generation funds are obliged to develop and execute an Anti-Fraud Measures Plan that complies with the requirements established by Order HFP/1030/2021, of September 29, which configures the management system of the Recovery, Transformation and Resilience Plan.

The instruments and measures of the Anti-Fraud Measures Plan (AFP) must be structured in a proportionate manner around the anti-fraud cycle (prevention, detection, correction and prosecution) and must be applied effectively.

When creating an Anti-Fraud Measures Plan and/or an institutional integrity system, it is recommended to create a specific body or unit that promotes the creation of the integrity plan and assumes the management of its instruments and measures.

The determination of the composition and functions of the Anti-Fraud Commission will correspond to each local entity, taking into consideration the specialization required to apply measures such as risk assessment, management of conflicts of interest, or management of alert channels, among others.

Where is the information located?
In the Integrity Plan and/or the Anti-Fraud Measures Plan approved by the entity.

Item type
Descriptive manual.

Source
Own organism.

Specific data
• Names and surnames, and positions of the members of the Commission.
• Functions of the Commission.
• Date of creation of the Commission.
• Appointment decree.

Additional information
Anti-Fraud Measures Plan Model prepared by the Barcelona Provincial Council .

Related items
Institutional integrity system.
Anti-Fraud Measures Plan.

Last file review date: February 2025.

Legal obligation
It does not come from a legal obligation. In accordance with article 55.3 of Law 19/2014, of December 29, on transparency, access to public information and good governance (LTAIPBG), local authorities must draw up a code of conduct for their senior officials.

Information to be published and frequency of its update
Publish the Code of Conduct for senior officials, approved by the Plenary of the entity.

The update frequency will be when the code is approved, and each time the approved text is modified.

Explanation
Local authorities and other public bodies and institutions included in article 3 of the LTAIPBG must draw up and approve a code of conduct for their senior officials. The code of conduct must specify and develop the principles of action set out in section 1 of art. 55 of the LTAIPBG, without prejudice to the possibility of establishing other additional principles, which senior officials must adhere to in the exercise of their functions. Likewise, the code must establish the consequences that arise when they are not complied with, without prejudice to the legally established sanctioning regime.

The code of ethics is applicable to senior officials in the service of the local administration. According to art. 4.2 b) of the LTAIPBG, senior officials are considered to be local representatives and the heads of superior and managerial bodies, in accordance with the provisions of local government legislation. That is, the mayor, councilors, the president, district councilors, the president of the corporation and provincial deputies. Senior officials are also considered to be senior officials, according to art. 4.2.c) of the LTAIPBG, members of the governing bodies and managerial positions of public bodies.

According to the fifteenth additional provision of the LRBRL, the holders of the bodies that exercise management or execution functions of a higher nature and that adjust their actions to the guidelines set by the governing body of the corporation must be considered as holders of superior and managerial bodies. With regard to municipalities with a large population, according to article 130 of the LRBRL, the holders of superior and managerial bodies are: the secretary of the corporation, the municipal auditor general, the head of the legal advisory service, the head of the tax management body, the head of the support body for the Local Government Board, as well as the general coordinators, general directors and similar persons. And, with regard to the rest of the municipalities, according to art. 306 of the TRLMRLC each city council must determine, in accordance with its organizational regulations, its own managerial personnel, if any. Consequently, Local Administration officials with national qualifications will be considered senior officials if expressly recognized as such by the local entity. Finally, taking into account article 16 of the TRLOCC, managers of county councils are also considered senior officials.

With regard to the holders or members of the governing bodies and management positions at the service of other public bodies in article 3 of the LTAIPBG, it is necessary to take into account the professional management staff, defined in article 13 of the TREBEP, who exercise professional management functions in public administrations, according to the specific rules of each Administration.

The Open Government Network of Catalonia, established with the aim of supporting local entities in the application of the LTAIPBG, has developed a model code of conduct for senior local officials, with the aim of guiding local entities in the development of their respective codes. The model is complemented by a guide, which specifies the different concepts and essential guidelines that appear in the model code, as well as some sheets where gifts, invitations to events, trips and meetings held can be specified. You can find more information at the following link .

The code of conduct for senior officials must be differentiated from other instruments of public integrity, which, despite having similar purposes, are different, such as codes of ethics. A code of ethics includes the ethical principles and values of good governance that must inform all public service actions and regulates the rules of conduct that must necessarily be observed by the people to whom it applies, especially those relating to conflicts of interest. The code determines the mechanisms and procedures to guarantee its effectiveness, evaluation and promotion. In Catalonia there is a Code of Ethics for the Public Service of Catalonia, which has been approved by Agreement GOV/164/2021, of October 26. You can find more information at the following link.

Where is the information located?
In the agreement of the Plenary of the local entity through which the code of conduct for senior officials is approved.

Item type
• Automatic with open data (CIDO).

Source
• In the organism itself.
• CIDO.

Specific data
• Title.
• Description.
• Approval body.
• Publication date (currently not a field in the structured manual).
• Link to the code of conduct (or possibility of uploading the document? Pending FF).

Additional information
• Model code of conduct for senior local officials .
• Guide for the development of the code of conduct for senior local officials .
• Link to the Code of Ethics for the Public Service of Catalonia .
• Model code of conduct for senior officials of local authorities, prepared by the Transparent Governments Network .
• Law 19/2013, of December 9, on transparency, access to public information and good governance ( LTAPBG ).
• Law 19/2014, of December 29, on transparency, access to public information and good governance ( LTAIPBG ).

Related items
• Senior positions.
• Institutional agenda of high officials.
• Invitations from high-ranking officials.
• Gifts from high-ranking officials.
• Institutional integrity system.
• Anti-Fraud Measures Plan.

Last file review date : February 2025.