Questions/Answers

Roads and Transport Authority (RTA) in Dubai is responsible for developing and managing integrated and sustainable roads and transportation systems at a world-class level, and provide pioneered services to all stakeholders for their happiness, and support Dubai’s vision through Shaping the future, preparing policies and legislations, adopting technologies and innovations, and implementing world-class practices and Standards. RTA was formed by the decree number 17 for the year 2005, with more than AED 8 billion budget per year and more than 6000 employees. Since RTA has a big portion of Dubai budget, RTA adopted a strong corporate governance practices; one of these practices is Anti-Fraud Framework that contains the following: • Whistle Blowing System (ALHAREES). • Anti-Fraud framework, system, policy and procedures. • Fraud Risk Management registers. • Specialized Audit Section responsible for investigating any suspected fraud and corruption cases. • Periodic anti-fraud awareness campaigns and benchmarking visits. Anti-Fraud Framework objectives are: • Promote fairness in the society. • Combat all sorts of corruption and financial fraudulence. • Safeguard RTA tangible and intangible assets. • Nurture a model business environment. • Achieve integrity and transparency. • Secure the confidentiality of the reporter’s identity. • Reinforcement of accountability mechanisms • Ensure the society participation as an active member of the anti-fraud and corruption mechanism.

Anti-Fraud Framework is promoting the award category “Developing effective and accountable public institutions” through: • Anti-fraud framework built on unique practice in Dubai government, to ensures and enhances responsiveness and accountability of RTA. • Develop different channels for enabling parties to report any suspected fraud or illegal activity by hotline phone, Suspected Cases Boxes, P.O Box and website. • Encouraging society to participate easily and confidentially to enhance transparency and accountability. • Empowering people with tools to report any abuse of resource and suspected cases. • Supporting RTA leadership in creating vision, future shaping by utilizing technology and enhance Corporate Governance with collaboration of society.

Anti-Fraud Framework foster the SDG Goal 16: “Peace, justice and strong institution” through: • Support the efforts to develop effective, accountable and transparent organization at all levels through comprehensive implementation of Anti-Fraud framework, system, policy and procedures. • Enhance stakeholder’s cooperation to eliminate corruption and bribery in all their forms. • Protect the organization and customers from negative reputation and financial loss by creating comprehensive Anti-Fraud Framework. • Achieve RTA Strategic Goals such as Dubai 2021, Smart Dubai; enhance systems, processes and corporate governance. • Excellence in delivering innovative services to customers by mitigating fraud risks identified and introducing trusted service to RTA customers.

Anti-Fraud Framework has positive impact on society by promoting concepts of transparency, fairness, accountability and trust of RTA through providing chancels; hotline phone, Al Hares Boxes, website... etc, to all categories of society to report, confidentially illegal activity or violations related to a corruption. The initiative created in harmony with Dubai plan 2021 to support the theme “Pioneering and Excellent Government” One major impact on society resulted from this effective initiative is protecting the society from fraudsters submitting forger bank letters to release the mortgage on the cars and selling the cars. RTA coordinate with stakeholders to protect the banks and the customers through: • Verified with several banks if they had mortgages for vehicles, which were valued as well discovered that the vehicles were exported and mortgages status in the Vehicles Registration System were released. • Analyzed the transactions and discovered that the fraudsters in vehicle registration transactions used different types of tricks such as submitting forger banks letterheads • RTA implement the new innovative solutions to protect the banks and enhance the level of accountability. • RTA coordinated with the Central Bank and explained the new process. • The Central bank of UAE issued memo to all banks to compulsory implement new process.

RTA innovate and develop unique Anti-fraud framework by utilizing best practices, conducting benchmarks and brainstorming to deal with any suspected cases, different channels of reporting such as hotline phone, Suspected Cases Boxes , RTA Post Office Box 118899 Dubai and RTA’s website: https://www.rta.ae/wps/portal/rta/ae/home/about-rta/alharesprogram?lang=en Innovation extended to solve any case. For example, Due to cars registration fraud case, RTA came up with an innovative solution to protect RTA interests and society by: • Enhancing Vehicles Registration System by creating a separate module for banks and giving them the authority to release their vehicles mortgages. • Introducing online verification service

The idea was internal innovation through utilizing many resources such as best practices, conducting benchmarks, brainstorming, market research, suggestion and leadership vision. Anti-fraud framework built and operated internally by the Roads and Transport Authority in order to enhance the values of transparency and accountability in line with the government directions -Dubai plan 2021, to promote the principle of society accountabilities and enhance Dubai Reputation. In addition, build the trust between RTA and stakeholders, and promote environmental sustainability; through decrease the relaying on paper and create paperless environmental.

(21) Benchmarks visits took place from other governments entities in UAE to explore the success story of Roads and Transport Authority Anti-Fraud framework. They want to adopt an effective practice and develop similar anti-fraud framework in one of the following: • Whistle Blowing System • Anti-Fraud framework, system, policy and procedures. • Creating Specialized Audit Section.

Due to the budget of more than AED 8 billion, more than 6000 employees and number of large projects and initiatives, Anti-Fraud framework must be launched to develop effective, accountable and transparent organization at all level. RTA has invested financially, human and technical resources with 15 employees from RTA with 27720 of working hours during one year and an estimated cost exceeded 5 million dirhams to develop Anti-Fraud framework and launch it, RTA continuously evaluate the effectiveness of the framework, maintain and update the whole anti-fraud framework.

Sustainability is one of the main objectives of the Anti-Fraud Framework through its association with government of Dubai plan 2021: Sustainable Economy: One of the main function of Anti-Fraud Framework is to eliminate all sort of frauds or any illegal activity, which promote Dubai reputation as preferred investment destination for foreign capital, and takes its position as the most business friendly city in the world. Sustainable society: One of the main ideas behind Anti-Fraud Framework is to promote the principle of society accountability to achieve the Goals: • Proactive and Creative in Meeting the Needs of Individuals and Society as a Whole • Sustainable and Innovative in the Management of its Resources • Transparent and Reliable Sustainable Environment: through the decrease of relaying on paper and create paperless environmental by introducing online verification service.

Yes

Dubai Government Excellence Program (DGEP) evaluation process carried out through two stages: First stage: • Sending submission contain capabilities and results of the system and its role in supporting the strategic goals of RTA, which supports the Dubai plan 2021goals, and contribution of the system in promoting the principles of transparency, integrity and accountability. Second stage: • The site visit by the assessors committee Dubai Government Excellence Program (DGEP) composed of Subject Matter Expert (SME) in the field of governance to check closely the capabilities of the system and the best practices applied. For information on assessment mechanism, please check website: https://dgep.gov.ae/en/program-award/assessment-mechanism

The assessment done under the main pillar Governance. This key criterion focuses on the efficiency and effectiveness of the overall governance framework to ensure accountability stakeholders and transparency towards the society and governance entities at the government level in terms of performance and commitment to Legislation and laws, In addition to transparency, integrity and fairness in dealing with customers, employees and suppliers.

The outcome of the evaluation come into the following: • One of the outcomes is an official report of the executive council of Dubai highlighting the areas of strength and areas of improvement, which we adopt through the following year and plan supportive and corrective actions based on its findings. • RTA has won corporate levels award, which is Best Government Entity in the field of Administrative and Financial Governance, • Anti-fraud framework considered as best practice under corporate governance practices.

RTA would like to present real story of stakeholders engagement in one case, which lead to create innovative solution: Due to the increased incidents related to forging certificate related to vehicles exporting, registration and mortgage release transaction a team was formed to look into those incidents, which consisted of: • Internal audit department • Legal representative • Vehicles Registration Department. • Customer • Banks , Central Bank • Vehicles Showrooms The team work on the following methodology: • Initially the team began to analyze the causes (the Need, the Opportunity and the Rationalization) that encouraged the concerned parties to commit fraud. • Conduct several brainstorming sessions to come up with solutions and scenarios that would reinforce the existing internal controls. • One stakeholder suggested training customer service staff on the techniques to discover forged documents, fake stamps and signatures and which was a big challenge to do it, especially with the huge number RTA premises and other Service Providers, Customer Services Centers. • Finally, out of the box solution came up from the stakeholders and suggest to have innovative and smart solution by introducing online verification service (by online link in all vehicles registration to verify the documents) which was approved by RTA Director General for immediate implementation.

The main lessons learned from the initiative are: • Adopting comprehensive Anti-fraud framework is important to protect the organization from negative reputation and financial loss. • Coordinating with the stakeholders is very important to increase the level of accountability and enhancing stakeholders’ confidence. • Support from top management is necessary to guarantee the success. • Society appreciate innovative idea that promote transparency, fairness, trust and Accountability. What next: Automatically integrating with fraud risk indicators that have the ability to determine the incident type through utilizing the concepts from Artificial intelligence and promote the successful practices on the government level.