United Nations Convention against Corruption United Nations Office

United Nations Convention against Corruption United Nations Office on Drugs and Crime Division for Treaty Affairs (Updated: 5 July 2004) 5 July 2004 Division for Treaty Affairs

9/17/2020 Corruption --- Multi-dimensional Challenge Human Rights Human Security Democracy CORRUPTION Quality of Life Markets Rule of Law Sustainable Development

9/17/2020 Growing Responses Merida GA Res. 58/4 Conference Adoption of CAC GA Res. 55/61 Establishment. Ad of Hoc Committee (1 st – 7 th Sessions) Ad Hoc Committee TOCC GA Res. 55/181 Negotiation Asset Recovery GA Res. 51/191 UN Declaration 8 th Crime Congress 1997 EU 1999 Co. E Conventions Convention 1996 OAS Convention 1997 OECD Convention 2003 AU Convention

9/17/2020 Aims and Structure of Convention 1. Prevent and Combat Corruption More Efficiently and Effectively 2. International Cooperation & Technical Assistance including Asset Recovery 3. Integrity, Accountability and Proper Management of Public Affairs and Property Implementation Technical Assistance nformation Exchange Asset Recovery Preventive Measures Criminalization Law Enforcement International Cooperation

9/17/2020 Status of Convention Open for Signature at UNHQ in NY until 9 Dec. 2005 High-level Political Signing Conference At Merida, 9 -11 December 2003

9/17/2020 Use of Terms (Art. 2) No Definition of Corruption Broad and Comprehensive Definition of Public Officials 1. Any Person Holding a Legislative, Executive, Administrative or Judicial Office 2. Any Person Performing a Public Function or Providing a Public Service 3. Any Other Person So Defined in the Domestic Law of State Party

9/17/2020 PREVENTIVE MEASURES Art. 5 -14

Anti-Corruption Policies and Bodies 9/17/2020 Requirements Art. 5 Implement Effective and Coordinated Anti. Corruption Policies Art. 6 Ensure the Existence of Anti. Corruption Bodies

Preventive Measures in Public Sector Personnel Management (Art. 7) Code of Conduct (Art. 8) 9/17/2020 Public Procurement and Public Finance Transparency Management(Art. 9) Integrity Accountability Integrity of Judiciary and Prosecution Service (Art. 11)

Preventive Measures in Private Sector Enhanced Accounting and Auditing Standards 9/17/2020 Effective, Proportionate and Dissuasive Civil, Administrative or Criminal Penalties Comprehensive Preventive Measures in Private Sector Prohibition of Offthe-Book Account and other Acts No Tax Deductibility of Expenses Constituting Bribes

9/17/2020 Other Preventive Measures Participation of Society • Ensure Active Participation of Civil Society (Art. 13 (1)) • Provide Public Access to Anti. Corruption Bodies (Art. 13 (2)) • Encourage Citizens to Report on Offences (Art. 39) Prevention of Money. Laundering • Establish Comprehensive Regulatory and Supervisory Regime • Ensure Internal and International Cooperation (Art. 14)

9/17/2020 CRIMINALIZATION Art. 15 -25

Mandatory and Other Criminal Offences 9/17/2020 5 Mandatory Offences Bribery of National Public Officials (Art. 15) Active Bribery of Foreign Public Officials (Art. 16) Embezzlement, Misappropriation and Other Diversion of Property (Art. 17) Money Laundering (Art. 23) 6 Other Criminal Offences Obstruction of Justice (Art. 25) Passive Bribery of Foreign Public Official (Art. 16) Trading in Influence (Art. 18) Abuse of Function (Art. 19) Illicit Enrichment (Art. 20) Bribery in Public Sector (Art. 21) Embezzlement in Public Sector (Art. 22)

9/17/2020 Bribery of Public Officials (Art. 15) Promise, Offering or Giving Undue Advantage for the Official or Another Person/Entity in Order to Act or Refrain from Acting in the Exercise of Official Duties Solicitation or Acceptance by National Public Official

9/17/2020 Active Bribery of Foreign Public Officials (Art. 16) Promise, Offering or Giving Undue Advantage for the Official or Another Person/Entity in Order to Act or Refrain from Acting in the Exercise of Official Duties Solicitation or Acceptance by Foreign Public Official or Officials of Int’l Organizations

9/17/2020 Embezzlement (Art. 17) Embezzlement, Misappropriation or other Diversion of Property by a Public For his or her Benefits Official Of any Property, Public or Private Funds or Security or Any Thing of Value Entrusted to Public Officials by Virtue of his/her Position

9/17/2020 Money Laundering (Art. 23) Mandatory Offences Acquisition, Possession or Use of Proceeds of Crime Participation, Association, Conspiracy, Attempt… Conversion or Transfer of Proceeds of Crime Concealment or Disguise of Proceeds of Crime Subject to Basic Concept of Legal System

9/17/2020 Obstruction of Justice (Art. 25) Use of Physical Force, Threats or Intimidation or Promising, Offering or Giving Undue To Advantage Interfere with Giving Evidence or Testimony To Interfere with Exercise of Duties of Judicial or Law Enforcement Officials

9/17/2020 Other Criminal Offences (Art. 1822) Passive Bribery of Foreign Public Officials or Officials of Int’l Org (Art. 16) Trading in Influence (Art. 18) Embezzlement in Private Sector (Art. 22) Bribery in Private Sector (Art. 21) Abuse of Function Illicit Enrichment (Art. 19) (Art. 20)

9/17/2020 Protection of Witness and Reporting Persons (Art. 32 -35) In Accordance with its Domestic Legal System and within its Means Protection of Reporting Persons Protection against Any Unjustified Treatment Protection of Witness, Experts and Victims Effective Protection from Potential Retaliation or Intimidation Optional

9/17/2020 Jurisdiction (Art. 42) ffence on Territory, Vessel or Aircraft Offenders or Victims Are Nationals No Safe Haven for Offenders Offender not Extradited Because of Nationality Offence agains State Participation of Laundering Outside Territory Aimed at Laundering in Territory

9/17/2020 INTERNATIONAL COOPERATION Art. 43 - 50

9/17/2020 International Cooperation Mandatory. Question of Optional Offences Dual Criminality Narrow Dual Criminality Requirements In MLAs

9/17/2020 Extradition (Art. 44) Either “Extradite or Prosecute” Ensure Own Nationals Conditional Surrender of Nationals to be that. Returned All to Serve Sentenc Convention Offences are Extraditable Offence between States Parties Harmonization with Existin Grounds of Refusal Human Treaties No Refusal on Sole Rights Fiscal Ground Consultation before Refusal and Domestic La

9/17/2020 Mutual Legal Assistance (Art. 46) Widest Measures of Mutual Legal Assistance in Investigations, Prosecution and Legal Proceedings in relation to Convention Offences • Designate Central Authority to Receive, Execute and Transmit Request • No Refusal of MLA on the Ground of Bank Secrecy • MLA can be Provided in the Absence of Dual Criminality for Non-Coercive Measures

9/17/2020 Other Cooperation Measures Cooperation in Channels of Communication an Information Exchange Inquiries (Art. 48) Special Investigative Techniques (Art. 50) Joint Investigation (Art. 49)

9/17/2020 ASSET RECOVERY Art. 51 -59

Asset Recovery – Major Breakthrough Measures to Prevent and Detect Transfer of Proceeds (Art. 51) 9/17/2020 Measures for Direct Recovery of Property (Art. 53) Return of Assets as Fundamental Principle Measures for Recovery of Property through International Cooperation (Art. 54 - 55) Measures for Return and Disposal of Assets (Art. 5

9/17/2020 Return of Assets (Art. 57) Return Depending on How Closely the Assets were Linked to the Requesting State Party Return to Embezzled Public Funds from the State Return to the State if it Establishes Ownership or Damage Proceeds of Other Offences Recognized by the Requested State Party Covered by UNCAC as a Basis for Return Other Cases May be Returned to the Requesting State Party, a Prior Legitimate Owner or Used for Compensating Victims

9/17/2020 Other Mechanisms Prevention and Detection (Art. 52) • Prevent Illicit Transfers • Generate Records for Eventual Trace and Con Direct Recovery (Art. 53) • Provide Direct Recovery in Civil or Other Proceedings Comprehensive Framework for International Cooperation (Art. 54 -55) • Incorporate More General MLAs Requirements Mutatis Mutandis

9/17/2020 TECHNICAL ASSISTANCE AND INFORMATION EXCHANGE Art. 60 -62

9/17/2020 Technical Assistance & Information Exchange (Art. 60 -62) Technical Assistance under Convention Training Programmes Voluntary Criminal Justice Contributions And Institution-Building Assistance to Collecting, Exchanging Developing & Countries and Analyzing Information Countries in Transition

9/17/2020 IMPLEMENTATION Art. 63 -64

9/17/2020 Mechanisms for Implementation (Art. 63 -64) • Promote, Facilitate and Review Implementation COSP to Address Criminalization of • Make recommendation • Facilitate Information Exchange Passive Bribery of Officials of International Organizations COSP 1 Within 1 Year from Entry into Fo 8 th Ad Hoc Committee To Prepare Draft Well before COSP 1 Rules of Procedure Entry into Force

9/17/2020 ROAD AHEAD AND UNODC ACTIVITIES

9/17/2020 Road Ahead Full Compliance Universal Ratification Conference of States Parties Entering into Force Promoting Ratification for Entry into Force