Enhancing Anti-Corruption Efforts: UN Convention Overview

1. United Nations Convention against Corruption United Nations Office on Drugs and Crime Regional Office – South Asia Nimesh Jani

2. Negotiations Process Adoption of United Nations Convention against Transnational Organized Crime -Creation of the Ad Hoc Committee for the Negotiations of a new Convention against corruption (A/RES/55/61) 2000 Terms of Reference – Intergovernmental Open-ended Expert Group Meeting 2001 7 sessions of the Ad Hoc Committee held in Vienna with over 120 States participants 2002 2003 Adoption of the United Nations Convention against Corruption (A/RES/58/4) High-level Political Signing Conference in Merida, Mexico

3. Status of ratification in South Asia and Globally

4. Overview of 8 Chapters • Chapter 1 – General Provisions • Chapter 2 – Preventative measures • Chapter 3 – Criminalisation/law enforcement • Chapter 4 – International cooperation • Chapter 5 – Asset Recovery • Chapter 6 – Technical assistance and info exchange • Chapter 7 – Mechanisms for implementation • Chapter 8 – Final provisions

5. Aims and Structure of Convention Implementation Preventive Measures Technical Assistance Information Exchange Criminalization Law Enforcement Asset Recovery International Cooperation 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

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

7. PREVENTIVE MEASURES Art.5-14

8. Anti-Corruption Policies and Bodies Requirements Art.6 Art.5 Implement Effective and Coordinated Anti-Corruption Policies Ensure the Existence of Anti-Corruption Bodies

9. Preventive Measures(Art. 5-14) Transparency Integrity Accountability Codes of Conduct (Art.8) Public and Private Sectors Civil Society (Art.9) Prevention of Money-Laundering (Art. 14) Integrity of Judiciary and Prosecution Service (Art.11)

10. Preventive Measures in Private Sector Enhanced Accounting and Auditing Standards Effective, Proportionate and Dissuasive Civil, Administrative or Criminal Penalties Comprehensive Preventive Measures in Private Sector Prohibition of Off-the-Book Account and other Acts No Tax Deductibility of Expenses Constituting Bribes

11. 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)

12. CRIMINALIZATION Art.15-25

13. Mandatory and Other Criminal Offences 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) Obstruction of Justice (Art.25) 6 Other Criminal Offences Passive Bribery of Foreign Public Official (Art.16) Trading in Influence (Art.18) Abuse of Function (Art.19) Illicit Enrichment (Art.20) Bribery in Private Sector (Art.21) Embezzlement in Private Sector (Art.22)

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

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

16. Jurisdiction (Art.42) Optional Mandatory Offenders or Victims Are Nationals No Safe Haven for Offenders Offence on Territory, Vessel or Aircraft Offence against State Offender not Extradited Because of Nationality Participation of Laundering Outside Territory Aimed at Laundering in Territory

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

18. 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

19. Other Cooperation Measures Cooperation in Inquiries Special Investigative Techniques (Art.50) Channels of Communicationand Information Exchange (Art.48) Joint Investigation (Art.49)

20. INTERNATIONAL COOPERATION Art.43 - 50

21. International Cooperation Question of Dual Criminality Mandatory Offences Optional Offences Narrow Dual Criminality Requirements In MLAs

22. ASSET RECOVERY Art.51-59

23. Asset Recovery – Major Breakthrough Measures to Prevent and Detect Transfer of Proceeds (Art.52) Measures for Direct Recovery of Property (Art.53) Return of Assets as Fundamental Principle (Art.51) Measures for Return and Disposal of Assets (Art.57) Measures for Recovery of Property through International Cooperation (Art.54 - 55)

24. Other Mechanisms Prevention and Detection (Art.52) • Prevent Illicit Transfers • Generate Records for Eventual Trace and Confiscation 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

25. Confiscation of Proceeds of Crime Obligation to Enable Confiscation of Proceeds of Crime Domestically & Upon Request from Another Party Internationally Art.55 Domestically Art.31

26. Direct Recovery of Property (Art.53) States parties shall be allowed to Initiate civil action in another party’s courts to establish ownership of property acquired through corruption Courts shall be allowed to Order corruption offenders to pay compensation to another state party Courts shall be allowed to Recognize, in confiscation decisions, another party’s claim as legitimate owner of property

27. TECHNICAL ASSISTANCE AND INFORMATION EXCHANGE Art.60-62

28. Technical Assistance & Information Exchange (Art.60-62) Technical Assistance and Exchange of Information Criminal Justice And Institution-Building Voluntary Contributions UN Funding Mechanism Percentage of Proceeds of Crime Training Programmes Studies, Research and Evaluation Assistance to Developing Countries and Countries in Transition

29. IMPLEMENTATION Art.63-64

30. Mechanisms for Implementation (Art.63-64) COSP to Address Criminalization of Passive Bribery of Officials of International Organizations COSP 1 Within 1 Year from Entry into Force 8th Ad Hoc Committee To Prepare Draft Rules of Procedure Well before COSP 1 Entry into Force 14 Dec 2005 • Promote, Facilitate and Review Implementation • Make recommendation • Facilitate Information Exchange

31. ROAD AHEAD AND UNODC ACTIVITIES

32. UNCAC Review Mechanism • Established in 3rd CoSP 2009 resolution 3/1 • 2 cycles of 5 years • Cycle 1 (2010 to 2015) looking at chapters 3 and 4 • Cycle 2 (2015 to 2020) looking at chapter 2 and 4

33. Goals of IRM • Promote purposes of UNCAC • Provide CoSP with info and difficulties • Identify technical assistance needs • Promote and facilitate international cooperation • Promote and facilitate exchange of information, practices and experiences

34. Approach of IRM • Impartial • Inter-governmental • Transparent • Non-intrusive • Inclusive • Not produce any form of ranking

35. Thank you for your kind attention