Transcript Document

United Nations
Convention against Corruption
VIENTIANE, LAOS
MAY 2010
7/18/2015
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
Information Exchange
Asset
Recovery
Preventive
Measures
Criminalization
Law Enforcement
International
Cooperation
ALIGNING THE FUNCTIONS
UNCAC
PART I:
PREVENTION
PART III:
PROCEEDS OF
CRIME/ASSET
RECOVERY
PART IV: CRIMINALISED
PROCEDURAL OFFENCES
PART II:
CRIMINAL
OFFENCES
PART V:
DOMESTIC
COOPERATION
CRIMINAL
COOPERATION
PROCEEDS
COOPERATION
MUTUAL SUPPORT
Use of Terms (Art.2)
NO DEFINITION OF CORRUPTION
Broad and Comprehensive Definition
of Public Officials
1.
2.
3.
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
INSTITUTIONS
BODIES OR BODIES for NATIONAL ANTICOORUPTION STRATEGY (Art. 6)
AGENCY, UNIT or
PERSON(S) IN A LAW
ENFORCEMENT
CONTEXT (Art. 36)
FINANCIAL
INTELLIGENCE
UNIT (Art. 58)
OTHER INSTITUTIONS BY
IMPLICATION
PREVENTIVE MEASURES
Art.5-14
Anti-Corruption Policies and Bodies
Requirements
Art.5
Implement Effective and
Coordinated Anti-Corruption
Policies
Art.6
Ensure the Existence of
Bodies for Art. 6
Preventive Measures in Public Sector (Art. 5-14)
Management of HR
Codes of Conduct
Transparency
Integrity
Accountability
Integrity of Judiciary and
Prosecution Service
Public Procurement and
Management of
Public Finances
Election candidates
Party Finance
Preventive Measures in Private Sector (Art. 12)
Enhanced Accounting
and Auditing Standards
Effective, Proportionate and
Dissuasive Civil, Administrative
or Criminal Penalties
Comprehensive
Preventive Measures in
Private Sector
Prohibition of Off-theBook Account and other
Acts
No Tax Deductibility of
Expenses Constituting
Bribes
Other Preventive Measures
Participation of Society
•
•
•
Ensure Active Participation of Civil
Society (Art.13 (1))
Provide Public Access to AntiCorruption 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)
CRIMINALIZATION
Art.15-42
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)
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 Public Sector (Art.21)
Embezzlement in Public Sector (Art.22)
Money Laundering (Art.23)
Conversion or Transfer of
Proceeds of Crime
Mandatory Offences
Acquisition, Possession or
Use of Proceeds of Crime
Participation, Association,
Conspiracy, Attempt…
Concealment or Disguise of
Proceeds of Crime
Subject to Basic
Concept of Legal
System
Obstruction of Justice (Art.25) and
Protection of Witnesses (Arts. 32-35)
Use of Physical Force,
Threats or Intimidation
or
Promising, Offering or
Giving Undue Advantage
To Interfere with Giving
Evidence or Testimony
Use of Physical Force,
Threats or Intimidation
To Interfere with Exercise
of Duties of Judicial or
Law Enforcement Officials
Effective Protection from Potential Retaliation or
Intimidation
Protection against Any Unjustified Treatment
Cooperation with Law Enforcement Authorities (Art. 37)
• Measures to encourage persons who have participated in
the commission of an offence to supply useful information
and cooperte with competent authorities
• Possibility of mitigating punishment or granting immunity
from prosecution for person who provides substantial
cooperation
• Ad hoc arrangements with other States Parties to extend
this treatment if person is located in another country
Bank Secrecy (Art. 40)
Ensure appropriate mechanism to overcome obstacles that
may arise out of application of bank secrecy laws
Jurisdiction (Art.42)
Offence on Territory,
Vessel or Aircraft
Offenders or Victims
Are Nationals
No Safe Haven for
Offenders
Offender not Extradited
Because of Nationality
Offence against
State
Participation of Laundering
Outside Territory
Aimed at Laundering
in Territory
INTERNATIONAL COOPERATION
Art.43 - 50
Extradition (Art.44)
Either
“Extradite or Prosecute”
Own Nationals
Conditional Surrender of
Nationals to be
Returned to Serve Sentence
Ensure that All
Convention Offences are
Extraditable Offence
between States Parties
Grounds of Refusal
Human Rights
Harmonization with Existing
No Refusal on Sole Treaties and Domestic Law
Fiscal Ground
Consultation before
Refusal
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
Other Cooperation Measures
Cooperation in
Inquiries
Special Investigative
Techniques (Art.50)
Channels of Communication and
Information Exchange
(Art.48)
Joint
Investigation
(Art.49)
ASSET RECOVERY
Art.51-59
Asset Recovery
Return of Assets as
Measures to Prevent and Fundamental Principle Measures for Direct
Recovery of
Detect Transfer of
(Art.51)
Proceeds (Art.52)
Measures for Recovery of
Property through
International Cooperation
(Art.54 - 55)
Property (Art.53)
Measures for Return and
Disposal of Assets (Art.57)
TECHNICAL ASSISTANCE AND
INFORMATION EXCHANGE
Art.60-62
Technical Assistance & Information Exchange (Art.60-62)
Technical Assistance and
Exchange of Information
Training
Programmes
Criminal Justice
And
Institution-Building
Studies, Research and
Evaluation
Voluntary Contributions
UN Funding Mechanism
Percentage of Proceeds
of Crime
Assistance to
Developing Countries and
Countries in Transition
Combating Corruption;
Support from UNODC
UNCAC self-assessment checklist clinic
Prevention
Strengthening
State
Institutions
Asset Recovery
International
Cooperation
Enforcement
(prosecution, legal reform,
Investigation)
IMPLEMENTATION
RATIFICATION
SELF-ASSESSMENT CHECKLIST
And..
BEYOND THE CHECKLIST
For further information:
United Nations Office on Drugs
and Crime
Regional Centre for East Asia
and the Pacific
UN Secretariat Building
Rajdamnern Nok Avenue
Bangkok 10200
Thailand
http://www.unodc.org/eastasiaandpacific