1. UNITED NATIONS CONVENTION AGAINST CORRUPTION
Ambassador Dr Ugljesa Ugi Zvekic

2. International Conventions against Corruption Basic Facts
Global Conventions: UNCAC (2003/2005)
UNTOC (2000/2003)
OECD Anti-Bribery Convention (1997/1999)
Africa
AU Convention on Preventing and Combating Corruption (2003/2006)
SADC Protocol Against Corruption (2001/2005)
ECOWAS Protocol on the Fight Against Corruption (2001/?)

3. International Conventions: Basic Facts (2)
The Americas: OAS Inter-American Convention Against Corruption (1996/1997)
Arab States: Arab Convention to Fight Corruption (2010/?)
Europe
COE Criminal Convention on Corruption (1999/2002) and Civil Law Convention on Corruption (1999/2003)
EU Convention Against Corruption Involving Officials (197/2005) and Convention on the Protection of the EC Financial Interests (1995/2002)

4. UNCAC Status of Adherence Parties - 183

5. PREVENTION OF CORRUPTION

6. Preventive anti-corruption policies and practices (Article 5)
A general provision requiring States to take an effective and coordinated approach to the prevention of corruption.
Anti-Corruption Policies must promote the participation of society, reflect the rule of law and promote the proper management of public affairs.

7. Preventive anti-corruption body or bodies (Article 6)
States must ensure the existence of a body or bodies that prevent corruption with sufficient independence, resources and staff to carry out their functions.
Measures they may take include implementing anti-corruption policies and increasing and disseminating knowledge about prevention of corruption.
Article 11 requires States to strengthen integrity and to prevent opportunities for corruption among members of the judiciary, including by introducing rules with respect to the conduct of members of the judiciary. Similar measures are encouraged in relation to prosecution services.
UNODC has strongly supported the Judicial Integrity Group, formed in early 2000 and composed of current of former heads of the judiciary or senior judges in their respective countries or at the regional or international level.
In particular, UNODC supported the development of the Bangalore Principles on Judicial Conduct which a establish a set of internationally-recognized standards for ethical conduct of judges.
The principles are designed to provide guidance to judges and to offer the judiciary a framework for regulating judicial conduct. Six core values are recognized: Independence, impartiality, integrity, propriety, equality and competence and diligence.
UNODC has also engaged in supporting national authorities in their efforts to increase the efficiency and integrity of judicial and prosecutorial bodies. In particular, long-standing projects have been run in Nigeria and Indonesia. [SEE MORE DETAILED NOTES BELOW IF REQUIRED].
We are also presently developing an Implementation Guide for Article 11 UNCAC aimed at assisting States in assessing whether their judicial integrity systems meet the requirements of the Convention. We aim to hold two regional conferences as part of the development of the Guide this Spring with the first to be held in Amman, Jordan. WE WOULD WELCOME A SENIOR REPRESENTATIVE FROM THE LIBYAN JUDICIARY.
The Open-ended Working Group on Prevention will be addressing the issue of Judicial Integrity at its fourth meeting from August Note Verbale sent out requesting input from States Parties last Friday.
NIGERIA JUDICIAL INTEGRITY PROJECTS
In Nigeria, UNODC began its work with a baseline survey of 5,766 stakeholders including judicial officers, court staff, prosecutors, police, lawyers members of the business community and prisoners as part of the Strengthening Judicial Integrity and Capacity Project.
On the basis of the results of the assessment UNODC assisted national and regional authorities in developing action plans aimed at enhancing judicial integrity and capacity. These action plans covered issues such as; 1. Access to justice, 2. Timeliness and quality of justice delivery, 3. Accountability, integrity and transparency of the justice system, 4. Coordination across justice sector institutions.
As a third stage UNODC provided assistance to national and regional bodies in implementing the agreed action plans. Specific forms of assistance included:
Design and review of codes of conducts
Creation of complaints mechanisms and committees
Design of performance monitoring and evaluation techniques
Ethics training for judges and court personnel
Corruption case-work training
In 2007 an additional assessment was carried out with the participation of 10,000 stakeholders across ten States. Results demonstrated that both members of the court system and court users perceived there to have been a recent decrease in corruption in the justice sector. (47% of court users felt that the level of corruption within the courts was better or much better than 2 years before).
UNODC has recently launched a new major anti-corruption initiative with the Nigerian government and supported by funding of the European Union aimed at building on the progress made over the last ten years.
LINK

8. Recruitment, Management and Training of Public Officials (UNCAC Article 7)
Adequate procedures for selection and training of officials working in “high-risk” areas.
Adequate remuneration and equitable pay scales.
Education and training programmes, including specialized anti-corruption training.
Consider taking measures to enhance transparency in funding of political parties and candidates.
IFRS are the most commonly used standards world-wide. Older name was international accounting standards. International Accounting Standards Board (IASB)
(The GAAP – Generally Accepted Accounting Principles used for instance in the US are gradually being switched to IFRS)
Differences also to EAD?
IFAC (International Federation of Accountants)
Listed companies or companies (insurance institutions, financial institutions etc. whose securities may be exchanged in organised markets)
Correction of error example from Russia.
Estimated 95 % of companies world-wide are SMEs

9. Conflicts of Interest, Codes of Conduct and Asset Declarations (UNCAC Articles 7 and 8)
National Implementation
Application of prohibitions and restrictions to public officials.
Specialised codes of conduct for “high risk” areas.
Proactive measures to resolve conflict of interests.
Centralised bodies for the enforcement of conflict of interests and asset declaration standards.

10. Public Procurement and Management of Public Finances (UNCAC Article 9)
UNCAC Requirements
Public distribution of information so potential tenderers can prepare and submit applications.
Use objective and predetermined rules and criteria for public procurement systems.
Effective system of domestic review, appeal and remedies where rules not followed.
Specialised training and declaration requirements for staff responsible for public procurement.
IFRS are the most commonly used standards world-wide. Older name was international accounting standards. International Accounting Standards Board (IASB)
(The GAAP – Generally Accepted Accounting Principles used for instance in the US are gradually being switched to IFRS)
Differences also to EAD?
IFAC (International Federation of Accountants)
Listed companies or companies (insurance institutions, financial institutions etc. whose securities may be exchanged in organised markets)
Correction of error example from Russia.
Estimated 95 % of companies world-wide are SMEs

11. CRIMINALIZATION OF CORRUPTION

12. Chapter III: Criminalization and law enforcement
Mandatory Offences
Bribery of National Public Officials (Art. 15)
Active Bribery of Foreign Public Officials (Art.16, para.1)
Embezzlement, Misappropriation or Other Diversion
of Property (Art. 17)
Laundering of proceeds of crime (Art. 23)
Obstruction of Justice (Art. 25)
Participation in such offences (Art. 27, para. 1)
Optional Offences
Passive Bribery of Foreign Public Official (Art.16)
Trading in Influence (Art. 18)
Abuse of Functions (Art. 19)
Illicit Enrichment (Art. 20)
Bribery in Private Sector (Art. 21)
Embezzlement of Property in Private Sector (Art. 22)
Concealment (Art. 24)
Attempt / preparation of UNCAC offences (Art.27, paras. 2-3)

13. Bribery
Article 15: Bribery of National Officials
Article 16: Bribery of International Officials
Article 21: Bribery in the Private Sector

14. Bribery of Public Officials (Art.15)
Undue Advantage for the Official or Another Person/Entity in Order to Act or Refrain from Acting in the Exercise of Official Duties
Passive Bribery
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
Active Bribery
Solicitation or Acceptance by National Public Official

15. 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
Active Bribery
Undue Advantage for the Official or Another Person/Entity to Obtain Business or Other Undue Advantage in Conduct of Int’l Business
Active Bribery
Foreign Public Official or Officials of Int’l Organizations

16. Bribery in the Private Sector (Art. 21)
Promise, Offering or Giving
Passive Bribery
Undue Advantage to any Person who Directs/ Works for a Private Sector Entity in Order that s/he Act or Refrain from Acting
Active Bribery
Undue Advantage to any Person who Directs/ Works for a Private Sector Entity in Order that s/he Act or Refrain from Acting
In the Course of Economic, Financial or Commercial Activities
Solicitation or Acceptance by any person who directs/ works (in any capacity) for a private sector entity

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

18. Trading in Influence (Art. 18)
Promise, Offering or Giving
Passive influence
Undue Advantage in Order that the Public Official/Person Abuse real/ supposed Influence to Obtain from an Administration or Public Authority an Undue Advantage for the Original Instigator/ Any Other Person
Active influence
Undue Advantage in Order that the Public Official/Person Abuse real/ supposed Influence to Obtain from an Administration or Public Authority an Undue Advantage
Solicitation or Acceptance by any a Public Official or any Other Person

19. Abuse of Functions (Art. 19)
Performing or Failing to Perform an Act by a Public Official in Discharge of his/her Functions
In violation of laws
Obtain undue advantage for himself/herself/ another person/ entity

20. The Recovery of Assets through International Cooperation20

21. International Cooperation
Joint Investigations
Asset Recovery
Transfer of Sentenced Persons
Mutual Legal Assistance
Confiscation of proceeds of crime
Extradition 21

22. A recent and innovative principle in international law
Chapter V of the UNCAC:
The return of assets pursuant to this chapter is a fundamental principle of this Convention, and States Parties shall afford one another the widest measure of cooperation and assistance in this regard.
Politically very charged, difficult negotiations
Establishes a principle, but leaves a lot open for implementation

23. Asset Recovery under Chapter V UNCAC
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 Recovery of
Property through
International Cooperation
(Art )
Measures for Return and
Disposal of Assets (Art 57)

24. 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

25. Return of Assets (art 57)
Return depending on how closely the assets were linked to the Requesting State Party
Return to the State
Embezzled Public Funds from the State
Return to the State if it establishes
ownership or damage recognized
by the Requested State Party
as a basis for return
Proceeds of other offences
covered by UNCAC
May be returned to
the Requesting State Party,
a prior legitimate owner or
used for compensating victims
Other Cases

26. Mutual Legal Assistance
Mechanisms by which States receive and provide assistance to gather evidence for investigations and criminal prosecutions
→ Vital tool within the criminal justice system: through request, one State authorizes another State to take measures, often coercive
Assistance
Requesting State
Requested State
Request

27. Mutual Legal Assistance under UNCAC
Parties shall afford one another the widest measure of mutual legal assistance.
For all investigations, prosecutions and judicial proceedings relating to Convention offences.
Specific requirements under Article 55 UNCAC as regards MLA for tracing, freezing, seizure and confiscation of proceeds / instrumentalities of corruption offences. 27

28. Types of Mutual Legal Assistance
Service of
judicial
documents
Execution
of searches,
seizures, freezing
Temporary
transfer of persons
in custody
Provide
information &
evidentiary items
Provide
documents
and records
Identify, trace and
freeze proceeds
Taking evidence
or statements from
persons
Facilitating
voluntary
appearances
Asset recovery
+ ANY OTHER ASSISTANCE UNLESS PROHIBITED 28

29. EXTRADITION Surrender Requesting State Requested State Request
The surrender by one State of a person present in its territory to another State that seeks this person either:
for the purpose of prosecution or
for the purpose of enforcing a sentence
→ Ultimately, it’s an act of the executive, not of the judicial authority
Surrender
Requesting State
Requested State
Request

30. EXTRADITION: Legal Basis
Crime/Terrorism conventions
UNCAC
UNTOC
1988 Drug Convention
Terrorism conventions
Extradition/MLA treaties:
Bilateral
Multilateral (regional)
Complementary source: domestic law of Requested State
Basis of reciprocity
Allowed under domestic legislation 30

31. Extraditable Offences
UNCAC:
All offences under UNCAC are extraditable
Dual criminality:
While dual criminality required, flexible approach
Conduct-based test: Facts must constitute an offence in both States, no matter how those offences are qualified (art 43(1))
Importance of ratifying international instruments: offences harmonized among countries

32. Extraditable Offences - UNTOC
TiP Protocol Offences
Trafficking in persons
UNTOC Offences
Participation in an Organized Criminal Group
Laundering of Proceeds of Crime
Corruption
Obstruction of Justice
Other “serious crimes” punishable by a maximum deprivation of liberty of at least four years
If the offence involves an organized criminal group and
The person is located in the territory of the requested State party
Migrant Protocol Offences
Smuggling of migrants
Fraudulent identity docs
Enabling illegal stay
Firearms Protocol Offences
Illicit trafficking
Illicit manufacture
Falsifying markings

33. Extraditable Offences
Offences deemed extraditable in existing treaties and to be included in future treaties
Convention basis for extradition at discretion of Requested State if treaty required
If not applying Convention as basis, seek to conclude treaties where appropriate
If no treaty required, recognize offences as extraditable as between states parties

34. Domestic law/treaty applies but
Extradition: Procedures
Urges states to expedite and simplify procedures and evidentiary requirements
Offences under UNCAC,
not political offence
Domestic law/treaty applies but
Guarantee of fair process/protections
Provisional arrest recognized

35. Extradition Surrender Requesting State Requested State Request
The surrender by one State of a person present in its territory to another State that seeks this person either:
for the purpose of prosecution or
for the purpose of enforcing a sentence
→ Ultimately, it’s an act of the executive, not of the judicial authority
Surrender
Requesting State
Requested State
Request

36. Extraditable Offences
UNCAC:
All offences under UNCAC are extraditable
Dual criminality:
While dual criminality required, flexible approach
Conduct-based test: Facts must constitute an offence in both States, no matter how those offences are qualified (art 43(1))
Importance of ratifying international instruments: offences harmonized among countries

37. Extraditable Offences - UNTOC
TiP Protocol Offences
Trafficking in persons
UNTOC Offences
Participation in an Organized Criminal Group
Laundering of Proceeds of Crime
Corruption
Obstruction of Justice
Other “serious crimes” punishable by a maximum deprivation of liberty of at least four years
If the offence involves an organized criminal group and
The person is located in the territory of the requested State party
Migrant Protocol Offences
Smuggling of migrants
Fraudulent identity docs
Enabling illegal stay
Firearms Protocol Offences
Illicit trafficking
Illicit manufacture
Falsifying markings

38. Extraditable Offences
Offences deemed extraditable in existing treaties and to be included in future treaties
Convention basis for extradition at discretion of Requested State if treaty required
If not applying Convention as basis, seek to conclude treaties where appropriate
If no treaty required, recognize offences as extraditable as between states parties

39. Extradition Process Common Problems Few Norms in Extradition Treaties
Application of Dual Criminality
Few Norms in Extradition Treaties
Common Problems
Bureaucratic
Slow Cumbersome
Highly Political Final Decision Taken by the Administration
Need for Prima Facie Evidence

40. Domestic law/treaty applies but
Extradition: Procedures
Urges states to expedite and simplify procedures and evidentiary requirements
Offences under UNCAC,
not political offence
Domestic law/treaty applies but
Guarantee of fair process/protections
Provisional arrest recognized

41. Central Authorities for Mutual Legal Assistance & E Extradition
Designate a central authority competent to receive and execute requests or transmit them for execution
Best Practices for Central Authorities:
Up-to-date contact info disseminated
Around-the-clock availability
Same authority under different treaties
Quality control, follow-up
Guidelines for domestic and international use
Role: ensure speedy execution/ transmission of requests

42. THANK YOU