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

2. Division for Treaty Affairs 5 July 2004 Corruption --- Multi-dimensional Challenge Human Rights Democracy Rule of Law Markets Quality of Life Human Security Sustainable Development CORRUPTION

3. Division for Treaty Affairs 5 July 2004 Growing Responses 8 th Crime Congress GA Res.51/191 UN Declaration TOCC Negotiation GA Res.58/4 Adoption of CAC Merida Conference GA Res.55/61 Establishment of Ad Hoc Committee GA Res.55/181 Asset Recovery Ad Hoc Committee (1 st –7 th Sessions) 1996 OAS Convention 1997 EU Convention 1997 OECD Convention 1999 CoE Conventions 2003 AU Convention

4. Division for Treaty Affairs 5 July 2004 Aims and Structure of Convention Preventive Measures International Cooperation Asset Recovery Technical Assistance Information Exchange Implementation Criminalization Law Enforcement 3. Integrity, Accountability and Proper Management of Public Affairs and Property 1. Prevent and Combat Corruption More Efficiently and Effectively 2. International Cooperation & Technical Assistance including Asset Recovery

5. Division for Treaty Affairs 5 July 2004 Status of Convention High-level Political Signing Conference At Merida, 9-11 December 2003 Open for Signature at UNHQ in NY until 9 Dec. 2005

6. Division for Treaty Affairs 5 July 2004 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

7. Division for Treaty Affairs 5 July 2004 PREVENTIVE MEASURES Art.5-14

8. Division for Treaty Affairs 5 July 2004 Art.6 Ensure the Existence of Anti-Corruption Bodies Anti-Corruption Policies and Bodies Requirements Implement Effective and Coordinated Anti-Corruption Policies Art.5

9. Division for Treaty Affairs 5 July 2004 Preventive Measures in Public Sector Transparency Integrity Accountability Personnel Management (Art.7) Code of Conduct (Art.8) Public Procurement and Public Finance Management(Art.9) Integrity of Judiciary and Prosecution Service (Art.11)

10. Division for Treaty Affairs 5 July 2004 Comprehensive Preventive Measures in Private Sector Preventive Measures in Private Sector Enhanced Accounting and Auditing Standards Prohibition of Off-the- Book Account and other Acts No Tax Deductibility of Expenses Constituting Bribes Effective, Proportionate and Dissuasive Civil, Administrative or Criminal Penalties

11. Division for Treaty Affairs 5 July 2004 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. Division for Treaty Affairs 5 July 2004 CRIMINALIZATION Art.15-25

13. Division for Treaty Affairs 5 July 2004 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 Public Sector (Art.21) Embezzlement in Public Sector (Art.22)

14. Division for Treaty Affairs 5 July 2004 Bribery of Public Officials (Art.15) Promise, Offering or Giving Solicitation or Acceptance by National Public Official Undue Advantage for the Official or Another Person/Entity in Order to Act or Refrain from Acting in the Exercise of Official Duties

15. Division for Treaty Affairs 5 July 2004 Active Bribery of Foreign Public Officials (Art.16) Promise, Offering or Giving Solicitation or Acceptance by Foreign Public Official or Officials of Int’l Organizations Undue Advantage for the Official or Another Person/Entity in Order to Act or Refrain from Acting in the Exercise of Official Duties

16. Division for Treaty Affairs 5 July 2004 Embezzlement (Art.17) Embezzlement, Misappropriation or other Diversion of Property by a Public Official For his or her Benefits Of any Property, Public or Private Funds or Security or Any Thing of Value Entrusted to Public Officials by Virtue of his/her Position

17. Division for Treaty Affairs 5 July 2004 Money Laundering (Art.23) Conversion or Transfer of Proceeds of Crime Concealment or Disguise of Proceeds of Crime Mandatory Offences Subject to Basic Concept of Legal System Acquisition, Possession or Use of Proceeds of Crime Participation, Association, Conspiracy, Attempt…

18. Division for Treaty Affairs 5 July 2004 Obstruction of Justice (Art.25) 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

19. Division for Treaty Affairs 5 July 2004 Other Criminal Offences (Art.18-22) Passive Bribery of Foreign Public Officials or Officials of Int’l Org (Art.16) Trading in Influence (Art.18) Abuse of Function (Art.19) Bribery in Private Sector (Art.21) Illicit Enrichment (Art.20) Embezzlement in Private Sector (Art.22)

20. Division for Treaty Affairs 5 July 2004 Protection of Witness and Reporting Persons (Art.32-35) Protection of Reporting Persons Protection against Any Unjustified Treatment Optional Protection of Witness, Experts and Victims Effective Protection from Potential Retaliation or Intimidation In Accordance with its Domestic Legal System and within its Means

21. Division for Treaty Affairs 5 July 2004 Jurisdiction (Art.42) No Safe Haven for Offenders Offence on Territory, Vessel or Aircraft Offender not Extradited Because of Nationality Offence against State Offenders or Victims Are Nationals Participation of Laundering Outside Territory Aimed at Laundering in Territory

22. Division for Treaty Affairs 5 July 2004 INTERNATIONAL COOPERATION Art.43 - 50

23. Division for Treaty Affairs 5 July 2004 International Cooperation Mandatory Offences Optional Offences Narrow Dual Criminality Requirements In MLAs Question of Dual Criminality

24. Division for Treaty Affairs 5 July 2004 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 Human Rights No Refusal on Sole Fiscal Ground Consultation before Refusal

25. Division for Treaty Affairs 5 July 2004 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

26. Division for Treaty Affairs 5 July 2004 Other Cooperation Measures Joint Investigation (Art.49) Special Investigative Techniques (Art.50) Cooperation in Inquiries Channels of Communication and Information Exchange (Art.48)

27. Division for Treaty Affairs 5 July 2004 ASSET RECOVERY Art.51-59

28. Division for Treaty Affairs 5 July 2004 Asset Recovery – Major Breakthrough Measures to Prevent and Detect Transfer of Proceeds (Art.51) Return of Assets as Fundamental Principle Measures for Direct Recovery of Property (Art.53) Measures for Recovery of Property through International Cooperation (Art.54 - 55) Measures for Return and Disposal of Assets (Art.57)

29. Division for Treaty Affairs 5 July 2004 Return of Assets (Art.57) Other Cases Proceeds of Other Offences Covered by UNCAC Embezzled Public Funds from the State Return Depending on How Closely the Assets were Linked to the Requesting State Party Return to the State Return to the State if it Establishes Ownership or Damage Recognized by the Requested State Party as a Basis for Return May be Returned to the Requesting State Party, a Prior Legitimate Owner or Used for Compensating Victims

30. Division for Treaty Affairs 5 July 2004 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

31. Division for Treaty Affairs 5 July 2004 TECHNICAL ASSISTANCE AND INFORMATION EXCHANGE Art.60-62

32. Division for Treaty Affairs 5 July 2004 Technical Assistance & Information Exchange (Art.60-62) Criminal Justice And Institution-Building Technical Assistance under Convention Training Programmes Collecting, Exchanging & Analyzing Information Assistance to Developing Countries and Countries in Transition Voluntary Contributions

33. Division for Treaty Affairs 5 July 2004 IMPLEMENTATION Art.63-64

34. Division for Treaty Affairs 5 July 2004 Mechanisms for Implementation (Art.63-64) COSP to Address Criminalization of Passive Bribery of Officials of International Organizations Well before COSP 1 8 th Ad Hoc Committee To Prepare Draft Rules of Procedure Within 1 Year from Entry into Force COSP 1 Promote, Facilitate and Review Implementation Make recommendation Facilitate Information Exchange Entry into Force

35. Division for Treaty Affairs 5 July 2004 ROAD AHEAD AND UNODC ACTIVITIES

36. Division for Treaty Affairs 5 July 2004 Road Ahead Promoting Ratification for Entry into Force Entering into Force Conference of States Parties Full Compliance Universal Ratification