UNCAC- Methodology of the Review Mechanism

The United Nations Convention against Corruption – Methodology of the Review Mechanism UNODC

Integrity, accountability and proper management of public affairs and public property Prevent and combat corruption more efficiently and effectively International cooperation and technical assistance, including asset recovery Preventive Measures Tech nical Assis tance Information Sharing Im plementati on I nternationa l C ooperatio n Asset Recovery Cri minalizat ion Law E nforceme nt

Conference of the State Parties (Art.63) Session II Dec. 2006, Jordan Session I Session III Nov. 2009, Qatar Jan. 2008, Indonesia Session IV Morocco 2011 Session V Panama 2013

Summary of main UNCAC requirements Mandatory requirements Optional measures Optional requirements

Language for Main UNCAC Requirements Mandatory requirements (obligation to take legislative or other measures) – “each State party shall adopt” Optional requirements (obligation to consider) – “each State party shall consider adopting” or “ shall endeavour to”-> States parties are urged to consider adopting a certain measure and to make a genuine effort to check its compatibility with domestic legal system Optional measures (measures that States parties may wish to consider) – “each State party may adopt/consider ”

Chapter III: Criminalization and Law Enforcement Covers - Mandatory criminalization (arts. 15, 16.1, 17, 23, 25) - Non-mandatory offences (arts. 16.2, 18, 22, 24) - Liability of legal persons (art. 26) - Participation and attempt (art. 27) - Knowledge, intent and purpose (art. 28) - Jurisdiction (art. 42) Draws attention to - Use of terms, e.g. “public official” (art. 2)

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)

Chapter IV: International Cooperation Covers - International cooperation in investigations and proceedings; dual criminality (art. 43) - Extradition (art. 44) - Mutual legal assistance (art. 46) - Mandatory requirements (e.g., art. 48) - Optional requirements (e.g., art. 49) - Optional measures (e.g., art. 45)

The Legislative Guide and The Technical Guide: Effective Implementation Tools

Assist States parties in ratifying and implementing UNCAC Identify legislative requirements and options for States drafting legislation Accommodate different legal traditions and levels of development Promote flexibility in implementing UNCAC while ensuring consistency Purposes of the Legislative Guide (2006)

Legislative Guide to be used during the country review process Paragraph 10.b, Guidelines for governmental experts and the secretariat in the conduct of country reviews: “ The governmental experts shall prepare themselves by …familiarizing themselves with the Legislative Guide for the implementation of the UNCAC and with the travaux préparatoires of the negotiation of the Convention”

Each Chapter Contains Introduction to the relevant UNCAC articles Summary of main requirements Level of legal obligation - Mandatory requirement - Optional requirement (obligation to consider) Optional measure Related provisions and instruments Examples

Promote the implementation of the Convention by States parties Provide anti-corruption practitioners and authorities with relevant technical advice, tools and examples of good practices to make the Convention operational Highlight policy issues, institutional aspects and operational frameworks related to the full and effective implementation of the provisions of the Convention. Purposes of the Technical Guide (2009)

Part II: The UNCAC Review Mechanism

UNCAC COSP resolutions Terms of Reference of the Review Mechanism Guidelines for governmental experts and the secretariat, adopted at CoSP III and finalized by the Implementation Review Group (IRG) Blueprint for country review reports The Review Mechanism (Doha) – Documents

Terms of Reference – Main Elements Peer review process Drawing of lots for each year of the review cycle One phase = two cycles of five years During the first cycle: chapter III (Criminalization and law enforcement); and IV (International cooperation) During the second cycle: chapters II (Preventive measures); and V (Asset recovery) Desk review of self-assessment reports Sources of information and country visits Outcome of review process (report) and executive summaries Role of the Secretariat Funding

Activities in Support of the Mechanism Training for focal points and governmental experts Regional workshops organized in cooperation with host countries participating in the first year of reviews and partners (UNDP) Dakar, Senegal (Francophone States from African Group, WEOG and GRULAC) Rabat, Morocco (Arab region, Middle East and the Gulf) Panama City, Panama (GRULAC) Moscow, Russian Federation (CIS States) Vienna, Austria (East European Group, Asian Group and WEOG) Jakarta, Indonesia (Asian Group) Pretoria, South Africa (Anglophone States from African Group)

UNCAC Comprehensive Self-Assessment Checklist

Country reviews: Guidelines for governmental experts and the Secretariat

Model Country Review Within three weeks Within one month Within six months Within five months Within two months State party under review nominates focal point Secretariat organizes tele/videoconference to determine: Submission date of SA Report Language of review Division of labour Active dialogue State party under review submits response to the comprehensive self-assessment checklist State party under review organizes further means of direct dialogue, facilitated by the secretariat (meeting in Vienna or country visit) Secretariat circulates response to reviewing experts, after translation where required Secretariat organizes tele/video conference for introduction of the outcome of the desk review Reviewing experts submit the outcome of the desk review Reviewing experts prepare draft country report assisted by the secretariat, state party under review agrees to final country report, executive summary is prepared Within two months Within one month Within one month End of review process

Blueprint of country review reports Introduction Process Executive Summary Implementation of the Convention (The Detail)

Challenges Delays in appointing focal points and experts Self-assessment checklist and software Language and translation Different legal systems Report drafting process and executive summaries

Guidance for Years 2 to 4 Appoint focal points and experts early in the process Communicate early and often Develop a timeline with benchmarks Begin the Self-Assessment Checklist early on Conduct the desk review within the Blueprint format Prepare well for the Country Visit

Division for Treaty Affairs United Nations Office on Drugs and Crime P.O.Box 500 Vienna A-1400 Austria Tel: +43-1-26060-4534 Fax: +43-1-26060-5841 http://www.unodc.org/unodc/en/treaties/CAC/index.html [email_address] For further information:

UNCAC- Methodology of the Review Mechanism

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