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1 TECHNICAL GUIDE TO THEUNITED NATIONSCONVENTION AGAINSTCORRUPTIONV ienna International Centre, PO Box 500, 1400 Vienna , Austria Tel.: (+43-1) 26060-0, Fax: (+43-1) 26060-5866, July 2009 2,000 United Nations Offi ce on Drugs and CrimeViennaTECHNICAL GUIDE TO THEUNITED NATIONSCONVENTION AGAINSTCORRUPTIONUNITED NATIONS New York, 2009 This publication has not been formally Acknowledgements This Technical Guide is the product of a joint project which was carried out by the Division for Treaty Affairs of unodc , under the supervision of Mr. Dimitri Vlassis, and the Justice, Protection and Ethics Unit of UNICRI, under the overall supervision of Ms. Angela Patrignani. The Technical Guide benefited from two Expert Group Meetings, held in Turin in May 2006 and in Vienna in September 2006, as well as by further work carried out by unodc experts in Vienna .

2 On behalf of UNICRI, the following persons provided substantial contribution to the development of the project: - Sandro Calvani, Director - Angela Patrignani, Head of Justice, Protection and Ethics Unit - Gioacchino Polimeni, former Director - Andrea Rachele Fiore, Programme Officer - Mehdi Bacha, former Programme Officer - Alexis Franke, Assistant Programme Officer From unodc , the following persons were involved in the development of the Technical Guide: - Dimitri Vlassis, Chief, Corruption and Economic Crime Section - Stuart Gilman, Deputy Director, Stolen Asset Recovery Initiative (StAR) - Oliver Stolpe, Chief, Justice and Integrity Unit - Demostenes Chryssikos, Crime Prevention and Criminal Justice Officer, Corruption and Economic Crime Section - Dorothee Gottwald, Associate Expert, Corruption and Economic Crime Section - Elsa Gopala-Krishnan, Crime Prevention Expert, Corruption and Economic Crime Section - Alexandra Souza-Martins, Crime Prevention Expert, Division for Operations, Justice and Integrity Unit - Elaine Byrne - Patrick McGowan unodc and UNICRI would like to express their gratitude to the following experts who contributed to the elaboration of the Technical Guide.

3 - Alan Bacarese - Alan Doig - Guillermo Jorge - Michael Kubiciel Special thanks are also due to the State Department and the Fondazione CRT for their generosity in providing funding and support for the development of this Technical Guide. v Contents MEASURES (Chapter II, articles 5-14)..1 Article 5: Preventive anti-corruption policies and Practical challenges and Preventive anti-corruption policies and Effective and coordinated The promotion of the participation of Using the International Developing the Strategy 6: Preventive anti-corruption body or I. II. Practical challenges and Preventive anti-corruption body or Mandate and Independence and Specialized staff and 7: Public Practical challenges and Efficient, transparent and objective systems for recruitment, hiring, retention, promotion and retirement of public Procedures for the selection and training for positions vulnerable to Adequate remuneration and Training public officials in Candidature for and election to public office Transparency in campaign and political party Transparency and the prevention of conflicts of 8.

4 Codes of conduct for public Practical challenges and Promotion of integrity, honesty and responsibility among public Standards of behaviour and codes of Reporting by public officials of acts of Disclosure Disciplinary 9: Public procurement and the management of public Practical challenges and The Measures to enhance Rules of the tender and review Personnel responsible for Public Management of public Procedures for the adoption of the national Timely reporting on revenue and Accounting, auditing and Risk management and internal control Measures to preserve the integrity of relevant 10: Public II.

5 Practical challenges and Measures to enhance transparency in public Access to information concerning public Access to decision-making authorities through simplified administrative Periodic public reporting, including risks of 11: Measures relating to the judiciary and prosecution Practical challenges and Measures to strengthen integrity of Measures to prevent opportunities for corruption in the Codes and Measures to strengthen the integrity of Measures to prevent the opportunities for corruption in the prosecution Codes and standards of conduct for 12: Private Practical challenges and Measures to prevent corruption involving the private Measures to enhance accounting and auditing Civil, administrative or criminal penalties for the private sector57 Measures to promote cooperation between law enforcement and the private Standards and procedures to safeguard the integrity of the private Transparency in the establishment and management of corporate Preventing the misuse of procedures regulating private entities59 Post-employment restrictions for public officials in the private Internal auditing and certification Maintenance of books, records, financial statement disclosure and accounting and auditing Prohibition of tax-deductibility of bribes and related 13.

6 Participation of Practical challenges and Promoting the participation of society in the prevention of Raising public awareness on Promoting the contribution of the public to decision-making Public information and Freedom to seek, receive, publish and disseminate information concerning corruption and its Raising public awareness on anti-corruption Public access to (Anonymous) reporting of 14: Measures to prevent Challenges and Choosing the more relevant institutional anti-money-laundering Who should be subject to preventive obligations?..68 What are the minimum requirements for regulated institutions or activities?..69 Promoting Exchanging financial Cross-border movement of cash and negotiable Money AND LAW ENFORCEMENT (Chapter III, articles 15-42).

7 79 Article 30: Prosecution, adjudication and I. Challenges and Sanctions that take into account the gravity of that Immunities or jurisdictional Discretionary legal Decisions on release pending trial or Early release or parole of Removal, suspension or reassignment of 31: Freezing, seizure and Types of Models of What to consider as proceeds of crime for purposes of Preliminary measures for eventual Reversal/shifting of the burden of Protection of bona fide third 32: Protection of witnesses, experts and Practical challenges and Witnesses and experts, relatives and other persons close to them102 Effective Agreements or arrangements with other 33.

8 Protection of reporting Practical challenges and The policy Engaging public Engaging the Reporting to whom?..106 Criteria for Protecting reporting 34: Consequences of acts of Practical challenges and Types of Focusing on Ensuring that the measures fit with domestic 36: Specialized Challenges and What type of specialized The added value and role of specialized Independence and 37: Cooperation with law enforcement Practical challenges and Relevant Mitigating Agreements or arrangements between States 38: Cooperation between national Practical challenges and 39: Cooperation between national authorities and the private sector123I.

9 Challenges and 40: Bank Challenges and Who has authority to overcome bank secrecy, under what circumstances and for what purposes?..125 What is procedurally required to lift bank secrecy?..126 Automatic disclosure of the information, or upon Use of centralized The content of a Implementation of the preventive principles of know your customer and know your beneficial owner ..128 Bank secrecy and 41: Criminal Practical challenges and 42: Practical challenges and The offence is committed in the territory of the State The offence is committed against a national of that State Party134 The offence is committed by a national of that State Party or a stateless person who has his or her habitual residence in its Jurisdiction over preparatory money-laundering The offence is committed against the State Establishment of criminal jurisdiction on the basis of the principle aut dedere aut judicare.

10 136 International COOPERATION (Chapter IV, articles 43-50)..137 Article 43: International Challenges and The specific issue of determining dual The involvement of a central or other competent Cooperation Ways and means to ensure resources and address practical problems in the field of International cooperation in criminal 44: Challenges and Addressing current Changing Setting up the legal framework for Improving 45: Transfer of sentenced Challenges and The legal Conditions for transferring Transfers and 46.