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#UN @unodc CONVENTION AGAINST #CORRUPTION

General Assembly resolution 58/4
of 31 October 2003
United Nations Convention
against Corruption
The General Assembly,
Recalling its resolution 55/61 of 4 December 2000, in which it established
an ad hoc committee for the negotiation of an effective international legal instrument against corruption and requested the Secretary-General to convene an
intergovernmental open-ended expert group to examine and prepare draft terms
of reference for the negotiation of such an instrument, and its resolution 55/188
of 20 December 2000, in which it invited the intergovernmental open-ended
expert group to be convened pursuant to resolution 55/61 to examine the
question of illegally transferred funds and the return of such funds to the
countries of origin,
Recalling also its resolutions 56/186 of 21 December 2001 and 57/244 of
20 December 2002 on preventing and combating corrupt practices and transfer
of funds of illicit origin and returning such funds to the countries of origin,
Recalling further its resolution 56/260 of 31 January 2002, in which it
requested the Ad Hoc Committee for the Negotiation of a Convention against
Corruption to complete its work by the end of 2003,
Recalling its resolution 57/169 of 18 December 2002, in which it accepted
with appreciation the offer made by the Government of Mexico to host a highlevel political conference for the purpose of signing the convention and requested the Secretary-General to schedule the conference for a period of three
days before the end of 2003,
Recalling also Economic and Social Council resolution 2001/13 of 24 July
2001, entitled “Strengthening international cooperation in preventing and combating the transfer of funds of illicit origin, derived from acts of corruption,
including the laundering of funds, and in returning such funds”,
Expressing its appreciation to the Government of Argentina for hosting the
informal preparatory meeting of the Ad Hoc Committee for the Negotiation of
a Convention against Corruption in Buenos Aires from 4 to 7 December 2001,2
Recalling the Monterrey Consensus, adopted by the International Conference on Financing for Development, held in Monterrey, Mexico, from 18 to
22 March 2002,
1
in which it was underlined that fighting corruption at all
levels was a priority,
Recalling also the Johannesburg Declaration on Sustainable Development,
adopted by the World Summit on Sustainable Development, held in
Johannesburg, South Africa, from 26 August to 4 September 2002,
2
in particular paragraph 19 thereof, in which corruption was declared a threat to the
sustainable development of people,
Concerned about the seriousness of problems and threats posed by corruption to the stability and security of societies, undermining the institutions and
values of democracy, ethical values and justice and jeopardizing sustainable
development and the rule of law,
1. Takes note of the report of the Ad Hoc Committee for the Negotiation
of a Convention against Corruption,
3
which carried out its work at the headquarters of the United Nations Office on Drugs and Crime in Vienna, in which
the Ad Hoc Committee submitted the final text of the draft United Nations
Convention against Corruption to the General Assembly for its consideration
and action, and commends the Ad Hoc Committee for its work;
2. Adopts the United Nations Convention against Corruption annexed
to the present resolution, and opens it for signature at the High-level Political
Signing Conference to be held in Merida, Mexico, from 9 to 11 December
2003, in accordance with resolution 57/169;
3. Urges all States and competent regional economic integration organizations to sign and ratify the United Nations Convention against Corruption
as soon as possible in order to ensure its rapid entry into force;
4. Decides that, until the Conference of the States Parties to the Convention established pursuant to the United Nations Convention against Corruption
decides otherwise, the account referred to in article 62 of the Convention will
be operated within the United Nations Crime Prevention and Criminal Justice
Fund, and encourages Member States to begin making adequate voluntary
contributions to the above-mentioned account for the provision to developing
1
Report of the International Conference on Financing for Development, Monterrey, Mexico, 18-22 March
2002 (United Nations publication, Sales No. E.02.II.A.7), chap. I, resolution 1, annex.
2
Report of the World Summit on Sustainable Development, Johannesburg, South Africa,
26 August-4 September 2002 (United Nations publication, Sales No. E.03.II.A.1 and corrigendum), chap. I,
resolution 1, annex.
3
A/58/422 and Add.1.3
countries and countries with economies in transition of the technical assistance
that they might require to prepare for ratification and implementation of the
Convention;
5. Also decides that the Ad Hoc Committee for the Negotiation of a
Convention against Corruption will complete its tasks arising from the negotiation of the United Nations Convention against Corruption by holding a meeting well before the convening of the first session of the Conference of the States
Parties to the Convention in order to prepare the draft text of the rules of
procedure of the Conference of the States Parties and of other rules described
in article 63 of the Convention, which will be submitted to the Conference of
the States Parties at its first session for consideration;
6. Requests the Conference of the States Parties to the Convention to
address the criminalization of bribery of officials of public international organizations, including the United Nations, and related issues, taking into account
questions of privileges and immunities, as well as of jurisdiction and the role of
international organizations, by, inter alia, making recommendations regarding
appropriate action in that regard;
7. Decides that, in order to raise awareness of corruption and of the role
of the Convention in combating and preventing it, 9 December should be
designated International Anti-Corruption Day;
8. Requests the Secretary-General to designate the United Nations Office
on Drugs and Crime to serve as the secretariat for and under the direction of
the Conference of the States Parties to the Convention;
9. Also requests the Secretary-General to provide the United Nations
Office on Drugs and Crime with the resources necessary to enable it to promote
in an effective manner the rapid entry into force of the United Nations Convention against Corruption and to discharge the functions of secretariat of the
Conference of the States Parties to the Convention, and to support the Ad Hoc
Committee in its work pursuant to paragraph 5 above;
10. Further requests the Secretary-General to prepare a comprehensive
report on the High-level Political Signing Conference to be held in Merida,
Mexico, in accordance with resolution 57/169, for submission to the General
Assembly at its fifty-ninth session.5
Preamble
The States Parties to this Convention,
Concerned about the seriousness of problems and threats posed by corruption to the stability and security of societies, undermining the institutions and
values of democracy, ethical values and justice and jeopardizing sustainable
development and the rule of law,
Concerned also about the links between corruption and other forms of
crime, in particular organized crime and economic crime, including moneylaundering,
Concerned further about cases of corruption that involve vast quantities of
assets, which may constitute a substantial proportion of the resources of States,
and that threaten the political stability and sustainable development of those
States,
Convinced that corruption is no longer a local matter but a transnational
phenomenon that affects all societies and economies, making international cooperation to prevent and control it essential,
Convinced also that a comprehensive and multidisciplinary approach is
required to prevent and combat corruption effectively,
Convinced further that the availability of technical assistance can play an
important role in enhancing the ability of States, including by strengthening
capacity and by institution-building, to prevent and combat corruption
effectively,
Convinced that the illicit acquisition of personal wealth can be particularly
damaging to democratic institutions, national economies and the rule of law,
Annex
United Nations Convention
against Corruption6
Determined to prevent, detect and deter in a more effective manner international transfers of illicitly acquired assets and to strengthen international cooperation in asset recovery,
Acknowledging the fundamental principles of due process of law in criminal
proceedings and in civil or administrative proceedings to adjudicate property
rights,
Bearing in mind that the prevention and eradication of corruption is a
responsibility of all States and that they must cooperate with one another, with
the support and involvement of individuals and groups outside the public sector, such as civil society, non-governmental organizations and community-based
organizations, if their efforts in this area are to be effective,
Bearing also in mind the principles of proper management of public affairs
and public property, fairness, responsibility and equality before the law and the
need to safeguard integrity and to foster a culture of rejection of corruption,
Commending the work of the Commission on Crime Prevention and
Criminal Justice and the United Nations Office on Drugs and Crime in preventing and combating corruption,
Recalling the work carried out by other international and regional organizations in this field, including the activities of the African Union, the Council
of Europe, the Customs Cooperation Council (also known as the World Customs Organization), the European Union, the League of Arab States, the Organisation for Economic Cooperation and Development and the Organization
of American States,
Taking note with appreciation of multilateral instruments to prevent and
combat corruption, including, inter alia, the Inter-American Convention
against Corruption, adopted by the Organization of American States on
29 March 1996,
1
the Convention on the Fight against Corruption involving
Officials of the European Communities or Officials of Member States of the
European Union, adopted by the Council of the European Union on 26 May
1997,
2
the Convention on Combating Bribery of Foreign Public Officials in
International Business Transactions, adopted by the Organisation for Economic
Cooperation and Development on 21 November 1997,
3
the Criminal Law
1
See E/1996/99.
2
Official Journal of the European Communities, C 195, 25 June 1997.
3
See Corruption and Integrity Improvement Initiatives in Developing Countries (United Nations publication, Sales No. E.98.III.B.18).7
Convention on Corruption, adopted by the Committee of Ministers of the
Council of Europe on 27 January 1999,
4
the Civil Law Convention on Corruption, adopted by the Committee of Ministers of the Council of Europe on
4 November 1999,
5
and the African Union Convention on Preventing and
Combating Corruption, adopted by the Heads of State and Government of the
African Union on 12 July 2003,
Welcoming the entry into force on 29 September 2003 of the United
Nations Convention against Transnational Organized Crime,
6
Have agreed as follows:
Chapter I
General provisions
Article 1. Statement of purpose
The purposes of this Convention are:
(a) To promote and strengthen measures to prevent and combat corruption more efficiently and effectively;
(b) To promote, facilitate and support international cooperation and
technical assistance in the prevention of and fight against corruption, including
in asset recovery;
(c) To promote integrity, accountability and proper management of public affairs and public property.
Article 2. Use of terms
For the purposes of this Convention:
(a) “Public official” shall mean: (i) any person holding a legislative, executive, administrative or judicial office of a State Party, whether appointed or
elected, whether permanent or temporary, whether paid or unpaid, irrespective
of that person’s seniority; (ii) any other person who performs a public function,
including for a public agency or public enterprise, or provides a public service,
as defined in the domestic law of the State Party and as applied in the pertinent
area of law of that State Party; (iii) any other person defined as a “public
4
Council of Europe, European Treaty Series, No. 173.
5
Ibid., No. 174.
6
General Assembly resolution 55/25, annex I.8
official” in the domestic law of a State Party. However, for the purpose of some
specific measures contained in chapter II of this Convention, “public official”
may mean any person who performs a public function or provides a public
service as defined in the domestic law of the State Party and as applied in the
pertinent area of law of that State Party;
(b) “Foreign public official” shall mean any person holding a legislative,
executive, administrative or judicial office of a foreign country, whether appointed or elected; and any person exercising a public function for a foreign
country, including for a public agency or public enterprise;
(c) “Official of a public international organization” shall mean an international civil servant or any person who is authorized by such an organization
to act on behalf of that organization;
(d) “Property” shall mean assets of every kind, whether corporeal or incorporeal, movable or immovable, tangible or intangible, and legal documents
or instruments evidencing title to or interest in such assets;
(e) “Proceeds of crime” shall mean any property derived from or obtained, directly or indirectly, through the commission of an offence;
(f) “Freezing” or “seizure” shall mean temporarily prohibiting the transfer, conversion, disposition or movement of property or temporarily assuming
custody or control of property on the basis of an order issued by a court or
other competent authority;
(g) “Confiscation”, which includes forfeiture where applicable, shall mean
the permanent deprivation of property by order of a court or other competent
authority;
(h) “Predicate offence” shall mean any offence as a result of which proceeds have been generated that may become the subject of an offence as defined
in article 23 of this Convention;
(i) “Controlled delivery” shall mean the technique of allowing illicit or
suspect consignments to pass out of, through or into the territory of one or
more States, with the knowledge and under the supervision of their competent
authorities, with a view to the investigation of an offence and the identification
of persons involved in the commission of the offence.
Article 3. Scope of application
1. This Convention shall apply, in accordance with its terms, to the
prevention, investigation and prosecution of corruption and to the freezing,
seizure, confiscation and return of the proceeds of offences established in
accordance with this Convention.9
2. For the purposes of implementing this Convention, it shall not be
necessary, except as otherwise stated herein, for the offences set forth in it to
result in damage or harm to state property.
Article 4. Protection of sovereignty
1. States Parties shall carry out their obligations under this Convention
in a manner consistent with the principles of sovereign equality and territorial
integrity of States and that of non-intervention in the domestic affairs of
other States.
2. Nothing in this Convention shall entitle a State Party to undertake in
the territory of another State the exercise of jurisdiction and performance of
functions that are reserved exclusively for the authorities of that other State by
its domestic law.
Chapter II
Preventive measures
Article 5. Preventive anti-corruption policies and practices
1. Each State Party shall, in accordance with the fundamental principles
of its legal system, develop and implement or maintain effective, coordinated
anti-corruption policies that promote the participation of society and reflect the
principles of the rule of law, proper management of public affairs and public
property, integrity, transparency and accountability.
2. Each State Party shall endeavour to establish and promote effective
practices aimed at the prevention of corruption.
3. Each State Party shall endeavour to periodically evaluate relevant legal
instruments and administrative measures with a view to determining their
adequacy to prevent and fight corruption.
4. States Parties shall, as appropriate and in accordance with the fundamental principles of their legal system, collaborate with each other and with
relevant international and regional organizations in promoting and developing
the measures referred to in this article. That collaboration may include participation in international programmes and projects aimed at the prevention of
corruption.10
Article 6. Preventive anti-corruption body or bodies
1. Each State Party shall, in accordance with the fundamental principles
of its legal system, ensure the existence of a body or bodies, as appropriate, that
prevent corruption by such means as:
(a) Implementing the policies referred to in article 5 of this Convention
and, where appropriate, overseeing and coordinating the implementation of
those policies;
(b) Increasing and disseminating knowledge about the prevention of corruption.
2. Each State Party shall grant the body or bodies referred to in paragraph 1 of this article the necessary independence, in accordance with the fundamental principles of its legal system, to enable the body or bodies to carry out
its or their functions effectively and free from any undue influence. The necessary material resources and specialized staff, as well as the training that such
staff may require to carry out their functions, should be provided.
3. Each State Party shall inform the Secretary-General of the United
Nations of the name and address of the authority or authorities that may assist
other States Parties in developing and implementing specific measures for the
prevention of corruption.
Article 7. Public sector
1. Each State Party shall, where appropriate and in accordance with the
fundamental principles of its legal system, endeavour to adopt, maintain and
strengthen systems for the recruitment, hiring, retention, promotion and retirement of civil servants and, where appropriate, other non-elected public officials:
(a) That are based on principles of efficiency, transparency and objective
criteria such as merit, equity and aptitude;
(b) That include adequate procedures for the selection and training of
individuals for public positions considered especially vulnerable to corruption
and the rotation, where appropriate, of such individuals to other positions;
(c) That promote adequate remuneration and equitable pay scales, taking
into account the level of economic development of the State Party;
(d) That promote education and training programmes to enable them to
meet the requirements for the correct, honourable and proper performance of
public functions and that provide them with specialized and appropriate training to enhance their awareness of the risks of corruption inherent in the11
performance of their functions. Such programmes may make reference to codes
or standards of conduct in applicable areas.
2. Each State Party shall also consider adopting appropriate legislative
and administrative measures, consistent with the objectives of this Convention
and in accordance with the fundamental principles of its domestic law, to
prescribe criteria concerning candidature for and election to public office.
3. Each State Party shall also consider taking appropriate legislative and
administrative measures, consistent with the objectives of this Convention and
in accordance with the fundamental principles of its domestic law, to enhance
transparency in the funding of candidatures for elected public office and, where
applicable, the funding of political parties.
4. Each State Party shall, in accordance with the fundamental principles
of its domestic law, endeavour to adopt, maintain and strengthen systems that
promote transparency and prevent conflicts of interest.
Article 8. Codes of conduct for public officials
1. In order to fight corruption, each State Party shall promote, inter alia,
integrity, honesty and responsibility among its public officials, in accordance
with the fundamental principles of its legal system.
2. In particular, each State Party shall endeavour to apply, within its own
institutional and legal systems, codes or standards of conduct for the correct,
honourable and proper performance of public functions.
3. For the purposes of implementing the provisions of this article, each
State Party shall, where appropriate and in accordance with the fundamental
principles of its legal system, take note of the relevant initiatives of regional,
interregional and multilateral organizations, such as the International Code of
Conduct for Public Officials contained in the annex to General Assembly resolution 51/59 of 12 December 1996.
4. Each State Party shall also consider, in accordance with the fundamental principles of its domestic law, establishing measures and systems to
facilitate the reporting by public officials of acts of corruption to appropriate
authorities, when such acts come to their notice in the performance of their
functions.
5. Each State Party shall endeavour, where appropriate and in accordance with the fundamental principles of its domestic law, to establish measures12
and systems requiring public officials to make declarations to appropriate
authorities regarding, inter alia, their outside activities, employment, investments, assets and substantial gifts or benefits from which a conflict of interest
may result with respect to their functions as public officials.
6. Each State Party shall consider taking, in accordance with the fundamental principles of its domestic law, disciplinary or other measures against
public officials who violate the codes or standards established in accordance
with this article.
Article 9. Public procurement and management
of public finances
1. Each State Party shall, in accordance with the fundamental principles
of its legal system, take the necessary steps to establish appropriate systems of
procurement, based on transparency, competition and objective criteria in
decision-making, that are effective, inter alia, in preventing corruption. Such
systems, which may take into account appropriate threshold values in their
application, shall address, inter alia:
(a) The public distribution of information relating to procurement procedures and contracts, including information on invitations to tender and relevant or pertinent information on the award of contracts, allowing potential
tenderers sufficient time to prepare and submit their tenders;
(b) The establishment, in advance, of conditions for participation, including selection and award criteria and tendering rules, and their publication;
(c) The use of objective and predetermined criteria for public procurement decisions, in order to facilitate the subsequent verification of the correct
application of the rules or procedures;
(d) An effective system of domestic review, including an effective system
of appeal, to ensure legal recourse and remedies in the event that the rules or
procedures established pursuant to this paragraph are not followed;
(e) Where appropriate, measures to regulate matters regarding personnel
responsible for procurement, such as declaration of interest in particular public
procurements, screening procedures and training requirements.
2. Each State Party shall, in accordance with the fundamental principles
of its legal system, take appropriate measures to promote transparency and
accountability in the management of public finances. Such measures shall
encompass, inter alia:
(a) Procedures for the adoption of the national budget;13
(b) Timely reporting on revenue and expenditure;
(c) A system of accounting and auditing standards and related oversight;
(d) Effective and efficient systems of risk management and internal control; and
(e) Where appropriate, corrective action in the case of failure to comply
with the requirements established in this paragraph.
3. Each State Party shall take such civil and administrative measures as
may be necessary, in accordance with the fundamental principles of its domestic
law, to preserve the integrity of accounting books, records, financial statements
or other documents related to public expenditure and revenue and to prevent
the falsification of such documents.
Article 10. Public reporting
Taking into account the need to combat corruption, each State Party shall,
in accordance with the fundamental principles of its domestic law, take such
measures as may be necessary to enhance transparency in its public administration, including with regard to its organization, functioning and decisionmaking processes, where appropriate. Such measures may include, inter alia:
(a) Adopting procedures or regulations allowing members of the general
public to obtain, where appropriate, information on the organization, functioning and decision-making processes of its public administration and, with due
regard for the protection of privacy and personal data, on decisions and legal
acts that concern members of the public;
(b) Simplifying administrative procedures, where appropriate, in order to
facilitate public access to the competent decision-making authorities; and
(c) Publishing information, which may include periodic reports on the
risks of corruption in its public administration.
Article 11. Measures relating to the judiciary
and prosecution services
1. Bearing in mind the independence of the judiciary and its crucial role
in combating corruption, each State Party shall, in accordance with the fundamental principles of its legal system and without prejudice to judicial independence, take measures to strengthen integrity and to prevent opportunities for
corruption among members of the judiciary. Such measures may include rules
with respect to the conduct of members of the judiciary.14
2. Measures to the same effect as those taken pursuant to paragraph 1 of
this article may be introduced and applied within the prosecution service in
those States Parties where it does not form part of the judiciary but enjoys
independence similar to that of the judicial service.
Article 12. Private sector
1. Each State Party shall take measures, in accordance with the fundamental principles of its domestic law, to prevent corruption involving the
private sector, enhance accounting and auditing standards in the private sector
and, where appropriate, provide effective, proportionate and dissuasive civil,
administrative or criminal penalties for failure to comply with such measures.
2. Measures to achieve these ends may include, inter alia:
(a) Promoting cooperation between law enforcement agencies and
relevant private entities;
(b) Promoting the development of standards and procedures designed to
safeguard the integrity of relevant private entities, including codes of conduct
for the correct, honourable and proper performance of the activities of business
and all relevant professions and the prevention of conflicts of interest, and for
the promotion of the use of good commercial practices among businesses and
in the contractual relations of businesses with the State;
(c) Promoting transparency among private entities, including, where appropriate, measures regarding the identity of legal and natural persons involved
in the establishment and management of corporate entities;
(d) Preventing the misuse of procedures regulating private entities, including procedures regarding subsidies and licences granted by public authorities for commercial activities;
(e) Preventing conflicts of interest by imposing restrictions, as appropriate and for a reasonable period of time, on the professional activities of former
public officials or on the employment of public officials by the private sector
after their resignation or retirement, where such activities or employment relate
directly to the functions held or supervised by those public officials during their
tenure;
(f) Ensuring that private enterprises, taking into account their structure
and size, have sufficient internal auditing controls to assist in preventing and
detecting acts of corruption and that the accounts and required financial statements of such private enterprises are subject to appropriate auditing and certification procedures.15
3. In order to prevent corruption, each State Party shall take such measures as may be necessary, in accordance with its domestic laws and regulations
regarding the maintenance of books and records, financial statement disclosures
and accounting and auditing standards, to prohibit the following acts carried
out for the purpose of committing any of the offences established in accordance
with this Convention:
(a) The establishment of off-the-books accounts;
(b) The making of off-the-books or inadequately identified transactions;
(c) The recording of non-existent expenditure;
(d) The entry of liabilities with incorrect identification of their objects;
(e) The use of false documents; and
(f) The intentional destruction of bookkeeping documents earlier than
foreseen by the law.
4. Each State Party shall disallow the tax deductibility of expenses that
constitute bribes, the latter being one of the constituent elements of the offences
established in accordance with articles 15 and 16 of this Convention and, where
appropriate, other expenses incurred in furtherance of corrupt conduct.
Article 13. Participation of society
1. Each State Party shall take appropriate measures, within its means and
in accordance with fundamental principles of its domestic law, to promote the
active participation of individuals and groups outside the public sector, such as
civil society, non-governmental organizations and community-based organizations, in the prevention of and the fight against corruption and to raise public
awareness regarding the existence, causes and gravity of and the threat posed by
corruption. This participation should be strengthened by such measures as:
(a) Enhancing the transparency of and promoting the contribution of the
public to decision-making processes;
(b) Ensuring that the public has effective access to information;
(c) Undertaking public information activities that contribute to nontolerance of corruption, as well as public education programmes, including
school and university curricula;
(d) Respecting, promoting and protecting the freedom to seek, receive,
publish and disseminate information concerning corruption. That freedom may
be subject to certain restrictions, but these shall only be such as are provided for
by law and are necessary:
(i) For respect of the rights or reputations of others;16
(ii) For the protection of national security or ordre public or of
public health or morals.
2. Each State Party shall take appropriate measures to ensure that the
relevant anti-corruption bodies referred to in this Convention are known to the
public and shall provide access to such bodies, where appropriate, for the reporting, including anonymously, of any incidents that may be considered to
constitute an offence established in accordance with this Convention.
Article 14. Measures to prevent money-laundering
1. Each State Party shall:
(a) Institute a comprehensive domestic regulatory and supervisory regime
for banks and non-bank financial institutions, including natural or legal persons
that provide formal or informal services for the transmission of money or value
and, where appropriate, other bodies particularly susceptible to moneylaundering, within its competence, in order to deter and detect all forms of
money-laundering, which regime shall emphasize requirements for customer
and, where appropriate, beneficial owner identification, record-keeping and the
reporting of suspicious transactions;
(b) Without prejudice to article 46 of this Convention, ensure that administrative, regulatory, law enforcement and other authorities dedicated to
combating money-laundering (including, where appropriate under domestic
law, judicial authorities) have the ability to cooperate and exchange information
at the national and international levels within the conditions prescribed by its
domestic law and, to that end, shall consider the establishment of a financial
intelligence unit to serve as a national centre for the collection, analysis and
dissemination of information regarding potential money-laundering.
2. States Parties shall consider implementing feasible measures to detect
and monitor the movement of cash and appropriate negotiable instruments
across their borders, subject to safeguards to ensure proper use of information
and without impeding in any way the movement of legitimate capital. Such
measures may include a requirement that individuals and businesses report the
cross-border transfer of substantial quantities of cash and appropriate negotiable
instruments.
3. States Parties shall consider implementing appropriate and feasible
measures to require financial institutions, including money remitters:
(a) To include on forms for the electronic transfer of funds and related
messages accurate and meaningful information on the originator;17
(b) To maintain such information throughout the payment chain; and
(c) To apply enhanced scrutiny to transfers of funds that do not contain
complete information on the originator.
4. In establishing a domestic regulatory and supervisory regime under the
terms of this article, and without prejudice to any other article of this Convention, States Parties are called upon to use as a guideline the relevant initiatives of
regional, interregional and multilateral organizations against money-laundering.
5. States Parties shall endeavour to develop and promote global, regional,
subregional and bilateral cooperation among judicial, law enforcement and
financial regulatory authorities in order to combat money-laundering.
Chapter III
Criminalization and law enforcement
Article 15. Bribery of national public officials
Each State Party shall adopt such legislative and other measures as may be
necessary to establish as criminal offences, when committed intentionally:
(a) The promise, offering or giving, to a public official, directly or indirectly, of an undue advantage, for the official himself or herself or another
person or entity, in order that the official act or refrain from acting in the
exercise of his or her official duties;
(b) The solicitation or acceptance by a public official, directly or indirectly, of an undue advantage, for the official himself or herself or another
person or entity, in order that the official act or refrain from acting in the
exercise of his or her official duties.
Article 16. Bribery of foreign public officials and officials
of public international organizations
1. Each State Party shall adopt such legislative and other measures as
may be necessary to establish as a criminal offence, when committed intentionally, the promise, offering or giving to a foreign public official or an official of
a public international organization, directly or indirectly, of an undue advantage, for the official himself or herself or another person or entity, in order that
the official act or refrain from acting in the exercise of his or her official duties,
in order to obtain or retain business or other undue advantage in relation to the
conduct of international business.18
2. Each State Party shall consider adopting such legislative and other
measures as may be necessary to establish as a criminal offence, when committed
intentionally, the solicitation or acceptance by a foreign public official or an
official of a public international organization, directly or indirectly, of an
undue advantage, for the official himself or herself or another person or entity,
in order that the official act or refrain from acting in the exercise of his or her
official duties.
Article 17. Embezzlement, misappropriation or
other diversion of property by a public official
Each State Party shall adopt such legislative and other measures as may be
necessary to establish as criminal offences, when committed intentionally, the
embezzlement, misappropriation or other diversion by a public official for his
or her benefit or for the benefit of another person or entity, of any property,
public or private funds or securities or any other thing of value entrusted to the
public official by virtue of his or her position.
Article 18. Trading in influence
Each State Party shall consider adopting such legislative and other measures as may be necessary to establish as criminal offences, when committed
intentionally:
(a) The promise, offering or giving to a public official or any other person, directly or indirectly, of an undue advantage in order that the public
official or the person abuse his or her real or supposed influence with a view
to obtaining from an administration or public authority of the State Party an
undue advantage for the original instigator of the act or for any other person;
(b) The solicitation or acceptance by a public official or any other person,
directly or indirectly, of an undue advantage for himself or herself or for another
person in order that the public official or the person abuse his or her real or
supposed influence with a view to obtaining from an administration or public
authority of the State Party an undue advantage.
Article 19. Abuse of functions
Each State Party shall consider adopting such legislative and other measures as may be necessary to establish as a criminal offence, when committed
intentionally, the abuse of functions or position, that is, the performance of or
failure to perform an act, in violation of laws, by a public official in the19
discharge of his or her functions, for the purpose of obtaining an undue advantage for himself or herself or for another person or entity.
Article 20. Illicit enrichment
Subject to its constitution and the fundamental principles of its legal system, each State Party shall consider adopting such legislative and other measures
as may be necessary to establish as a criminal offence, when committed intentionally, illicit enrichment, that is, a significant increase in the assets of a public
official that he or she cannot reasonably explain in relation to his or her lawful
income.
Article 21. Bribery in the private sector
Each State Party shall consider adopting such legislative and other measures as may be necessary to establish as criminal offences, when committed
intentionally in the course of economic, financial or commercial activities:
(a) The promise, offering or giving, directly or indirectly, of an undue
advantage to any person who directs or works, in any capacity, for a private
sector entity, for the person himself or herself or for another person, in order
that he or she, in breach of his or her duties, act or refrain from acting;
(b) The solicitation or acceptance, directly or indirectly, of an undue
advantage by any person who directs or works, in any capacity, for a private
sector entity, for the person himself or herself or for another person, in order
that he or she, in breach of his or her duties, act or refrain from acting.
Article 22. Embezzlement of property in the private sector
Each State Party shall consider adopting such legislative and other measures as may be necessary to establish as a criminal offence, when committed
intentionally in the course of economic, financial or commercial activities,
embezzlement by a person who directs or works, in any capacity, in a private
sector entity of any property, private funds or securities or any other thing of
value entrusted to him or her by virtue of his or her position.
Article 23. Laundering of proceeds of crime
1. Each State Party shall adopt, in accordance with fundamental principles of its domestic law, such legislative and other measures as may be
necessary to establish as criminal offences, when committed intentionally:20
(a) (i) The conversion or transfer of property, knowing that such
property is the proceeds of crime, for the purpose of concealing
or disguising the illicit origin of the property or of helping any
person who is involved in the commission of the predicate
offence to evade the legal consequences of his or her action;
(ii) The concealment or disguise of the true nature, source, location,
disposition, movement or ownership of or rights with respect to
property, knowing that such property is the proceeds of crime;
(b) Subject to the basic concepts of its legal system:
(i) The acquisition, possession or use of property, knowing, at the
time of receipt, that such property is the proceeds of crime;
(ii) Participation in, association with or conspiracy to commit,
attempts to commit and aiding, abetting, facilitating and counselling the commission of any of the offences established in
accordance with this article.
2. For purposes of implementing or applying paragraph 1 of this article:
(a) Each State Party shall seek to apply paragraph 1 of this article to the
widest range of predicate offences;
(b) Each State Party shall include as predicate offences at a minimum a
comprehensive range of criminal offences established in accordance with this
Convention;
(c) For the purposes of subparagraph (b) above, predicate offences shall
include offences committed both within and outside the jurisdiction of the State
Party in question. However, offences committed outside the jurisdiction of a
State Party shall constitute predicate offences only when the relevant conduct is
a criminal offence under the domestic law of the State where it is committed
and would be a criminal offence under the domestic law of the State Party
implementing or applying this article had it been committed there;
(d) Each State Party shall furnish copies of its laws that give effect to this
article and of any subsequent changes to such laws or a description thereof to
the Secretary-General of the United Nations;
(e) If required by fundamental principles of the domestic law of a State
Party, it may be provided that the offences set forth in paragraph 1 of this article
do not apply to the persons who committed the predicate offence.
Article 24. Concealment
Without prejudice to the provisions of article 23 of this Convention, each
State Party shall consider adopting such legislative and other measures as may21
be necessary to establish as a criminal offence, when committed intentionally
after the commission of any of the offences established in accordance with this
Convention without having participated in such offences, the concealment or
continued retention of property when the person involved knows that such
property is the result of any of the offences established in accordance with this
Convention.
Article 25. Obstruction of justice
Each State Party shall adopt such legislative and other measures as may be
necessary to establish as criminal offences, when committed intentionally:
(a) The use of physical force, threats or intimidation or the promise,
offering or giving of an undue advantage to induce false testimony or to interfere in the giving of testimony or the production of evidence in a proceeding
in relation to the commission of offences established in accordance with this
Convention;
(b) The use of physical force, threats or intimidation to interfere with the
exercise of official duties by a justice or law enforcement official in relation to
the commission of offences established in accordance with this Convention.
Nothing in this subparagraph shall prejudice the right of States Parties to have
legislation that protects other categories of public official.
Article 26. Liability of legal persons
1. Each State Party shall adopt such measures as may be necessary,
consistent with its legal principles, to establish the liability of legal persons for
participation in the offences established in accordance with this Convention.
2. Subject to the legal principles of the State Party, the liability of legal
persons may be criminal, civil or administrative.
3. Such liability shall be without prejudice to the criminal liability of the
natural persons who have committed the offences.
4. Each State Party shall, in particular, ensure that legal persons
held liable in accordance with this article are subject to effective, proportionate
and dissuasive criminal or non-criminal sanctions, including monetary
sanctions.22
Article 27. Participation and attempt
1. Each State Party shall adopt such legislative and other measures as
may be necessary to establish as a criminal offence, in accordance with its
domestic law, participation in any capacity such as an accomplice, assistant or
instigator in an offence established in accordance with this Convention.
2. Each State Party may adopt such legislative and other measures as may
be necessary to establish as a criminal offence, in accordance with its domestic
law, any attempt to commit an offence established in accordance with this
Convention.
3. Each State Party may adopt such legislative and other measures as may
be necessary to establish as a criminal offence, in accordance with its domestic
law, the preparation for an offence established in accordance with this
Convention.
Article 28. Knowledge, intent and purpose
as elements of an offence
Knowledge, intent or purpose required as an element of an offence established in accordance with this Convention may be inferred from objective
factual circumstances.
Article 29. Statute of limitations
Each State Party shall, where appropriate, establish under its domestic law
a long statute of limitations period in which to commence proceedings for any
offence established in accordance with this Convention and establish a longer
statute of limitations period or provide for the suspension of the statute of
limitations where the alleged offender has evaded the administration of justice.
Article 30. Prosecution, adjudication and sanctions
1. Each State Party shall make the commission of an offence established
in accordance with this Convention liable to sanctions that take into account
the gravity of that offence.
2. Each State Party shall take such measures as may be necessary to
establish or maintain, in accordance with its legal system and constitutional
principles, an appropriate balance between any immunities or jurisdictional23
privileges accorded to its public officials for the performance of their functions
and the possibility, when necessary, of effectively investigating, prosecuting and
adjudicating offences established in accordance with this Convention.
3. Each State Party shall endeavour to ensure that any discretionary legal
powers under its domestic law relating to the prosecution of persons for offences
established in accordance with this Convention are exercised to maximize the
effectiveness of law enforcement measures in respect of those offences and with
due regard to the need to deter the commission of such offences.
4. In the case of offences established in accordance with this Convention, each State Party shall take appropriate measures, in accordance with its
domestic law and with due regard to the rights of the defence, to seek to ensure
that conditions imposed in connection with decisions on release pending trial
or appeal take into consideration the need to ensure the presence of the defendant at subsequent criminal proceedings.
5. Each State Party shall take into account the gravity of the offences
concerned when considering the eventuality of early release or parole of persons
convicted of such offences.
6. Each State Party, to the extent consistent with the fundamental principles of its legal system, shall consider establishing procedures through which
a public official accused of an offence established in accordance with this Convention may, where appropriate, be removed, suspended or reassigned by the
appropriate authority, bearing in mind respect for the principle of the presumption of innocence.
7. Where warranted by the gravity of the offence, each State Party, to the
extent consistent with the fundamental principles of its legal system, shall consider establishing procedures for the disqualification, by court order or any
other appropriate means, for a period of time determined by its domestic law,
of persons convicted of offences established in accordance with this Convention
from:
(a) Holding public office; and
(b) Holding office in an enterprise owned in whole or in part by the
State.
8. Paragraph 1 of this article shall be without prejudice to the exercise of
disciplinary powers by the competent authorities against civil servants.
9. Nothing contained in this Convention shall affect the principle that
the description of the offences established in accordance with this Convention24
and of the applicable legal defences or other legal principles controlling the
lawfulness of conduct is reserved to the domestic law of a State Party and that
such offences shall be prosecuted and punished in accordance with that law.
10. States Parties shall endeavour to promote the reintegration into society
of persons convicted of offences established in accordance with this Convention.
Article 31. Freezing, seizure and confiscation
1. Each State Party shall take, to the greatest extent possible within its
domestic legal system, such measures as may be necessary to enable confiscation
of:
(a) Proceeds of crime derived from offences established in accordance
with this Convention or property the value of which corresponds to that of such
proceeds;
(b) Property, equipment or other instrumentalities used in or destined for
use in offences established in accordance with this Convention.
2. Each State Party shall take such measures as may be necessary to
enable the identification, tracing, freezing or seizure of any item referred to in
paragraph 1 of this article for the purpose of eventual confiscation.
3. Each State Party shall adopt, in accordance with its domestic law,
such legislative and other measures as may be necessary to regulate the administration by the competent authorities of frozen, seized or confiscated property
covered in paragraphs 1 and 2 of this article.
4. If such proceeds of crime have been transformed or converted, in part
or in full, into other property, such property shall be liable to the measures
referred to in this article instead of the proceeds.
5. If such proceeds of crime have been intermingled with property acquired from legitimate sources, such property shall, without prejudice to any
powers relating to freezing or seizure, be liable to confiscation up to the assessed
value of the intermingled proceeds.
6. Income or other benefits derived from such proceeds of crime, from
property into which such proceeds of crime have been transformed or converted
or from property with which such proceeds of crime have been intermingled
shall also be liable to the measures referred to in this article, in the same manner
and to the same extent as proceeds of crime.25
7. For the purpose of this article and article 55 of this Convention, each
State Party shall empower its courts or other competent authorities to order that
bank, financial or commercial records be made available or seized. A State Party
shall not decline to act under the provisions of this paragraph on the ground
of bank secrecy.
8. States Parties may consider the possibility of requiring that an offender demonstrate the lawful origin of such alleged proceeds of crime or other
property liable to confiscation, to the extent that such a requirement is consistent with the fundamental principles of their domestic law and with the nature
of judicial and other proceedings.
9. The provisions of this article shall not be so construed as to prejudice
the rights of bona fide third parties.
10. Nothing contained in this article shall affect the principle that the
measures to which it refers shall be defined and implemented in accordance
with and subject to the provisions of the domestic law of a State Party.
Article 32. Protection of witnesses, experts and victims
1. Each State Party shall take appropriate measures in accordance with
its domestic legal system and within its means to provide effective protection
from potential retaliation or intimidation for witnesses and experts who give
testimony concerning offences established in accordance with this Convention
and, as appropriate, for their relatives and other persons close to them.
2. The measures envisaged in paragraph 1 of this article may include,
inter alia, without prejudice to the rights of the defendant, including the right
to due process:
(a) Establishing procedures for the physical protection of such persons,
such as, to the extent necessary and feasible, relocating them and permitting,
where appropriate, non-disclosure or limitations on the disclosure of information concerning the identity and whereabouts of such persons;
(b) Providing evidentiary rules to permit witnesses and experts to give
testimony in a manner that ensures the safety of such persons, such as permitting testimony to be given through the use of communications technology such
as video or other adequate means.
3. States Parties shall consider entering into agreements or arrangements
with other States for the relocation of persons referred to in paragraph 1 of this
article.26
4. The provisions of this article shall also apply to victims insofar as they
are witnesses.
5. Each State Party shall, subject to its domestic law, enable the views
and concerns of victims to be presented and considered at appropriate stages of
criminal proceedings against offenders in a manner not prejudicial to the rights
of the defence.
Article 33. Protection of reporting persons
Each State Party shall consider incorporating into its domestic legal system
appropriate measures to provide protection against any unjustified treatment for
any person who reports in good faith and on reasonable grounds to the competent authorities any facts concerning offences established in accordance with
this Convention.
Article 34. Consequences of acts of corruption
With due regard to the rights of third parties acquired in good faith, each
State Party shall take measures, in accordance with the fundamental principles
of its domestic law, to address consequences of corruption. In this context,
States Parties may consider corruption a relevant factor in legal proceedings to
annul or rescind a contract, withdraw a concession or other similar instrument
or take any other remedial action.
Article 35. Compensation for damage
Each State Party shall take such measures as may be necessary, in accordance with principles of its domestic law, to ensure that entities or persons who
have suffered damage as a result of an act of corruption have the right to initiate
legal proceedings against those responsible for that damage in order to obtain
compensation.
Article 36. Specialized authorities
Each State Party shall, in accordance with the fundamental principles of its
legal system, ensure the existence of a body or bodies or persons specialized in
combating corruption through law enforcement. Such body or bodies or persons shall be granted the necessary independence, in accordance with the fundamental principles of the legal system of the State Party, to be able to carry out27
their functions effectively and without any undue influence. Such persons or
staff of such body or bodies should have the appropriate training and resources
to carry out their tasks.
Article 37. Cooperation with law enforcement authorities
1. Each State Party shall take appropriate measures to encourage persons
who participate or who have participated in the commission of an offence
established in accordance with this Convention to supply information useful to
competent authorities for investigative and evidentiary purposes and to provide
factual, specific help to competent authorities that may contribute to depriving
offenders of the proceeds of crime and to recovering such proceeds.
2. Each State Party shall consider providing for the possibility, in appropriate cases, of mitigating punishment of an accused person who provides substantial cooperation in the investigation or prosecution of an offence established
in accordance with this Convention.
3. Each State Party shall consider providing for the possibility, in accordance with fundamental principles of its domestic law, of granting immunity
from prosecution to a person who provides substantial cooperation in the investigation or prosecution of an offence established in accordance with this
Convention.
4. Protection of such persons shall be, mutatis mutandis, as provided for
in article 32 of this Convention.
5. Where a person referred to in paragraph 1 of this article located in one
State Party can provide substantial cooperation to the competent authorities of
another State Party, the States Parties concerned may consider entering into
agreements or arrangements, in accordance with their domestic law, concerning
the potential provision by the other State Party of the treatment set forth in
paragraphs 2 and 3 of this article.
Article 38. Cooperation between national authorities
Each State Party shall take such measures as may be necessary to encourage,
in accordance with its domestic law, cooperation between, on the one hand, its
public authorities, as well as its public officials, and, on the other hand, its
authorities responsible for investigating and prosecuting criminal offences. Such
cooperation may include:28
(a) Informing the latter authorities, on their own initiative, where there
are reasonable grounds to believe that any of the offences established in accordance with articles 15, 21 and 23 of this Convention has been committed; or
(b) Providing, upon request, to the latter authorities all necessary information.
Article 39. Cooperation between national authorities
and the private sector
1. Each State Party shall take such measures as may be necessary to
encourage, in accordance with its domestic law, cooperation between national
investigating and prosecuting authorities and entities of the private sector, in
particular financial institutions, relating to matters involving the commission of
offences established in accordance with this Convention.
2. Each State Party shall consider encouraging its nationals and other
persons with a habitual residence in its territory to report to the national investigating and prosecuting authorities the commission of an offence established in
accordance with this Convention.
Article 40. Bank secrecy
Each State Party shall ensure that, in the case of domestic criminal investigations of offences established in accordance with this Convention, there are
appropriate mechanisms available within its domestic legal system to overcome
obstacles that may arise out of the application of bank secrecy laws.
Article 41. Criminal record
Each State Party may adopt such legislative or other measures as may be
necessary to take into consideration, under such terms as and for the purpose
that it deems appropriate, any previous conviction in another State of an alleged
offender for the purpose of using such information in criminal proceedings
relating to an offence established in accordance with this Convention.
Article 42. Jurisdiction
1. Each State Party shall adopt such measures as may be necessary to
establish its jurisdiction over the offences established in accordance with this
Convention when:29
(a) The offence is committed in the territory of that State Party; or
(b) The offence is committed on board a vessel that is flying the flag of
that State Party or an aircraft that is registered under the laws of that State Party
at the time that the offence is committed.
2. Subject to article 4 of this Convention, a State Party may also establish its jurisdiction over any such offence when:
(a) The offence is committed against a national of that State Party; or
(b) The offence is committed by a national of that State Party or a stateless person who has his or her habitual residence in its territory; or
(c) The offence is one of those established in accordance with article 23,
paragraph 1 (b) (ii), of this Convention and is committed outside its territory
with a view to the commission of an offence established in accordance with
article 23, paragraph 1 (a) (i) or (ii) or (b) (i), of this Convention within its
territory; or
(d) The offence is committed against the State Party.
3. For the purposes of article 44 of this Convention, each State Party
shall take such measures as may be necessary to establish its jurisdiction over the
offences established in accordance with this Convention when the alleged
offender is present in its territory and it does not extradite such person solely
on the ground that he or she is one of its nationals.
4. Each State Party may also take such measures as may be necessary to
establish its jurisdiction over the offences established in accordance with this
Convention when the alleged offender is present in its territory and it does not
extradite him or her.
5. If a State Party exercising its jurisdiction under paragraph 1 or 2 of
this article has been notified, or has otherwise learned, that any other States
Parties are conducting an investigation, prosecution or judicial proceeding in
respect of the same conduct, the competent authorities of those States Parties
shall, as appropriate, consult one another with a view to coordinating their
actions.
6. Without prejudice to norms of general international law, this Convention shall not exclude the exercise of any criminal jurisdiction established by
a State Party in accordance with its domestic law.30
Chapter IV
International cooperation
Article 43. International cooperation
1. States Parties shall cooperate in criminal matters in accordance with
articles 44 to 50 of this Convention. Where appropriate and consistent with
their domestic legal system, States Parties shall consider assisting each other in
investigations of and proceedings in civil and administrative matters relating to
corruption.
2. In matters of international cooperation, whenever dual criminality is
considered a requirement, it shall be deemed fulfilled irrespective of whether the
laws of the requested State Party place the offence within the same category of
offence or denominate the offence by the same terminology as the requesting
State Party, if the conduct underlying the offence for which assistance is sought
is a criminal offence under the laws of both States Parties.
Article 44. Extradition
1. This article shall apply to the offences established in accordance with
this Convention where the person who is the subject of the request for extradition is present in the territory of the requested State Party, provided that the
offence for which extradition is sought is punishable under the domestic law of
both the requesting State Party and the requested State Party.
2. Notwithstanding the provisions of paragraph 1 of this article, a State
Party whose law so permits may grant the extradition of a person for any of the
offences covered by this Convention that are not punishable under its own
domestic law.
3. If the request for extradition includes several separate offences, at least
one of which is extraditable under this article and some of which are not
extraditable by reason of their period of imprisonment but are related to offences established in accordance with this Convention, the requested State Party
may apply this article also in respect of those offences.
4. Each of the offences to which this article applies shall be deemed to
be included as an extraditable offence in any extradition treaty existing between
States Parties. States Parties undertake to include such offences as extraditable
offences in every extradition treaty to be concluded between them. A State Party
whose law so permits, in case it uses this Convention as the basis for extradition,31
shall not consider any of the offences established in accordance with this Convention to be a political offence.
5. If a State Party that makes extradition conditional on the existence of
a treaty receives a request for extradition from another State Party with which
it has no extradition treaty, it may consider this Convention the legal basis for
extradition in respect of any offence to which this article applies.
6. A State Party that makes extradition conditional on the existence of
a treaty shall:
(a) At the time of deposit of its instrument of ratification, acceptance or
approval of or accession to this Convention, inform the Secretary-General of the
United Nations whether it will take this Convention as the legal basis for
cooperation on extradition with other States Parties to this Convention; and
(b) If it does not take this Convention as the legal basis for cooperation
on extradition, seek, where appropriate, to conclude treaties on extradition with
other States Parties to this Convention in order to implement this article.
7. States Parties that do not make extradition conditional on the existence of a treaty shall recognize offences to which this article applies as extraditable offences between themselves.
8. Extradition shall be subject to the conditions provided for by the
domestic law of the requested State Party or by applicable extradition treaties,
including, inter alia, conditions in relation to the minimum penalty requirement for extradition and the grounds upon which the requested State Party may
refuse extradition.
9. States Parties shall, subject to their domestic law, endeavour to expedite extradition procedures and to simplify evidentiary requirements relating
thereto in respect of any offence to which this article applies.
10. Subject to the provisions of its domestic law and its extradition treaties, the requested State Party may, upon being satisfied that the circumstances
so warrant and are urgent and at the request of the requesting State Party, take
a person whose extradition is sought and who is present in its territory into
custody or take other appropriate measures to ensure his or her presence at
extradition proceedings.
11. A State Party in whose territory an alleged offender is found, if it does
not extradite such person in respect of an offence to which this article applies32
solely on the ground that he or she is one of its nationals, shall, at the request
of the State Party seeking extradition, be obliged to submit the case without
undue delay to its competent authorities for the purpose of prosecution. Those
authorities shall take their decision and conduct their proceedings in the same
manner as in the case of any other offence of a grave nature under the domestic
law of that State Party. The States Parties concerned shall cooperate with each
other, in particular on procedural and evidentiary aspects, to ensure the
efficiency of such prosecution.
12. Whenever a State Party is permitted under its domestic law to extradite or otherwise surrender one of its nationals only upon the condition that the
person will be returned to that State Party to serve the sentence imposed as a
result of the trial or proceedings for which the extradition or surrender of the
person was sought and that State Party and the State Party seeking the extradition of the person agree with this option and other terms that they may deem
appropriate, such conditional extradition or surrender shall be sufficient to
discharge the obligation set forth in paragraph 11 of this article.
13. If extradition, sought for purposes of enforcing a sentence, is refused
because the person sought is a national of the requested State Party, the requested State Party shall, if its domestic law so permits and in conformity with
the requirements of such law, upon application of the requesting State Party,
consider the enforcement of the sentence imposed under the domestic law of the
requesting State Party or the remainder thereof.
14. Any person regarding whom proceedings are being carried out in
connection with any of the offences to which this article applies shall be
guaranteed fair treatment at all stages of the proceedings, including enjoyment
of all the rights and guarantees provided by the domestic law of the State Party
in the territory of which that person is present.
15. Nothing in this Convention shall be interpreted as imposing an obligation to extradite if the requested State Party has substantial grounds for
believing that the request has been made for the purpose of prosecuting or
punishing a person on account of that person’s sex, race, religion, nationality,
ethnic origin or political opinions or that compliance with the request would
cause prejudice to that person’s position for any one of these reasons.
16. States Parties may not refuse a request for extradition on the sole
ground that the offence is also considered to involve fiscal matters.
17. Before refusing extradition, the requested State Party shall, where
appropriate, consult with the requesting State Party to provide it with ample33
opportunity to present its opinions and to provide information relevant to its
allegation.
18. States Parties shall seek to conclude bilateral and multilateral
agreements or arrangements to carry out or to enhance the effectiveness of
extradition.
Article 45. Transfer of sentenced persons
States Parties may consider entering into bilateral or multilateral agreements or arrangements on the transfer to their territory of persons sentenced to
imprisonment or other forms of deprivation of liberty for offences established
in accordance with this Convention in order that they may complete their
sentences there.
Article 46. Mutual legal assistance
1. States Parties shall afford one another the widest measure of mutual
legal assistance in investigations, prosecutions and judicial proceedings in relation to the offences covered by this Convention.
2. Mutual legal assistance shall be afforded to the fullest extent possible
under relevant laws, treaties, agreements and arrangements of the requested
State Party with respect to investigations, prosecutions and judicial proceedings
in relation to the offences for which a legal person may be held liable in
accordance with article 26 of this Convention in the requesting State Party.
3. Mutual legal assistance to be afforded in accordance with this article
may be requested for any of the following purposes:
(a) Taking evidence or statements from persons;
(b) Effecting service of judicial documents;
(c) Executing searches and seizures, and freezing;
(d) Examining objects and sites;
(e) Providing information, evidentiary items and expert evaluations;
(f) Providing originals or certified copies of relevant documents and
records, including government, bank, financial, corporate or business records;
(g) Identifying or tracing proceeds of crime, property, instrumentalities or
other things for evidentiary purposes;
(h) Facilitating the voluntary appearance of persons in the requesting
State Party;34
(i) Any other type of assistance that is not contrary to the domestic law
of the requested State Party;
(j) Identifying, freezing and tracing proceeds of crime in accordance with
the provisions of chapter V of this Convention;
(k) The recovery of assets, in accordance with the provisions of chapter V
of this Convention.
4. Without prejudice to domestic law, the competent authorities of a
State Party may, without prior request, transmit information relating to criminal matters to a competent authority in another State Party where they believe
that such information could assist the authority in undertaking or successfully
concluding inquiries and criminal proceedings or could result in a request formulated by the latter State Party pursuant to this Convention.
5. The transmission of information pursuant to paragraph 4 of this article shall be without prejudice to inquiries and criminal proceedings in the
State of the competent authorities providing the information. The competent
authorities receiving the information shall comply with a request that said information remain confidential, even temporarily, or with restrictions on its use.
However, this shall not prevent the receiving State Party from disclosing in its
proceedings information that is exculpatory to an accused person. In such a
case, the receiving State Party shall notify the transmitting State Party prior to
the disclosure and, if so requested, consult with the transmitting State Party. If,
in an exceptional case, advance notice is not possible, the receiving State Party
shall inform the transmitting State Party of the disclosure without delay.
6. The provisions of this article shall not affect the obligations under any
other treaty, bilateral or multilateral, that governs or will govern, in whole or
in part, mutual legal assistance.
7. Paragraphs 9 to 29 of this article shall apply to requests made pursuant to this article if the States Parties in question are not bound by a treaty of
mutual legal assistance. If those States Parties are bound by such a treaty, the
corresponding provisions of that treaty shall apply unless the States Parties agree
to apply paragraphs 9 to 29 of this article in lieu thereof. States Parties are
strongly encouraged to apply those paragraphs if they facilitate cooperation.
8. States Parties shall not decline to render mutual legal assistance pursuant to this article on the ground of bank secrecy.
9. (a) A requested State Party, in responding to a request for assistance
pursuant to this article in the absence of dual criminality, shall take into account
the purposes of this Convention, as set forth in article 1;35
(b) States Parties may decline to render assistance pursuant to this article
on the ground of absence of dual criminality. However, a requested State Party
shall, where consistent with the basic concepts of its legal system, render
assistance that does not involve coercive action. Such assistance may be refused
when requests involve matters of a de minimis nature or matters for which the
cooperation or assistance sought is available under other provisions of this
Convention;
(c) Each State Party may consider adopting such measures as may be
necessary to enable it to provide a wider scope of assistance pursuant to this
article in the absence of dual criminality.
10. A person who is being detained or is serving a sentence in the territory of one State Party whose presence in another State Party is requested for
purposes of identification, testimony or otherwise providing assistance in obtaining evidence for investigations, prosecutions or judicial proceedings in relation to offences covered by this Convention may be transferred if the following
conditions are met:
(a) The person freely gives his or her informed consent;
(b) The competent authorities of both States Parties agree, subject to such
conditions as those States Parties may deem appropriate.
11. For the purposes of paragraph 10 of this article:
(a) The State Party to which the person is transferred shall have the
authority and obligation to keep the person transferred in custody, unless otherwise requested or authorized by the State Party from which the person was
transferred;
(b) The State Party to which the person is transferred shall without delay
implement its obligation to return the person to the custody of the State Party
from which the person was transferred as agreed beforehand, or as otherwise
agreed, by the competent authorities of both States Parties;
(c) The State Party to which the person is transferred shall not require the
State Party from which the person was transferred to initiate extradition proceedings for the return of the person;
(d) The person transferred shall receive credit for service of the sentence
being served in the State from which he or she was transferred for time spent
in the custody of the State Party to which he or she was transferred.
12. Unless the State Party from which a person is to be transferred in
accordance with paragraphs 10 and 11 of this article so agrees, that person,
whatever his or her nationality, shall not be prosecuted, detained, punished or
subjected to any other restriction of his or her personal liberty in the territory36
of the State to which that person is transferred in respect of acts, omissions or
convictions prior to his or her departure from the territory of the State from
which he or she was transferred.
13. Each State Party shall designate a central authority that shall have the
responsibility and power to receive requests for mutual legal assistance and
either to execute them or to transmit them to the competent authorities for
execution. Where a State Party has a special region or territory with a separate
system of mutual legal assistance, it may designate a distinct central authority
that shall have the same function for that region or territory. Central authorities
shall ensure the speedy and proper execution or transmission of the requests
received. Where the central authority transmits the request to a competent
authority for execution, it shall encourage the speedy and proper execution of
the request by the competent authority. The Secretary-General of the United
Nations shall be notified of the central authority designated for this purpose at
the time each State Party deposits its instrument of ratification, acceptance or
approval of or accession to this Convention. Requests for mutual legal assistance
and any communication related thereto shall be transmitted to the central authorities designated by the States Parties. This requirement shall be without
prejudice to the right of a State Party to require that such requests and communications be addressed to it through diplomatic channels and, in urgent
circumstances, where the States Parties agree, through the International Criminal Police Organization, if possible.
14. Requests shall be made in writing or, where possible, by any means
capable of producing a written record, in a language acceptable to the requested
State Party, under conditions allowing that State Party to establish authenticity.
The Secretary-General of the United Nations shall be notified of the language
or languages acceptable to each State Party at the time it deposits its instrument
of ratification, acceptance or approval of or accession to this Convention. In
urgent circumstances and where agreed by the States Parties, requests may be
made orally but shall be confirmed in writing forthwith.
15. A request for mutual legal assistance shall contain:
(a) The identity of the authority making the request;
(b) The subject matter and nature of the investigation, prosecution or
judicial proceeding to which the request relates and the name and functions of
the authority conducting the investigation, prosecution or judicial proceeding;
(c) A summary of the relevant facts, except in relation to requests for the
purpose of service of judicial documents;
(d) A description of the assistance sought and details of any particular
procedure that the requesting State Party wishes to be followed;37
(e) Where possible, the identity, location and nationality of any person
concerned; and
(f) The purpose for which the evidence, information or action is sought.
16. The requested State Party may request additional information when
it appears necessary for the execution of the request in accordance with its
domestic law or when it can facilitate such execution.
17. A request shall be executed in accordance with the domestic law of
the requested State Party and, to the extent not contrary to the domestic law
of the requested State Party and where possible, in accordance with the procedures specified in the request.
18. Wherever possible and consistent with fundamental principles of
domestic law, when an individual is in the territory of a State Party and has to
be heard as a witness or expert by the judicial authorities of another State Party,
the first State Party may, at the request of the other, permit the hearing to take
place by video conference if it is not possible or desirable for the individual in
question to appear in person in the territory of the requesting State Party. States
Parties may agree that the hearing shall be conducted by a judicial authority of
the requesting State Party and attended by a judicial authority of the requested
State Party.
19. The requesting State Party shall not transmit or use information or
evidence furnished by the requested State Party for investigations, prosecutions
or judicial proceedings other than those stated in the request without the prior
consent of the requested State Party. Nothing in this paragraph shall prevent the
requesting State Party from disclosing in its proceedings information or evidence that is exculpatory to an accused person. In the latter case, the requesting
State Party shall notify the requested State Party prior to the disclosure and, if
so requested, consult with the requested State Party. If, in an exceptional case,
advance notice is not possible, the requesting State Party shall inform the
requested State Party of the disclosure without delay.
20. The requesting State Party may require that the requested State Party
keep confidential the fact and substance of the request, except to the extent
necessary to execute the request. If the requested State Party cannot comply
with the requirement of confidentiality, it shall promptly inform the requesting
State Party.
21. Mutual legal assistance may be refused:
(a) If the request is not made in conformity with the provisions of this
article;38
(b) If the requested State Party considers that execution of the request
is likely to prejudice its sovereignty, security, ordre public or other essential
interests;
(c) If the authorities of the requested State Party would be prohibited by
its domestic law from carrying out the action requested with regard to any
similar offence, had it been subject to investigation, prosecution or judicial
proceedings under their own jurisdiction;
(d) If it would be contrary to the legal system of the requested State Party
relating to mutual legal assistance for the request to be granted.
22. States Parties may not refuse a request for mutual legal assistance on
the sole ground that the offence is also considered to involve fiscal matters.
23. Reasons shall be given for any refusal of mutual legal assistance.
24. The requested State Party shall execute the request for mutual legal
assistance as soon as possible and shall take as full account as possible of any
deadlines suggested by the requesting State Party and for which reasons are
given, preferably in the request. The requesting State Party may make reasonable requests for information on the status and progress of measures taken by
the requested State Party to satisfy its request. The requested State Party shall
respond to reasonable requests by the requesting State Party on the status, and
progress in its handling, of the request. The requesting State Party shall
promptly inform the requested State Party when the assistance sought is no
longer required.
25. Mutual legal assistance may be postponed by the requested State
Party on the ground that it interferes with an ongoing investigation, prosecution
or judicial proceeding.
26. Before refusing a request pursuant to paragraph 21 of this article or
postponing its execution pursuant to paragraph 25 of this article, the requested
State Party shall consult with the requesting State Party to consider whether
assistance may be granted subject to such terms and conditions as it deems
necessary. If the requesting State Party accepts assistance subject to those conditions, it shall comply with the conditions.
27. Without prejudice to the application of paragraph 12 of this article,
a witness, expert or other person who, at the request of the requesting State
Party, consents to give evidence in a proceeding or to assist in an investigation,
prosecution or judicial proceeding in the territory of the requesting State Party
shall not be prosecuted, detained, punished or subjected to any other restriction
of his or her personal liberty in that territory in respect of acts, omissions or39
convictions prior to his or her departure from the territory of the requested
State Party. Such safe conduct shall cease when the witness, expert or other
person having had, for a period of fifteen consecutive days or for any period
agreed upon by the States Parties from the date on which he or she has been
officially informed that his or her presence is no longer required by the judicial
authorities, an opportunity of leaving, has nevertheless remained voluntarily in
the territory of the requesting State Party or, having left it, has returned of his
or her own free will.
28. The ordinary costs of executing a request shall be borne by the requested State Party, unless otherwise agreed by the States Parties concerned. If
expenses of a substantial or extraordinary nature are or will be required to fulfil
the request, the States Parties shall consult to determine the terms and conditions under which the request will be executed, as well as the manner in which
the costs shall be borne.
29. The requested State Party:
(a) Shall provide to the requesting State Party copies of government
records, documents or information in its possession that under its domestic law
are available to the general public;
(b) May, at its discretion, provide to the requesting State Party in whole,
in part or subject to such conditions as it deems appropriate, copies of any
government records, documents or information in its possession that under its
domestic law are not available to the general public.
30. States Parties shall consider, as may be necessary, the possibility of
concluding bilateral or multilateral agreements or arrangements that would serve
the purposes of, give practical effect to or enhance the provisions of this article.
Article 47. Transfer of criminal proceedings
States Parties shall consider the possibility of transferring to one another
proceedings for the prosecution of an offence established in accordance with
this Convention in cases where such transfer is considered to be in the interests
of the proper administration of justice, in particular in cases where several
jurisdictions are involved, with a view to concentrating the prosecution.
Article 48. Law enforcement cooperation
1. States Parties shall cooperate closely with one another, consistent with
their respective domestic legal and administrative systems, to enhance the40
effectiveness of law enforcement action to combat the offences covered by this
Convention. States Parties shall, in particular, take effective measures:
(a) To enhance and, where necessary, to establish channels of communication between their competent authorities, agencies and services in order to
facilitate the secure and rapid exchange of information concerning all aspects of
the offences covered by this Convention, including, if the States Parties concerned deem it appropriate, links with other criminal activities;
(b) To cooperate with other States Parties in conducting inquiries with
respect to offences covered by this Convention concerning:
(i) The identity, whereabouts and activities of persons suspected of
involvement in such offences or the location of other persons
concerned;
(ii) The movement of proceeds of crime or property derived from
the commission of such offences;
(iii) The movement of property, equipment or other
instrumentalities used or intended for use in the commission of
such offences;
(c) To provide, where appropriate, necessary items or quantities of substances for analytical or investigative purposes;
(d) To exchange, where appropriate, information with other States Parties
concerning specific means and methods used to commit offences covered by
this Convention, including the use of false identities, forged, altered or false
documents and other means of concealing activities;
(e) To facilitate effective coordination between their competent authorities, agencies and services and to promote the exchange of personnel and other
experts, including, subject to bilateral agreements or arrangements between the
States Parties concerned, the posting of liaison officers;
(f) To exchange information and coordinate administrative and other
measures taken as appropriate for the purpose of early identification of the
offences covered by this Convention.
2. With a view to giving effect to this Convention, States Parties shall
consider entering into bilateral or multilateral agreements or arrangements on
direct cooperation between their law enforcement agencies and, where such
agreements or arrangements already exist, amending them. In the absence of
such agreements or arrangements between the States Parties concerned, the
States Parties may consider this Convention to be the basis for mutual law
enforcement cooperation in respect of the offences covered by this Convention.
Whenever appropriate, States Parties shall make full use of agreements or
arrangements, including international or regional organizations, to enhance the
cooperation between their law enforcement agencies.41
3. States Parties shall endeavour to cooperate within their means to respond to offences covered by this Convention committed through the use of
modern technology.
Article 49. Joint investigations
States Parties shall consider concluding bilateral or multilateral agreements
or arrangements whereby, in relation to matters that are the subject of investigations, prosecutions or judicial proceedings in one or more States, the competent authorities concerned may establish joint investigative bodies. In the absence of such agreements or arrangements, joint investigations may be
undertaken by agreement on a case-by-case basis. The States Parties involved
shall ensure that the sovereignty of the State Party in whose territory such
investigation is to take place is fully respected.
Article 50. Special investigative techniques
1. In order to combat corruption effectively, each State Party shall, to the
extent permitted by the basic principles of its domestic legal system and in
accordance with the conditions prescribed by its domestic law, take such measures as may be necessary, within its means, to allow for the appropriate use by
its competent authorities of controlled delivery and, where it deems appropriate,
other special investigative techniques, such as electronic or other forms of surveillance and undercover operations, within its territory, and to allow for the
admissibility in court of evidence derived therefrom.
2. For the purpose of investigating the offences covered by this Convention, States Parties are encouraged to conclude, when necessary, appropriate
bilateral or multilateral agreements or arrangements for using such special investigative techniques in the context of cooperation at the international level. Such
agreements or arrangements shall be concluded and implemented in full compliance with the principle of sovereign equality of States and shall be carried out
strictly in accordance with the terms of those agreements or arrangements.
3. In the absence of an agreement or arrangement as set forth in paragraph 2 of this article, decisions to use such special investigative techniques at
the international level shall be made on a case-by-case basis and may, when
necessary, take into consideration financial arrangements and understandings
with respect to the exercise of jurisdiction by the States Parties concerned.
4. Decisions to use controlled delivery at the international level may,
with the consent of the States Parties concerned, include methods such as
intercepting and allowing the goods or funds to continue intact or be removed
or replaced in whole or in part.42
Chapter V
Asset recovery
Article 51. General provision
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.
Article 52. Prevention and detection of transfers
of proceeds of crime
1. Without prejudice to article 14 of this Convention, each State Party
shall take such measures as may be necessary, in accordance with its domestic
law, to require financial institutions within its jurisdiction to verify the identity
of customers, to take reasonable steps to determine the identity of beneficial
owners of funds deposited into high-value accounts and to conduct enhanced
scrutiny of accounts sought or maintained by or on behalf of individuals who
are, or have been, entrusted with prominent public functions and their family
members and close associates. Such enhanced scrutiny shall be reasonably designed to detect suspicious transactions for the purpose of reporting to competent authorities and should not be so construed as to discourage or prohibit
financial institutions from doing business with any legitimate customer.
2. In order to facilitate implementation of the measures provided for in
paragraph 1 of this article, each State Party, in accordance with its domestic law
and inspired by relevant initiatives of regional, interregional and multilateral
organizations against money-laundering, shall:
(a) Issue advisories regarding the types of natural or legal person to whose
accounts financial institutions within its jurisdiction will be expected to apply
enhanced scrutiny, the types of accounts and transactions to which to pay
particular attention and appropriate account-opening, maintenance and recordkeeping measures to take concerning such accounts; and
(b) Where appropriate, notify financial institutions within its jurisdiction,
at the request of another State Party or on its own initiative, of the identity of
particular natural or legal persons to whose accounts such institutions will be
expected to apply enhanced scrutiny, in addition to those whom the financial
institutions may otherwise identify.
3. In the context of paragraph 2 (a) of this article, each State Party shall
implement measures to ensure that its financial institutions maintain adequate43
records, over an appropriate period of time, of accounts and transactions involving the persons mentioned in paragraph 1 of this article, which should, as a
minimum, contain information relating to the identity of the customer as well
as, as far as possible, of the beneficial owner.
4. With the aim of preventing and detecting transfers of proceeds of
offences established in accordance with this Convention, each State Party shall
implement appropriate and effective measures to prevent, with the help of its
regulatory and oversight bodies, the establishment of banks that have no physical presence and that are not affiliated with a regulated financial group. Moreover, States Parties may consider requiring their financial institutions to refuse
to enter into or continue a correspondent banking relationship with such institutions and to guard against establishing relations with foreign financial institutions that permit their accounts to be used by banks that have no physical
presence and that are not affiliated with a regulated financial group.
5. Each State Party shall consider establishing, in accordance with its
domestic law, effective financial disclosure systems for appropriate public officials and shall provide for appropriate sanctions for non-compliance. Each State
Party shall also consider taking such measures as may be necessary to permit its
competent authorities to share that information with the competent authorities
in other States Parties when necessary to investigate, claim and recover proceeds
of offences established in accordance with this Convention.
6. Each State Party shall consider taking such measures as may be necessary, in accordance with its domestic law, to require appropriate public officials having an interest in or signature or other authority over a financial account in a foreign country to report that relationship to appropriate authorities
and to maintain appropriate records related to such accounts. Such measures
shall also provide for appropriate sanctions for non-compliance.
Article 53. Measures for direct recovery of property
Each State Party shall, in accordance with its domestic law:
(a) Take such measures as may be necessary to permit another State Party
to initiate civil action in its courts to establish title to or ownership of property
acquired through the commission of an offence established in accordance with
this Convention;
(b) Take such measures as may be necessary to permit its courts to order
those who have committed offences established in accordance with this Convention to pay compensation or damages to another State Party that has been
harmed by such offences; and44
(c) Take such measures as may be necessary to permit its courts or competent authorities, when having to decide on confiscation, to recognize another
State Party’s claim as a legitimate owner of property acquired through the
commission of an offence established in accordance with this Convention.
Article 54. Mechanisms for recovery of property through
international cooperation in confiscation
1. Each State Party, in order to provide mutual legal assistance pursuant
to article 55 of this Convention with respect to property acquired through or
involved in the commission of an offence established in accordance with this
Convention, shall, in accordance with its domestic law:
(a) Take such measures as may be necessary to permit its competent
authorities to give effect to an order of confiscation issued by a court of another
State Party;
(b) Take such measures as may be necessary to permit its competent
authorities, where they have jurisdiction, to order the confiscation of such
property of foreign origin by adjudication of an offence of money-laundering
or such other offence as may be within its jurisdiction or by other procedures
authorized under its domestic law; and
(c) Consider taking such measures as may be necessary to allow confiscation of such property without a criminal conviction in cases in which the
offender cannot be prosecuted by reason of death, flight or absence or in other
appropriate cases.
2. Each State Party, in order to provide mutual legal assistance upon a
request made pursuant to paragraph 2 of article 55 of this Convention, shall, in
accordance with its domestic law:
(a) Take such measures as may be necessary to permit its competent
authorities to freeze or seize property upon a freezing or seizure order issued by
a court or competent authority of a requesting State Party that provides a
reasonable basis for the requested State Party to believe that there are sufficient
grounds for taking such actions and that the property would eventually be
subject to an order of confiscation for purposes of paragraph 1 (a) of this article;
(b) Take such measures as may be necessary to permit its competent
authorities to freeze or seize property upon a request that provides a reasonable
basis for the requested State Party to believe that there are sufficient grounds for
taking such actions and that the property would eventually be subject to an
order of confiscation for purposes of paragraph 1 (a) of this article; and45
(c) Consider taking additional measures to permit its competent authorities to preserve property for confiscation, such as on the basis of a foreign arrest
or criminal charge related to the acquisition of such property.
Article 55. International cooperation for
purposes of confiscation
1. A State Party that has received a request from another State Party
having jurisdiction over an offence established in accordance with this Convention for confiscation of proceeds of crime, property, equipment or other
instrumentalities referred to in article 31, paragraph 1, of this Convention
situated in its territory shall, to the greatest extent possible within its domestic
legal system:
(a) Submit the request to its competent authorities for the purpose of
obtaining an order of confiscation and, if such an order is granted, give effect
to it; or
(b) Submit to its competent authorities, with a view to giving effect to it
to the extent requested, an order of confiscation issued by a court in the territory of the requesting State Party in accordance with articles 31, paragraph 1,
and 54, paragraph 1 (a), of this Convention insofar as it relates to proceeds of
crime, property, equipment or other instrumentalities referred to in article 31,
paragraph 1, situated in the territory of the requested State Party.
2. Following a request made by another State Party having jurisdiction
over an offence established in accordance with this Convention, the requested
State Party shall take measures to identify, trace and freeze or seize proceeds of
crime, property, equipment or other instrumentalities referred to in article 31,
paragraph 1, of this Convention for the purpose of eventual confiscation to be
ordered either by the requesting State Party or, pursuant to a request under
paragraph 1 of this article, by the requested State Party.
3. The provisions of article 46 of this Convention are applicable, mutatis
mutandis, to this article. In addition to the information specified in article 46,
paragraph 15, requests made pursuant to this article shall contain:
(a) In the case of a request pertaining to paragraph 1 (a) of this article, a
description of the property to be confiscated, including, to the extent possible,
the location and, where relevant, the estimated value of the property and a
statement of the facts relied upon by the requesting State Party sufficient to
enable the requested State Party to seek the order under its domestic law;
(b) In the case of a request pertaining to paragraph 1 (b) of this article, a
legally admissible copy of an order of confiscation upon which the request is46
based issued by the requesting State Party, a statement of the facts and information as to the extent to which execution of the order is requested, a statement
specifying the measures taken by the requesting State Party to provide adequate
notification to bona fide third parties and to ensure due process and a statement
that the confiscation order is final;
(c) In the case of a request pertaining to paragraph 2 of this article, a
statement of the facts relied upon by the requesting State Party and a description of the actions requested and, where available, a legally admissible copy of
an order on which the request is based.
4. The decisions or actions provided for in paragraphs 1 and 2 of this
article shall be taken by the requested State Party in accordance with and subject
to the provisions of its domestic law and its procedural rules or any bilateral or
multilateral agreement or arrangement to which it may be bound in relation to
the requesting State Party.
5. Each State Party shall furnish copies of its laws and regulations that
give effect to this article and of any subsequent changes to such laws and
regulations or a description thereof to the Secretary-General of the United
Nations.
6. If a State Party elects to make the taking of the measures referred to
in paragraphs 1 and 2 of this article conditional on the existence of a relevant
treaty, that State Party shall consider this Convention the necessary and sufficient treaty basis.
7. Cooperation under this article may also be refused or provisional
measures lifted if the requested State Party does not receive sufficient and timely
evidence or if the property is of a de minimis value.
8. Before lifting any provisional measure taken pursuant to this article,
the requested State Party shall, wherever possible, give the requesting State Party
an opportunity to present its reasons in favour of continuing the measure.
9. The provisions of this article shall not be construed as prejudicing the
rights of bona fide third parties.
Article 56. Special cooperation
Without prejudice to its domestic law, each State Party shall endeavour to
take measures to permit it to forward, without prejudice to its own investigations, prosecutions or judicial proceedings, information on proceeds of offences47
established in accordance with this Convention to another State Party without
prior request, when it considers that the disclosure of such information might
assist the receiving State Party in initiating or carrying out investigations, prosecutions or judicial proceedings or might lead to a request by that State Party
under this chapter of the Convention.
Article 57. Return and disposal of assets
1. Property confiscated by a State Party pursuant to article 31 or 55 of
this Convention shall be disposed of, including by return to its prior legitimate
owners, pursuant to paragraph 3 of this article, by that State Party in accordance
with the provisions of this Convention and its domestic law.
2. Each State Party shall adopt such legislative and other measures, in
accordance with the fundamental principles of its domestic law, as may be
necessary to enable its competent authorities to return confiscated property,
when acting on the request made by another State Party, in accordance with this
Convention, taking into account the rights of bona fide third parties.
3. In accordance with articles 46 and 55 of this Convention and paragraphs 1 and 2 of this article, the requested State Party shall:
(a) In the case of embezzlement of public funds or of laundering of
embezzled public funds as referred to in articles 17 and 23 of this Convention,
when confiscation was executed in accordance with article 55 and on the basis
of a final judgement in the requesting State Party, a requirement that can be
waived by the requested State Party, return the confiscated property to the
requesting State Party;
(b) In the case of proceeds of any other offence covered by this Convention, when the confiscation was executed in accordance with article 55 of this
Convention and on the basis of a final judgement in the requesting State Party,
a requirement that can be waived by the requested State Party, return the
confiscated property to the requesting State Party, when the requesting State
Party reasonably establishes its prior ownership of such confiscated property to
the requested State Party or when the requested State Party recognizes damage
to the requesting State Party as a basis for returning the confiscated property;
(c) In all other cases, give priority consideration to returning confiscated
property to the requesting State Party, returning such property to its prior
legitimate owners or compensating the victims of the crime.
4. Where appropriate, unless States Parties decide otherwise, the requested State Party may deduct reasonable expenses incurred in investigations,48
prosecutions or judicial proceedings leading to the return or disposition of
confiscated property pursuant to this article.
5. Where appropriate, States Parties may also give special consideration
to concluding agreements or mutually acceptable arrangements, on a case-bycase basis, for the final disposal of confiscated property.
Article 58. Financial intelligence unit
States Parties shall cooperate with one another for the purpose of preventing and combating the transfer of proceeds of offences established in accordance
with this Convention and of promoting ways and means of recovering such
proceeds and, to that end, shall consider establishing a financial intelligence unit
to be responsible for receiving, analysing and disseminating to the competent
authorities reports of suspicious financial transactions.
Article 59. Bilateral and multilateral agreements and arrangements
States Parties shall consider concluding bilateral or multilateral agreements
or arrangements to enhance the effectiveness of international cooperation
undertaken pursuant to this chapter of the Convention.
Chapter VI
Technical assistance and information exchange
Article 60. Training and technical assistance
1. Each State Party shall, to the extent necessary, initiate, develop or
improve specific training programmes for its personnel responsible for preventing and combating corruption. Such training programmes could deal, inter alia,
with the following areas:
(a) Effective measures to prevent, detect, investigate, punish and control
corruption, including the use of evidence-gathering and investigative methods;
(b) Building capacity in the development and planning of strategic anticorruption policy;
(c) Training competent authorities in the preparation of requests for
mutual legal assistance that meet the requirements of this Convention;49
(d) Evaluation and strengthening of institutions, public service management and the management of public finances, including public procurement,
and the private sector;
(e) Preventing and combating the transfer of proceeds of offences established in accordance with this Convention and recovering such proceeds;
(f) Detecting and freezing of the transfer of proceeds of offences established in accordance with this Convention;
(g) Surveillance of the movement of proceeds of offences established in
accordance with this Convention and of the methods used to transfer, conceal
or disguise such proceeds;
(h) Appropriate and efficient legal and administrative mechanisms and
methods for facilitating the return of proceeds of offences established in accordance with this Convention;
(i) Methods used in protecting victims and witnesses who cooperate with
judicial authorities; and
(j) Training in national and international regulations and in languages.
2. States Parties shall, according to their capacity, consider affording one
another the widest measure of technical assistance, especially for the benefit of
developing countries, in their respective plans and programmes to combat
corruption, including material support and training in the areas referred to in
paragraph 1 of this article, and training and assistance and the mutual exchange
of relevant experience and specialized knowledge, which will facilitate international cooperation between States Parties in the areas of extradition and
mutual legal assistance.
3. States Parties shall strengthen, to the extent necessary, efforts to maximize operational and training activities in international and regional organizations and in the framework of relevant bilateral and multilateral agreements or
arrangements.
4. States Parties shall consider assisting one another, upon request, in
conducting evaluations, studies and research relating to the types, causes, effects
and costs of corruption in their respective countries, with a view to developing,
with the participation of competent authorities and society, strategies and action
plans to combat corruption.
5. In order to facilitate the recovery of proceeds of offences established
in accordance with this Convention, States Parties may cooperate in providing
each other with the names of experts who could assist in achieving that
objective.50
6. States Parties shall consider using subregional, regional and international conferences and seminars to promote cooperation and technical assistance
and to stimulate discussion on problems of mutual concern, including the
special problems and needs of developing countries and countries with economies in transition.
7. States Parties shall consider establishing voluntary mechanisms with a
view to contributing financially to the efforts of developing countries and countries with economies in transition to apply this Convention through technical
assistance programmes and projects.
8. Each State Party shall consider making voluntary contributions to the
United Nations Office on Drugs and Crime for the purpose of fostering,
through the Office, programmes and projects in developing countries with a
view to implementing this Convention.
Article 61. Collection, exchange and analysis of
information on corruption
1. Each State Party shall consider analysing, in consultation with experts,
trends in corruption in its territory, as well as the circumstances in which
corruption offences are committed.
2. States Parties shall consider developing and sharing with each other
and through international and regional organizations statistics, analytical expertise concerning corruption and information with a view to developing, insofar
as possible, common definitions, standards and methodologies, as well as information on best practices to prevent and combat corruption.
3. Each State Party shall consider monitoring its policies and actual
measures to combat corruption and making assessments of their effectiveness
and efficiency.
Article 62. Other measures: implementation of the Convention
through economic development and technical assistance
1. States Parties shall take measures conducive to the optimal implementation of this Convention to the extent possible, through international cooperation, taking into account the negative effects of corruption on society in general,
in particular on sustainable development.51
2. States Parties shall make concrete efforts to the extent possible and
in coordination with each other, as well as with international and regional
organizations:
(a) To enhance their cooperation at various levels with developing countries, with a view to strengthening the capacity of the latter to prevent and
combat corruption;
(b) To enhance financial and material assistance to support the efforts of
developing countries to prevent and fight corruption effectively and to help
them implement this Convention successfully;
(c) To provide technical assistance to developing countries and countries
with economies in transition to assist them in meeting their needs for the
implementation of this Convention. To that end, States Parties shall endeavour
to make adequate and regular voluntary contributions to an account specifically
designated for that purpose in a United Nations funding mechanism. States
Parties may also give special consideration, in accordance with their domestic
law and the provisions of this Convention, to contributing to that account a
percentage of the money or of the corresponding value of proceeds of crime or
property confiscated in accordance with the provisions of this Convention;
(d) To encourage and persuade other States and financial institutions as
appropriate to join them in efforts in accordance with this article, in particular
by providing more training programmes and modern equipment to developing
countries in order to assist them in achieving the objectives of this Convention.
3. To the extent possible, these measures shall be without prejudice to
existing foreign assistance commitments or to other financial cooperation
arrangements at the bilateral, regional or international level.
4. States Parties may conclude bilateral or multilateral agreements or
arrangements on material and logistical assistance, taking into consideration the
financial arrangements necessary for the means of international cooperation
provided for by this Convention to be effective and for the prevention, detection and control of corruption.
Chapter VII
Mechanisms for implementation
Article 63. Conference of the States Parties to the Convention
1. A Conference of the States Parties to the Convention is hereby established to improve the capacity of and cooperation between States Parties to
achieve the objectives set forth in this Convention and to promote and review
its implementation.52
2. The Secretary-General of the United Nations shall convene the Conference of the States Parties not later than one year following the entry into
force of this Convention. Thereafter, regular meetings of the Conference of the
States Parties shall be held in accordance with the rules of procedure adopted
by the Conference.
3. The Conference of the States Parties shall adopt rules of procedure
and rules governing the functioning of the activities set forth in this article,
including rules concerning the admission and participation of observers, and the
payment of expenses incurred in carrying out those activities.
4. The Conference of the States Parties shall agree upon activities, procedures and methods of work to achieve the objectives set forth in paragraph 1
of this article, including:
(a) Facilitating activities by States Parties under articles 60 and 62 and
chapters II to V of this Convention, including by encouraging the mobilization
of voluntary contributions;
(b) Facilitating the exchange of information among States Parties on
patterns and trends in corruption and on successful practices for preventing and
combating it and for the return of proceeds of crime, through, inter alia, the
publication of relevant information as mentioned in this article;
(c) Cooperating with relevant international and regional organizations
and mechanisms and non-governmental organizations;
(d) Making appropriate use of relevant information produced by other
international and regional mechanisms for combating and preventing corruption in order to avoid unnecessary duplication of work;
(e) Reviewing periodically the implementation of this Convention by its
States Parties;
(f) Making recommendations to improve this Convention and its
implementation;
(g) Taking note of the technical assistance requirements of States Parties
with regard to the implementation of this Convention and recommending any
action it may deem necessary in that respect.
5. For the purpose of paragraph 4 of this article, the Conference of the
States Parties shall acquire the necessary knowledge of the measures taken by
States Parties in implementing this Convention and the difficulties encountered
by them in doing so through information provided by them and through such
supplemental review mechanisms as may be established by the Conference of
the States Parties.53
6. Each State Party shall provide the Conference of the States Parties
with information on its programmes, plans and practices, as well as on legislative and administrative measures to implement this Convention, as required by
the Conference of the States Parties. The Conference of the States Parties shall
examine the most effective way of receiving and acting upon information, including, inter alia, information received from States Parties and from competent
international organizations. Inputs received from relevant non-governmental
organizations duly accredited in accordance with procedures to be decided upon
by the Conference of the States Parties may also be considered.
7. Pursuant to paragraphs 4 to 6 of this article, the Conference of the
States Parties shall establish, if it deems it necessary, any appropriate mechanism
or body to assist in the effective implementation of the Convention.
Article 64. Secretariat
1. The Secretary-General of the United Nations shall provide the
necessary secretariat services to the Conference of the States Parties to the
Convention.
2. The secretariat shall:
(a) Assist the Conference of the States Parties in carrying out the activities
set forth in article 63 of this Convention and make arrangements and provide
the necessary services for the sessions of the Conference of the States Parties;
(b) Upon request, assist States Parties in providing information to the
Conference of the States Parties as envisaged in article 63, paragraphs 5 and 6,
of this Convention; and
(c) Ensure the necessary coordination with the secretariats of relevant
international and regional organizations.
Chapter VIII
Final provisions
Article 65. Implementation of the Convention
1. Each State Party shall take the necessary measures, including legislative and administrative measures, in accordance with fundamental principles of
its domestic law, to ensure the implementation of its obligations under this
Convention.54
2. Each State Party may adopt more strict or severe measures than those
provided for by this Convention for preventing and combating corruption.
Article 66. Settlement of disputes
l. States Parties shall endeavour to settle disputes concerning the interpretation or application of this Convention through negotiation.
2. Any dispute between two or more States Parties concerning the interpretation or application of this Convention that cannot be settled through
negotiation within a reasonable time shall, at the request of one of those States
Parties, be submitted to arbitration. If, six months after the date of the request
for arbitration, those States Parties are unable to agree on the organization of the
arbitration, any one of those States Parties may refer the dispute to the International Court of Justice by request in accordance with the Statute of the Court.
3. Each State Party may, at the time of signature, ratification, acceptance
or approval of or accession to this Convention, declare that it does not consider
itself bound by paragraph 2 of this article. The other States Parties shall not be
bound by paragraph 2 of this article with respect to any State Party that has
made such a reservation.
4. Any State Party that has made a reservation in accordance with paragraph 3 of this article may at any time withdraw that reservation by notification
to the Secretary-General of the United Nations.
Article 67. Signature, ratification, acceptance,
approval and accession
1. This Convention shall be open to all States for signature from 9 to
11 December 2003 in Merida, Mexico, and thereafter at United Nations Headquarters in New York until 9 December 2005.
2. This Convention shall also be open for signature by regional economic
integration organizations provided that at least one member State of such organization has signed this Convention in accordance with paragraph 1 of this article.
3. This Convention is subject to ratification, acceptance or approval.
Instruments of ratification, acceptance or approval shall be deposited with the
Secretary-General of the United Nations. A regional economic integration
organization may deposit its instrument of ratification, acceptance or approval
if at least one of its member States has done likewise. In that instrument of55
ratification, acceptance or approval, such organization shall declare the extent of
its competence with respect to the matters governed by this Convention. Such
organization shall also inform the depositary of any relevant modification in the
extent of its competence.
4. This Convention is open for accession by any State or any regional
economic integration organization of which at least one member State is a Party
to this Convention. Instruments of accession shall be deposited with the
Secretary-General of the United Nations. At the time of its accession, a regional
economic integration organization shall declare the extent of its competence
with respect to matters governed by this Convention. Such organization shall
also inform the depositary of any relevant modification in the extent of its
competence.
Article 68. Entry into force
1. This Convention shall enter into force on the ninetieth day after the
date of deposit of the thirtieth instrument of ratification, acceptance, approval
or accession. For the purpose of this paragraph, any instrument deposited by a
regional economic integration organization shall not be counted as additional to
those deposited by member States of such organization.
2. For each State or regional economic integration organization ratifying,
accepting, approving or acceding to this Convention after the deposit of the
thirtieth instrument of such action, this Convention shall enter into force on
the thirtieth day after the date of deposit by such State or organization of the
relevant instrument or on the date this Convention enters into force pursuant
to paragraph 1 of this article, whichever is later.
Article 69. Amendment
1. After the expiry of five years from the entry into force of this Convention, a State Party may propose an amendment and transmit it to the
Secretary-General of the United Nations, who shall thereupon communicate the
proposed amendment to the States Parties and to the Conference of the States
Parties to the Convention for the purpose of considering and deciding on the
proposal. The Conference of the States Parties shall make every effort to achieve
consensus on each amendment. If all efforts at consensus have been exhausted
and no agreement has been reached, the amendment shall, as a last resort,
require for its adoption a two-thirds majority vote of the States Parties present
and voting at the meeting of the Conference of the States Parties.56
2. Regional economic integration organizations, in matters within their
competence, shall exercise their right to vote under this article with a number
of votes equal to the number of their member States that are Parties to this
Convention. Such organizations shall not exercise their right to vote if their
member States exercise theirs and vice versa.
3. An amendment adopted in accordance with paragraph 1 of this article
is subject to ratification, acceptance or approval by States Parties.
4. An amendment adopted in accordance with paragraph 1 of this article
shall enter into force in respect of a State Party ninety days after the date of the
deposit with the Secretary-General of the United Nations of an instrument of
ratification, acceptance or approval of such amendment.
5. When an amendment enters into force, it shall be binding on those
States Parties which have expressed their consent to be bound by it. Other States
Parties shall still be bound by the provisions of this Convention and any earlier
amendments that they have ratified, accepted or approved.
Article 70. Denunciation
1. A State Party may denounce this Convention by written notification
to the Secretary-General of the United Nations. Such denunciation shall become effective one year after the date of receipt of the notification by the
Secretary-General.
2. A regional economic integration organization shall cease to be a Party
to this Convention when all of its member States have denounced it.
Article 71. Depositary and languages
1. The Secretary-General of the United Nations is designated depositary
of this Convention.
2. The original of this Convention, of which the Arabic, Chinese,
English, French, Russian and Spanish texts are equally authentic, shall be
deposited with the Secretary-General of the United Nations.
IN WITNESS WHEREOF, the undersigned plenipotentiaries, being
duly authorized thereto by their respective Governments, have signed this
Convention.Published with the financial support of
the Government of JapanUNITED NATIONS CONVENTION
AGAINST CORRUPTION
Vienna International Centre, PO Box 500, A 1400 Vienna, Austria
Tel: +(43) (1) 26060-0, Fax: +(43) (1) 26060-5866, http://www.unodc.org
Printed in Austria
V.04-56160—September 2004—2,000 UNITED NATIONS
04-56160_c1-4.qxd 17/08/2004 12:33 Page 1

About yemenexposed

Exposing the corruption in Yemen

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