UNITED NATIONS CONVENTION AGAINST CORRUPTION

Foreword

Corruption is an insidious plague that has a wide range of corrosive effects

on societies. It undermines democracy and the rule of law, leads to violations

of human rights, distorts markets, erodes the quality of life and allows organized

crime, terrorism and other threats to human security to flourish.

This evil phenomenon is found in all countries—big and small, rich and

poor—but it is in the developing world that its effects are most destructive.

Corruption hurts the poor disproportionately by diverting funds intended for

development, undermining a Government’s ability to provide basic services,

feeding inequality and injustice and discouraging foreign aid and investment.

Corruption is a key element in economic underperformance and a major obsta-

cle to poverty alleviation and development.

I am therefore very happy that we now have a new instrument to address

this scourge at the global level. The adoption of the United Nations Convention

against Corruption will send a clear message that the international community

is determined to prevent and control corruption. It will warn the corrupt that

betrayal of the public trust will no longer be tolerated. And it will reaffirm the

importance of core values such as honesty, respect for the rule of law, account-

ability and transparency in promoting development and making the world a

better place for all.

The new Convention is a remarkable achievement, and it complements

another landmark instrument, the United Nations Convention against

Transnational Organized Crime, which entered into force just a month ago. It

is balanced, strong and pragmatic, and it offers a new framework for effective

action and international cooperation.

The Convention introduces a comprehensive set of standards, measures

and rules that all countries can apply in order to strengthen their legal and

regulatory regimes to fight corruption. It calls for preventive measures and the

criminalization of the most prevalent forms of corruption in both public and

private sectors. And it makes a major breakthrough by requiring Member States

to return assets obtained through corruption to the country from which they

were stolen.

These provisions—the first of their kind—introduce a new fundamental

principle, as well as a framework for stronger cooperation between States to

prevent and detect corruption and to return the proceeds. Corrupt officials will

in future find fewer ways to hide their illicit gains. This is a particularly impor-

tant issue for many developing countries where corrupt high officials have

plundered the national wealth and where new Governments badly need

resources to reconstruct and rehabilitate their societies.

For the United Nations, the Convention is the culmination of work that

started many years ago, when the word corruption was hardly ever uttered in

official circles. It took systematic efforts, first at the technical, and then gradu-

ally at the political, level to put the fight against corruption on the global

agenda. Both the Monterrey International Conference on Financing for Devel-

opment and the Johannesburg World Summit on Sustainable Development

offered opportunities for Governments to express their determination to attack

corruption and to make many more people aware of the devastating effect that

corruption has on development.

The Convention is also the result of long and difficult negotiations. Many

complex issues and many concerns from different quarters had to be addressed.

It was a formidable challenge to produce, in less than two years, an instrument

that reflects all those concerns. All countries had to show flexibility and make

concessions. But we can be proud of the result.

Allow me to congratulate the members of the bureau of the Ad Hoc

Committee for the Negotiation of a Convention against Corruption on their

hard work and leadership, and to pay a special tribute to the Committee’s late

Chairman, Ambassador Héctor Charry Samper of Colombia, for his wise guid-

ance and his dedication. I am sure all here share my sorrow that he is not with

us to celebrate this great success.

The adoption of the new Convention will be a remarkable achievement.

But let us be clear: it is only a beginning. We must build on the momentum

achieved to ensure that the Convention enters into force as soon as possible. I

urge all Member States to attend the Signing Conference in Merida, Mexico,

in December, and to ratify the Convention at the earliest possible date.

If fully enforced, this new instrument can make a real difference to the

quality of life of millions of people around the world. And by removing one of

the biggest obstacles to development it can help us achieve the Millennium

Development Goals. Be assured that the United Nations Secretariat, and in

particular the United Nations Office on Drugs and Crime, will do whatever it

can to support the efforts of States to eliminate the scourge of corruption from

the face of the Earth. It is a big challenge, but I think that, together, we can

make a difference.

Kofi A. Annan

Secretary-General

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 in-

strument 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 high-

level political conference for the purpose of signing the convention and re-

quested 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 com-

bating 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,

Recalling the Monterrey Consensus, adopted by the International Con-

ference 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 parti-

cular 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 corrup-

tion 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 head-

quarters 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 organi-

zations 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 Conven-

tion 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

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.

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.

A/58/422 and Add.1.

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 negotia-

tion of the United Nations Convention against Corruption by holding a meet-

ing 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 organi-

zations, 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 Con-

vention 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.

Preamble

The States Parties to this Convention,

Concerned about the seriousness of problems and threats posed by corrup-

tion 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 money-

laundering,

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 co-

operation 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 Corruption

Determined to prevent, detect and deter in a more effective manner inter-

national transfers of illicitly acquired assets and to strengthen international co-

operation 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 sec-

tor, 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 pre-

venting and combating corruption,

Recalling the work carried out by other international and regional organi-

zations in this field, including the activities of the African Union, the Council

of Europe, the Customs Cooperation Council (also known as the World Cus-

toms Organization), the European Union, the League of Arab States, the Or-

ganisation 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

See E/1996/99.

Official Journal of the European Communities, C 195, 25 June 1997.

See Corruption and Integrity Improvement Initiatives in Developing Countries (United Nations publi-

cation, Sales No. E.98.III.B.18).

Convention on Corruption, adopted by the Committee of Ministers of the

Council of Europe on 27 January 1999,4 the Civil Law Convention on Corrup-

tion, 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 corrup-

tion 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;

lic 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, execu-

tive, 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

Council of Europe, European Treaty Series, No. 173.

Ibid., No. 174.

General Assembly resolution 55/25, annex I.

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 ap-

pointed or elected; and any person exercising a public function for a foreign

country, including for a public agency or public enterprise;

national 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 in-

corporeal, 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 ob-

tained, directly or indirectly, through the commission of an offence;

(f) “Freezing” or “seizure” shall mean temporarily prohibiting the trans-

fer, 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 pro-

ceeds 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.

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 funda-

mental 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 partici-

pation in international programmes and projects aimed at the prevention of

corruption.

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 cor-

ruption.

2. Each State Party shall grant the body or bodies referred to in para-

graph 1 of this article the necessary independence, in accordance with the fun-

damental 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 nec-

essary 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 retire-

ment 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;

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 train-

ing to enhance their awareness of the risks of corruption inherent in the

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 reso-

lution 51/59 of 12 December 1996.

4. Each State Party shall also consider, in accordance with the funda-

mental 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 accord-

ance with the fundamental principles of its domestic law, to establish measures

and systems requiring public officials to make declarations to appropriate

authorities regarding, inter alia, their outside activities, employment, invest-

ments, 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 funda-

mental 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 pro-

cedures and contracts, including information on invitations to tender and rel-

evant 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, includ-

ing selection and award criteria and tendering rules, and their publication;

ment 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;

(b) Timely reporting on revenue and expenditure;

(d) Effective and efficient systems of risk management and internal con-

trol; 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 administra-

tion, including with regard to its organization, functioning and decision-

making 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, function-

ing 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

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 funda-

mental principles of its legal system and without prejudice to judicial independ-

ence, 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.

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 funda-

mental 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;

propriate, 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, in-

cluding procedures regarding subsidies and licences granted by public authori-

ties for commercial activities;

(e) Preventing conflicts of interest by imposing restrictions, as appropri-

ate 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 state-

ments of such private enterprises are subject to appropriate auditing and certi-

fication procedures.

3. In order to prevent corruption, each State Party shall take such meas-

ures 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;

(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 organiza-

tions, 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;

tolerance 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;

(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 re-

porting, 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 money-

laundering, 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 ad-

ministrative, 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;

(b) To maintain such information throughout the payment chain; and

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 Conven-

tion, 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 indi-

rectly, 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 indi-

rectly, 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 intention-

ally, the promise, offering or giving to a foreign public official or an official of

a public international organization, directly or indirectly, of an undue advan-

tage, 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.

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 meas-

ures 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 per-

son, 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 meas-

ures 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 the

discharge of his or her functions, for the purpose of obtaining an undue advan-

tage 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 sys-

tem, each State Party shall consider adopting such legislative and other measures

as may be necessary to establish as a criminal offence, when committed inten-

tionally, 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 meas-

ures 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 meas-

ures 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 prin-

ciples of its domestic law, such legislative and other measures as may be

necessary to establish as criminal offences, when committed intentionally:

(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 coun-

selling 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;

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 may

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 inter-

fere 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.

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 estab-

lished 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 jurisdictional

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 Conven-

tion, 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 defend-

ant 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 prin-

ciples of its legal system, shall consider establishing procedures through which

a public official accused of an offence established in accordance with this Con-

vention may, where appropriate, be removed, suspended or reassigned by the

appropriate authority, bearing in mind respect for the principle of the presump-

tion 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 con-

sider 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 Convention

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 admin-

istration 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 ac-

quired 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.

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 of-

fender demonstrate the lawful origin of such alleged proceeds of crime or other

property liable to confiscation, to the extent that such a requirement is consist-

ent 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 informa-

tion 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 permit-

ting 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.

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 com-

petent 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 accord-

ance 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 per-

sons shall be granted the necessary independence, in accordance with the fun-

damental principles of the legal system of the State Party, to be able to carry out

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 appro-

priate cases, of mitigating punishment of an accused person who provides sub-

stantial 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 ac-

cordance with fundamental principles of its domestic law, of granting immunity

from prosecution to a person who provides substantial cooperation in the in-

vestigation 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:

(a) Informing the latter authorities, on their own initiative, where there

are reasonable grounds to believe that any of the offences established in accord-

ance with articles 15, 21 and 23 of this Convention has been committed; or

(b) Providing, upon request, to the latter authorities all necessary infor-

mation.

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 inves-

tigating 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 inves-

tigations 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:

(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 estab-

lish 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 state-

less person who has his or her habitual residence in its territory; or

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 Con-

vention shall not exclude the exercise of any criminal jurisdiction established by

a State Party in accordance with its domestic law.

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 extra-

dition 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 of-

fences 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,

shall not consider any of the offences established in accordance with this Con-

vention 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 exist-

ence of a treaty shall recognize offences to which this article applies as extradit-

able 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 require-

ment 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 expe-

dite 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 trea-

ties, 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 applies

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 extra-

dite 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 extra-

dition 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 re-

quested 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 ob-

ligation 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 ample

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 agree-

ments 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 rela-

tion 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;

(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;

(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 crimi-

nal 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 for-

mulated by the latter State Party pursuant to this Convention.

5. The transmission of information pursuant to paragraph 4 of this ar-

ticle 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 in-

formation 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 pursu-

ant 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 pur-

suant 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;

(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;

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 terri-

tory of one State Party whose presence in another State Party is requested for

purposes of identification, testimony or otherwise providing assistance in ob-

taining evidence for investigations, prosecutions or judicial proceedings in rela-

tion 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 other-

wise 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;

State Party from which the person was transferred to initiate extradition pro-

ceedings 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 territory

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 au-

thorities designated by the States Parties. This requirement shall be without

prejudice to the right of a State Party to require that such requests and com-

munications be addressed to it through diplomatic channels and, in urgent

circumstances, where the States Parties agree, through the International Crimi-

nal 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;

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;

(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 pro-

cedures 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 evi-

dence 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;

(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;

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 reason-

able 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 con-

ditions, 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 or

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 re-

quested 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 condi-

tions 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 the

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 communi-

cation 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 con-

cerned 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;

stances 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 authori-

ties, 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.

3. States Parties shall endeavour to cooperate within their means to re-

spond 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 investi-

gations, prosecutions or judicial proceedings in one or more States, the compe-

tent authorities concerned may establish joint investigative bodies. In the ab-

sence 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 meas-

ures 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 sur-

veillance 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 Conven-

tion, States Parties are encouraged to conclude, when necessary, appropriate

bilateral or multilateral agreements or arrangements for using such special inves-

tigative techniques in the context of cooperation at the international level. Such

agreements or arrangements shall be concluded and implemented in full com-

pliance 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 para-

graph 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.

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 de-

signed to detect suspicious transactions for the purpose of reporting to compe-

tent 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 record-

keeping 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 adequate

records, over an appropriate period of time, of accounts and transactions involv-

ing 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 physi-

cal presence and that are not affiliated with a regulated financial group. More-

over, States Parties may consider requiring their financial institutions to refuse

to enter into or continue a correspondent banking relationship with such insti-

tutions and to guard against establishing relations with foreign financial insti-

tutions 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 offi-

cials 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 nec-

essary, in accordance with its domestic law, to require appropriate public offi-

cials having an interest in or signature or other authority over a financial ac-

count 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 Conven-

tion to pay compensation or damages to another State Party that has been

harmed by such offences; and

petent 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

tion 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; and

ties 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 Conven-

tion 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 terri-

tory 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 is

based issued by the requesting State Party, a statement of the facts and infor-

mation 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;

statement of the facts relied upon by the requesting State Party and a descrip-

tion 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 suffi-

cient 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 investiga-

tions, prosecutions or judicial proceedings, information on proceeds of offences

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, pros-

ecutions 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 para-

graphs 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 Conven-

tion, 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;

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 re-

quested State Party may deduct reasonable expenses incurred in investigations,

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-by-

case basis, for the final disposal of confiscated property.

Article 58. Financial intelligence unit

States Parties shall cooperate with one another for the purpose of prevent-

ing 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 prevent-

ing 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 anti-

corruption policy;

mutual legal assistance that meet the requirements of this Convention;

(d) Evaluation and strengthening of institutions, public service manage-

ment and the management of public finances, including public procurement,

and the private sector;

(e) Preventing and combating the transfer of proceeds of offences estab-

lished in accordance with this Convention and recovering such proceeds;

(f) Detecting and freezing of the transfer of proceeds of offences estab-

lished 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 accord-

ance 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 inter-

national cooperation between States Parties in the areas of extradition and

mutual legal assistance.

3. States Parties shall strengthen, to the extent necessary, efforts to maxi-

mize operational and training activities in international and regional organiza-

tions 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.

6. States Parties shall consider using subregional, regional and interna-

tional 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 econo-

mies in transition.

7. States Parties shall consider establishing voluntary mechanisms with a

view to contributing financially to the efforts of developing countries and coun-

tries 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 exper-

tise concerning corruption and information with a view to developing, insofar

as possible, common definitions, standards and methodologies, as well as infor-

mation 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 implemen-

tation of this Convention to the extent possible, through international coopera-

tion, taking into account the negative effects of corruption on society in general,

in particular on sustainable development.

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 coun-

tries, 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;

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, detec-

tion 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 estab-

lished 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.

2. The Secretary-General of the United Nations shall convene the Con-

ference 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, pro-

cedures 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;

and mechanisms and non-governmental organizations;

(d) Making appropriate use of relevant information produced by other

international and regional mechanisms for combating and preventing corrup-

tion 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.

6. Each State Party shall provide the Conference of the States Parties

with information on its programmes, plans and practices, as well as on legisla-

tive 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, in-

cluding, 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

international and regional organizations.

Chapter VIII

Final provisions

Article 65. Implementation of the Convention

1. Each State Party shall take the necessary measures, including legisla-

tive and administrative measures, in accordance with fundamental principles of

its domestic law, to ensure the implementation of its obligations under this

Convention.

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 inter-

pretation or application of this Convention through negotiation.

2. Any dispute between two or more States Parties concerning the inter-

pretation 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 Interna-

tional 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 para-

graph 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 Head-

quarters 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 organi-

zation 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 of

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 Con-

vention, 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.

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 be-

come 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.

News

Contact us

On-line Consultation

Russian version

SUBSCRIBE

The Report for the Committee of Ministers of the Council of Europe about the tortures and the observance of article 3 of the European Convention by the Russian authorities (download)

OUR CASES