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The United Nations The United Nations Convention against CorruptionConvention against CorruptionChapter II:Chapter II: Preventive MeasuresPreventive Measures
Experts Group Meeting and Capacity Development Workshop on Preventing Corruption in Public Administration: Citizens Engagement for Improved Transparency and Accountability
Session II – 26 June 2012, New York
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Adopted by GA Res. 58/4, 31 October 2003
Entered into force: 14 December 2005
160 States Parties
UNCAC signature and ratification status
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Chapter IIPrevention(Art. 5-14)
Chapter IVInternationalCooperation
Chapter VAsset
Recovery
Chapter IIICriminalization
Structure of the Convention
A comprehensive framework to combat corruption
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Art 14
Money‐laundering
Art 13
Participationof
society
Art 12
Privatesector
Art 11
Judiciary &prosecution
Art 10
Publicreporting
Art 9
Procurement &finances
Art 8
Codes of conduct
Art 7
Publicsector
Art 6
PreventiveAC body
Art 5
Policies & practices
Chapter II
Chapter II – Preventive Measures
• 10 articles = entire chapter devoted to prevention
• Interlinked and mutually reinforcing measures
• PUBLIC and PRIVATE sectors addressed
• Key components: enhance integrity, transparency and accountability
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Art.6Art.6
Anti-corruption bodies:to implement the policiesdisseminate anti-corruption knowledge
The bodies must:be independentadequately resourcedproperly trained
AntiAnti--corruption policies and bodiescorruption policies and bodies
Effective and coordinated anti-corruption policies to:
promote participation of civil society
reflect the rule of law and proper management of public affairs
review legal and administrative measures
Art.5Art.5Art.36
(law enforcement)Art.36
(law enforcement)
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Public sector (Art. 7)Public sector (Art. 7)
TransparencyIntegrity
Accountability
Civil servants’ recruitment, hiring, retention, promotion and retirement to be based on merit and aptitude
Special measures for selection, training and rotation for public positions vulnerable to corruption
Training programmes
Transparency in the funding of candidatures and political parties
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Codes of conduct (Art. 8)Codes of conduct (Art. 8)
TransparencyIntegrity
Accountability
Codes of conduct
Public officials’ reporting of corruption
Disclosures of activities or gifts from which conflicts of interest may derive
Disciplinary measures
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Public reporting (Art. 10)Public reporting (Art. 10)
TransparencyIntegrity
Accountability
Citizens to have access to information and decision-making process of public administrations
Administrative procedures to be simplified
Information on activities of public administrations to be published
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Comprehensive Preventive Measures in
Private Sector
Private sector (Art. 12)Private sector (Art. 12)
Enhanced accounting and auditing standards
Prohibition of off-the-book account and other
acts
No tax deductibility of expenses constituting
bribes
Proportionate and dissuasive civil, administrative or criminal
sanctions
Promote cooperation between law enforcement
and private entitiesPrevent conflicts of
interest
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Participation of civil society (Art. 13)Participation of civil society (Art. 13)
Note: The terms of reference for the UNCAC Review Mechanism offer several entry points for civil society involvement.
Ensure active participation of civil society
Enhance transparency in decision making processes
Provide public access to information
Encourage citizens to report on offences and protect the freedom to seek, receive and publish information concerning corruption (subject to restrictions/ balancing of rights)
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The work of UNODC to promote the ConventionThe work of UNODC to promote the Convention
Promotion of RatificationProvision of
Technical Assistance
Effective ImplementationFull Compliance
Universal Ratification
Assist theConferences of the
States Parties
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UNCAC treaty bodies
Conference of the States Parties
(CoSP)October 2011, Marrakech
Working Groupon Prevention
August 2011, Vienna
Working Groupon Asset Recovery
August 2011, ViennaImplementation
ReviewGroup
September 2011, Vienna
CoSP III:
Resolution 3/2 (Doha) “Preventive Measures”
CoSP IV:
Resolution 4/3 “Marrakech Declaration”
Second review cycle (2015): Chapters II & V
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Country report, executive summary
to go to IRGSelf assessment
Peer review process
Desk ReviewActive dialogue, incl.
tel. conf., VC, joint meeting in Vienna,
country visit
UNCAC Review Mechanism
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Thank you for your attention!
For further information:For further information:
United Nations Office on Drugs and CrimeUnited Nations Office on Drugs and CrimeVienna International CentreVienna International Centre
PO Box 500, 1400 Vienna, AustriaPO Box 500, 1400 Vienna, Austria
Tel: +43Tel: +43‐‐11‐‐2606026060‐‐55865586
http://http://www.unodc.orgwww.unodc.org
Email: Email: [email protected]@unodc.org
